diff --git "a/results_retrieval/emb_bge_base/retrieval_pagechunker_marker.json" "b/results_retrieval/emb_bge_base/retrieval_pagechunker_marker.json" deleted file mode 100644--- "a/results_retrieval/emb_bge_base/retrieval_pagechunker_marker.json" +++ /dev/null @@ -1,22210 +0,0 @@ -[ - { - "top_k": 10, - "mrr": 0.4953611111111111, - "recall": 0.79, - "count_empty_strings": 149 - }, - [ - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "What does \"new account\" mean according to the international tax compliance from 2020 ?", - "target_page": 2, - "target_passage": "“new account” means a financial account maintained by a reporting financial institution opened on or after 13th May 2020", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "- (a) \"new account\" means a financial account maintained by a reporting financial institution(**a**) opened on or after 13th May 2020;\n- (b) \"pre-existing account\" means—\n- (i) a financial account maintained by a reporting financial institution as of 12th May 2020, or\n- (ii) a financial account within Section VIII(C)(9)(b) of Annex 1 of the DAC(**b**), but in the application of that provision the references to \"subparagraph C(9)(a)\" are to be read as references to paragraph (i) of this sub-paragraph.\n\t- (4) The accounts are—\n\t\t- (a) non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health;\n\t\t- (b) Premium Bonds issued by the UK National Savings and Investments;\n\t\t- (c) Fixed Interest Savings Certificates issued by the UK National Savings and Investments; and\n\t\t- (d) Index Linked Savings Certificates issued by the UK National Savings and Investments.\".\n\n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9.\n\n#### **Transitional provision**\n\n**3.**—(1) For the purposes of the International Tax Compliance Regulations 2015, in relation to an account that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 is treated as beginning on 13th May 2020 and ending on 31st December 2020.\n\n(2) Where in consequence of paragraph (1) it is necessary to apportion an amount for the calendar year 2020 to the period ending immediately before 13th May 2020 and the period beginning with that date, it is to be apportioned—\n\n- (a) on a time basis according to the respective length of the periods, or\n- (b) if that method would produce a result that is unjust or unreasonable, on a just and reasonable basis.\n\n*David Rutley Maggie Throup* 20th April 2020 Two of the Lords Commissioners of Her Majesty's Treasury\n\n### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)* \n\nThe Regulations amend the International Tax Compliance Regulations 2015 (\"the principal Regulations\") which give effect to agreements and arrangements reached between the United Kingdom and other jurisdictions to improve international tax compliance.\n\nRegulation 2(2) extends the application of the principal Regulations to arrangements entered into by the United Kingdom for the exchange of financial account information with other jurisdictions up to 19th April 2020, the date before the Regulations are made.\n\nRegulation 2(5) omits various accounts from the category of excluded accounts. Regulation 2(4)(b) amends the definitions of \"new account\" and \"pre-existing account\" in relation to those\n\n(<b>a) \"Financial account\" and \"reporting financial institution\" are defined in the table in regulation 24(2) of the principal Regulations.\n\n(<b>b) \"The DAC\" is defined in regulation 1(3)(a) of the principal Regulations.", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "## **2020 No. 438**\n\n## **TAXES**\n\n# The International Tax Compliance (Amendment) Regulations 2020\n\n| Laid before the House of Commons | | | | 21st April 2020 |\n| --- | --- | --- | --- | --- |\n| Made - Coming into force | - | - - | - - | 20th April 2020 13th May 2020 |\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the Finance Act 2013(**a**):\n\n#### **Citation and commencement**\n\n**1.** These Regulations may be cited as the International Tax Compliance (Amendment) Regulations 2020 and come into force on 13th May 2020.\n\n#### **Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows.\n\n(2) In regulation 1(3)(b)(i), for \"16th May 2019\" substitute \"19th April 2020\"(**c**).\n\n- (3) In regulation 3(4A)(a), at the beginning insert \"subject to regulation 24(3)\".\n- (4) In regulation 24—\n\n- (a) in the table in paragraph (2), in the column headed \"the CRS\"—\n\t- (i) at the beginning of the entry for \"new account\" insert \"subject to paragraph (3)\", and\n\t- (ii) at the beginning of the entry for \"pre-existing account\" insert \"subject to regulation 3(4A)(a) and paragraph (3)\", and\n- (b) after paragraph (2) insert—\n\t- \"(3) In respect of the accounts listed in paragraph (4)—\n\n(<b>a) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not relevant to these Regulations.\n\n(<b>b) S.I. 2015/878 (referred to in these footnotes as \"the principal Regulations\"); relevant amending instruments are S.I. 2017/598, 2018/490 and 2019/881.\n\n(<b>c) In accordance with the common reporting standard for automatic exchange of financial account information developed by the Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom exchanges information received from financial institutions under the principal Regulations with a territory which is a \"Reportable Jurisdiction\" under the CRS and with which the United Kingdom has entered into international exchange arrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrcinternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at the offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be excluded accounts. Regulation 2(3) and (4)(a) make consequential amendments.\n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts which were previously excluded accounts.\n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-theuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the impacts that apply to this instrument.\n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "# **NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n# **u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n# **AASB 2011-4 -** *Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel Disclosure*\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n# **Amendments to IAS 32 -** *Offsetting Financial Assets and Financial Liabilities*\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n# **Recently issued accounting standards to be applied in future reporting periods:**\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n# **AASB 9/IFRS 9 –** *Financial Instruments*\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# **NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\nExchange differences arising on the translation of non-monetary items are recognised directly in equity to the extent that the gain or loss is directly recognised in equity, otherwise the exchange difference is recognised in the consolidated statement of profit or loss and other comprehensive income.\n\n# **Group Companies**\n\nThe financial results and position of foreign subsidiaries whose functional currency is different from the Group's presentation currency are translated as follows:\n\n- assets and liabilities are translated at year-end exchange rates prevailing at that reporting date;\n- income and expenses are translated at average exchange rates for the period; and\n- retained profits, issued capital and paid-in-capital are translated at the exchange rates prevailing at the date of the transaction.\n\nExchange differences arising on translation of foreign operations are transferred directly to the Group's foreign currency translation reserve. These differences are recognised in the statement of profit or loss and other comprehensive income upon disposal of the foreign operation.\n\n# **h) Employee Benefits**\n\nA provision is made for the Group's liability for employee benefits arising from services rendered by employees to the balance sheet date. Employee benefits that are expected to be settled within one year have been measured at the amounts expected to be paid when the liability is settled, plus related on-costs. Employee benefits payable later than one year have been measured at the present value of the estimated future cash outflows to be made for these benefits. Those cash flows are discounted using market yields on national government bonds with terms to maturity that match the expected timing of cash flows.\n\n# **Equity - Settled Compensation**\n\nThe Group has an incentive compensation plan where employees may be issued shares and/or options. The fair value of the equity to which employees become entitled is measured at grant date and recognized as an expense over the vesting period with a corresponding increase in equity. The fair value of shares issued is determined with reference to the latest ASX share price. Options are fair valued using an appropriate valuation technique which takes into account the vesting conditions.\n\n# **Restricted Share Unit Plan**\n\nThe group has a restricted share unit (\"RSU\") plan to motivate management and employees to make decisions benefiting long-term value creation, retain management and employees and reward the achievement of the Group's long-term goals. The target RSUs are based on goals established by the Remuneration and Nominations Committee and approved by the Board. The actual RSUs, awarded annually, are modified according to actual results and generally vest in four equal tranches beginning on the grant date and each of the first three subsequent anniversaries.\n\n# **i) Provisions**\n\nProvisions are recognised when the group has a legal or constructive obligation, as a result of past events, for which it is probable that an outflow of economic benefits will result and that outflow can be reliably measured.", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "#### **35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 87\n\n| Deferred tax assets | Deferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis |\n| --- | --- |\n| and liabilities | of assets and liabilities under the \"balance sheet\" approach which will result in the recognition of additional |\n| | deferred tax assets and liabilities. |\n| Defined benefit | Defined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position |\n| superannuation surplus | and the changes in these values each period will be recognised either directly in the statement of financial |\n| and deficits | performance, progressively using a \"corridor\" approach or directly in retained earnings. The effective date of this |\n| | standard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. |\n| Restoration liabilities | Restoration liabilities will be discounted to present value and capitalised as a component part of capitalised |\n| | exploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised |\n| | over the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the |\n| | liability unwinds. |\n| Functional currency | The majority of the controlled entities within the Santos Group that have petroleum operations in foreign |\n| | jurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in |\n| | the net assets of those foreign controlled entities to be translated from their US dollar functional currency to |\n| | Australian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this |\n| | accounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. |\n| Equity-based payments | Under A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including |\n| | shares and options) will be measured based on the fair value of those instruments and amortised to the profit and |\n| | loss over the vesting period. |\n| Exploration and | There is no International Financial Reporting Standard (\"IFRS\") which comprehensively deals with the accounting |\n| evaluation expenditure | and reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies |\n| | operating in the extractive industries will be required to determine their own accounting policy for accounting for |\n| | exploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework |\n| | definition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed |\n| | unless they lead to a successful discovery of economic value. |\n| | Pending the completion of a comprehensive project on accounting for extractive industries, AASB 6 \"Expenditure for |\n| | and Evaluation of Mineral Resources\" was issued in December 2004 to facilitate the introduction of A-IFRS in |\n| | respect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to |\n| | IFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in |\n| | each area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an |\n| | asset so long as the following conditions are satisfied: |\n| | (a) the rights to tenure of the area of interest are current; and |\n| | (b) at least one of the following conditions is also met: |\n| | (i) the exploration and evaluation expenditures are expected to be recouped through successful development |\n| | and exploitation of the area of interest, or alternatively, by its sale; or |\n| | (ii) exploration and evaluation activities in the area of interest have not at the reporting date reached a stage |\n| | which permits a reasonable assessment of the existence or otherwise of economically recoverable reserves, |\n| | and active and significant operations in, or in relation to, the area of interest are continuing. |\n| | The IASB decided that the effective date of IFRS 6 to be 1 January 2006 to allow affected companies more time to |\n| | make the transition to IFRS. Despite the lateness of the issuance of the Australian equivalent accounting standard |\n| | AASB 6, Santos will be required to apply the standard from 1 January 2005. |\n| | Santos is currently evaluating this accounting standard and its accounting policy for exploration and evaluation |\n| | expenditure. At the date of this report, no decision has been made as to how the Santos Group will account for |\n| | exploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005. |\n| Impairment | Testing of non-current assets for impairment will be undertaken on the smallest grouping of assets generating cash |\n| | flows, called cash generating units. Where there is an indication that a cash generating unit is impaired, the |\n| | impairment is to be measured by reference to either the cash generating unit's discounted future net cash flows, or |\n| | its estimated fair value less costs to sell. Upon initial application of this standard, such testing is likely to result in |\n| | write-downs of some non-current assets including exploration, evaluation and development expenditure to their |\n| | recoverable amount. Any initial impairment write-down may reverse in subsequent periods if there were a change in |\n| | the estimates used to determine the initial write-down. The impacts of this new requirement will, in part, depend |\n| | on the accounting policy adopted for accounting for exploration and evaluation expenditure referred to above. |\n\nThe AASB and IASB have significant ongoing projects including a comprehensive \"Extractive Industries\" project that could affect the differences between current Australian GAAP and A-IFRS as described above and could further impact the Santos Group's financial reports in future years. The future impacts of any new or amended A-IFRS will depend on the particular circumstances in those years.", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "retrospectively. We are assessing the impact of this amendment on our consolidated financial statements.\n\n- *IFRIC 21, Levies (IFRIC 21)* In May 2013, the IASB issued a new accounting guidance IFRIC 21, which provides guidance on when to recognize a liability for a levy imposed by a government, both for levies that are accounted for in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and those where the timing and amount of the levy is certain. The Interpretation identifies the obligating event for the recognition of a liability as the activity that triggers the payment of the levy in accordance with the relevant legislation. It provides the following guidance on recognition of a liability to pay levies (i) the liability is recognized progressively if the obligating event occurs over a period of time, and (ii) if an obligation is triggered on reaching a minimum threshold, the liability is recognized when that minimum threshold is reached. The standard is effective for annual periods beginning on or after January 1, 2014, with early adoption permitted. We are assessing the impact of this new standard on our consolidated financial statements.\n- *IFRS 9, Financial Instruments (IFRS 9) –* In October 2010, the IASB issued IFRS 9, which replaces IAS 39, Financial Instruments: Recognition and Measurement, establishes principles for the financial reporting of financial assets and financial liabilities that will present relevant and useful information to users of financial statements for their assessment of the amounts, timing and uncertainty of an entity's future cash flows. This new standard also includes a new general hedge accounting standard which will align hedge accounting more closely with risk management. It does not fundamentally change the types of hedging relationships or the requirement to measure and recognize ineffectiveness, however it will provide more hedging strategies that are used for risk management to qualify for hedge accounting and introduce more judgment to assess the effectiveness of a hedging relationship. The mandatory effective date of IFRS 9 has not yet been communicated by the IASB. We are assessing the impact of this new standard on its consolidated financial statements.\n\n#### KEY PERFORMANCE INDICATORS\n\nWe measure the success of our strategy using a number of key performance indicators, which are outlined below. We believe these key performance indicators allow us to appropriately measure our performance against our operating strategy as well as against the results of our peers and competitors. The following key performance indicators are not measurements in accordance with IFRS and should not be considered as an alternative to net income or any other measure of performance under IFRS.\n\n#### **Subscriber Counts**\n\nWe determine the number of subscribers to our services based on active subscribers. When subscribers are deactivated, either voluntarily or involuntarily for non-payment, they are considered to be deactivations in the period the services are discontinued.\n\n#### *Wireless*\n\n- A wireless subscriber is represented by each identifiable telephone number.\n- We report wireless subscribers in two categories: postpaid and prepaid. Postpaid and prepaid include voice-only subscribers, dataonly subscribers, and subscribers with service plans integrating both voice and data.\n- Wireless prepaid subscribers are considered active for a period of 180 days from the date of their last revenue-generating usage.\n\n*Cable*\n\n- Cable Television and Internet subscribers are represented by a dwelling unit, and cable Phone subscribers are represented by line counts.\n- When there is more than one unit in one dwelling, like an apartment building, each tenant with cable service is counted as an individual subscriber, whether the service is invoiced separately or included in the tenant's rent. Institutional units, like hospitals or hotels, are each considered to be one subscriber.\n- Cable Television, Internet, and Phone subscribers include only those subscribers who have service installed and operating, and who are being billed accordingly.\n\n#### **Subscriber Churn**\n\nSubscriber churn is a measure of the number of subscribers that deactivated as a percentage of the total subscriber base, usually calculated on a monthly basis. Subscriber churn tells us our success in retaining our subscribers. We calculate it by dividing the number of Wireless subscribers that deactivated (usually in a month) by the aggregate numbers of subscribers at the beginning of the period. When used or reported for a period greater than one month, subscriber churn represents the sum of the number of subscribers deactivating for each period incurred divided by the sum of the aggregate number of subscribers at the beginning of each period incurred.\n\n#### **Average Revenue per User**\n\nAverage Revenue per User (ARPU) helps us identify trends and measure our success in attracting and retaining higher value subscribers. We calculate it by dividing revenue (usually monthly) by the average number of subscribers in the period. For Wireless, ARPU is calculated using network revenue. When used in connection with a particular type of subscriber, ARPU is monthly revenue generated from those subscribers, divided by the average number of those subscribers during the month.\n\n#### **Average Revenue per User Calculations – Wireless**\n\n| (In millions of dollars, subscribers in thousands, except ARPU figures and | | Years ended December 31 | |\n| --- | --- | --- | --- |\n| adjusted operating profit margin) | 2013 | | 2012 |\n| Postpaid ARPU (monthly) | | | |\n| Postpaid (voice and data) revenue | $ 6,470 | | $ 6,402 |\n| Divided by: average postpaid | | | |\n| wireless voice and data subscribers | 7,957 | | 7,698 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 67.76 | | $ 69.30 |\n| Prepaid ARPU (monthly) | | | |\n| Prepaid (voice and data) revenue | $ 278 | | $ 317 |\n| Divided by: average prepaid subscribers | 1,481 | | 1,667 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 15.64 | | $ 15.84 |\n| Blended ARPU (monthly) | | | |\n| Voice and data revenue | $ 6,748 | | $ 6,719 |\n| Divided by: average wireless voice and | | | |\n| data subscribers | 9,438 | | 9,365 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 59.58 | | $ 59.79 |", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### Movement in deferred tax balances\n\n| | | | Recognised | | |\n| --- | --- | --- | --- | --- | --- |\n| | | | in other | | |\n| | Balance at | Recognised in | comprehensive | Foreign | Balance at |\n| 2013 | 1 July | profit or loss | income | exchange | 30 June |\n| Deferred tax assets / liabilities: | | | | | |\n| Derivatives | 808 | (424) | – | – | 384 |\n| Employee benefits | 1,571 | 124 | – | 94 | 1,789 |\n| Provision for restoration and rehabilitation | 3,390 | 1,428 | – | 349 | 5,167 |\n| Provision for obsolescence | 278 | (5) | – | 36 | 309 |\n| Unrealised exchange losses | 2,790 | (2,979) | (566) | – | (755) |\n| Other items | 1,096 | (428) | – | 12 | 680 |\n| Tax losses | 36,334 | (36,334) | – | – | – |\n| Mine properties and exploration | (65,205) | 57,921 | – | (457) | (7,741) |\n| Available-for-sale financial assets | 39 | 256 | 39 | – | 334 |\n| Net deferred tax assets | (18,899) | 19,559 | (527) | 34 | 167 |\n\n| | | | Recognised | | |\n| --- | --- | --- | --- | --- | --- |\n| | | | in other | | |\n| | Balance at | Recognised in | comprehensive | Foreign | Balance at |\n| 2012 | 1 July | profit or loss | income | exchange | 30 June |\n| Deferred tax assets / liabilities: | | | | | |\n| Derivatives | 680 | 128 | – | – | 808 |\n| Employee benefits | 1,611 | (55) | – | 15 | 1,571 |\n| Provision for restoration and rehabilitation | 2,683 | 664 | – | 43 | 3,390 |\n| Provision for obsolescence | 449 | (181) | – | 10 | 278 |\n| Unrealised exchange losses | 3,510 | (617) | (103) | – | 2,790 |\n| Other items | 1,328 | (230) | – | (2) | 1,096 |\n| Tax losses | 31,413 | 4,921 | – | – | 36,334 |\n| Mine properties and exploration | (59,776) | (5,389) | – | (40) | (65,205) |\n| Available-for-sale financial assets | (339) | 78 | 300 | – | 39 |\n| Net deferred tax assets | (18,441) | (681) | 197 | 26 | (18,899) |", - "page_start": 84, - "page_end": 84, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Income taxes on undistributed earnings of non-U.S. subsidiaries are not accrued for the portion of such earnings management considers to be permanently reinvested. At June 30, 2012, undistributed earnings of non-U.S. subsidiaries considered permanently reinvested totaled approximately $79.8 million for which no provision for U.S. income tax had been made. At June 30, 2012, undistributed earnings of non-U.S. subsidiaries not considered permanently reinvested totaled $13.6 million for which $2.8 million in U.S. income taxes were accrued and charged to income tax expense during fiscal 2011.\n\n### CAUTIONARY STATEMENT UNDER PRIVATE SECURITIES LITIGATION REFORM ACT\n\nThis Annual Report to Shareholders, including Management's Discussion and Analysis, contains statements that are forwardlooking based on management's current expectations about the future. Forward-looking statements are often identified by qualifiers, such as \"guidance,\" \"expect,\" \"believe,\" \"plan,\" \"intend,\" \"will,\" \"should,\" \"could,\" \"would,\" \"anticipate,\" \"estimate,\" \"forecast,\" \"may,\" and derivative or similar words or expressions. Similarly, descriptions of objectives, strategies, plans, or goals are also forward-looking statements. These statements may discuss, among other things, expected growth, future sales, future cash flows, future capital expenditures, future performance, and the anticipation and expectations of the Company and its management as to future occurrences and trends. The Company intends that the forward-looking statements be subject to the safe harbors established in the Private Securities Litigation Reform Act of 1995 and by the Securities and Exchange Commission in its rules, regulations and releases.\n\nReaders are cautioned not to place undue reliance on any forward-looking statements. All forward-looking statements are based on current expectations regarding important risk factors, many of which are outside the Company's control. Accordingly, actual results may differ materially from those expressed in the forward-looking statements, and the making of those statements should not be regarded as a representation by the Company or any other person that the results expressed in the statements will be achieved. In addition, the Company assumes no obligation publicly to update or revise any forward-looking statements, whether because of new information or events, or otherwise, except as may be required by law.\n\nImportant risk factors include, but are not limited to, the following: risks relating to the operations levels of our customers and the economic factors that affect them; changes in the prices for products and services relative to the cost of providing them; reduction in supplier inventory purchase incentives; loss of key supplier authorizations, lack of product availability, or changes in supplier distribution programs; the cost of products and energy and other operating costs; changes in customer preferences for products and services of the nature and brands sold by us; changes in customer procurement policies and practices; competitive pressures; our reliance on information systems; our ability to implement our ERP system in a timely, cost-effective, and competent manner, and to capture its planned benefits while maintaining an adequate internal control environment; the impact of economic conditions on the collectability of trade receivables; reduced demand for our products in targeted markets due to reasons including consolidation in customer industries and the transfer of manufacturing capacity to foreign countries; our ability to retain and attract qualified sales and customer service personnel; our ability to identify and complete acquisitions, integrate them effectively, and realize their anticipated benefits; the variability and timing of new business opportunities including acquisitions, alliances, customer relationships, and supplier authorizations; the incurrence of debt and contingent liabilities in connection with acquisitions; our ability to access capital markets as needed on reasonable terms; disruption of operations at our headquarters or distribution centers; risks and uncertainties associated with our foreign operations, including volatile economic conditions, political instability, cultural and legal differences, and currency exchange fluctuations; the potential for goodwill and intangible asset impairment; changes in accounting policies and practices; organizational changes within the Company; the volatility of our stock price and the resulting impact on our consolidated financial statements; risks related to legal proceedings to which we are a party; adverse regulation and legislation, including potential changes in tax regulations (e.g., those affecting the use of the LIFO inventory accounting method and the taxation of foreignsourced income); and the occurrence of extraordinary events (including prolonged labor disputes, natural events and acts of God, terrorist acts, fires, floods, and accidents). Other factors and unanticipated events could also adversely affect our business, financial condition or results of operations. We discuss certain of these matters more fully throughout our \"Management's Discussion and Analysis\" as well as other of our filings with the Securities and Exchange Commission, including our Annual Report on Form 10-K for the year ended June 30, 2012.\n\n9\n\nInterest Rate Risk\n\nWe repaid the debt that was outstanding at June 30, 2010 during fiscal 2011, thus, at June 30, 2012, we were not exposed to interest rate fluctuations on outstanding debt. We monitor depository institutions that hold our cash and cash equivalents, primarily for safety of principal and secondarily for maximizing yield on those funds. We diversify our cash and cash equivalents among counterparties to minimize exposure to any of these entities.\n\nQUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK Our market risk is impacted by changes in foreign currency exchange rates and to a lesser extent by changes in interest rates. We occasionally utilize derivative instruments as part of our overall financial risk management policy, but do not use derivative instruments for speculative or trading purposes. We do not currently have any outstanding derivative instruments.\n\nForeign Currency Exchange Rate Risk\n\nSince we operate throughout North America and approximately 15% of our fiscal year 2012 net sales were generated outside the United States, foreign currency exchange rates can impact our financial position, results of operations and competitive position. The financial statements of foreign subsidiaries are translated into their U.S. dollar equivalents at end-of-period exchange rates for assets and liabilities, while income and expenses are translated at average monthly exchange rates. Translation gains and losses are components of accumulated other comprehensive income (loss) as reported in the statements of consolidated comprehensive income. Transaction gains and losses arising from fluctuations in currency exchange rates on transactions denominated in currencies other than the functional currency are recognized in the statements of\n\nconsolidated income as a component of other expense (income), net. Applied does not currently hedge the net investments in\n\nDuring the course of the fiscal year, the Canadian and Mexican foreign exchange rates to the U.S. dollar decreased by 6% and 17%, respectively. In the twelve months ended June 30, 2012, we experienced foreign currency translation losses totaling $14.5 million, which were included in accumulated other comprehensive income (loss). We utilize a sensitivity analysis to measure the potential impact on earnings based on a hypothetical 10% change in foreign currency rates. A 10% strengthening from the levels experienced during the year-ended June 30, 2012 of the U.S. dollar relative to foreign currencies that affect the Company would have resulted in a $2.2 million decrease in net income for the year ended June 30, 2012. A 10% weakening from the levels experienced during the year ended June 30, 2012 of the U.S. dollar relative to foreign currencies that affect the Company would have\n\nresulted in a $2.2 million increase in net income for the\n\nour foreign operations.\n\nyear ended June 30, 2012.\n\n8\n\n25358_AIT_Report_WT.indd 12 8/23/12 8:33 AM", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **Future Accounting Policy Changes**\n\n#### IFRS 9 ‑ Financial Instruments (\"IFRS 9\")\n\nIFRS 9, as issued in 2010, reflects the first phase of the IASB's work on the replacement of IAS 39 and applies to classification and measurement of financial assets and financial liabilities as defined in IAS 39. The standard was initially effective for annual periods beginning on or after January 1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, containing the effective date and transition provisions, was amended to remove the mandatory effective date of IFRS 9. This was intended to provide sufficient time for preparers to make the transition to the new requirements. The Company may still choose to apply IFRS immediately, but is not required to do so.\n\nIn subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the first phase of IFRS will have an effect on the classification and measurement of the Company's financial assets, but will not have an impact on the classification measurements of financial liabilities. The Company is in the process of assessing the impact IFRS 9 may have on future financial statements.\n\n#### IFRIC Interpretation 21 ‑ Levies (\"IFRIC 21\")\n\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant legislation, occurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing the impact IFRIC 21 may have on future financial statements.\n\n## **Disclosure Controls and Procedures and Internal Controls**\n\nThe Company's management, including the Chief Executive Officer and the Chief Financial Officer, does not expect that the Company's Disclosure Controls and Procedures and Internal Controls will prevent or detect all error and all fraud. Because of the inherent limitations in all control systems, an evaluation of controls can provide only reasonable, not absolute, assurance that all control issues and instances of fraud or error, if any, within the Company have been detected.\n\n#### *Disclosure Controls and Procedures*\n\nAs of December 31, 2013, the Company's management evaluated the effectiveness of the operation of its disclosure controls and procedures (\"Disclosure Controls\"), as defined under rules adopted by the Canadian Securities Administrators. This evaluation was performed under the supervision of, and with the participation of, the Chief Executive Officer and the Chief Financial Officer.\n\nDisclosure controls and procedures are designed to ensure that information required to be disclosed in documents filed with securities regulatory authorities is recorded, processed, summarized and reported on a timely basis, and is accumulated and communicated to the Company's management, including the Chief Executive Officer and the Chief Financial Officer, as appropriate, to allow timely decisions regarding required disclosure.\n\nBased on the evaluation of Disclosure Controls, the Chief Executive Officer and the Chief Financial Officer have concluded that, subject to the inherent limitations noted above, the Company's Disclosure Controls are effective in ensuring that material information relating to the Company and its consolidated subsidiaries is made known to the Company's management on a timely basis by others within those entities, and is included as appropriate in this MD&A.\n\n#### *Internal Controls over Financial Reportin*g\n\nInternal controls over financial reporting (\"ICFR\") are designed to provide reasonable assurance regarding the reliability of the Company's financial reporting and its preparation of financial statements for external purposes in accordance with IFRS. Management's documentation and assessment of the effectiveness of the Company's ICFR continues as of the date of this MD&A with the focus on processes and controls in areas identified as being \"key risks\".\n\nAs of the financial year ended December 31, 2013, the certifying Officers have evaluated the design and effectiveness of such ICFR, or caused them to be designed and evaluated under their supervision. The certifying Officers have concluded that the design and effectiveness of ICFR were operating effectively as at December 31, 2013, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with IFRS. The certifying Officers have evaluated whether there were any changes to the Company's ICFR during the year ended December 31, 2013 that have materially affected, or are reasonably likely to materially affect its ICFR. No changes were identified through their evaluation.\n\n## **Subsequent Events**\n\nOn January 20, 2014, and February 18, 2014, the Company announced dividends of $0.05 per share, payable on February 17, 2014, and March 17, 2014, to shareholders of record on January 31, 2014, and February 28, 2014.", - "page_start": 62, - "page_end": 62, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Under which conditions can the funds of a non-registered pension arrengements be obtained before the age of 55 ?", - "target_page": 2, - "target_passage": "non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "#### NOTE 22: PENSIONS\n\nWe have contributory and non-contributory defined benefit pension plans that are made available to most of our employees. The plans provide pensions based on years of service, years of contributions and earnings. We do not provide any non-pension post-retirement benefits. We also provide unfunded supplemental pension benefits to certain executives.\n\nThe assets of the defined benefit pension plans are held in segregated accounts isolated from our assets. We administer the defined benefit pension plans pursuant to applicable regulations, the Statement of Investment Policies and Procedures and to the mandate of the Pension Committee of the Board of Directors. The Pension Committee of the Board of Directors oversees our administration of the defined benefits pension plans, which includes the following principal areas:\n\n- overseeing the funding, administration, communication and investment management of the plans\n- selecting and monitoring the performance of all third parties performing duties in respect of the plans, including audit, actuarial and investment management services\n- proposing, considering and approving amendments to the defined benefit pension plans\n- proposing, considering and approving amendments of the Statement of Investment Policies and Procedures\n- reviewing management and actuarial reports prepared in respect of the administration of the defined benefit pension plans\n- reviewing and approving the audited financial statements of the defined benefit pension plan funds.\n\nThe assets of the defined benefit pension plans are invested and managed following all applicable regulations and the Statement of Investment Policies and Procedures, and reflect the characteristics and asset mix of each defined benefit pension plan. Investment and market return risk is managed by:\n\n- contracting professional investment managers to execute the investment strategy following the Statement of Investment Policies and Procedures and regulatory requirements\n- specifying the kinds of investments that can be held in the plans and monitoring compliance\n- using asset allocation and diversification strategies, and\n- purchasing annuities from time to time.\n\nThe funded pension plans are registered with the Office of the Superintendent of Financial Institutions and are subject to the Federal Pension Benefits Standards Act. The plans are also registered with the Canada Revenue Agency and are subject to the Canada Income Tax Act. The benefits provided under the plans and the contributions to the plans are funded and administered in accordance with all applicable legislation and regulations.\n\nSignificant estimates are involved in determining pension related balances. Actuarial estimates are based on projections of employees' compensation levels at the time of retirement. Maximum retirement benefits are primarily based on career average earnings, subject to certain adjustments. The most recent actuarial valuations were completed as at January 1, 2013.\n\nThe table below sets out the estimated present value of accrued plan benefits and the estimated market value of the net assets available to provide these benefits for our funded plans at December 31, 2013 and 2012.\n\n| | 2013 | | | 2012 |\n| --- | --- | --- | --- | --- |\n| Plan assets, at fair value | | $ 1,037 | $ | 833 |\n| Accrued benefit obligations | | 1,209 | | 1,167 |\n| Deficiency of plan assets over accrued benefit obligations | | (172) | | (334) |\n| Effect of asset ceiling limit | | (9) | | – |\n| Net deferred pension liability | $ | (181) | $ | (334) |\n| Consists of: | | | | |\n| Deferred pension asset | $ | 8 | $ | 9 |\n| Deferred pension liability | | (189) | | (343) |\n| Net deferred pension liability | $ | (181) | $ | (334) |\n\nThe table below shows our pension fund assets for the years ended 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Plan assets, January 1 | $ 833 | $ 684 |\n| Interest income | 40 | 40 |\n| Remeasurements, return on plan assets recognized in other | | |\n| comprehensive income and equity | 65 | 37 |\n| Contributions by employees | 26 | 22 |\n| Contributions by employer | 101 | 85 |\n| Benefits paid | (26) | (33) |\n| Administrative expenses paid from plan assets | (2) | (2) |\n| Plan assets, December 31 | $ 1,037 | $ 833 |\n\nThe table below shows the accrued benefit obligations arising from funded obligations for the years ended December 31, 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Accrued benefit obligations, January 1 | $ 1,167 | $ 817 |\n| Service cost | 71 | 46 |\n| Interest cost | 52 | 45 |\n| Benefits paid | (26) | (33) |\n| Contributions by employees | 26 | 23 |\n| Remeasurements, recognized in other comprehensive | | |\n| income and equity | (81) | 269 |\n| Accrued benefit obligations, December 31 | $ 1,209 | $ 1,167 |\n\nThe table below shows the effect of the asset ceiling for the years ended December 31, 2013 and 2012.\n\n| | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- |\n| Asset ceiling, January 1 | $ | – | $ | – |\n| Interest income | | – | | – |\n| Remeasurements, change in asset ceiling (excluding interest | | | | |\n| income) recognized in comprehensive income and equity | (9) | | – | |\n| Effect of changes in foreign exchange rates | | – | – | |\n| Asset ceiling, December 31 | $ (9) | | $ – | |\n\nPlan assets are comprised mainly of pooled funds that invest in common stocks and bonds that are traded in an active market. The table below shows the fair value of the total pension plan assets by major category for the years ended December 31, 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Equity securities | $ 631 | $ 480 |\n| Debt securities | 403 | 348 |\n| Other – cash | 3 | 5 |\n| Total fair value of plan assets | $ 1,037 | $ 833 |", - "page_start": 121, - "page_end": 121, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### **Pension Obligations**\n\nOur retiree pension plans had a funding deficit of approximately $172 million at December 31, 2013. We have been making special minimum monthly payments in addition to our regular contributions to eliminate the pension liability. During 2013, our funding deficit was reduced by $162 million.\n\nThe special payments, including contributions associated with benefits paid from the plans, were approximately $7 million in 2013. We expect our total estimated funding requirements to be $96 million in 2014 and to be adjusted annually thereafter, based on various market factors such as interest rates and expected returns and staffing assumptions.\n\nChanges in factors such as the discount rate, increase in compensation and the expected return on plan assets can affect the accrued benefit obligation, pension expense and the deficiency of plan assets over accrued obligations in the future. See *Critical accounting estimates* for more information.\n\n#### *Purchase of Annuities*\n\nFrom time to time we have made additional lump-sum contributions to our pension plans, and the pension plans have purchased annuities from insurance companies to fund the pension benefit obligations for certain groups of retired employees in the plans. Purchasing the annuities relieves us of our primary responsibility for that portion of the accrued benefit obligations for the retired employees and eliminates the significant risk associated with the obligations.\n\nWe did not make any additional lump-sum contributions to our pension plans in 2013 or 2012, and the pension plans did not purchase additional annuities.\n\n#### FINANCIAL RISK MANAGEMENT\n\nWe normally use three categories of derivative instruments to manage risks related to our business activities:\n\n| Categories | The risk it manages | Types of derivative instruments |\n| --- | --- | --- |\n| Debt Derivatives | • Impact of fluctuations in foreign exchange rates on | • Cross-currency interest rate exchange agreements |\n| | principal and interest payments for US denominated | • Forward foreign exchange agreements (from time |\n| | long-term debt | to time, as applicable) |\n| Expenditure Derivatives | • Impact of fluctuations in foreign exchange rates on | • Forward foreign exchange agreements |\n| | forecasted US dollar denominated expenditures | |\n| Equity Derivatives | • Impact of fluctuations in share price on stock-based | • Total return swap agreements |\n| | compensation expense | |\n\nWe also manage our exposure to fluctuating interest rates and we have fixed the interest rate on 95.3% of our debt including short-term borrowings at December 31, 2013 (2012 – 100%).\n\n#### **Debt Derivatives**\n\nWe use cross currency interest exchange agreements (Debt Derivatives), to hedge the foreign exchange risk on all of the principal and interest obligations of our US dollar denominated senior notes and debentures. At December 31, 2013 we used Debt Derivatives to hedge the foreign exchange risk on 100% of the principal and interest obligations on all our US dollar denominated debt. We use Debt Derivatives for risk management purposes only.\n\nDuring 2013, we completed Debt Derivatives transactions as follows:\n\n- entered into new Debt Derivatives to hedge senior notes issued in 2013\n- terminated existing Debt Derivatives and entered into Debt Derivatives with different terms to hedge existing senior notes\n- settled Debt Derivatives related to senior notes that matured during the year.\n\n*Terminated and Replaced Existing Debt Derivatives*\n\n| | Notional amount | Original maturity | Cash settlement payment |\n| --- | --- | --- | --- |\n| Termination date | (millions) | date | |\n\n1 Converting from a fixed US$ coupon rate to a weighted average Cdn$ fixed rate.\n\n2 Converting from a fixed US$ principal amount to a fixed Cdn$ principal amount.\n\nAll of our Debt Derivatives currently outstanding have been designated as effective hedges against foreign exchange risk for accounting purposes as described below and in note 20 to the consolidated financial statements.\n\n*New Debt Derivatives to Hedge Senior Notes Issued In 2013*\n\n| | | | | US$ | | Hedging effect | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | US$ Principal/ | | | | Fixed | | Cdn$ |\n| | notional amount | | Maturity | | | equivalent | |\n| Effective date | (millions) | | date | Coupon rate | hedged Cdn.$ interest rate 1 | (millions) | |\n| March 7, 2013 | US$ | 500 | 2023 | 3.00% | 3.60% | $ | 515 |\n| March 7, 2013 | US$ | 500 | 2043 | 4.50% | 4.60% | $ | 515 |\n| Subtotal | US$ 1,000 | | | | | $ 1,030 | |\n| October 2, 2013 | US$ | 850 | 2023 | 4.10% | 4.59% | $ | 877 |\n| October 2, 2013 | US$ | 650 | 2043 | 5.45% | 5.61% | $ | 671 |\n| Subtotal | US$ 1,500 | | | | | $ 1,548 | |\n\n1 Converting from a fixed US$ coupon rate to a weighted average Cdn$ fixed rate.\n\n| Terminated Debt Derivatives | | | | | | New Debt Derivatives | | Hedging effect |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | | Fixed |\n| | Notional | Original | Cash settlement | | Derivative | New | Fixed | Cdn$ |\n| | amount | maturity | payment | | amount | maturity | weighted | equivalent |\n| Termination date | (millions) | date | (millions) | Date entered | (millions) | date | average 1 | (millions) 2 |\n| Mar 6, 2013 | US$ 350 2 | 2018 | Nil | Mar 6, 2013 | US$ 3502 | 2038 | 7.62% | $ 356 |\n| Sep 27, 2013 | US$ 1,075 3,4 | 2014 – 2015 | $ 263 | Sep 27, 2013 | US$ 1,0753 | 2014-2015 | 7.42% | $ 1,110 |", - "page_start": 65, - "page_end": 65, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- (a) \"new account\" means a financial account maintained by a reporting financial institution(**a**) opened on or after 13th May 2020;\n- (b) \"pre-existing account\" means—\n- (i) a financial account maintained by a reporting financial institution as of 12th May 2020, or\n- (ii) a financial account within Section VIII(C)(9)(b) of Annex 1 of the DAC(**b**), but in the application of that provision the references to \"subparagraph C(9)(a)\" are to be read as references to paragraph (i) of this sub-paragraph.\n\t- (4) The accounts are—\n\t\t- (a) non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health;\n\t\t- (b) Premium Bonds issued by the UK National Savings and Investments;\n\t\t- (c) Fixed Interest Savings Certificates issued by the UK National Savings and Investments; and\n\t\t- (d) Index Linked Savings Certificates issued by the UK National Savings and Investments.\".\n\n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9.\n\n#### **Transitional provision**\n\n**3.**—(1) For the purposes of the International Tax Compliance Regulations 2015, in relation to an account that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 is treated as beginning on 13th May 2020 and ending on 31st December 2020.\n\n(2) Where in consequence of paragraph (1) it is necessary to apportion an amount for the calendar year 2020 to the period ending immediately before 13th May 2020 and the period beginning with that date, it is to be apportioned—\n\n- (a) on a time basis according to the respective length of the periods, or\n- (b) if that method would produce a result that is unjust or unreasonable, on a just and reasonable basis.\n\n*David Rutley Maggie Throup* 20th April 2020 Two of the Lords Commissioners of Her Majesty's Treasury\n\n### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)* \n\nThe Regulations amend the International Tax Compliance Regulations 2015 (\"the principal Regulations\") which give effect to agreements and arrangements reached between the United Kingdom and other jurisdictions to improve international tax compliance.\n\nRegulation 2(2) extends the application of the principal Regulations to arrangements entered into by the United Kingdom for the exchange of financial account information with other jurisdictions up to 19th April 2020, the date before the Regulations are made.\n\nRegulation 2(5) omits various accounts from the category of excluded accounts. Regulation 2(4)(b) amends the definitions of \"new account\" and \"pre-existing account\" in relation to those\n\n(<b>a) \"Financial account\" and \"reporting financial institution\" are defined in the table in regulation 24(2) of the principal Regulations.\n\n(<b>b) \"The DAC\" is defined in regulation 1(3)(a) of the principal Regulations.", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "which the Group becomes a party to the contractual provisions of the instrument.\n\nThe Group derecognises a financial asset when the contractual rights to the cash flows from the asset expire, or it transfers the rights to receive the contractual cash flows on the financial asset in a transaction in which substantially all the risks and rewards of ownership of the financial assets are transferred.\n\nFinancial assets and liabilities are offset and the net amount presented in the statement of financial position when, and only when, the Group has a legal right to offset the amounts and intends either to settle on a net basis or to realise the asset and settle the liability simultaneously.\n\n#### (i) Financial assets at fair value through profit or loss\n\nFinancial assets at fair value through profit or loss are financial assets held for trading if acquired principally for the purpose of selling in the short term. Derivatives are also categorised as held for trading unless they are designated as hedges.\n\nAttributable transaction costs are recognised in the profit or loss when incurred. Assets in this category are classified as current assets if they are expected to be settled within 12 months, otherwise they are classified as non-current.\n\n#### (ii) Loans and receivables\n\nLoans and receivables are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. They are included in current assets, except for those with maturities greater than 12 months after the reporting date which are classified as noncurrent assets.\n\nLoans and receivables are measured at amortised cost using the effective interest method, less any impairment losses.\n\n#### (iii) Available-for-sale financial assets\n\nAvailable-for-sale financial assets, comprising principally marketable equity securities, are non-derivative financial assets that are either designated in this category or not classified in any of the other categories. They are included in non-current assets unless management intends to dispose of the investment within 12 months of the reporting date. Investments are designated as available-for-sale if they do not have fixed maturities and fixed or determinable payments and management intends to hold them for the medium to long term.\n\nSubsequent to initial recognition, available-forsale financial assets are measured at fair value and changes therein, other than impairment\n\nlosses, are recognised as a separate component of equity net of attributable tax. When an asset is derecognised the cumulative gain or loss in equity is transferred to the statement of comprehensive income.\n\n#### Impairment\n\nThe Group assesses at each reporting date whether there is objective evidence that a financial asset or group of financial assets is impaired. In the case of equity securities classified as available-for-sale, a significant or prolonged decline in the fair value of a security below its cost is considered as an indicator that the securities are impaired. If any such evidence exists for available-for-sale financial assets, the cumulative loss measured as the difference between the acquisition cost and the current fair value, less any impairment loss on that financial asset previously recognised in profit or loss, is removed from equity and recognised in the statement of comprehensive income. Impairment losses recognised in the profit or loss on equity instruments classified as available-for-sale are not reversed through the statement of comprehensive income.\n\nIf there is evidence of impairment for any of the Group's financial assets carried at amortised cost, the loss is measured as the difference between the asset's carrying amount and the present value of estimated future cash flows, excluding future credit losses that have not been incurred. The cash flows are discounted at the financial asset's original effective interest rate. The loss is recognised in the statement of comprehensive income.\n\n#### k. Derivative financial instruments\n\nDerivative financial instruments are used by the Group to protect against the Group's Australian dollar gold price risk exposures. The Group does not apply hedge accounting and accordingly all fair value movements on derivative financial instruments are recognised in the profit or loss.\n\nDerivative financial instruments are stated at fair value on the date a derivative contract is entered into and are subsequently remeasured to their fair value at each reporting date. The resulting gain or loss is recognised in the statement of comprehensive income immediately.\n\n#### l. Property, plant and equipment\n\nProperty, plant and equipment are stated at historical cost less depreciation. Historical cost includes expenditure that is directly attributable to the acquisition of the items.\n\nSubsequent costs are included in the asset's carrying amount or recognised as a separate asset, as appropriate, only when it is probable that future economic benefits associated with the item will flow to the Group and the cost of the item can be measured reliably. The carrying amount of any component accounted for as a separate asset is derecognised when replaced. All other repairs and maintenance are charged to the statement of comprehensive income during the reporting period in which they are incurred.\n\n#### Depreciation\n\nDepreciation and amortisation of mine buildings, plant, machinery and equipment is provided over the assessed life of the relevant mine or asset, whichever is the shorter.\n\nDepreciation and amortisation is determined on a units-of-production basis over the estimated recoverable reserves from the related area. In some circumstances, where conversion of resources into reserves is expected, some elements of resources may be included. For mine plant, machinery and equipment, which have an expected economic life shorter than the life of the mine, a straight line basis is adopted.\n\nThe expected useful lives are as follows:\n\n- 〉 mine buildings the shorter of applicable mine life and 25 years;\n- 〉 plant, machinery and equipment the shorter of applicable mine life and 3–15 years depending on the nature of the asset.\n\nThe estimated recoverable reserves and life of each mine and the remaining useful life of each class of asset are reassessed at least annually. Where there is a change in the reserves during the period, depreciation and amortisation rates are adjusted prospectively from the beginning of the reporting period.\n\nMajor spares purchased specifically for a particular plant are capitalised and depreciated on the same basis as the plant to which they relate.\n\n#### Impairment\n\nAn asset's carrying amount is written down immediately to its recoverable amount if the asset's carrying amount is greater than its estimated recoverable amount (Note 2f).\n\n#### Derecognition\n\nAn item of property, plant and equipment is derecognised upon disposal or when no future economic benefits are expected to arise from the continued use of the asset.\n\nAny gain or loss arising on derecognition of the asset (calculated as the difference between the net disposal proceeds and the carrying amount of the item) is included in the profit or loss in the period the item is derecognised.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## **116. Power of Commissions in relation to pensions, etc.**\n\n- (1) Where under any law any person or authority has a discretion-\n- (a) to decide whether or not any pensions benefits shall be granted; or\n- (b) to withhold, reduce in amount or suspend any such benefits that have been granted,\n\nthose benefits shall be granted and may not be withheld, reduced in amount or suspended unless the appropriate Commission concurs in the refusal to grant the benefits or, as the case may be, in the decision to withhold them, reduce them in amount or suspend them.\n\n(2) Where the amount of any pensions benefits that may be granted to any person is not fixed by law, the amount of the benefits to be granted to him or her shall be the greatest amount for which he or she is eligible unless the appropriate Commission concurs in his or her being granted benefits of a smaller amount.\n\n(3) The appropriate Commission shall not concur under subsection (1) or subsection (2) of this section in action taken on the ground that any person who holds or has held the office of a judge of the Court of Appeal or of the High Court or the Auditor- General or Director of Prosecutions has been guilty of misbehaviour unless he or she has been removed from office by reason of such misbehaviour.\n\n(4) In this section \"the appropriate Commission\" means-\n\n- (a) in the case of benefits for which any person may be eligible in respect of the service in the public service of a person who, immediately before he or she ceased to be a public officer, was subject to the disciplinary control of the Judicial Service Commission or that have been granted in respect of such service, the Judicial Service Commission;\n- (b) in any other case, the Public Service Commission.\n\n(5) In this section \"pensions benefits\" means any pensions, compensation, gratuities or other like allowances for persons in respect of their service as public officers (including service as public officers of the former Protectorate of Bechuanaland) or for the widows, children, dependants or personal representatives of such persons in respect of such service.\n\n## **CHAPTER VIII Finance (ss 117-124)**\n\n# **117. Consolidated Fund**\n\nAll revenues or other moneys raised or received for the purposes of the Government of Botswana (not being revenues or other moneys that are payable by or under any law into some other fund established for a specific purpose or that may by or under any law be retained by the department of Government that received them for the purposes of defraying the expenses of that department) shall be paid into and form one Consolidated Fund.\n\n# **118. Withdrawals from Consolidated Fund or other public funds**\n\n(1) No moneys shall be withdrawn from the Consolidated Fund except-\n\n- (a) to meet expenditure that is charged upon the Fund by this Constitution or by any Act of Parliament;\n- (b) where the issue of those moneys has been authorized by an Appropriation Act, by a supplementary estimate approved by resolution of the National Assembly or by a law enacted in pursuance of section 120 of this Constitution.\n\n(2) No moneys shall be withdrawn from any public fund of Botswana other than the Consolidated Fund unless the issue of those moneys has been authorized by or under a law.\n\n(3) No moneys shall be withdrawn from the Consolidated Fund except in the manner prescribed by Parliament.", - "page_start": 50, - "page_end": 50, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(4) The deposit of any moneys forming part of the Consolidated Fund with a bank or with the Crown Agents for Overseas Governments and Administrations or the investment of any such moneys in securities in which, under the law for the time being in force in Botswana, trustees are authorized to invest, or the making of advances to such extent and in such circumstances as may be prescribed by Parliament, shall not be regarded as a withdrawal of those moneys from the Fund for the purposes of this section.\n\n## **119. Authorization of expenditure**\n\n(1) The Minister for the time being responsible for finance shall cause to be prepared and laid before the National Assembly, before or not later than 30 days after the commencement of each financial year, estimates of the revenues and expenditure of Botswana for that year.\n\n(2) The organisations of expenditure contained in the estimates for a financial year (other than expenditure charged upon the Consolidated Fund by this Constitution or any other law) shall be included in a Bill to be known as an Appropriation Bill which shall be introduced into the Assembly to provide for the issue from the Consolidated Fund of the sums necessary to meet that expenditure and the appropriation of those sums for the purposes specified in the said Bill.\n\n(3) If in any financial year it is found-\n\n- (a) that the amount appropriated by the Appropriation Act for the purposes included in any organisation of expenditure is insufficient or that a need has arisen for expenditure for a purpose for which no amount has been appropriated by the Appropriation Act; or\n- (b) that any moneys have been expended on any organisation of expenditure in excess of the amount appropriated for the purposes included in that organisation by the Appropriation Act or for a purpose for which no amount has been appropriated by the Appropriation Act,\n\na supplementary estimate showing the sums required or spent shall be laid before the National Assembly and the organisations of expenditure shall be included in a supplementary Appropriation Bill, or in a motion or motions approving such expenditure, which shall be introduced or moved in the Assembly.\n\n(4) Where any supplementary expenditure has been approved in a financial year by a resolution of the National Assembly in accordance with the provisions of subsection (3) of this section, a supplementary Appropriation Bill shall be introduced in the National Assembly, not later than the end of the financial year next following, providing for the appropriation of the sums so approved.\n\n## **120. Authorization of expenditure in advance of appropriation**\n\nParliament may make provision under which, if the Appropriation Act in respect of any financial year has not come into operation by the beginning of that financial year, the President may authorize the withdrawal of moneys from the Consolidated Fund for the purpose of meeting expenditure necessary to carry on the services of the Government until the expiration of four months from the beginning of that financial year or the coming into operation of the Appropriation Act, whichever is the earlier.\n\n## **121. Contingencies Fund**\n\n(1) Parliament may make provision for the establishment of a Contingencies Fund and for authorizing the President, if satisfied that there has arisen an urgent and unforeseen need for expenditure for which no other provision exists, to make advances from that Fund to meet that need.\n\n(2) Where any advance is made from the Contingencies Fund, a supplementary estimate shall be laid before the National Assembly as soon as possible for the purpose of replacing the amount so advanced.", - "page_start": 51, - "page_end": 51, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "- 113. Tenure of office of Director of Public Prosecutions\n- 114. Tenure of office of Auditor-General\n- 115. Pensions laws and protection of pensions rights\n- 116. Power of Commissions in relation to pensions, etc.\n\n#### CHAPTER VIII\n\n#### Finance\n\n- 117. Consolidated Fund\n- 118. Withdrawals from Consolidated Fund or other public funds\n- 119. Authorization of expenditure\n- 120. Authorization of expenditure in advance of appropriation\n- 121. Contingencies Fund\n- 122. Remuneration of certain officers\n- 123. Public debt\n- 124. Auditor-General\n\n### CHAPTER IX\n\n#### Miscellaneous\n\n- 125. Resignations\n- 126. Reappointments and concurrent appointments\n- 127. Interpretation\n\nFirst Schedule - Election of Specially Elected Members of the National Assembly\n\nSecond Schedule - Division of Districts into regions for the purpose of selecting Members of Ntlo ya Dikgosi\n\n> L.N. 83, 1966, Act 30, 1969, Act 43, 1969, Act 25, 1970, Act 28, 1972, Act 24, 1973, Act 28, 1978, S.I. 25, 1980, Act 32, 1982, Act 1, 1983, Act 22, 1987, S.I. 37, 1991, Act 27, 1992, S.I. 51, 1993, S.I. 119, 1993, Act 16, 1997, Act 18, 1997, Act 1, 1999, Act 2, 2002, Act 12, 2002, Act 9, 2005, S.I. 91, 2006.\n\n[Date of Commencement: 30th September, 1966]\n\n### **CHAPTER I**", - "page_start": 3, - "page_end": 3, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## EMPLOYEE RETIREMENT AND BENEFIT PLANS\n\n11\n\nA noncontributory defined benefit retirement plan is maintained for all regular employees of the Company except those of Quest Medical. This plan was amended effective January 1, 1998 to become a cash balance pension plan. The Company's funding policy is to make the annual contributions required by applicable regulations and recommended by its actuary. The Company uses a December 31 measurement date for the plan.\n\nThe changes in the plan's projected benefit obligation (\"PBO\") as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN BENEFIT OBLIGATION: | | | | |\n| Benefit obligation, January 1 | $ | 4,170 | $ | 4,599 |\n| Service cost | | 214 | | 320 |\n| Interest cost | | 298 | | 307 |\n| Amendments | | —- | | (616) |\n| Actuarial (gain)/loss | | 529 | | (93) |\n| Benefits paid | | (333) | | (347) |\n| Benefit obligation, December 31 | $ | 4,878 | $ | 4,170 |\n\nIn December 2002, the plan was amended to reduce benefit accruals for future service by plan participants by approximately 50 percent. This amendment caused a reduction in the PBO of approximately $616,000, and is reflected as a reduction in pension expense over the estimated employee service lives.\n\nThe changes in the fair value of plan assets, funded status of the plan and the status of the prepaid pension benefit recognized, which is included in the Company's balance sheets as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN PLAN ASSETS: | | | | |\n| Fair value of plan assets, January 1 | $ | 4,383 | $ | 4,550 |\n| Actual return on plan assets | | 963 | | (750) |\n| Employer contributions | | 400 | | 930 |\n| Benefits paid | | (333) | | (347) |\n| Fair value of plan assets, December 31 | $ | 5,413 | $ | 4,383 |\n| Funded status of plan | $ | 535 | $ | 213 |\n| Unrecognized actuarial loss | | 1,941 | | 2,154 |\n| Unrecognized prior service cost | | (502) | | (539) |\n| Unrecognized net transition obligation | | (88) | | (132) |\n| Net amount recognized as other assets | $ | 1,886 | $ | 1,696 |", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n#### *(l) Contributions of Nonfinancial Assets and Services*\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n#### *(m) Revenue Recognition – Contracts With Customers*\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What metrics are good indicators of the coverage of gas molecules on carbon nanotubes ?", - "target_page": 1, - "target_passage": "the bind- ing energy and scattering resistance of the molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## arXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010\n\n## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra1,2 , ∗ D. J. Mowbray1,2, K. S. Thygesen2 , A. Rubio1,3, and K. W. Jacobsen2\n\n*1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,*\n\n*Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebastian, Spain ´*\n\n*2Center for Atomic-scale Materials Design, Department of Physics,*\n\n*Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany*\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3–8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert – a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11–13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13–21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant (>1 Ω) for small changes in CO concentration in the relevant range of around 0.1–10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 A for ˚ representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 A˚ ×15 A˚ ×14.622 A). For this size ˚ of supercell a Γ-point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1)\n\nwhere E[M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E[C] is the energy per carbon atom in a pristine nanotube, and E[M@NT]\n\n<i>Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), \"Grupos Consolidados UPV/EHU del Gobierno Vasco\" (IT-319-07), e-I3 ETSF project (Contract Number 211956), \"Red Espanola de Super- ˜ computacion\", NABIIT and the Danish Center for Scientific ´ Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jose Castillejo programs. ´\n\n∗ Electronic address: juanmaria.garcia@ehu.es\n\n- [1] *Gas Sensing Materials, MRS Bull.*, vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, \"Electronic and transport properties of nanotubes\", Rev. Mod. Phys. 79(2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, \"Nanotube molecular wires as chemical sensors\", Science 287(5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \"Extreme oxygen sensitivity of electronic properties of carbon nanotubes\", Science 287(5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, *Carbon Nanotube Devices: Properties, Modeling, Integration and Applications* (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-Paez, A. H. Romero, E. Mu ´ noz-Sandoval, ˜ L. M. Mart´ınez, H. Terrones, and M. Terrones, \"Fabrication of vapor and gas sensors using films of aligned CNx nanotubes\", Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, \"Designing real nanotube-based gas sensors\", Phys. Rev. Lett. 100(17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, \"Tailoring gas sensing properties of carbon nanotubes\", J. Appl. Phys. 104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, \"Variable range hopping in oxygen-exposed single-wall carbon nanotube networks\", Phys. Stat. Solidi A 205(6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \"Influence of O2 and N2 on the conductivity of carbon nanotube networks\", Phys. Rev. B 79(19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, \"Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory\", Chem. Phys. Lett. 387(4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, \"Defective carbon nanotubes for single-molecule sensing\", Phys. Rev. B 80(15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and Angel Rubio, \"Conductance of sidewall-functionalized ´ carbon nanotubes: Universal dependence on adsorption sites\", Phys. Rev. Lett. 101(23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, \"*Ab initio* study of an iron atom interacting with single-wall carbon nanotubes\", Phys. Rev. B 67(20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, \"Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3d transition metals: A first-principles study\", Phys. Rev. B 69(7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, \"Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes\", J. Phys. Chem. B 110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, \"First-principles study of metal adatom adsorption on graphene\", Phys. Rev. B 77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \"Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes\", J. Phys. Chem. C 112(19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \"Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems\", J. Phys. Chem. C 112(22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, \" ¨ *Ab initio* study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms\", Phys. Rev. B 78(19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, \"Embedding transition- ¨ metal atoms in graphene: Structure, bonding, and magnetism\", Phys. Rev. Lett. 102(12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \"Real-space grid implementation of the projector augmented wave method\", Phys. Rev. B 71(3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, \"Generalized gradient approximation made simple\", Phys. Rev. Lett. 77(18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\n$$E_{\\rm form}[{\\rm VC}]=E[{\\rm VC}]+nE[{\\rm C}]-E[{\\rm NT}],\\tag{2}$$\n\nwhere E[VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov *et al.* for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\n$$E_{\\rm ads}[X\\,\\mbox{\\small@M@VC}]=E[X\\,\\mbox{\\small@M@VC}]-E[X]-E[\\mbox{\\small@VC}],\\tag{3}$$\n\nFIG. 2: Calculated (a) adsorption energy Eads in eV and (b) change in conductance ∆G in units of G0 =2e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E[X@M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E[X] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\n$$\\Theta[X]=\\frac{K[X]C[X]}{1+\\sum_{Y}K[Y]C[Y]},\\tag{4}$$\n\nwhere K = k+/k− is the ratio of forward and backward rate constants for the adsorption reaction,\n\n$$K[X]=\\exp\\left[-\\frac{E_{\\rm ads}[X]+TS[X]}{k_{B}T}\\right].\\tag{5}$$\n\nIn these expressions C[X] is the concentration of species X, S[X] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Jacobsen, \"Benchmark density functional theory calculations for nanoscale conductance\", J. Chem. Phys. 128(11), 114714 (Mar. 2008), doi:10.1063/1.2839275.\n- [25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Ordejon, and D. S ´ anchez-Portal, \"The SIESTA method for ´ *ab initio* order-n materials simulation\", J. Phys.: Condens. Matter 14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n- [26] J. S. Griffith, *The Theory of Transition-Metal Ions* (Cambridge University Press, London, 1961).\n- [27] P. Atkins and J. de Paula, *Physical Chemistry*, 8th ed. (Oxford University Press, London, 2006).\n- [28] D. Lide, *Handbook of Chemistry and Physics*, 87th ed. (CRC-Press, 2006–2007).\n- [29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, \"Scal-\n\ning theory put into practice: First-principles modeling of transport in doped silicon wires\", Phys. Rev. Lett. 99(7), 076803 (Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n\n- [30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, W.-J. Chun, Y. Koike, and K. Asakura, \"X-ray absorption fine structure (XAFS) analyses of Ni species trapped in graphene sheet of carbon nanofibers\", Phys. Rev. B 73(14), 144103 (Apr. 2006), doi:10.1103/PhysRevB.73.144103.\n- [31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, F. J. Garcia-Vidal, A. Rubio, and F. Flores, \"Tuning the conductance of single-walled carbon nanotubes by ion irradiation in the Anderson localization regime\", Nature Materials 4, 534 (Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than kBT . In addition, the perturbation term of the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l−1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives, edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1–66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9, 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96, 147801 (2006).\n- [9] I. Kalcher and J. 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Phys. 101, 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "- [34] P. Moriarty, M. D. R. Taylor, and M. Brust, \"Nanostructured cellular networks,\" Phys. Rev. Lett. 89, 248303 (2002).\n- [35] E. Rabani, D. R. Reichman, P. L. Geissler, and L. E. Brus, \"Drying-mediated self-assembly of nanoparticles,\" Nature 426, 271–274 (2003).\n- [36] L. V. Govor, G. Reiter, J. Parisi, and G. H. Bauer, \"Self-assembled nanoparticle deposits formed at the contact line of evaporating micrometer-size droplets,\" Phys. Rev. E 69, 061609 (2004).\n- [37] C. P. Martin, M. O. Blunt, and P. Moriarty, \"Nanoparticle networks on silicon: Self-organized or disorganized?\" Nano Lett. 4, 2389–2392 (2004).\n- [38] C. P. Martin, M. O. Blunt, E. Pauliac-Vaujour, A. Stannard, P. Moriarty, I. Vancea, and U. 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Shimomura, \"Preparation of self-organized mesoscale polymer patterns on a solid substrate: Continuous pattern formation from a receding meniscus,\" Adv. Funct. Mater. 15, 575–581 (2005).\n- [44] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, \"Capillary flow as the cause of ring stains from dried liquid drops,\" Nature 389, 827–829 (1997).\n- [45] E. Adachi, A. S. Dimitrov, and K. Nagayama, \"Stripe patterns formed on a glass-surface during droplet evaporation,\" Langmuir 11, 1057–1060 (1995).\n- [46] R. D. Deegan, \"Pattern formation in drying drops,\" Phys. Rev. E 61, 475–485 (2000).\n- [47] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, \"Contact line deposits in an evaporating drop,\" Phys. Rev. E 62, 756–765 (2000).\n- [48] L. Shmuylovich, A. Q. Shen, and H. A. Stone, \"Surface morphology of drying latex films: Multiple ring formation,\" Langmuir 18, 3441–3445 (2002).\n- [49] V. X. Nguyen and K. J. Stebe, \"Patterning of small particles by a surfactant-enhanced Marangoni-", - "page_start": 27, - "page_end": 27, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles in a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3 ), (b) medium (Ω = 2 × 10−6 ) and (c) low (Ω = 0.78 × 10−8 ) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length scale is ` = p γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the vertical length scale is H = p 2SLW /κd0. The remaining dimensionless parameters are the evaporation number Ω = Qeη0` 2/H3 , the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical potential M = Hµ/κ = −0.0035. The system size is L = 19500`. Film thickness and hp in the plots are scaled by the precursor film thickness.\n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the coordinate x as the distance from the centre of the circular film.\n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film contains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the film of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional holes can occur (even with noise the probability would be extremely low). Without evaporation the film dewets 'classically' by a retraction of the initially step-like front. After a short time, surface tension smoothes the profile of the receding front and a capillary rim forms that collects all the", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the source of inaccuracy of the MSA3 model at high ionic concentrations ?", - "target_page": 3, - "target_passage": "At high concentration (about 1 mol l−1), the MSA3 overestimates the free energy", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than kBT . In addition, the perturbation term of the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l−1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives, edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1–66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9, 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96, 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, 3730 (1995).\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100, 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359, 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties, vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101, 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair βVeint(r) is set equal to βV eff ij (r) for distances less than 4 ˚A.\n\ntrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n$$\\widetilde{V}_{3i}^{\\rm SR}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)\\big{[}V_{1i}^{\\rm SR}+V_{2i}^{\\rm SR}\\big{]}(\\mathbf{k}),\\quad i=1,2\\tag{2a}$$\n\n$$\\widetilde{V}_{33}^{\\mathrm{SR}}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)^{2}\\big[V_{11}^{\\mathrm{SR}}+V_{22}^{\\mathrm{SR}}+2V_{12}^{\\mathrm{SR}}\\big](\\mathbf{k})\\tag{2b}$$\n\nwhere we(r) is the pair probability distribution\n\n$$\\tilde{w}(\\mathbf{r})=K_{0}^{-1}e^{-\\beta\\tilde{V}_{\\rm int}(r)}\\tag{2c}$$\n\nVeint(r) is the internal part of the pair potential (see Fig. 3), and K0 is the association constant, defined as:\n\n$$K_{0}=\\int_{0}^{\\infty}\\mathrm{d}r\\,4\\pi r^{2}e^{-\\beta\\tilde{V}_{\\mathrm{int}}(r)}=0.43\\ \\mathrm{L.mol^{-1}}\\qquad(3)$$\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture βfeex v plus a correction term\n\n$$\\beta f_{v}^{\\rm ex}=\\beta\\tilde{f}_{v}^{\\rm ex}-\\tilde{\\rho}_{3}\\ln K_{0},\\tag{4}$$\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c. (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c.\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let σec be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σe3 = 4 √ 2 π σec[21].\n\nUsing these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, 4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l−1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:\n\n$$\\rho_{i}\\rho_{j}g_{ij}(\\mathbf{k})=\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k})\\left(1-\\delta_{ij}\\right)+\\widetilde{\\rho}_{i}\\widetilde{\\rho}_{j}\\widetilde{g}_{ij}(\\mathbf{k})$$\n \n$$+\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k}/2)\\left[\\widetilde{\\rho}_{i}\\widetilde{g}_{3i}+\\widetilde{\\rho}_{j}\\widetilde{g}_{3j}\\right](\\mathbf{k})\\tag{5}$$\n \n$$+\\widetilde{\\rho}_{3}^{2}\\left[\\widetilde{w}(\\mathbf{k}/2)\\right]^{2}\\widetilde{g}_{33}(\\mathbf{k})$$", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina1,2,3 , ∗ Jean-Fran¸cois Dufrˆeche1,2,3 , † Mathieu\n\nSalanne1,2 , Olivier Bernard1,2 , Marie Jardat1,2 , and Pierre Turq1,2\n\n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n\nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, H¨uckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8–11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from molecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.\n\nThe first stage consists in calculating the McMillan-Mayer effective ion-ion interaction potentials V eff ij (r), by inverting the radial distribution functions (RDF) gij (r) obtained by MD. The simulations were carried out on a box of 2000 water molecules and 48 NaCl pairs using the same interaction potentials as in reference [16]. This setup corresponds to a concentration of 0.64 mol l−1 . NPT ensemble sampling at standard pressure and temperature was enforced, with a time step of 1 fs and a pressure bath coupling constant of 1 ps. An equilibration run of 0.25 ns was followed by a production run of 0.6 ns for five different initial configurations. The averages of the resulting RDF were then used for the potential inversion via the HNC closure [15]. These effective potentials are assumed to be concentration independent and will be used for simulations at all concentrations.\n\nSubtracting the long-range Coulombic potential V LR ij (r) (which depends on the dielectric constant of the solvent) from V eff ij (r), we obtain the short-range contribution V SR ij (r) to the effective potentials. These are given in Fig. 1 (species 1 and 2 refer to Na+ and Cl− free ions, respectively). All the short-range potentials exhibit oscillations corresponding to the solvent layering between the ions, but this effect is particularly important for the cation-anion interaction: a considerable potential barrier (& 2kBT ) separates the first two attractive wells. To serve as a reference, Monte Carlo (MC) simulations were performed with these effective potentials; a comparison between MD and MC RDF is also provided in Fig. 1. The excellent agreement between both sets of RDF validates the HNC inversion procedure [17], and allows us to com-\n\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3\n\nInstitut de Chimie S´eparative de Marcoule (ICSM),\n\n∗Electronic address: john.molina@etu.upmc.fr\n\n†Electronic address: jean-francois.dufreche@upmc.fr", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, Vij = V (0) ij + ∆Vij , a first-order truncated expression for the free energy density of the system βfv is obtained,\n\n$$\\beta f_{v}\\lesssim\\beta f_{v}^{(0)}+\\frac{1}{2}\\beta\\sum_{i,j}\\rho_{i}\\rho_{j}\\int\\mathrm{d}\\mathbf{r}\\,g_{i j}^{(0)}(r)\\Delta V_{i j}(r)\\qquad(1)$$\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = (kBT ) −1 and ρi the concentration of species i. The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter (σi) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆Vij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g(r) = exp [gMSA(r) − 1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillan-Mayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\nWe first used LPT for a two-component system (Na+ and Cl− free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2.0 mol l−1 . The minimization leads to almost constant diameters on the whole range of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0.1 mol l−1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4.2 ˚A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.\n\nTo overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "- 26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72, 064413 (2005).\n- 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter, Phys. Rev. Lett. 99, 097202 (2007); R. Thomale, E. Kapit, D. F. Schroeter, and M. Greiter, Phys. Rev. B 80, 104406 (2009).\n- 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev. Lett. 88, 067203 (2002).\n- 29 F. Becca, F. Mila, Phys. Rev. Lett. 89, 037204 (2002).\n- 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93, 197203 (2004).\n- 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72, 024449 (2005).\n- 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n\nB 74, 060405(R) (2006).\n\n- 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys. Rev. B 74, 134409 (2006).\n- 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100, 077201 (2008).\n- 35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n- 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y. Tokura, Science 291, 2573 (2001).\n- 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413 (1989); X. G. Wen, Phys. Rev. B 40, 7387 (1989).\n- 38 Dimitris I. Tsomokos, Juan Jos´e Garc´ıa-Ripoll, Nigel R. Cooper, Jiannis K. Pachos, Phys. Rev. A 77, 012106 (2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - }, - { - "text": "FIG. 2: Distribution functions in four cases (a) BCSI model, where one can see that for ε > 0, SC>NS implying KE increases in the SCS. (b) The original MFLI model of Ref. 30, where for ε > 0, SCNS, implying KE increases in the SCS. Observe that in the impurity-free CB model there is no jump in n(ǫ) indicating lack of fermionic coherence. This is consistent with ARPES39\n\n#### A. The BCS case\n\nIn BCS theory the quantity Z(ω) is given by\n\n$$Z_{B C S I}(\\omega)=1+\\frac{\\Gamma}{\\sqrt{\\Delta^{2}-(\\omega+i\\delta)^{2}}}\\qquad(11)$$\n\nand\n\n$$\\Sigma_{B C S I}(\\omega)=\\omega\\left(Z(\\omega)-1\\right)=i\\Gamma\\frac{\\omega}{\\sqrt{(\\omega+i\\delta)^{2}-\\Delta^{2}}}\\ \\ \\ (12)$$\n\nThis is consistent with having in the NS, Σ = iΓ in accordance with Eq 6. In the SCS, Σ(ω) is purely imaginary for ω > ∆ and purely real for ω < ∆. The self-energy has a square-root singularity at ω = ∆.\n\nIt is worth noting that Eq.12 is derived from the integration over infinite band. If one uses Eq.6 for finite band, Eq.12 acquires an additional frequency dependence at large frequencies of the order of bandwidth (the low frequency structure still remains the same as in Eq.12). In principle, in a fully self-consistent analysis, one should indeed evaluate the self-energy using a finite bandwidth. In practice, however, the self-energy at frequencies of order bandwidth is generally much smaller than ω and contribute very little to optical conductivity which predominantly comes from frequencies where the self-energy is comparable or even larger than ω. Keeping this in mind, below we will continue with the form of self-energy derived form infinite band. We use the same argument for all four models for the self-energy.\n\nFor completeness, we first present some well known results about the conductivity and optical integral for a constant DOS and then extend the discussion to the case where the same calculations are done in the presence of a particular lattice dispersion.\n\nFIG. 3: The BCSI case with a dispersion linearized around the Fermi surface. Evolution of the difference of optical integrals in the SCS and the NS with the upper cut-off ωc Observe that the zero crossing point increases with impurity scattering rate Γ and also the 'dip' spreads out with increasing Γ. ∆ = 30 meV\n\nFor a constant DOS, ∆W(ωc) = WSC (ωc) − WNS(ωc) is zero at ωc = ∞ and Kubo sum rule reduces to FGT sum rule. In Fig. 3 we plot for this case ∆W(ωc) as a function of the cutoff ωc for different Γ′ s. The plot shows the two well known features: zero-crossing point is below 2∆ in the clean limit Γ << ∆ and is roughly 2Γ in the dirty limit21,40 The magnitude of the 'dip' decreases quite rapidly with increasing Γ. Still, there is always a point of zero crossing and ∆W(ωc) at large ωc approaches zero from below.\n\nWe now perform the same calculations in the presence of lattice dispersion. The results are summarized in Figs 4,5, and 6.\n\nFig 4 shows conductivities σ(ω) in the NS and the SCS and Kubo sums WK plotted against impurity scattering Γ. We see that the optical integral in the NS is always greater than in the SCS. The negative sign of ∆WK is simply the consequence of the fact that nk is larger in the NS for ǫk < 0 and smaller for ǫk < 0, and ∇2 ε~k closely follows −ε~k for our choice of dispersion38), Hence nk is larger in the NS for ∇2 ε~k > 0 and smaller for ∇2 ε~k < 0 and the Kubo sum rule, which is the integral of the product of nk and ∇2 ε~k (Eq. 3), is larger in the normal state.\n\nWe also see from Fig. 4 that ∆WK decreases with Γ reflecting the fact that with too much impurity scattering there is little difference in nk between NS and SCS.\n\nFig 5 shows the optical sum in NS and SCS in clean and dirty limits (the parameters are stated in the figure). This plot shows that the Kubo sums are almost completely recovered by integrating up to the bandwidth of 1eV : the recovery is 95% in the clean limit and ∼ 90% in the dirty limit. In Fig 6 we plot ∆W(ωc) as a function of ωc in clean and dirty limits. ∆W(∞) is now non-zero, in agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), \"Grupos Consolidados UPV/EHU del Gobierno Vasco\" (IT-319-07), e-I3 ETSF project (Contract Number 211956), \"Red Espanola de Super- ˜ computacion\", NABIIT and the Danish Center for Scientific ´ Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jose Castillejo programs. ´\n\n∗ Electronic address: juanmaria.garcia@ehu.es\n\n- [1] *Gas Sensing Materials, MRS Bull.*, vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, \"Electronic and transport properties of nanotubes\", Rev. Mod. Phys. 79(2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, \"Nanotube molecular wires as chemical sensors\", Science 287(5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \"Extreme oxygen sensitivity of electronic properties of carbon nanotubes\", Science 287(5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, *Carbon Nanotube Devices: Properties, Modeling, Integration and Applications* (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-Paez, A. H. Romero, E. Mu ´ noz-Sandoval, ˜ L. M. Mart´ınez, H. Terrones, and M. Terrones, \"Fabrication of vapor and gas sensors using films of aligned CNx nanotubes\", Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, \"Designing real nanotube-based gas sensors\", Phys. Rev. Lett. 100(17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, \"Tailoring gas sensing properties of carbon nanotubes\", J. Appl. Phys. 104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, \"Variable range hopping in oxygen-exposed single-wall carbon nanotube networks\", Phys. Stat. Solidi A 205(6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \"Influence of O2 and N2 on the conductivity of carbon nanotube networks\", Phys. Rev. B 79(19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, \"Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory\", Chem. Phys. Lett. 387(4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, \"Defective carbon nanotubes for single-molecule sensing\", Phys. Rev. B 80(15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and Angel Rubio, \"Conductance of sidewall-functionalized ´ carbon nanotubes: Universal dependence on adsorption sites\", Phys. Rev. Lett. 101(23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, \"*Ab initio* study of an iron atom interacting with single-wall carbon nanotubes\", Phys. Rev. B 67(20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, \"Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3d transition metals: A first-principles study\", Phys. Rev. B 69(7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, \"Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes\", J. Phys. Chem. B 110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, \"First-principles study of metal adatom adsorption on graphene\", Phys. Rev. B 77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \"Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes\", J. Phys. Chem. C 112(19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \"Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems\", J. Phys. Chem. C 112(22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, \" ¨ *Ab initio* study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms\", Phys. Rev. B 78(19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, \"Embedding transition- ¨ metal atoms in graphene: Structure, bonding, and magnetism\", Phys. Rev. Lett. 102(12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \"Real-space grid implementation of the projector augmented wave method\", Phys. Rev. B 71(3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, \"Generalized gradient approximation made simple\", Phys. Rev. Lett. 77(18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "In the health regulation regarding coronavirus, what is considered a \"device\" ?", - "target_page": 3, - "target_passage": "means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**).\n\n## PART 1\n\n### Introductory\n\n#### **Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n\n(3) These Regulations extend to England and Wales and apply in relation to England only.\n\n#### **Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations—\n\n\"category 1 arrival\" means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n\"category 1 country or territory\" means a country or territory, or part of a country or territory, specified in Schedule 1(**b**);\n\n\"category 2 country or territory\" means a country or territory or part of a country or territory specified in Schedule 2(**c**);\n\n\"category 3 country or territory\" means a country or territory or part of a country or territory specified in Schedule 3(**d**);\n\n\"child\" means a person under the age of 18;\n\n\"the common travel area\" has the meaning given in section 1(3) of the Immigration Act 1971(**e**);\n\n\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n\"coronavirus disease\" means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n\"designated port\" means a port designated for the purposes of Schedule 11;\n\n\"device\" means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002(**f**);\n\n\"disability\" has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule 1 to, that Act);\n\n\"immigration officer\" means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**);\n\n\"managed self-isolation package\" has the meaning given in paragraph 8 of Schedule 11;\n\n\"operator\" except in regulation 18, means an operator of a relevant service;\n\n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as \"Green List\" countries and territories.\n\n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as \"Amber List\" countries and territories.\n\n(**f**) S.I. 2002/618.\n\n(<b>a) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14).\n\n(<b>d) Category 3 countries and territories are referred to colloquially and in guidance as \"Red List\" countries and territories. (**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland are collectively referred to in that Act as \"the common travel area\".\n\n(<b>g) 2010 c. 15.\n\n(<b>h) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. 1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where the person who is the operator of the laboratory complies with the requirements of regulation 6 of the Health Protection (Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if—\n\n- (a) a reference to an applicable test were a reference to a day 2 test;\n- (b) a reference to a test provider were a reference to a private provider.\n\n#### **Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph where—\n\n- (a) it is a test provided by a public provider; or\n- (b) it is a test provided by a private provider—\n\t- (i) in respect of—\n\t\t- (aa) a non-Schedule 11 passenger, on or after 1st March 2021;\n\t\t- (bb) a Schedule 11 passenger, on 1st or 2nd March 2021,\n\t- (ii) where the test complies with sub-paragraph (2), and\n\t- (iii) where the private provider complies with paragraph 9.\n- (2) A test complies with this sub-paragraph where—\n\t- (a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of two distinguishable SARS-CoV-2 genes other than the S gene and performance reference controls;\n\t- (b) it is, in relation to a Schedule 11 passenger—\n\t\t- (i) a test which requires laboratory processing, and\n\t\t- (ii) a test which can be self-administered;\n\t- (c) the manufacturer of any device used for the purposes of the test states that the device—\n\t\t- (i) uses an extracted molecular method,\n\t\t- (ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided confidence interval entirely above 90%), and\n\t\t- (iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre; and\n\t- (d) any device used for the purposes of the test—\n\t\t- (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations, and\n\t\t- (ii) has been validated no more than 18 months before the test is administered or provided to P.\n\n(3) For the purposes of sub-paragraph (2) \"validated\", in relation to a device, has the meaning given by paragraph 2(2) of Schedule 10.\n\n#### **Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this paragraph where—\n\n- (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 8 test;\n- (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.\".\n\n## **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are amended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**20.** After regulation 2 (interpretation) insert—\n\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(1) and (4) (needs assessments which are not completed);\n- (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n- (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n- (d) regulation 19 (requirement to consider mediation);\n- (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n- (f) regulation 21 (mediation);\n- (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n- (h) regulation 27(3) (steps to be taken by a home authority);\n- (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n- (j) regulation 30(3) and (6) (unopposed appeals).\".\n\n**21.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\", or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n(<b>a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "(3) In regulation 4ZA—\n\n- (a) in the heading, for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\";\n- (b) in paragraph (1)(a), for \"regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\")\" substitute \"regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 (\"the International Travel and Operator Liability Regulations\")\";\n- (c) in paragraph (1)(c), for \"paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\";\n- (d) in paragraph (3), for \"paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\".\n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020(**a**) are amended as follows.\n\n(2) In regulation 2D(1)(c), for \"regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n(3) In regulation 6(1)—\n\n- (a) in the definitions of \"designated place\", \"isolation requirements\" and \"self-isolating worker\", for \"regulation 4\" substitute \"regulation 9\";\n- (b) in the definition of \"International Travel Regulations\", for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n# SCHEDULE 16 Regulation 26(3)\n\n### Transitional provision\n\n**1.** Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\") in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n\n**2.** Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n\n**3.** A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n\n**4.** Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.\n\n(<b>a) S.I. 2020/1045. Regulation 2D was inserted by S.I. 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**25.** In regulation 13(3) (timescales for EHC plans), for \"(c)\" substitute \"(d)\".\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n- (a) after paragraph (6) insert—\n\"(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.\".\n\n- (b) in paragraph (7)(c) after \"10(4)(a)\" insert \"or (d)\".\n**27.** In regulation 30(7)(c) (unopposed appeals), after \"10(4)(a)\" insert \"or (d)\".\n\n## **Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017(**a**) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n- **30.** After regulation 2 (interpretation) insert—\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 6(3) and (6) (responding to health care recommendations); and\n- (b) regulation 7(1) and (4) (responding to social care recommendations).\".\n\n*Vicky Ford* Parliamentary Under Secretary of State 28th April 2020 Department for Education\n\n#### (**a**) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- (iii) a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre, and\n- (iv) uses an established molecular detection method;\n- (c) any device used for the purposes of the test—\n\t- (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations,\n\t- (ii) has been validated no more than 18 months before the test is administered or provided to P;\n- (d) it is not a test provided or administered under the National Health Service Act 2006, the National Health Service (Wales) Act 2006(**a**), the National Health Service (Scotland) Act 1978(**b**), or the Health and Personal Social Services (Northern Ireland) Order 1972(**c**); and\n- (e) the test provider complies with paragraph 3.\n\n(2) For the purposes of sub-paragraph (1), \"validated\", in relation to a device, means confirmed as having the required sensitivity and specificity using at least 150 positive clinical samples and 250 negative clinical samples against a laboratory-based RT-PCR test that is itself within the performance specification of the target product profile published by the Medicines and Healthcare Products Regulatory Agency for laboratory based SARS-CoV-2 PCR tests, by—\n\n- (a) the Secretary of State;\n- (b) a laboratory which is accredited to ISO standard 15189 or ISO/IEC standard 17025(**d**) by—\n\t- (i) the United Kingdom Accreditation Service(**e**) (\"UKAS\"), or\n\t- (ii) an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation (\"ILAC\") Mutual Recognition Arrangement(**f**) or the European cooperation for Accreditation (\"EA\") Multilateral Agreement(**g**),\n\nother than a laboratory which processes tests provided by the test provider for the purposes of this Schedule or is owned by the test provider or the device manufacturer. (**h**); or\n\n- (c) a laboratory which is accredited by UKAS to ISO standard 15189 or ISO/IEC standard 17025(**i**), other than a laboratory which processes tests provided by the test provider for the purposes of this Schedule or is owned by the test provider or the device manufacturer.\n(**a**) 2006 c. 42.\n\n(<b>b) 1978 c. 29.\n\n(<b>c) S.I. 1972/1265 (N.I. 14).\n\n(<b>d) ISO standards are published in Geneva by the International Organisation for Standardisation, and are available on their website (www.iso.org) or at ISO Central Secretariat, International Organization for Standardization (ISO), 1 rue de Varembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of testing and calibration laboratories was published in November 2017.\n\n(<b>e) The United Kingdom Accreditation Service is a company limited by guarantee incorporated in England and Wales under number 3076190.\n\n(<b>f) ILAC is an international organisation which coordinates the work of its signatory national accreditation bodies which are themselves involved in the accreditation of conformity assessment bodies, testing laboratories, and medical testing laboratories.\n\n(<b>g) EA is a regional organisation which coordinates the work of its signatory national accreditation bodies. EA is recognised by and works closely with ILAC.\n\n(<b>h) A body corporate established under section 232 of the Health and Social Care Act 2012 (c. 7).\n\n(<b>i) ISO standards are published in Geneva by the International Organisation for Standardisation, and are available on their website (www.iso.org) or at ISO Central Secretariat, International Organization for Standardization (ISO), 1 rue de Varembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of testing and calibration laboratories was published in November 2017. ISO 15189 Medical Laboratories requirements for quality and competence was published in November 2012.", - "page_start": 68, - "page_end": 68, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n#### **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\"), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n- (b) regulation 16(2) and (3) (change of responsible commissioning body);\n- (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n- (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n- (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n- (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n- (g) regulation 33 (requirement to consider mediation);\n- (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n- (i) regulation 35(2), (3) and (4) (mediation health care issues);\n- (j) regulation 36(2) (mediation no health care issues);\n- (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n- (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n- (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n- (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n- (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n- (p) regulation 56(3) (publication of comments on the local offer).\".\n\n**6.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\t- \"; or\n\t- (e) of a reason relating to the incidence or transmission of coronavirus\".\n- **8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\t- (a) at the end of sub-paragraph (b) omit \"or\"; and\n\t- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk\n\nhttps://www.gov.uk/uk-border-control\n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice\n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nhttps://gov.wales/arriving-wales-overseas\n\n# SCHEDULE 13 Regulation 18(3)\n\n# Prohibition on the arrival of aircraft and vessels into England\n\n### **Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule—\n\n\"controller\" means—\n\n- (a) in relation to a commercially operated aircraft or vessel, the person who has management control over the aircraft or vessel when it arrives in England,\n- (b) in relation to any other aircraft or vessel, the person who has physical control over the aircraft or vessel when it arrives in England;\n\n\"passenger\" means a person carried in or on an aircraft or vessel other than a member of the aircraft or vessel's crew;\n\n\"port\" has the same meaning as in the Merchant Shipping Act 1995(**a**).\n\n- (2) In the definition of \"controller\" in sub-paragraph (1) \"arrives\" means—\n\t- (a) in relation to an aircraft, lands;\n\t- (b) in relation to a vessel, moors at a port.\n\n### **Prohibition on arrival of aircraft into England**\n\n**2.**—(1) A controller must not cause or permit an aircraft whose last point of departure was in a country or territory listed in paragraph 4 to land in England unless—\n\n- (a) landing in England is reasonably necessary to secure the safety of the aircraft or the health and safety of any person aboard it;\n- (b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no passengers are permitted to board, or disembark from, the aircraft; or\n- (c) the aircraft is an air ambulance and landing for the purpose of transporting a person for medical treatment.\n\n(2) This paragraph does not apply in relation to—\n\n- (a) a commercially operated aircraft carrying no passengers;\n- (b) an aircraft operated by or in support of Her Majesty's Government in the United Kingdom;\n- (c) an aircraft operated by or in support of a foreign country or territory where, prior to its arrival in England, a United Kingdom Government Department has provided written confirmation to the operator that the aircraft is carrying passengers who are travelling to conduct official business with the United Kingdom.\n\n(<b>a) 1995 c. 21.", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(2) P ceases to be required to self-isolate in accordance with these Regulations, and regulation 2A of the Self-Isolation Regulations applies in relation to P.\n\n#### **Day 2 tests: general test requirements**\n\n**6.**—(1) For the purposes of regulation 6(12)(a), a day 2 test complies with this paragraph where—\n\n- (a) it is a test provided by a public provider; or\n- (b) it is a test provided by a private provider—\n\t- (i) in respect of—\n\t\t- (aa) a non-Schedule 11 passenger, on or after 1st March 2021;\n\t\t- (bb) a Schedule 11 passenger, on 1st or 2nd March 2021,\n\t- (ii) where the test complies with sub-paragraph (2), and\n\t- (iii) where the private provider complies with paragraph 7.\n- (2) A test complies with this sub-paragraph where—\n\t- (a) it is a semi-quantitative test for the detection of coronavirus which—\n\t\t- (i) targets a minimum of two distinguishable SARS-CoV-2 genes other than the S gene and performance reference controls,\n\t\t- (ii) includes routine in silico assurance against every variant of concern, and\n\t\t- (iii) produces a test solution that provides extracted nucleic acid that is suitable for whole genome sequencing using a specified method;\n\t- (b) it is, in relation to a Schedule 11 passenger, a test that can be self-administered;\n\t- (c) the manufacturer of any device used for the purposes of the test states that the device—\n\t\t- (i) uses an established molecular detection method,\n\t\t- (ii) has a specificity and a sensitivity greater than 99% (with a 95% two-sided confidence interval entirely above 97%),\n\t\t- (iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre, and\n\t\t- (iv) is suitable for identifying every variant of concern; and\n\t- (d) any device used for the purposes of the test—\n\t\t- (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations, and\n\t\t- (ii) has been validated no more than 18 months before the test is administered or provided to P.\n- (3) For the purposes of sub-paragraph (2)—\n\t- (a) \"specified method\" means a targeted sequence method specific to SARS-CoV-2 or an equivalent—\n\t\t- (i) amplicon method, or\n\t\t- (ii) sequence bait capture method;\n\t- (b) \"validated\", in relation to a device, has the meaning given by paragraph 2(2) of Schedule 10;\n\t- (c) \"variant of concern\" means a variant of SARS-CoV-2 identified in a designation made by the Secretary of State for the purposes of this paragraph and published in a manner as appears to the Secretary of State to be appropriate.", - "page_start": 60, - "page_end": 60, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "Regarding the regulation of Enforcement of requirement to self-isolate concerning travel and coronavirus, who are considered an \"authorised persons\" ?", - "target_page": 19, - "target_passage": "For the purposes of this regulation, “authorised person” means— (a) a constable; (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or (c) a person designated by the Secretary of State for the purposes of this regulation.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n#### **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\"), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) In regulation 4ZA—\n\n- (a) in the heading, for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\";\n- (b) in paragraph (1)(a), for \"regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\")\" substitute \"regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 (\"the International Travel and Operator Liability Regulations\")\";\n- (c) in paragraph (1)(c), for \"paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\";\n- (d) in paragraph (3), for \"paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\".\n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020(**a**) are amended as follows.\n\n(2) In regulation 2D(1)(c), for \"regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n(3) In regulation 6(1)—\n\n- (a) in the definitions of \"designated place\", \"isolation requirements\" and \"self-isolating worker\", for \"regulation 4\" substitute \"regulation 9\";\n- (b) in the definition of \"International Travel Regulations\", for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n# SCHEDULE 16 Regulation 26(3)\n\n### Transitional provision\n\n**1.** Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\") in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n\n**2.** Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n\n**3.** A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n\n**4.** Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.\n\n(<b>a) S.I. 2020/1045. Regulation 2D was inserted by S.I. 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.\".\n\n## **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are amended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**20.** After regulation 2 (interpretation) insert—\n\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(1) and (4) (needs assessments which are not completed);\n- (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n- (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n- (d) regulation 19 (requirement to consider mediation);\n- (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n- (f) regulation 21 (mediation);\n- (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n- (h) regulation 27(3) (steps to be taken by a home authority);\n- (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n- (j) regulation 30(3) and (6) (unopposed appeals).\".\n\n**21.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\", or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n(<b>a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "# PART 6\n\n### Final provisions\n\n### **Review of need for requirements**\n\n**24.** The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n#### **Expiry of Regulations**\n\n**25.** These Regulations expire at the end of 16th May 2022.\n\n### **Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked—\n\n- (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020(**a**);\n- (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\")(**b**); and\n- (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021(**c**).\n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n\n(3) Schedule 16 makes transitional provisions.\n\n(4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\n*Robert Courts* Parliamentary Under Secretary of State At 10.32 a.m. on 14th May 2021 Department for Transport\n\n(**a**) S.I. 2020/567.\n\n(<b>b) S.I. 2020/568.\n\n(<b>c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(11) For the purposes of this regulation, \"authorised person\" means—\n\n- (a) a constable;\n- (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or\n- (c) a person designated by the Secretary of State for the purposes of this regulation.\n\n#### **Power of entry**\n\n**12.**—(1) A constable may enter premises in order—\n\n- (a) to search for a person who is suspected of committing an offence of contravening the requirement in paragraph 10 (duty to self-isolate) of Schedule 11;\n- (b) to remove a person of the description in sub-paragraph (a) to accommodation designated by the Secretary of State for the purposes of Schedule 11.\n\n(2) The power in paragraph (1) is exercisable if the constable—\n\n- (a) has reasonable grounds to believe that a person of the description in paragraph (1)(a) is in or on the premises; and\n- (b) has a reasonable belief that it is necessary and proportionate to enter the premises for the purposes specified in paragraph (1)(b).\n\n(3) A constable exercising the power in paragraph (1)—\n\n- (a) may use reasonable force if necessary; and\n- (b) may be accompanied by a police community support officer.\n\n(4) A constable exercising the power in paragraph (1)—\n\n- (a) if asked by a person on the premises, must show evidence of the constable's identity and outline the purpose for which the power is being exercised; and\n- (b) if the premises are unoccupied or the occupier is temporarily absent, must leave the premises as effectively secured against unauthorised entry as when the constable found them.\n- (5) In this regulation, \"premises\" includes any building or structure and any land.\n\n### PART 4\n\n### Requirements on operators\n\n#### **Passenger information requirement**\n\n**13.**—(1) Subject to the following provisions of this regulation, an operator must ensure that a passenger who arrives at a port in England on a relevant service is provided with the information required by regulation 14 (\"the passenger information requirement\") and in the manner required by that regulation at each of the times specified in paragraph (2).\n\n(2) The times are—\n\n- (a) where prior to departure a booking was made for the passenger to travel on the relevant service, before the booking was made (\"the pre-booking information requirement\");\n- (b) where, at least 48 hours prior to the scheduled departure time of the relevant service, a booking was made for the passenger to travel on it, between 24 and 48 hours prior to the scheduled departure time of that service (\"the pre-departure information requirement\");\n- (c) where prior to departure the passenger was checked in to travel on the relevant service, at the time of check-in (\"the check-in information requirement\"); and\n- (d) while the passenger was on board the vessel, aircraft or train (\"the on-board information requirement\").", - "page_start": 18, - "page_end": 18, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk\n\nhttps://www.gov.uk/uk-border-control\n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice\n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nhttps://gov.wales/arriving-wales-overseas\n\n# SCHEDULE 13 Regulation 18(3)\n\n# Prohibition on the arrival of aircraft and vessels into England\n\n### **Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule—\n\n\"controller\" means—\n\n- (a) in relation to a commercially operated aircraft or vessel, the person who has management control over the aircraft or vessel when it arrives in England,\n- (b) in relation to any other aircraft or vessel, the person who has physical control over the aircraft or vessel when it arrives in England;\n\n\"passenger\" means a person carried in or on an aircraft or vessel other than a member of the aircraft or vessel's crew;\n\n\"port\" has the same meaning as in the Merchant Shipping Act 1995(**a**).\n\n- (2) In the definition of \"controller\" in sub-paragraph (1) \"arrives\" means—\n\t- (a) in relation to an aircraft, lands;\n\t- (b) in relation to a vessel, moors at a port.\n\n### **Prohibition on arrival of aircraft into England**\n\n**2.**—(1) A controller must not cause or permit an aircraft whose last point of departure was in a country or territory listed in paragraph 4 to land in England unless—\n\n- (a) landing in England is reasonably necessary to secure the safety of the aircraft or the health and safety of any person aboard it;\n- (b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no passengers are permitted to board, or disembark from, the aircraft; or\n- (c) the aircraft is an air ambulance and landing for the purpose of transporting a person for medical treatment.\n\n(2) This paragraph does not apply in relation to—\n\n- (a) a commercially operated aircraft carrying no passengers;\n- (b) an aircraft operated by or in support of Her Majesty's Government in the United Kingdom;\n- (c) an aircraft operated by or in support of a foreign country or territory where, prior to its arrival in England, a United Kingdom Government Department has provided written confirmation to the operator that the aircraft is carrying passengers who are travelling to conduct official business with the United Kingdom.\n\n(<b>a) 1995 c. 21.", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where the person who is the operator of the laboratory complies with the requirements of regulation 6 of the Health Protection (Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if—\n\n- (a) a reference to an applicable test were a reference to a day 2 test;\n- (b) a reference to a test provider were a reference to a private provider.\n\n#### **Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph where—\n\n- (a) it is a test provided by a public provider; or\n- (b) it is a test provided by a private provider—\n\t- (i) in respect of—\n\t\t- (aa) a non-Schedule 11 passenger, on or after 1st March 2021;\n\t\t- (bb) a Schedule 11 passenger, on 1st or 2nd March 2021,\n\t- (ii) where the test complies with sub-paragraph (2), and\n\t- (iii) where the private provider complies with paragraph 9.\n- (2) A test complies with this sub-paragraph where—\n\t- (a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of two distinguishable SARS-CoV-2 genes other than the S gene and performance reference controls;\n\t- (b) it is, in relation to a Schedule 11 passenger—\n\t\t- (i) a test which requires laboratory processing, and\n\t\t- (ii) a test which can be self-administered;\n\t- (c) the manufacturer of any device used for the purposes of the test states that the device—\n\t\t- (i) uses an extracted molecular method,\n\t\t- (ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided confidence interval entirely above 90%), and\n\t\t- (iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre; and\n\t- (d) any device used for the purposes of the test—\n\t\t- (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations, and\n\t\t- (ii) has been validated no more than 18 months before the test is administered or provided to P.\n\n(3) For the purposes of sub-paragraph (2) \"validated\", in relation to a device, has the meaning given by paragraph 2(2) of Schedule 10.\n\n#### **Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this paragraph where—\n\n- (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 8 test;\n- (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (ii) the Foreign Commonwealth and Development Office has then confirmed in writing to the person giving the notification in sub-paragraph (i) that—\n\t- (aa) it has received that confirmation, and\n\t- (bb) R is travelling to the United Kingdom to conduct official business with the United Kingdom and is not required to comply with regulation 4;\n- (d) a person described in paragraph 31 of Schedule 4 (worker with specialist technical skills).\n- (2) In sub-paragraph (1)—\n\t- (a) \"consular post\" has the meaning given in paragraph 1(4) of Schedule 4;\n\t- (b) \"Crown servant\", \"essential government work\", \"essential policing\" and \"government contractor\" have the meaning given in paragraph 16(2) of Schedule 4.\n\n# SCHEDULE 8 Regulation 6(10)\n\n### Mandatory testing after arrival in England\n\n#### **Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule—\n\n- (a) \"default self-isolation period\" means—\n\t- (i) in the case of a non-Schedule 11 passenger, the period specified in paragraph (7)(a) of regulation 9 (requirement to self-isolate),\n\t- (ii) in the case of a Schedule 11 passenger, the period specified in paragraph 10(a) of Schedule 11;\n- (b) \"mandatory test\" means a day 2 test or a day 8 test within the meaning of regulation 6(12);\n- (c) \"non-Schedule 11 passenger\" means a person to whom regulation 9 applies;\n- (d) \"P\" means a person required to undertake a mandatory test under regulation 6 (requirement to book and undertake tests);\n- (e) \"private provider\" means a test provider other than a public provider;\n- (f) \"public provider\" means a test provider who provides or administers a test under the National Health Service Act 2006, the National Health Services (Wales) Act 2006, the National Health Service (Scotland) Act 1978, or the Health and Personal Social Services (Northern Ireland) Order 1972;\n- (g) \"relevant self-isolation provisions\" means—\n\t- (i) in relation to a Schedule 11 passenger, regulation 9 and Schedule 11,\n\t- (ii) in relation to a non-Schedule 11 passenger, regulation 9.\n\n(2) Where this Schedule requires P to continue to self-isolate in accordance with the relevant self-isolation provisions—\n\n- (a) regulation 19 (offences and penalties) applies in relation to that requirement as it applies in relation to the relevant self-isolation provisions;\n- (b) such a requirement to self-isolate does not apply in respect of a person exempt from regulation 9.\n\n#### **Requirement to self-isolate on failure to undertake a mandatory test**\n\n**2.**—(1) Sub-paragraph (2) applies where P is not a person of the description in regulation 5(1)(b), (c) or (d) and—\n\n- (a) either—\n\t- (i) P fails to undertake a day 2 test, or", - "page_start": 57, - "page_end": 57, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# **2021 No. 582**\n\n# **PUBLIC HEALTH, ENGLAND**\n\n# The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\n| Made - - | - | - | at 10.32 a.m. on 14th May 2021 |\n| --- | --- | --- | --- |\n| Laid before Parliament | | | at 2.30 p.m. on 14th May 2021 |\n| Coming into force | - | - | at 4.00 a.m. on 17th May 2021 |\n\n### CONTENTS\n\n### PART 1\n\n### Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n| --- | --- | --- |\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n\n### PART 2\n\n### Requirements on persons arriving in England\n\n| 3. | Requirement on passengers to provide information | 5 |\n| --- | --- | --- |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n\n### PART 3\n\n#### Enforcement\n\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| --- | --- | --- |\n| 12. | Power of entry | 19 |\n\n### PART 4\n\n### Requirements on operators\n\n| 13. | Passenger information requirement | 19 |\n| --- | --- | --- |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**25.** In regulation 13(3) (timescales for EHC plans), for \"(c)\" substitute \"(d)\".\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n- (a) after paragraph (6) insert—\n\"(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.\".\n\n- (b) in paragraph (7)(c) after \"10(4)(a)\" insert \"or (d)\".\n**27.** In regulation 30(7)(c) (unopposed appeals), after \"10(4)(a)\" insert \"or (d)\".\n\n## **Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017(**a**) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n- **30.** After regulation 2 (interpretation) insert—\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 6(3) and (6) (responding to health care recommendations); and\n- (b) regulation 7(1) and (4) (responding to social care recommendations).\".\n\n*Vicky Ford* Parliamentary Under Secretary of State 28th April 2020 Department for Education\n\n#### (**a**) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "What is the expiracy date of the regulation regarding travel during the coronavirus pandemic made in 2021 ?", - "target_page": 31, - "target_passage": "These Regulations expire at the end of 16th May 2022.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# PART 6\n\n### Final provisions\n\n### **Review of need for requirements**\n\n**24.** The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n#### **Expiry of Regulations**\n\n**25.** These Regulations expire at the end of 16th May 2022.\n\n### **Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked—\n\n- (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020(**a**);\n- (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\")(**b**); and\n- (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021(**c**).\n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n\n(3) Schedule 16 makes transitional provisions.\n\n(4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\n*Robert Courts* Parliamentary Under Secretary of State At 10.32 a.m. on 14th May 2021 Department for Transport\n\n(**a**) S.I. 2020/567.\n\n(<b>b) S.I. 2020/568.\n\n(<b>c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n#### **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\"), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) In regulation 4ZA—\n\n- (a) in the heading, for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\";\n- (b) in paragraph (1)(a), for \"regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\")\" substitute \"regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 (\"the International Travel and Operator Liability Regulations\")\";\n- (c) in paragraph (1)(c), for \"paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\";\n- (d) in paragraph (3), for \"paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\".\n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020(**a**) are amended as follows.\n\n(2) In regulation 2D(1)(c), for \"regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n(3) In regulation 6(1)—\n\n- (a) in the definitions of \"designated place\", \"isolation requirements\" and \"self-isolating worker\", for \"regulation 4\" substitute \"regulation 9\";\n- (b) in the definition of \"International Travel Regulations\", for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n# SCHEDULE 16 Regulation 26(3)\n\n### Transitional provision\n\n**1.** Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\") in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n\n**2.** Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n\n**3.** A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n\n**4.** Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.\n\n(<b>a) S.I. 2020/1045. Regulation 2D was inserted by S.I. 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# **2021 No. 582**\n\n# **PUBLIC HEALTH, ENGLAND**\n\n# The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\n| Made - - | - | - | at 10.32 a.m. on 14th May 2021 |\n| --- | --- | --- | --- |\n| Laid before Parliament | | | at 2.30 p.m. on 14th May 2021 |\n| Coming into force | - | - | at 4.00 a.m. on 17th May 2021 |\n\n### CONTENTS\n\n### PART 1\n\n### Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n| --- | --- | --- |\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n\n### PART 2\n\n### Requirements on persons arriving in England\n\n| 3. | Requirement on passengers to provide information | 5 |\n| --- | --- | --- |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n\n### PART 3\n\n#### Enforcement\n\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| --- | --- | --- |\n| 12. | Power of entry | 19 |\n\n### PART 4\n\n### Requirements on operators\n\n| 13. | Passenger information requirement | 19 |\n| --- | --- | --- |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**).\n\n## PART 1\n\n### Introductory\n\n#### **Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n\n(3) These Regulations extend to England and Wales and apply in relation to England only.\n\n#### **Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations—\n\n\"category 1 arrival\" means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n\"category 1 country or territory\" means a country or territory, or part of a country or territory, specified in Schedule 1(**b**);\n\n\"category 2 country or territory\" means a country or territory or part of a country or territory specified in Schedule 2(**c**);\n\n\"category 3 country or territory\" means a country or territory or part of a country or territory specified in Schedule 3(**d**);\n\n\"child\" means a person under the age of 18;\n\n\"the common travel area\" has the meaning given in section 1(3) of the Immigration Act 1971(**e**);\n\n\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n\"coronavirus disease\" means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n\"designated port\" means a port designated for the purposes of Schedule 11;\n\n\"device\" means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002(**f**);\n\n\"disability\" has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule 1 to, that Act);\n\n\"immigration officer\" means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**);\n\n\"managed self-isolation package\" has the meaning given in paragraph 8 of Schedule 11;\n\n\"operator\" except in regulation 18, means an operator of a relevant service;\n\n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as \"Green List\" countries and territories.\n\n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as \"Amber List\" countries and territories.\n\n(**f**) S.I. 2002/618.\n\n(<b>a) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14).\n\n(<b>d) Category 3 countries and territories are referred to colloquially and in guidance as \"Red List\" countries and territories. (**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland are collectively referred to in that Act as \"the common travel area\".\n\n(<b>g) 2010 c. 15.\n\n(<b>h) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. 1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk\n\nhttps://www.gov.uk/uk-border-control\n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice\n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nhttps://gov.wales/arriving-wales-overseas\n\n# SCHEDULE 13 Regulation 18(3)\n\n# Prohibition on the arrival of aircraft and vessels into England\n\n### **Interpretation of this Schedule**\n\n**1.**—(1) In this Schedule—\n\n\"controller\" means—\n\n- (a) in relation to a commercially operated aircraft or vessel, the person who has management control over the aircraft or vessel when it arrives in England,\n- (b) in relation to any other aircraft or vessel, the person who has physical control over the aircraft or vessel when it arrives in England;\n\n\"passenger\" means a person carried in or on an aircraft or vessel other than a member of the aircraft or vessel's crew;\n\n\"port\" has the same meaning as in the Merchant Shipping Act 1995(**a**).\n\n- (2) In the definition of \"controller\" in sub-paragraph (1) \"arrives\" means—\n\t- (a) in relation to an aircraft, lands;\n\t- (b) in relation to a vessel, moors at a port.\n\n### **Prohibition on arrival of aircraft into England**\n\n**2.**—(1) A controller must not cause or permit an aircraft whose last point of departure was in a country or territory listed in paragraph 4 to land in England unless—\n\n- (a) landing in England is reasonably necessary to secure the safety of the aircraft or the health and safety of any person aboard it;\n- (b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no passengers are permitted to board, or disembark from, the aircraft; or\n- (c) the aircraft is an air ambulance and landing for the purpose of transporting a person for medical treatment.\n\n(2) This paragraph does not apply in relation to—\n\n- (a) a commercially operated aircraft carrying no passengers;\n- (b) an aircraft operated by or in support of Her Majesty's Government in the United Kingdom;\n- (c) an aircraft operated by or in support of a foreign country or territory where, prior to its arrival in England, a United Kingdom Government Department has provided written confirmation to the operator that the aircraft is carrying passengers who are travelling to conduct official business with the United Kingdom.\n\n(<b>a) 1995 c. 21.", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## **2020 No. 471**\n\n## **EDUCATION, ENGLAND**\n\n# The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\n| Made - - | - | - 28th April 2020 |\n| --- | --- | --- |\n| Laid before Parliament | | 30th April 2020 |\n| Coming into force | - | - 1st May 2020 |\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the Education Act 1996(**b**).\n\n## **Citation and commencement**\n\n**1.** These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## **Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n\n(2) These Regulations cease to have effect on 25th September 2020.\n\n## **Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.** The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows.\n\n**4.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**5.** After regulation 2 (interpretation) insert—\n\n## \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of\n\n(<b>a) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16).\n\n(<b>b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and Framework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education (Wales) Measure 2009.\n\n(<b>c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.\".\n\n## **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are amended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**20.** After regulation 2 (interpretation) insert—\n\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(1) and (4) (needs assessments which are not completed);\n- (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n- (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n- (d) regulation 19 (requirement to consider mediation);\n- (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n- (f) regulation 21 (mediation);\n- (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n- (h) regulation 27(3) (steps to be taken by a home authority);\n- (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n- (j) regulation 30(3) and (6) (unopposed appeals).\".\n\n**21.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\", or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n(<b>a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n- (b) regulation 16(2) and (3) (change of responsible commissioning body);\n- (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n- (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n- (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n- (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n- (g) regulation 33 (requirement to consider mediation);\n- (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n- (i) regulation 35(2), (3) and (4) (mediation health care issues);\n- (j) regulation 36(2) (mediation no health care issues);\n- (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n- (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n- (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n- (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n- (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n- (p) regulation 56(3) (publication of comments on the local offer).\".\n\n**6.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\t- \"; or\n\t- (e) of a reason relating to the incidence or transmission of coronavirus\".\n- **8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\t- (a) at the end of sub-paragraph (b) omit \"or\"; and\n\t- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "and the Channel Islands. The British Overseas Territories are not in the common travel area. Public health requirements may vary depending upon in which nation of the UK you are staying.\n\nEngland: https://www.gov.uk/uk-border-control\n\nNorthern Ireland: https://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-traveladvice\n\nScotland: https://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nWales: https://gov.wales/arriving-wales-overseas\n\nFailure to comply with these measures is a criminal offence and you could be fined. There are a limited set of exemptions from these measures. Check the list of exemptions carefully. You may be fined if you fraudulently claim an exemption.\n\n# PART 2\n\n#### **Onboard announcement**\n\nThe following is a public health message on behalf of the UK's public health agencies.\n\nIf you have been in or transited through an amber or red country within the previous 10 days you must quarantine for the first 10 days after you arrive. This is to protect yourself and others.\n\nThe symptoms of coronavirus are a new continuous cough, a high temperature or a loss of, or change in, normal sense of taste or smell. If you experience any of these symptoms, however mild, you are advised to make yourself known to the crew.\n\nSimple measures you can take to help protect yourself and family are:\n\nwash your hands\n\navoid touching your face with your hands\n\ncatch coughs and sneezes in a tissue and dispose of it immediately.\n\n### PART 3\n\n### Relevant websites\n\n**1.** The following are \"the relevant websites\" for the purposes of regulation 14—\n\nhttps://www.gov.uk/government/publications/coronavirus-covid-19-travellers-exempt-from-ukborder-rules/coronavirus-covid-19-travellers-exempt-from-uk-border-rules\n\nhttps://www.gov.uk/guidance/booking-and-staying-in-a-quarantine-hotel-when-you-arrive-inengland\n\nhttps://www.gov.uk/guidance/coronavirus-covid-19-testing-for-people-travelling-to-england\n\nhttp://www.gov.uk/travel-quarantine-and-testing\n\nhttps://www.gov.uk/guidance/red-amber-and-green-list-rules-for-entering-england", - "page_start": 82, - "page_end": 82, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "Who first suggested the notions of \"hard\" and \"easy\" problems regarding consciousness ?", - "target_page": 1, - "target_passage": "The terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Hard problem of consciousness**\n\nIn the philosophy of mind, the **hard problem of consciousness** is to explain why and how humans and other organisms have qualia, phenomenal consciousness, or subjective experience. [1][2] It is contrasted with the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the ability to discriminate, to integrate information, and to perform behavioral functions such as watching, listening, speaking (including generating an utterance that appears to refer to personal behaviour or belief), and so forth.[1] The easy problems are amenable to functional explanation—that is, explanations that are mechanistic or behavioral—since each physical system can be explained (at least in principle) purely by reference to the \"structure and dynamics\" that underpin the phenomenon.[1][3]\n\nProponents of the hard problem argue that it is categorically different from the easy problems since no mechanistic or behavioral explanation could explain the character of an experience, not even in principle. Even after all the relevant functional facts are explicated, they argue, there will still remain a further question: \"why is the performance of these functions accompanied by experience?\"[1] To bolster their case, proponents of the hard problem frequently turn to various philosophical thought experiments, involving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed ineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such as the experience of being a bat.\n\nThe terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers in a 1994 talk given at The Science of Consciousness conference held in Tucson, Arizona.[4] The following year, the main talking points of Chalmers' talk were published in *The Journal of Consciousness Studies*. [1] The publication gained significant attention from consciousness researchers and became the subject of a special volume of the journal,[5][6] which was later published into a book.[7] In 1996, Chalmers published *The Conscious Mind*, a book-length treatment of the hard problem, in which he elaborated on his core arguments and responded to counterarguments. His use of the word *easy* is \"tongue-in-cheek\".[8] As the\n\nChalmers on stage for an Alan Turing Year event at De La Salle University, Manila, 27 March 2012\n\ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer. \"That is, scientists more or less know what to look for, and with enough brainpower and funding, they would probably crack it in this century.\"[9]\n\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as Joseph Levine, [10] Colin McGinn, [11] and Ned Block[12] and cognitive neuroscientists such as Francisco Varela, [13] Giulio Tononi, [14][15] and Christof Koch. [14][15] On the other hand, its existence is denied by other philosophers of mind, such as Daniel Dennett, [16] Massimo Pigliucci, [17] Thomas Metzinger, Patricia Churchland, [18] and Keith Frankish, [19] and by cognitive neuroscientists such as Stanislas Dehaene, [20] Bernard Baars, [21] Anil Seth, [22] and Antonio Damasio. [23] Clinical neurologist and skeptic", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia2.pdf" - }, - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them to unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has since been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene. [141]\n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory that only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a promising account of how information in the brain could become globally accessible, but argued that \"now the question arises in a different form: why should global accessibility give rise to conscious experience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT on the grounds that it provides, at best, an account of the cognitive *function* of consciousness, and fails to explain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the 'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so and provides important insights into the relation between consciousness and cognition.\"[143]\n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia over and above the problem of explaining causal functions, because qualia are entailed by neural activity and themselves causal.[21] Dehaene, in his 2014 book *Consciousness and the Brain*, rejected the concept of qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20] He further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually shifting as understanding evolves:[20]\n\n> Once our intuitions are educated by cognitive neuroscience and computer simulations, Chalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental experience, detached from any information-processing role, will be viewed as a peculiar idea of the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science of consciousness will keep eating away at the hard problem of consciousness until it vanishes.\n\n# **Meta-problem**\n\nIn 2018, Chalmers highlighted what he calls the \"**meta-problem of consciousness**\", another problem related to the hard problem of consciousness:[76]\n\n> The meta-problem of consciousness is (to a first approximation) the problem of explaining why we think that there is a [hard] problem of consciousness.\n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal reports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76]\n\nExplaining its significance, he says:[76]\n\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the hard problem. We can reasonably hope that a solution to the meta-problem will shed significant light on the hard problem. A particularly strong line holds that a solution to the", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a majority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine problem, while 29.72% said that it does not exist.[25]\n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned Block believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different physical and functional neurological systems potentially having phenomenal overlap.[12] Another potential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular personal identity, as opposed to existing as someone else.[26]\n\n# **Overview**\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the problem of consciousness\" (1995)[1] and expanded upon it in *The Conscious Mind* (1996). His works provoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers for his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still think that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a meaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether the same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with several other philosophers that it may be futile to hope for a solution at all, precisely because it is a conceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia Churchland, among others, believe that the hard problem is best seen as a collection of easy problems that will be solved through further analysis of the brain and behaviour. [29][30]\n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of being awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"*the feeling of what it is like to be something.\"* Consciousness, in this sense, is synonymous with *experience.*[31][27]\n\n### **Chalmers' formulation**\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience—perceptual discrimination, categorization, internal access, verbal report—there may still remain a further unanswered question: *Why is the performance of these functions accompanied by experience?*\n\n—David Chalmers, Facing up to the problem of consciousness\n\nThe problems of consciousness, Chalmers argues, are of two kinds: the *easy problems* and the *hard problem*.\n\n#### **Easy problems**\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts about the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and structure, or a hurricane being a logical consequence of the structures and functions of certain weather", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Today there is a strong tendency to simply *equate* consciousness with the qualia. Yet there is clearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of pain\" are qualities we are conscious *of*. So philosophy of mind tends to treat consciousness as if it consisted simply of the contents of consciousness (the phenomenal qualities), while it really is precisely *consciousness* of contents, the very givenness of whatever is subjectively given. And therefore the problem of consciousness does not pertain so much to some alleged \"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective subject, but rather to the nature of \"seeing\" itself (and in today's philosophy of mind astonishingly little is said about the latter).[129]\n\n# **Relationship to scientific frameworks**\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be solved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy problems\", although a significant minority disagrees.[9][130]\n\n#### **Neural correlates of consciousness**\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof Koch have made significant progress toward identifying which neurobiological events occur concurrently to the experience of subjective consciousness.[131] These postulated events are referred to as *neural correlates of consciousness* or NCCs. However, this research arguably addresses the question of *which* neurobiological mechanisms are linked to consciousness but not the question of *why* they should give rise to consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting the principle that something such as what he terms \"global availability\" can be used as an indicator of consciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated regarding their relationship to the hard problem of consciousness:\n\n> One can always ask why these processes of availability should give rise to consciousness in the first place. As yet we cannot explain why they do so, and it may well be that full details about the processes of availability will still fail to answer this question. Certainly, nothing in the standard methodology I have outlined answers the question; that methodology assumes a relation between availability and consciousness, and therefore does nothing to explain it. [...] So the hard problem remains. But who knows: Somewhere along the line we may be led to the relevant insights that show why the link is there, and the hard problem may then be solved.[132]\n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard problem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133] Kandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what accounts for the unity of experience—is solved, it will be possible to solve the hard problem empirically. [133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is a distraction from what he calls the \"real problem\": understanding the neurobiology underlying", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- Weisberg, Josh. \"The hard problem of consciousness\" (http://www.iep.utm.edu/hard-con). *Internet Encyclopedia of Philosophy*.\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Hard_problem_of_consciousness&oldid=1261818884\"", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The philosophers Glenn Carruthers and Elizabeth Schier said in 2012 that the main arguments for the existence of a hard problem—philosophical zombies, Mary's room, and Nagel's bats—are only persuasive if one already assumes that \"consciousness must be independent of the structure and function of mental states, i.e. that there is a hard problem.\" Hence, the arguments beg the question. The authors suggest that \"instead of letting our conclusions on the thought experiments guide our theories of consciousness, we should let our theories of consciousness guide our conclusions from the thought experiments.\"[64]\n\nThe philosopher Massimo Pigliucci argued in 2013 that the hard problem is misguided, resulting from a \"category mistake\".[17] He said: \"Of course an explanation isn't the same as an experience, but that's because the two are completely independent categories, like colors and triangles. It is obvious that I cannot experience what it is like to be you, but I can potentially have a complete explanation of how and why it is possible to be you.\"[17]\n\nIn 2017, the philosopher Marco Stango, in a paper on John Dewey's approach to the problem of consciousness (which preceded Chalmers' formulation of the hard problem by over half a century), noted that Dewey's approach would see the hard problem as the consequence of an unjustified assumption that feelings and functional behaviors are not the same physical process: \"For the Deweyan philosopher, the 'hard problem' of consciousness is a 'conceptual fact' only in the sense that it is a *philosophical mistake*: the mistake of failing to see that the physical can be had as an episode of immediate sentiency.\"[65]\n\nThe philosopher Thomas Metzinger likens the hard problem of consciousness to vitalism, a formerly widespread view in biology which was not so much solved as abandoned.[66] Brian Jonathan Garrett has also argued that the hard problem suffers from flaws analogous to those of vitalism.[67]\n\nThe philosopher Peter Hacker argues that the hard problem is misguided in that it asks how consciousness can emerge from matter, whereas in fact sentience emerges from the evolution of living organisms.[68] He states: \"The hard problem isn't a hard problem at all. The really hard problems are the problems the scientists are dealing with. [...] The philosophical problem, like all philosophical problems, is a confusion in the conceptual scheme.\"[68] Hacker's critique extends beyond Chalmers and the hard problem, being directed against contemporary philosophy of mind and neuroscience more broadly. Along with the neuroscientist Max Bennett, he has argued that most of contemporary neuroscience remains implicitly dualistic in its conceptualizations and is predicated on the *mereological fallacy* of ascribing psychological concepts to the brain that can properly be ascribed only to the person as a whole.[69] Hacker further states that \"consciousness studies\", as it exists today, is \"literally a total waste of time\" and that \"the conception of consciousness which they have is incoherent\".[68]\n\n#### **Eliminative materialism / Illusionism**\n\nEliminative materialism or eliminativism is the view that many or all of the mental states used in folk psychology (i.e., common-sense ways of discussing the mind) do not, upon scientific examination, correspond to real brain mechanisms.[59] According the 2020 PhilPapers survey, 4.51% of philosophers surveyed subscribe to eliminativism.[25]\n\nWhile Patricia Churchland and Paul Churchland have famously applied eliminative materialism to propositional attitudes, philosophers including Daniel Dennett, Georges Rey, and Keith Frankish have applied it to qualia or phenomenal consciousness (i.e., conscious experience).[59] On their view, it is mistaken not only to believe there is a hard problem of consciousness, but to believe phenomenal consciousness exists at all.[19][61]", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 34. Chalmers, David (2020). \"Is the hard problem of consciousness universal?\" (http://consc.ne t/papers/universal.pdf) (PDF). *Journal of Consciousness Studies*. **27** (5–6): 227–257. Retrieved 22 February 2022.\n- 35. Locke, John (1722). *The works of John Locke: in three volumes*. Vol. 1. London: Printed for A. Churchill, and A. Manship, and sold by W. Taylor in Pater-noster-Row. p. 293 (https://book s.google.com/books?id=0BfmAAAAMAAJ&pg=PA293).\n- 36. Leibniz, *Monadology,* 17, as quoted by Aranyosi, Istvan (2004). \"Chalmers's zombie arguments\" (http://www.personal.ceu.hu/students/03/Istvan_Aranyosi/Chapter%20IV.pdf) (PDF) (draft ed.). Central European University Personal Pages.\n- 37. Mill, John Stuart. *A System of Logic* (1843), Book V, Chapter V, section 3\n- 38. Huxley, Thomas Henry; Youmans, William Jay (1868). *The elements of physiology and hygiene: a text-book for educational institutions*. New York: D. Appleton and company. p. 178 (https://books.google.com/books?id=aVUAAAAAYAAJ&pg=PA178).\n- 39. Arnold, Dan (2021). \"Philosophy of Mind's \"Hard Problem\" in Light of Buddhist Idealism\". In Emmanuel, Steven M. (ed.). *Philosophy's Big Questions: Comparing Buddhist and Western Approaches*. New York: Columbia University Press. pp. 97–128. ISBN 978-0231174879.\n- 40. Bryan Van Norden, *Buddhism Comes to China* (https://www.youtube.com/watch?v=Q1xv3H mUddY), 17 March 2021, retrieved 2021-12-29\n- 41. Tiwald, Justin; Van Norden, Bryan W. eds. (2005), *Readings in Later Chinese Philosophy,* p. 101. Hackett Publishing.\n- 42. Levine, J. 1983. \"Materialism and qualia: the explanatory gap\". *Pacific Philosophical Quarterly*, 64: 354–361.\n- 43. Weisberg, Josh. \"The Hard Problem of Consciousness\" (https://www.iep.utm.edu/hard-con/). *Internet Encyclopedia of Philosophy*.\n- 44. Seager, William. \"Are Zombies Logically Possible?\" (https://www.utsc.utoronto.ca/~seager/z ombie.html). *www.utsc.utoronto.ca*. Retrieved 2020-09-03.\n- 45. Kaszniak, Alfred W.; Scott, Andrew C. (2007). \"Zombie Killer\". *Association of Scientific Studies of Consciousness*. S2CID 14891432 (https://api.semanticscholar.org/CorpusID:148 91432).\n- 46. Polger, Tom. \"Zombies: Entry\" (https://web.archive.org/web/20200615155145/http://host.unir oma3.it/progetti/kant/field/zombies.htm). *host.uniroma3.it*. Archived from the original (https:// host.uniroma3.it/progetti/kant/field/zombies.htm) on 2020-06-15. Retrieved 2020-09-03.\n- 47. Kirk, Robert (2019), \"Zombies\" (https://plato.stanford.edu/archives/spr2019/entries/zombie s/), in Zalta, Edward N. (ed.), *The Stanford Encyclopedia of Philosophy* (Spring 2019 ed.), Metaphysics Research Lab, Stanford University, retrieved 2020-09-03\n- 48. David Chalmers (1996) *The Conscious Mind: In Search of a Fundamental Theory*, pp. 153– 56. Oxford University Press, New York, ISBN 0-19-511789-1 (Pbk.)\n- 49. Dennett, Daniel (1999), \"The Zombie Hunch: Extinction of an Intuition?\" (https://www.nyu.ed u/gsas/dept/philo/courses/consciousness/papers/DD-zombie.html), *Royal Institute of Philosophy Millennial Lecture*\n- 50. Martine Nida-Rümelin; Donnchadh O Conaill (2019). \"Qualia: The Knowledge Argument\" (htt ps://plato.stanford.edu/archives/win2019/entries/qualia-knowledge/). In Edward N. Zalta (ed.). *The Stanford Encyclopedia of Philosophy* (Winter 2019 ed.). Metaphysics Research Lab, Stanford University. Retrieved 2020-09-03.\n- 51. Bourget, David; Chalmers, David J. (2014). \"What Do Philosophers Believe?\" (https://philpa pers.org/rec/BOUWDP). *Philosophical Studies*. **170** (3): 465–500. doi:10.1007/s11098-013- 0259-7 (https://doi.org/10.1007%2Fs11098-013-0259-7). S2CID 254936498 (https://api.sem anticscholar.org/CorpusID:254936498).", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia2.pdf" - }, - { - "text": "patterns. A clock, a hurricane, and the easy problems, are all the sum of their parts (as are most things).[27]\n\nThe easy problems relevant to consciousness concern mechanistic analysis of the neural processes that accompany behaviour. Examples of these include how sensory systems work, how sensory data is processed in the brain, how that data influences behaviour or verbal reports, the neural basis of thought and emotion, and so on. They are problems that can be analyzed through \"structures and functions\".[27]\n\n#### **Hard problem**\n\nThe hard problem, in contrast, is the problem of *why* and *how* those processes are accompanied by experience.[1] It may further include the question of why these processes are accompanied by this or that particular experience, rather than some other kind of experience. In other words, the hard problem is the problem of explaining why certain mechanisms are accompanied by conscious experience.[27] For example, why should neural processing in the brain lead to the felt sensations of, say, feelings of hunger? And why should those neural firings lead to feelings of hunger rather than some other feeling (such as, for example, feelings of thirst)?\n\nChalmers argues that it is conceivable that the relevant behaviours associated with hunger, or any other feeling, could occur even in the absence of that feeling. This suggests that experience is irreducible to physical systems such as the brain. This is the topic of the next section.\n\n#### **How the easy and hard problems are related**\n\nChalmers believes that the hard problem is irreducible to the easy problems: solving the easy problems will not lead to a solution to the hard problems. This is because the easy problems pertain to the causal structure of the world while the hard problem pertains to consciousness, and facts about consciousness include facts that go beyond mere causal or structural description.[32]\n\nFor example, suppose someone were to stub their foot and yelp. In this scenario, the easy problems are mechanistic explanations that involve the activity of the nervous system and brain and its relation to the environment (such as the propagation of nerve signals from the toe to the brain, the processing of that information and how it leads to yelping, and so on). The hard problem is the question of why these mechanisms are accompanied by *the feeling of pain*, or why these feelings of pain feel the particular way that they do. Chalmers argues that facts about the neural mechanisms of pain, and pain behaviours, do not lead to facts about conscious experience. Facts about conscious experience are, instead, further facts, not derivable from facts about the brain.[27][32]\n\nAn explanation for all of the relevant physical facts about neural processing would leave unexplained facts about what it is like to feel pain. This is in part because functions and physical structures of any sort could conceivably exist in the absence of experience. Alternatively, they could exist alongside a different set of experiences. For example, it is logically possible for a perfect replica of Chalmers to have no experience at all, or for it to have a different set of experiences (such as an inverted visible spectrum, so that the blue-yellow red-green axes of its visual field are flipped).[32]\n\nThe same cannot be said about clocks, hurricanes, or other physical things. In those cases, a structural or functional description is a complete description. A perfect replica of a clock is a clock, a perfect replica of a hurricane is a hurricane, and so on. The difference is that physical things are nothing more than their", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 17. Massimo Pigliucci (2013). \"What hard problem?\" (http://philpapers.org/archive/PIGWHP.pdf) (PDF). *Philosophy Now* (99).\n- 18. Churchland, Patricia (1996). \"The Hornswoggle Problem\" (http://joelvelasco.net/teaching/23 00/hornswoggleprob.pdf) (PDF). *Journal of Consciousness Studies*. **3** (5–6): 402–408. Retrieved 10 January 2021.\n- 19. Frankish, Keith (2016). \"Illusionism as a Theory of Consciousness\" (https://nbviewer.jupyter. org/github/k0711/kf_articles/blob/master/Frankish_Illusionism%20as%20a%20theory%20o f%20consciousness_eprint.pdf) (PDF). *Journal of Consciousness Studies*. **23** (11–12): 11– 39. Retrieved 20 December 2018.\n- 20. Dehaene, Stanislas (2014). *Consciousness and the brain: deciphering how the brain codes our thoughts*. Viking Adult. pp. 259–266 (https://books.google.com/books?id=CWw2AAAAQ BAJ&pg=PT197). ISBN 978-0670025435.\n- 21. Edelman, Gerald; Gally, Joseph; Baars, Bernard (2011). \"Biology of Consciousness\" (https:// www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). *Frontiers in Psychology*. **2** (4): 4. doi:10.3389/fpsyg.2011.00004 (https://doi.org/10.3389%2Ffpsyg.2011.00004). PMC 3111444 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). PMID 21713129 (https://pubmed.ncbi.nlm.nih.gov/21713129).\n- 22. Seth, Anil (November 2016). \"The real problem\" (https://aeon.co/essays/the-hard-problem-of -consciousness-is-a-distraction-from-the-real-one). *Aeon*. Retrieved 22 April 2018.\n- 23. Sean Carroll (29 April 2019). \"Sean Carroll's Mindscape\" (https://www.preposterousunivers e.com/podcast/2019/04/29/episode-44-antonio-damasio-on-feelings-thoughts-and-the-evolu tion-of-humanity/). *Preposterousuniverse.com* (Podcast). Sean Carroll. Event occurs at 1:04.46. \"I'm just saying that the idea of a hard problem that you cannot transpose, I think is wrong.\"\n- 24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog y.com/2022/11/19/hard-problem-of-consciousness-2/). *arabpsychology.com*. Retrieved 2023-10-29.\n- 25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020 PhilPapers Survey\" (https://survey2020.philpeople.org). *Philosophers' Imprint*.\n- 26. Roberts, Tim S. (September 2007). \"*The Even Harder Problem of Consciousness* by Roberts. Tim S.\" (https://www.researchgate.net/publication/228618472) *NeuroQuantology*. **5** (2): 214–221. doi:10.14704/nq.2007.5.2.129 (https://doi.org/10.14704%2Fnq.2007.5.2.129).\n- 27. Chalmers, David (1996). *The Conscious Mind*. New York: Oxford University Press. pp. xii– xiii, 95–106, backcover.\n- 28. Pinker, Steven (2018). *Enlightenment Now*. Viking. p. 481. ISBN 9780525427575.\n- 29. Dennett, Daniel; commentary on T. Moody, O. Flanagan and T. Polger. \"The Unimagined Preposterous of Zombies (https://ase.tufts.edu/cogstud/dennett/papers/unzombie.htm)\", *Journal of Consciousness Studies* vol. 2, no. 4, 1995, pp. 322–326.\n- 30. Churchland, Patricia Smith (2005). \"A neurophilosophical slant on consciousness research\". *Cortical Function: A View from the Thalamus*. Progress in Brain Research. Vol. 149. pp. 285–293. doi:10.1016/S0079-6123(05)49020-2 (https://doi.org/10.1016%2FS0079-612 3%2805%2949020-2). ISBN 9780444516794. PMID 16226591 (https://pubmed.ncbi.nlm.ni h.gov/16226591).\n- 31. Nagel, Thomas (October 1974). \"What is it like to be a bat?\". *The Philosophical Review*. **83** (4): 435–450. doi:10.2307/2183914 (https://doi.org/10.2307%2F2183914). JSTOR 2183914 (https://www.jstor.org/stable/2183914). S2CID 49125889 (https://api.semanticscholar.org/Co rpusID:49125889).\n- 32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/). *Internet Encyclopedia of Philosophy*. Retrieved 2024-10-09.\n- 33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http s://philpapers.org/rec/CHAMFO). *Journal of Consciousness Studies*. **4** (1): 3–46.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The mind–body problem is the problem of how the mind and the body relate. The mind-body problem is more general than the hard problem of consciousness, since it is the problem of discovering how the mind and body relate in general, thereby implicating any theoretical framework that broaches the topic. The hard problem, in contrast, is often construed as a problem uniquely faced by physicalist or materialist theories of mind.\n\n#### **\"What Is It Like to Be a Bat?\"**\n\nThe philosopher Thomas Nagel posited in his 1974 paper \"What Is It Like to Be a Bat?\" that experiences are essentially subjective (accessible only to the individual undergoing them—i.e., felt only by the one feeling them), while physical states are essentially objective (accessible to multiple individuals). So he argued we have no idea what it could mean to claim that an essentially subjective state just *is* an essentially non-subjective state (i.e., that a felt state is nothing but a functional state). In other words, we have no idea of what reductivism amounts to.[31] He believes \"every subjective phenomenon is essentially connected with a single point of view, and it seems inevitable that an objective, physical theory will abandon that point of view.\"[31]\n\n#### **Explanatory gap**\n\nIn 1983, the philosopher Joseph Levine proposed that there is an *explanatory gap* between our understanding of the physical world and our understanding of consciousness.[42]\n\nLevine's disputes that conscious states are reducible to neuronal or brain states. He uses the example of pain (as an example of a conscious state) and its reduction to the firing of c-fibers (a kind of nerve cell). The difficulty is as follows: even if consciousness is physical, it is not clear which physical states correspond to which conscious states. The bridges between the two levels of description will be contingent, rather than necessary. This is significant because in most contexts, relating two scientific levels of descriptions (such as physics and chemistry) is done with the assurance of necessary connections between the two theories (for example, chemistry follows with necessity from physics).[43]\n\nLevine illustrates this with a thought experiment: Suppose that humanity were to encounter an alien species, and suppose it is known that the aliens do not have any c-fibers. Even if one knows this, it is not obvious that the aliens do not feel pain: that would remain an open question. This is because the fact that aliens do not have c-fibers does not entail that they do not feel pain (in other words, feelings of pain do not follow with logical necessity from the firing of c-fibers). Levine thinks such thought experiments demonstrate an explanatory gap between consciousness and the physical world: even if consciousness is reducible to physical things, consciousness cannot be explained in terms of physical things, because the link between physical things and consciousness is a contingent link.[43]\n\nLevine does not think that the explanatory gap means that consciousness is not physical; he is open to the idea that the explanatory gap is only an epistemological problem for physicalism.[43] In contrast, Chalmers thinks that the hard problem of consciousness does show that consciousness is not physical.[27]\n\n#### **Philosophical zombies**\n\nPhilosophical zombies are a thought experiment commonly used in discussions of the hard problem.[44][45] They are hypothetical beings physically identical to humans but that lack conscious experience.[46] Philosophers such as Chalmers, Joseph Levine, and Francis Kripke take zombies as", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "What is David Chalmer's definition of \"consciousness\" ?", - "target_page": 2, - "target_passage": "Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what it is like to be something.\"", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Today there is a strong tendency to simply *equate* consciousness with the qualia. Yet there is clearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of pain\" are qualities we are conscious *of*. So philosophy of mind tends to treat consciousness as if it consisted simply of the contents of consciousness (the phenomenal qualities), while it really is precisely *consciousness* of contents, the very givenness of whatever is subjectively given. And therefore the problem of consciousness does not pertain so much to some alleged \"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective subject, but rather to the nature of \"seeing\" itself (and in today's philosophy of mind astonishingly little is said about the latter).[129]\n\n# **Relationship to scientific frameworks**\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be solved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy problems\", although a significant minority disagrees.[9][130]\n\n#### **Neural correlates of consciousness**\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof Koch have made significant progress toward identifying which neurobiological events occur concurrently to the experience of subjective consciousness.[131] These postulated events are referred to as *neural correlates of consciousness* or NCCs. However, this research arguably addresses the question of *which* neurobiological mechanisms are linked to consciousness but not the question of *why* they should give rise to consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting the principle that something such as what he terms \"global availability\" can be used as an indicator of consciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated regarding their relationship to the hard problem of consciousness:\n\n> One can always ask why these processes of availability should give rise to consciousness in the first place. As yet we cannot explain why they do so, and it may well be that full details about the processes of availability will still fail to answer this question. Certainly, nothing in the standard methodology I have outlined answers the question; that methodology assumes a relation between availability and consciousness, and therefore does nothing to explain it. [...] So the hard problem remains. But who knows: Somewhere along the line we may be led to the relevant insights that show why the link is there, and the hard problem may then be solved.[132]\n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard problem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133] Kandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what accounts for the unity of experience—is solved, it will be possible to solve the hard problem empirically. [133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is a distraction from what he calls the \"real problem\": understanding the neurobiology underlying", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them to unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has since been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene. [141]\n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory that only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a promising account of how information in the brain could become globally accessible, but argued that \"now the question arises in a different form: why should global accessibility give rise to conscious experience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT on the grounds that it provides, at best, an account of the cognitive *function* of consciousness, and fails to explain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the 'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so and provides important insights into the relation between consciousness and cognition.\"[143]\n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia over and above the problem of explaining causal functions, because qualia are entailed by neural activity and themselves causal.[21] Dehaene, in his 2014 book *Consciousness and the Brain*, rejected the concept of qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20] He further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually shifting as understanding evolves:[20]\n\n> Once our intuitions are educated by cognitive neuroscience and computer simulations, Chalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental experience, detached from any information-processing role, will be viewed as a peculiar idea of the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science of consciousness will keep eating away at the hard problem of consciousness until it vanishes.\n\n# **Meta-problem**\n\nIn 2018, Chalmers highlighted what he calls the \"**meta-problem of consciousness**\", another problem related to the hard problem of consciousness:[76]\n\n> The meta-problem of consciousness is (to a first approximation) the problem of explaining why we think that there is a [hard] problem of consciousness.\n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal reports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76]\n\nExplaining its significance, he says:[76]\n\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the hard problem. We can reasonably hope that a solution to the meta-problem will shed significant light on the hard problem. A particularly strong line holds that a solution to the", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia2.pdf" - }, - { - "text": "consciousness, namely the neural correlates of various conscious processes.[22] This more modest goal is the focus of most scientists working on consciousness.[133] Psychologist Susan Blackmore believes, by contrast, that the search for the neural correlates of consciousness is futile and itself predicated on an erroneous belief in the hard problem of consciousness.[134]\n\n### **Computational cognition**\n\nA functionalist view in cognitive science holds that the mind is an information processing system, and that cognition and consciousness together are a form of computation. Cognition, distinct from consciousness, is explained by neural computation in the computational theory of cognition. The computational theory of mind asserts that not only cognition, but also phenomenal consciousness or qualia, are computational. While the computation system is realized by neurons rather than electronics, in theory it would be possible for artificial intelligence to be conscious.\n\n### **Integrated information theory**\n\nIntegrated information theory (IIT), developed by the neuroscientist and psychiatrist Giulio Tononi in 2004 and more recently also advocated by Koch, is one of the most discussed models of consciousness in neuroscience and elsewhere.[135][136] The theory proposes an identity between consciousness and integrated information, with the latter item (denoted as Φ) defined mathematically and thus in principle measurable.[136][137] The hard problem of consciousness, write Tononi and Koch, may indeed be intractable when working from matter to consciousness.[15] However, because IIT inverts this relationship and works from phenomenological axioms to matter, they say it could be able to solve the hard problem.[15] In this vein, proponents have said the theory goes beyond identifying human neural correlates and can be extrapolated to all physical systems. Tononi wrote (along with two colleagues):\n\n> While identifying the \"neural correlates of consciousness\" is undoubtedly important, it is hard to see how it could ever lead to a satisfactory explanation of what consciousness is and how it comes about. As will be illustrated below, IIT offers a way to analyze systems of mechanisms to determine if they are properly structured to give rise to consciousness, how much of it, and of which kind.[138]\n\nAs part of a broader critique of IIT, Michael Cerullo suggested that the theory's proposed explanation is in fact for what he dubs (following Scott Aaronson) the \"Pretty Hard Problem\" of methodically inferring which physical systems are conscious—but would not solve Chalmers' hard problem.[136] \"Even if IIT is correct,\" he argues, \"it does not explain why integrated information generates (or is) consciousness.\"[136] Chalmers agrees that IIT, if correct, would solve the \"Pretty Hard Problem\" rather than the hard problem.[139]\n\n### **Global workspace theory**\n\nGlobal workspace theory (GWT) is a cognitive architecture and theory of consciousness proposed by the cognitive psychologist Bernard Baars in 1988.[140] Baars explains the theory with the metaphor of a theater, with conscious processes represented by an illuminated stage.[140] This theater integrates inputs", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a majority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine problem, while 29.72% said that it does not exist.[25]\n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned Block believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different physical and functional neurological systems potentially having phenomenal overlap.[12] Another potential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular personal identity, as opposed to existing as someone else.[26]\n\n# **Overview**\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the problem of consciousness\" (1995)[1] and expanded upon it in *The Conscious Mind* (1996). His works provoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers for his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still think that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a meaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether the same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with several other philosophers that it may be futile to hope for a solution at all, precisely because it is a conceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia Churchland, among others, believe that the hard problem is best seen as a collection of easy problems that will be solved through further analysis of the brain and behaviour. [29][30]\n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of being awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"*the feeling of what it is like to be something.\"* Consciousness, in this sense, is synonymous with *experience.*[31][27]\n\n### **Chalmers' formulation**\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience—perceptual discrimination, categorization, internal access, verbal report—there may still remain a further unanswered question: *Why is the performance of these functions accompanied by experience?*\n\n—David Chalmers, Facing up to the problem of consciousness\n\nThe problems of consciousness, Chalmers argues, are of two kinds: the *easy problems* and the *hard problem*.\n\n#### **Easy problems**\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts about the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and structure, or a hurricane being a logical consequence of the structures and functions of certain weather", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 66. Harris, Sam. \"Making Sense #96\" (https://samharris.org/subscriber-extras/96-nature-conscio usness/). *SamHarris.org*. Sam Harris. Retrieved 27 August 2020. \"(25.45) TM:I think it will not be a mystery. Life is not a mystery anymore, but a hundred and fifty years ago many people thought that this is an irreducible mystery. (25:57) Harris:So you're not a fan anymore, if you ever were, of the framing by David Chalmers of the Hard Problem of Consciousness? Metzinger: No, that's so boring. I mean, that's last century. I mean, you know, we all respect Dave [Chalmers], and we know he is very smart and has got a very fast mind, no debate about that. But conceivability arguments are just very, very weak. If you have an ill-defined folk psychological umbrella term like \"consciousness\", then you can pull off all kinds of scenarios and zombie thought experiments. It doesn't really… It helped to clarify some issues in the mid 90's, but the consciousness community has listened to this and just moved on. I mean nobody of the serious researchers in the field thinks about this anymore, but it has taken on like a folkloristic life of its own. A lot of people talk about the Hard Problem who wouldn't be able to state what it consists in now.\"\n- 67. Garrett, Brian Jonathan (May 2006). \"What the History of Vitalism Teaches Us About Consciousness and the 'Hard Problem' \". *Philosophy and Phenomenological Research*. **72** (3): 576–588. doi:10.1111/j.1933-1592.2006.tb00584.x (https://doi.org/10.1111%2Fj.1933-1 592.2006.tb00584.x).\n- 68. Hacker, Peter (2010). \"Hacker's challenge\" (http://philpapers.org/rec/HACHC). *The Philosophers' Magazine*. **51** (51): 23–32. doi:10.5840/tpm2010517 (https://doi.org/10.5840% 2Ftpm2010517).\n- 69. Schaal, David W. (2005). \"Naming Our Concerns About Neuroscience: A Review of Bennett and Hacker's *Philosophical Foundations of Neuroscience*\" (https://www.ncbi.nlm.nih.gov/pm c/articles/PMC1389787). *Journal of the Experimental Analysis of Behavior*. **84** (3): 683–692. doi:10.1901/jeab.2005.83-05 (https://doi.org/10.1901%2Fjeab.2005.83-05). PMC 1389787 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC1389787). PMID 16596986 (https://pubmed. ncbi.nlm.nih.gov/16596986).\n- 70. Dennett, Daniel C. (1979). \"On the Absence of Phenomenology\". In Gustafson, Donald F.; Tapscott, Bangs L. (eds.). *Body, Mind, and Method*. Kluwer Academic Publishers. pp. 93– 113.\n- 71. Dennett, Daniel C. (1991). *Consciousness Explained*. Penguin Books.\n- 72. Dennett, Daniel C. (2003). \"Explaining the 'magic' of consciousness\". *Journal of Cultural and Evolutionary Psychology*. **1** (1): 7–19. doi:10.1556/jcep.1.2003.1.2 (https://doi.org/10.1556% 2Fjcep.1.2003.1.2). S2CID 144560246 (https://api.semanticscholar.org/CorpusID:14456024 6).\n- 73. Dennett, Daniel C. (1991). *Consciousness explained* (https://archive.org/details/consciousne ssexp00denn). Boston: Little, Brown and Company. ISBN 978-0316180658.\n- 74. Anthis, Jacy (2022). \"Consciousness Semanticism: A Precise Eliminativist Theory of Consciousness\" (https://philarchive.org/rec/ANTCSA). *Biologically Inspired Cognitive Architectures 2021*. Studies in Computational Intelligence. 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OCLC 1233266753 (https://search.worldcat.o rg/oclc/1233266753).\n- Ciresan, D.; Meier, U.; Schmidhuber, J. (2012). \"Multi-column deep neural networks for image classification\". *2012 IEEE Conference on Computer Vision and Pattern Recognition*. pp. 3642–3649. arXiv:1202.2745 (https://arxiv.org/abs/1202.2745). doi:10.1109/cvpr.2012.6248110 (https://doi.org/10.1109%2Fcvpr.2012.6248110). ISBN 978- 1-4673-1228-8. S2CID 2161592 (https://api.semanticscholar.org/CorpusID:2161592).\n- Clark, Jack (2015b). \"Why 2015 Was a Breakthrough Year in Artificial Intelligence\" (https://www. bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artificial-int elligence). *Bloomberg.com*. Archived (https://web.archive.org/web/20161123053855/https:// www.bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artific ial-intelligence) from the original on 23 November 2016. Retrieved 23 November 2016.\n- CNA (12 January 2019). \"Commentary: Bad news. 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Archived (https://web.archiv e.org/web/20231122142948/https://bdtechtalks.com/2022/05/02/what-is-the-transformer/) from the original on 22 November 2023. Retrieved 22 November 2023.\n- Dockrill, Peter (27 June 2022), \"Robots With Flawed AI Make Sexist And Racist Decisions, Experiment Shows\" (https://web.archive.org/web/20220627225827/https://www.sciencealert. com/robots-with-flawed-ai-make-sexist-racist-and-toxic-decisions-experiment-shows), *Science Alert*, archived from the original (https://www.sciencealert.com/robots-with-flawed-ai -make-sexist-racist-and-toxic-decisions-experiment-shows) on 27 June 2022\n- Domingos, Pedro (2015). *The Master Algorithm: How the Quest for the Ultimate Learning Machine Will Remake Our World*. Basic Books. ISBN 978-0-4650-6570-7.", - "page_start": 54, - "page_end": 54, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 52. Chalmers, David (2003). \"Consciousness and its Place in Nature\". In Stich, Stephen P.; Warfield, Ted A. (eds.). *Blackwell Guide to the Philosophy of Mind*. Malden, MA: Blackwell. pp. 102–142. doi:10.1002/9780470998762.ch5 (https://doi.org/10.1002%2F978047099876 2.ch5). ISBN 9780470998762.\n- 53. Boutel, Adrian (2013). \"How to be a Type-C Physicalist\" (https://philpapers.org/rec/BOUHT B). *Philosophical Studies*. **164** (2): 301–320. doi:10.1007/s11098-012-9854-2 (https://doi.or g/10.1007%2Fs11098-012-9854-2). S2CID 254941872 (https://api.semanticscholar.org/Cor pusID:254941872).\n- 54. Majeed, Raamy (September 2016). \"The hard problem & its explanatory targets\". *Ratio*. **29** (3): 298–311. doi:10.1111/rati.12103 (https://doi.org/10.1111%2Frati.12103).\n- 55. Levin, Janet (2008). \"Taking Type-B Materialism Seriously\" (https://philpapers.org/rec/LEVT TM). *Mind and Language*. **23** (4): 402–425. doi:10.1111/j.1468-0017.2008.00349.x (https://d oi.org/10.1111%2Fj.1468-0017.2008.00349.x).\n- 56. Mandik, Pete; Weisberg, Josh (2008). Wrenn, Chase (ed.). *Type-Q Materialism* (https://philp apers.org/rec/MANTM). Peter Lang Publishing Group.\n- 57. Pereira, Roberto Horácio Sá (2016). \"In Defence of Type-A Materialism\" (https://philpapers.o rg/rec/PERIDO-3). *Diametros*. **49** (49): 68–83. doi:10.13153/diam.49.2016.921 (https://doi.or g/10.13153%2Fdiam.49.2016.921).\n- 58. Yetter-Chappell, Helen (2017). \"Dissolving Type-B Physicalism\" (https://philpapers.org/rec/Y ETDTP-2). *Philosophical Perspectives*. **31** (1): 469–498. doi:10.1111/phpe.12099 (https://do i.org/10.1111%2Fphpe.12099).\n- 59. Ramsey, William (2019). \"Eliminative Materialism\" (https://plato.stanford.edu/entries/material ism-eliminative/). In Zalta, Edward N. (ed.). *Stanford Encyclopedia of Philosophy*. Retrieved 1 April 2019.\n- 60. Frankish, K. (2016). \"Illusionism as a theory of consciousness\". *Journal of Consciousness Studies*. **23** (11–12): 11–39.\n- 61. Dennett, Daniel (2016). \"Illusionism as the Obvious Default Theory of Consciousness\" (http s://philpapers.org/rec/DENIAT-3). *Journal of Consciousness Studies*. **23** (11–12): 65–72.\n- 62. Carruthers, Peter (2016). \"Higher-order theories of consciousness\" (http://plato.stanford.ed u/entries/consciousness-higher/). *Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University.\n- 63. Carruthers, Peter (2005). \"Phenomenal concepts and higher-order experiments\" (https://boo ks.google.com/books?id=FKI4flNaGjUC&pg=PA79). *Consciousness: essays from a higherorder perspective*. Oxford University Press. pp. 79 *ff*. ISBN 978-0191535048.\n- 64. Carruthers, Glenn; Schier, Elizabeth (2012). \"Dissolving the hard problem of consciousness\" (http://consciousnessonline.files.wordpress.com/2012/01/disolvinghardproblem.pdf) (PDF). *Consciousness Online fourth conference*. Retrieved 7 July 2014.\n- 65. Stango, Marco (Summer 2017). \"A Deweyan assessment of three major tendencies in philosophy of consciousness\" (http://muse.jhu.edu/article/680916). *Transactions of the Charles S. Peirce Society*. **53** (3): 466–490. doi:10.2979/trancharpeirsoc.53.3.06 (https://doi. org/10.2979%2Ftrancharpeirsoc.53.3.06). S2CID 148690536 (https://api.semanticscholar.or g/CorpusID:148690536).", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 1. Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://consc.net/pape rs/facing.pdf) (PDF). *Journal of Consciousness Studies*. **2** (3): 200–219.\n- 2. Harnad, Stevan (1995). \"Why and how we are not zombies\" (http://cogprints.org/1601/6/har nad95.zombies.html). *Journal of Consciousness Studies*. **1**: 164–167. See also Harnad, Stevan (April 2000). \"How/why the mind–body problem is hard\" (http://cogprints.org/1617/1/ harnad00.mind.humphrey.html). *Journal of Consciousness Studies*. **7** (4): 54–61.\n- 3. See Cooney's foreword to the reprint of Chalmers' paper: Brian Cooney, ed. (1999). \"Chapter 27: Facing up to the problem of consciousness\". *The place of mind*. Cengage Learning. pp. 382 *ff*. ISBN 978-0534528256.\n- 4. Problem of Consciousness (Tuscan 1994) (https://www.youtube.com/watch?v=_lWp-6hH_6 g%7CHard)\n- 5. JCS vol. 4, pp. 3-46, 1997\n- 6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\". *Journal of Consciousness Studies*. **4** (1): 3–46.\n- 7. Shear, Jonathan (1997). *Explaining Consciousness: The Hard Problem*. MIT Press. ISBN 978-0262692212.\n- 8. \"Episode 83, The David Chalmers Interview (Part I Consciousness)\" (https://thepanpsycas t.com/panpsycast2/episode83-1). *The Panpsycast Philosophy Podcast*. 19 July 2020. Retrieved 2020-09-05.\n- 9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten t.time.com/time/magazine/article/0,9171,1580394-1,00.html). *Time*. Retrieved 19 December 2018.\n- 10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi ew/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17). *The Oxford Handbook of Philosophy of Mind*: 281–291. doi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9 780199262618.003.0017). ISBN 978-0199262618.\n- 11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman. com/ideas/2012/02/consciousness-mind-brain). *New Statesman*. Retrieved 27 March 2012.\n- 12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO THP). *The Journal of Philosophy*. **99** (8): 391–425. doi:10.2307/3655621 (https://doi.org/10. 2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621). S2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062).\n- 13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard problem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718). *Journal of Consciousness Studies*. **3** (4): 330–349.\n- 14. Tononi, Giulio; Boly, Melanie; Massimini, Marcello; Koch, Christof (July 2016). \"Integrated information theory: from consciousness to its physical substrate\". *Nature Reviews Neuroscience*. **17** (7): 450–461. doi:10.1038/nrn.2016.44 (https://doi.org/10.1038%2Fnrn.20 16.44). PMID 27225071 (https://pubmed.ncbi.nlm.nih.gov/27225071). S2CID 21347087 (htt ps://api.semanticscholar.org/CorpusID:21347087).\n- 15. Tononi, Giulio; Koch, Christof (March 2015). \"Consciousness: here, there and everywhere?\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509). *Philosophical Transactions of the Royal Society B: Biological Sciences*. **370** (1668): 20140167. doi:10.1098/rstb.2014.0167 (ht tps://doi.org/10.1098%2Frstb.2014.0167). PMC 4387509 (https://www.ncbi.nlm.nih.gov/pmc/ articles/PMC4387509). PMID 25823865 (https://pubmed.ncbi.nlm.nih.gov/25823865).\n- 16. Dennett, Daniel C. (2013). \"The tuned deck\" (https://books.google.com/books?id=sicVcPjfPx UC&pg=RA3-PA59). *Intuition pumps and other tools for thinking*. W. W. Norton & Company. pp. 310 *ff*. ISBN 978-0393240689. and also \"Commentary on Chalmers\": Dennett, Daniel C. (1996). \"Facing backwards on the problem of consciousness\" (http://ase.tufts.edu/cogstud/d ennett/papers/chalmers.htm). *Journal of Consciousness Studies*. **3** (1): 4–6.", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia2.pdf" - }, - { - "text": "# **Hard problem of consciousness**\n\nIn the philosophy of mind, the **hard problem of consciousness** is to explain why and how humans and other organisms have qualia, phenomenal consciousness, or subjective experience. [1][2] It is contrasted with the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the ability to discriminate, to integrate information, and to perform behavioral functions such as watching, listening, speaking (including generating an utterance that appears to refer to personal behaviour or belief), and so forth.[1] The easy problems are amenable to functional explanation—that is, explanations that are mechanistic or behavioral—since each physical system can be explained (at least in principle) purely by reference to the \"structure and dynamics\" that underpin the phenomenon.[1][3]\n\nProponents of the hard problem argue that it is categorically different from the easy problems since no mechanistic or behavioral explanation could explain the character of an experience, not even in principle. Even after all the relevant functional facts are explicated, they argue, there will still remain a further question: \"why is the performance of these functions accompanied by experience?\"[1] To bolster their case, proponents of the hard problem frequently turn to various philosophical thought experiments, involving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed ineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such as the experience of being a bat.\n\nThe terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers in a 1994 talk given at The Science of Consciousness conference held in Tucson, Arizona.[4] The following year, the main talking points of Chalmers' talk were published in *The Journal of Consciousness Studies*. [1] The publication gained significant attention from consciousness researchers and became the subject of a special volume of the journal,[5][6] which was later published into a book.[7] In 1996, Chalmers published *The Conscious Mind*, a book-length treatment of the hard problem, in which he elaborated on his core arguments and responded to counterarguments. His use of the word *easy* is \"tongue-in-cheek\".[8] As the\n\nChalmers on stage for an Alan Turing Year event at De La Salle University, Manila, 27 March 2012\n\ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer. \"That is, scientists more or less know what to look for, and with enough brainpower and funding, they would probably crack it in this century.\"[9]\n\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as Joseph Levine, [10] Colin McGinn, [11] and Ned Block[12] and cognitive neuroscientists such as Francisco Varela, [13] Giulio Tononi, [14][15] and Christof Koch. [14][15] On the other hand, its existence is denied by other philosophers of mind, such as Daniel Dennett, [16] Massimo Pigliucci, [17] Thomas Metzinger, Patricia Churchland, [18] and Keith Frankish, [19] and by cognitive neuroscientists such as Stanislas Dehaene, [20] Bernard Baars, [21] Anil Seth, [22] and Antonio Damasio. [23] Clinical neurologist and skeptic", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 34. Chalmers, David (2020). \"Is the hard problem of consciousness universal?\" (http://consc.ne t/papers/universal.pdf) (PDF). *Journal of Consciousness Studies*. **27** (5–6): 227–257. Retrieved 22 February 2022.\n- 35. Locke, John (1722). *The works of John Locke: in three volumes*. Vol. 1. London: Printed for A. 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Scarfone, Matthew (2022). \"Using and Abusing Moorean Arguments\" (https://philpapers.org/ rec/SCAUAA-2). *Journal of the American Philosophical Association*. **8** (1): 52–71. doi:10.1017/apa.2020.47 (https://doi.org/10.1017%2Fapa.2020.47). S2CID 239672728 (http s://api.semanticscholar.org/CorpusID:239672728).\n- 80. Augustine of Hippo. \"Book 11, Chapter 26\". *City of God*.\n- 81. Descartes, René (1637). \"4\". *Discourse on the Method*.\n- 82. Descartes, René (1641). \"Second Meditation\". *Meditations on First Philosophy*.\n- 83. Chalmers, David (2020). \"Debunking Arguments for Illusionism\" (https://philpapers.org/rec/C HADAF-2). *Journal of Consciousness Studies*. **27** (5–6): 258–281.\n- 84. Chalmers, David (2002). \"Debunking Arguments for Illusionism\" (https://philpapers.org/rec/C HADAF-2). *Journal of Consciousness Studies*. **27** (5–6): 258–281.\n- 85. Strawson, G. (2018). \"The Consciousness Deniers\" (https://www.nybooks.com/daily/2018/0 3/13/the-consciousness-deniers/). *The New York Review of Books*.\n- 86. Koch, Christof (2019). *The Feeling of Life Itself: Why Consciousness is Everywhere But Can't be Computed*. MIT Press. p. 2.\n- 87. Koch, Christof (2019). *The Feeling of Life Itself: Why Consciousness is Everywhere But Can't be Computed*. MIT Press. p. 3.\n- 88. Balmer, A. (2020). \"Soft-Wired Illusionism vs. the Meta-Problem of Consciousness\" (https://p hilpapers.org/rec/BALSIV). *Journal of Consciousness Studies*. **27** (5–6): 26–37.\n- 89. Chalmers, David (2020). \"Is the Hard Problem of Consciousness Universal?\". *Journal of Consciousness Studies*. **27** (5–6): 227–257.\n- 90. Papineau, D. (2019). \"Response to Chalmers' 'The Meta-Problem of Consciousness' \" (http s://philpapers.org/rec/PAPRTC-6). *Journal of Consciousness Studies*. **26** (9–10): 173–181.\n- 91. J. 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What we do\n- 2. Providing Data\n- 3. Using Data\n- 4. Resources\n\n| European Data Portal | | | | |\n| --- | --- | --- | --- | --- |\n| 1 What we do- | Data - | Providing Data- | Using Data . | Resources - |\n\n- **1. Click on \"What we do\", then on sub-menu \"Our Activities\"**\nThe system displays a separate page with information on what is done in the Portal.\n\n| Newsletter FAQ Search Contact Cookies Legal notice Login > | English (en) |\n| --- | --- |\n| Search site content ... ರ | |\n| European Data Portal > What we do > Our Activities | |\n| 1 What we do- Data - Providing Data- Using Data - | Resources - |\n| Our Activities Open Data Maturity Factsheets and Reports Featured Highlights Calendar News | |\n| Our Activities | |\n| The European Data Portal harvests the metadata of Public Sector Information available on | |\n| public data portals across European countries. Information regarding the provision of data and | |\n| the benefits of re-using data is also included. | |\n| What is Open Data? | |\n| Open (Government) Data refers to the information collected, produced or paid for by the public bodies (also referred to as Public Sector Information) | |\n| and made freely available for re-use for any purpose. The licence will specify the terms of use. These principles for Open Data are described in detail | |\n| in the Open Definition &. | |\n| Public sector information is information held by the public sector. The Directive on the re-use of public sector information provides a common legal | |\n| framework for a European market for goverment-held data. It is built around the key pillars of the internal market: free flow of data, transparency and | |\n| fair competition. It is important to note that not all of the public sector information is Open Data. | |\n| Find out more about the PSI Directive a and other non-legislative activities of DG CONNECT & in this area. | |\n| About the European Data Portal | |\n| Going beyond the harvesting of metadata, the strategic objective of the European Data Portal is to improve accessibility and increase the value of | |\n| Open Data: | |\n| · Accessibility: How to access this information? Where to find it? How to make it available in the first place? In | |\n| countries? In what language? | |\n| · Value: For what purpose and what economic gain? Societal gain? Democratic gain? In what format? What is the critical mass? | |\n| The European Data Portal addresses the whole data value chain: from data publishing to data re-use. | |\n| Within the Portal, sections are dedicated to: | |\n| Searching datasets: Categories have been established to structure the metadata harvested from the various countries. These categories follow the | |\n| revision of the DCAT Application Profile & and have been mapped against the Eurovoc Thesaurus G. | |", - "page_start": 9, - "page_end": 9, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "What explains mostly the physical behavior that occurs in region iii of thin films ?", - "target_page": 5, - "target_passage": "The observed behaviour in region iii) can be reason- ably attributed to the decreasing relevance of the con- tribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- [110] L. Rockford, Y. Liu, P. Mansky, T. P. Russell, M. Yoon, and S. G. J. Mochrie, \"Polymers on nanoperiodic, heterogeneous surfaces,\" Phys. Rev. Lett. 82, 2602–2605 (1999).\n- [111] A. Sehgal, V. Ferreiro, J. F. Douglas, E. J. Amis, and A. Karim, \"Pattern-directed dewetting of ultrathin polymer films,\" Langmuir 18, 7041–7048 (2002).\n- [112] M. Geoghegan and G. Krausch, \"Wetting at polymer surfaces and interfaces,\" Prog. Polym. Sci. 28, 261–302 (2003).\n- [113] P. Lenz and R. Lipowsky, \"Morphological transitions of wetting layers on structured surfaces,\" Phys. Rev. Lett. 80, 1920–1923 (1998).\n- [114] C. Bauer, S. Dietrich, and A. O. Parry, \"Morphological phase transitions of thin fluid films on chemically structured substrates,\" Europhys. Lett. 47, 474–480 (1999).\n- [115] R. Konnur, K. Kargupta, and A. Sharma, \"Instability and morphology of thin liquid films on chemically heterogeneous substrates,\" Phys. Rev. Lett. 84, 931–934 (2000).\n- [116] M. Brinkmann and R. Lipowsky, \"Wetting morphologies on substrates with striped surface domains,\" J. Appl. Phys. 92, 4296–4306 (2002).\n- [117] L. Brusch, H. Kuhne, U. Thiele, and M. B ¨ ar, \"Dewetting of thin films on heterogeneous substrates: ¨ Pinning vs. coarsening,\" Phys. Rev. E 66, 011602 (2002).\n- [118] U. Thiele, L. Brusch, M. Bestehorn, and M. Bar, \"Modelling thin-film dewetting on structured sub- ¨ strates and templates: Bifurcation analysis and numerical simulations,\" Eur. Phys. J. E 11, 255–271 (2003).\n- [119] U. Thiele, \"Open questions and promising new fields in dewetting,\" Eur. Phys. J. E 12, 409–416 (2003).\n- [120] D. M. Anderson, G. B. McFadden, and A. A. Wheeler, \"Diffuse-interface methods in fluid mechanics,\" Ann. Rev. Fluid Mech. 30, 139–165 (1998).\n- [121] U. Thiele, S. Madruga, and L. Frastia, \"Decomposition driven interface evolution for layers of binary mixtures: I. Model derivation and stratified base states,\" Phys. Fluids 19, 122106 (2007).\n- [122] O. A. Frolovskaya, A. A. Nepomnyashchy, A. Oron, and A. A. Golovin, \"Stability of a two-layer binary-fluid system with a diffuse interface,\" Phys. Fluids 20, 112105 (2008).\n- [123] S. Madruga and U. Thiele, \"Decomposition driven interface evolution for layers of binary mixtures: II. Influence of convective transport on linear stability,\" Phys. Fluids 21, 062104 (2009).", - "page_start": 32, - "page_end": 32, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [5] F. Brochard-Wyart and J. Daillant, \"Drying of solids wetted by thin liquid films,\" Can. J. Phys. 68, 1084–1088 (1989).\n- [6] P. Muller-Buschbaum, \"Dewetting and pattern formation in thin polymer films as investigated in real ¨ and reciprocal space,\" J. Phys.-Condes. Matter 15, R1549–R1582 (2003).\n- [7] R. Seemann, S. Herminghaus, C. 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Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, \"Complex ¨ dewetting scenarios captured by thin-film models,\" Nat. Mater. 2, 59–63 (2003).\n- [14] C. Redon, F. Brochard-Wyart, and F. Rondelez, \"Dynamics of dewetting,\" Phys. Rev. Lett. 66, 715– 718 (1991).\n- [15] R. Seemann, S. Herminghaus, and K. Jacobs, \"Shape of a liquid front upon dewetting,\" Phys. Rev. Lett. 87, 196101 (2001).\n- [16] R. Fetzer, K. Jacobs, A. Munch, B. Wagner, and T. P. Witelski, \"New slip regimes and the shape of ¨ dewetting thin liquid films,\" Phys. Rev. Lett. 95, 127801 (2005).\n- [17] F. Brochard-Wyart and C. Redon, \"Dynamics of liquid rim instabilities,\" Langmuir 8, 2324–2329 (1992).\n- [18] G. Reiter and A. Sharma, \"Auto-optimization of dewetting rates by rim instabilities in slipping polymer films,\" Phys. Rev. Lett. 87, 166103 (2001).\n- [19] A. Munch and B. Wagner, \"Contact-line instability of dewetting thin films,\" Physica D ¨ 209, 178–190 (2005).", - "page_start": 25, - "page_end": 25, - "source_file": "1001.2669.pdf" - }, - { - "text": "Benard instability,\" Phys. Rev. Lett. 88, 164501 (2002).\n\n- [50] J. Huang, F. Kim, A. R. Tao, S. Connor, and P. Yang, \"Spontaneous formation of nanoparticle stripe patterns through dewetting,\" Nat. Mater. 4, 896–900 (2005).\n- [51] S. H. Lee, P. J. Yoo, S. J. Kwon, and H. H. Lee, \"Solvent-driven dewetting and rim instability,\" J. Chem. Phys. 121, 4346–4351 (2004).\n- [52] L. Xu, T. F. Shi, P. K. Dutta, and L. An, \"Rim instability by solvent-induced dewetting,\" J. Chem. Phys. 127, 144704 (2007).\n- [53] L. Xu, T. F. Shi, and L. J. An, \"The dewetting dynamics of the polymer thin film by solvent annealing,\" J. Chem. Phys. 129, 044904 (2008).\n- [54] M. Elbaum and S. G. Lipson, \"How does a thin wetted film dry up?\" Phys. Rev. Lett. 72, 3562–3565 (1994).\n- [55] N. Samid-Merzel, S. G. Lipson, and D. S. Tannhauser, \"Pattern formation in drying water films,\" Phys. Rev. E 57, 2906–2913 (1998).\n- [56] A. Padmakar, K. Kargupta, and A. Sharma, \"Instability and dewetting of evaporating thin water films on partially and completely wettable substrates,\" J. Chem. Phys. 110, 1735–1744 (1999).\n- [57] A. V. Lyushnin, A. A. Golovin, and L. M. Pismen, \"Fingering instability of thin evaporating liquid films,\" Phys. Rev. E 65, 021602 (2002).\n- [58] L. M. Pismen, \"Spinodal dewetting in a volatile liquid film,\" Phys. Rev. E 70, 021601 (2004).\n- [59] C. Poulard, O. Benichou, and A. M. Cazabat, \"Freely receding evaporating droplets,\" Langmuir 19, 8828–8834 (2003).\n- [60] Y. Gotkis, I. Ivanov, N. Murisic, and L. Kondic, \"Dynamic structure formation at the fronts of volatile liquid drops,\" Phys. Rev. Lett. 97, 186101 (2006).\n- [61] E. Pauliac-Vaujour and P. Moriarty, \"Meniscus-mediated organization of colloidal nanoparticles,\" J. Phys. Chem. C 111, 16255–16260 (2007).\n- [62] C. Gigault, K. Dalnoki-Veress, and J. R. Dutcher, \"Changes in the morphology of self-assembled polystyrene microsphere monolayers produced by annealing,\" J. Colloid Interface Sci. 243, 143–155 (2001).\n- [63] A. Oron, S. H. Davis, and S. G. Bankoff, \"Long-scale evolution of thin liquid films,\" Rev. Mod. Phys. 69, 931–980 (1997).\n- [64] U. Thiele, \"Thin film evolution equations from (evaporating) dewetting liquid layers to epitaxial growth,\" J. Phys.-Cond. Mat. (2010), (at press).", - "page_start": 28, - "page_end": 28, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [20] C. Tomlinson, \"On the motion of certain liquids on the surface of water,\" Phil. Mag. Ser. 4 39, 32–48 (1870).\n- [21] C. G. Marangoni, \"Ueber die Ausbreitung der Tropfen einer Flussigkeit auf der Oberfl ¨ ache einer ¨ anderen,\" Ann. Phys. (Poggendorf) 143, 337–354 (1871).\n- [22] O. Karthaus, L. Grasjo, N. Maruyama, and M. Shimomura, \"Formation of ordered mesoscopic poly- ¨ mer arrays by dewetting,\" Chaos 9, 308–314 (1999).\n- [23] X. Gu, D. Raghavan, J. F. Douglas, and A. Karim, \"Hole-growth instability in the dewetting of evaporating polymer solution films,\" J. Polym. Sci. Pt. B-Polym. Phys. 40, 2825–2832 (2002).\n- [24] S. W. Hong, J. F. Xia, and Z. Q. Lin, \"Spontaneous formation of mesoscale polymer patterns in an evaporating bound solution,\" Adv. Mater. 19, 1413–1417 (2007).\n- [25] G. Liu, C. F. Zhang, J. Zhao, and Y. X. Zhu, \"Study of the morphology of the three-phase contact line and its evolution by morphological examination after droplet evaporation of aqueous polymer solutions,\" Langmuir 24, 7923–7930 (2008).\n- [26] M. Mertig, U. Thiele, J. Bradt, G. Leibiger, W. Pompe, and H. Wendrock, \"Scanning force microscopy and geometrical analysis of two-dimensional collagen network formation,\" Surface and Interface Analysis 25, 514–521 (1997).\n- [27] M. Mertig, U. Thiele, J. Bradt, D. Klemm, and W. Pompe, \"Dewetting of thin collagenous precursor films,\" Appl. Phys. A 66, S565–S568 (1998).\n- [28] U. Thiele, M. Mertig, and W. Pompe, \"Dewetting of an evaporating thin liquid film: Heterogeneous nucleation and surface instability,\" Phys. Rev. Lett. 80, 2869–2872 (1998).\n- [29] H. Maeda, \"An atomic force microscopy study of ordered molecular assemblies and concentric ring patterns from evaporating droplets of collagen solutions,\" Langmuir 15, 8505–8513 (1999).\n- [30] I. I. Smalyukh, O. V. Zribi, J. C. Butler, O. D. Lavrentovich, and G. C. L. Wong, \"Structure and dynamics of liquid crystalline pattern formation in drying droplets of DNA,\" Phys. Rev. Lett. 96, 177801 (2006).\n- [31] L. Zhang, S. Maheshwari, H. C. Chang, and Y. X. Zhu, \"Evaporative self-assembly from complex DNA-colloid suspensions,\" Langmuir 24, 3911–3917 (2008).\n- [32] M. Maillard, L. Motte, A. T. Ngo, and M. P. Pileni, \"Rings and hexagons made of nanocrystals: A Marangoni effect,\" J. Phys. Chem. B 104, 11871–11877 (2000).\n- [33] G. L. Ge and L. Brus, \"Evidence for spinodal phase separation in two-dimensional nanocrystal selfassembly,\" J. Phys. Chem. B 104, 9573–9575 (2000).", - "page_start": 26, - "page_end": 26, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the ultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an unstable manner resulting in an array of isotropically branched structures as shown, e.g., above in Fig. 1. This indicates that at least some of the patterns described in the literature may have arisen from processes in similar ultrathin 'postcursor' films.\n\nThe existence of the ultrathin 'postcursor' film is an experimental finding that can be drawn on when choosing a theoretical approach to account for the pattern formation (see below). Note however, that at the moment there exists no explanation for its existence. A possible hypothesis is that the substrate strongly attracts the nanoparticles. As a result they form a dense suspension layer having a thickness roughly equal to the diameter of the nanoparticles. The observed mesoscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration suspension from the higher concentration suspension on the surface of the substrate.\n\n### III. MODELLING APPROACHES\n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydrodynamics. Starting from the Stokes equations, together with continuity and boundary conditions at the substrate and free surface, one applies a long-wave approximation (assuming small surface slopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness profile h(x, y, t). In the case of volatile liquids one finds [55–58, 64]\n\n$$\\partial_{t}h\\,=\\,\\nabla\\cdot\\left[Q_{\\mathrm{e}}\\nabla\\frac{\\delta F}{\\delta h}\\right]\\,-\\,Q_{\\mathrm{e}}\\frac{\\delta F}{\\delta h},\\tag{1}$$\n\nwith the mobility functions Qc(h) = h 3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip at the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part of the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory or from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the film is close to the saturation pressure. For alternative expressions that are used to describe the non-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and ∂t , ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates.\n\nFocusing on the influence of capillarity and wettability only, the energy functional F[h] is given by\n\n$$F[h]\\,=\\,\\int dx\\int dy\\left[\\frac{\\gamma}{2}(\\nabla h)^{2}+f(h)-\\mu h\\right]\\tag{2}$$", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "# Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n# I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties2 , and in view of possible technological applications3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed4,5. A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials6 , itinerant MnSi7 , binary compounds as FeGe8 , glass transition of spins9 , and XY helimagnets, as Holmium, Terbium or Dysprosium10. In the latter case, a new universality class was predicted because a Z2 × SO(2) symmetry is spontaneously broken in the ordered phase2 : In fact, when dealing with such systems, in addition to the SO(2) symmetry of the spin degrees of freedom S~ i , one has to consider also the Z2 symmetry of the spin chirality κij ∝ h S~ i × S~ j iz .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures12. Recent experimental data on ultra-thin Holmium films13 have been lately interpreted and discussed14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al.16, allows for competitive middle-range interactions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Qz such that Qzc ′ ≃ 30◦ , where c ′ = c/2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x − y planes, while z will be taken parallel to c. For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 − 16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as \"surface planes\", i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "- [97] U. Thiele, M. G. Velarde, K. Neuffer, and Y. Pomeau, \"Film rupture in the diffuse interface model coupled to hydrodynamics,\" Phys. Rev. E 64, 031602 (2001).\n- [98] J. Heier, J. Groenewold, F. A. Castro, F. Nueesch, and R. Hany, \"Enlarged bilayer interfaces from liquid-liquid dewetting for photovoltaic applications,\" P Soc Photo-Opt Instrum Eng 6999, J9991– J9991 (2008).\n- [99] M. D. Haw, M. Gillie, and W. C. K. Poon, \"Effects of phase behavior on the drying of colloidal suspensions,\" Langmuir 18, 1626–1633 (2002).\n- [100] L. V. Govor, J. Parisi, G. H. Bauer, and G. Reiter, \"Instability and droplet formation in evaporating thin films of a binary solution,\" Phys. Rev. E 71, 051603 (2005).\n- [101] L. V. Govor, G. Reiter, G. H. Bauer, and J. Parisi, \"Self-assembled treelike patterns from an evaporating binary solution,\" Phys. Rev. E 74, 061603 (2006).\n- [102] M. Yamamura, T. Nishio, T. Kajiwara, and K. Adachi, \"Evaporation-induced pattern formation in polymer films via secondary phase separation,\" Chem. Eng. Sci. 57, 2901–2905 (2002).\n- [103] P. Muller-Buschbaum, E. Bauer, S. Pfister, S. V. Roth, M. Burghammer, C. Riekel, C. David, and ¨ U. Thiele, \"Creation of multi-scale stripe-like patterns in thin polymer blend films,\" Europhys. Lett. 73, 35–41 (2006).\n- [104] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, and O. Gengelman, \"Mesoscopic patterning in evaporated polymer solutions: New experimental data and physical mechanisms,\" Langmuir 21, 9604–9609 (2005).\n- [105] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, V. Z. Gaisin, R. Cohen, and O. V. Gendelman, \"Mesoscopic patterning in thin polymer films formed under the fast dip-coating process,\" Macromol. Mater. Eng. 290, 114–121 (2005).\n- [106] J. B. Gibson, K. Zhang, K. Chen, S. Chynoweth, and C. W. Manke, \"Simulation of colloid-polymer systems using dissipative particle dynamics,\" Mol. Simul. 23, 1–41 (1999).\n- [107] K. Stratford and I. Pagonabarraga, \"Parallel simulation of particle suspensions with the lattice Boltzmann method,\" Comput. Math. Appl. 55, 1585–1593 (2008).\n- [108] G. Drazer, B. Khusid, J. Koplik, and A. Acrivos, \"Wetting and particle adsorption in nanoflows,\" Phys. Fluids 17, 017102 (2005).\n- [109] J. Kromkamp, D. van den Ende, D. Kandhai, R. van der Sman, and R. Boom, \"Lattice Boltzmann simulation of 2d and 3d non-Brownian suspensions in Couette flow,\" Chem. Eng. Sci. 61, 858–873 (2006).", - "page_start": 31, - "page_end": 31, - "source_file": "1001.2669.pdf" - }, - { - "text": "### I. INTRODUCTION\n\nThe patterns formed in dewetting processes have attracted strong interest since Reiter analysed the process quantitatively in the early nineties. In these experiments, that proved to be a paradigm in our understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is deposited on a flat silicon oxide substrate is brought above the glass transition temperature. The film ruptures in several places, forming holes which subsequently grow, competing for space. As a result, a random polygonal network of liquid rims emerges. The rims may further decay into lines of small drops due to a Rayleigh-type instability [1–3]. The related problems of retracting contact lines on partially wetting substrates and the opening of single holes in rather thick films have also been studied [4, 5].\n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple non-volatile liquids and polymers (for reviews see Refs. [6–8]). All stages of the dewetting of a film are studied: the initial film rupture via nucleation or a surface instability (called spinodal dewetting) [1, 9–13], the growth process of individual holes [14–16], the evolution of the resulting hole pattern [3, 13], and the stability of the individual dewetting fronts [17–19]. We note in passing, that descriptions of dewetting patterns may also be found in historic papers, particularly for the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] considered turpentine on water and Marangoni [21, p. 352f] oil on water.\n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. However, these systems have not yet been investigated in any great depth. Such systems are complicated because their behaviour is determined by the interplay between the various solute (or colloid) and solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one has to distinguish between 'normal' convective dewetting and evaporative dewetting. A number of experiments have been performed employing (colloidal) solutions of polymers [22–25], macromolecules like collagen and DNA [26–31] and nanoparticles [32–40]. The latter are sometimes referred to as 'nanofluids'. The initial focus of much of the research in the field has been on investigating the structures that are formed which are similar to the ones observed in the 'classical' dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from spinodal dewetting and heterogeneous nucleation and growth, respectively. They are 'decorated' with the solute and therefore conserve the transient dewetting pattern as a dried-in structure when all the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2669.pdf" - }, - { - "text": "where γ is the liquid-gas surface tension and f(h) is a local free energy term that describes the wettability of the surface. Since µ corresponds to a chemical potential, the term µh may either bias the system towards the liquid or towards the gas state. The variation of F w.r.t. h gives the pressure. It contains the curvature (Laplace) pressure −γ∆h and the disjoining pressure Π(h) = −∂hf(h). Many different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]).\n\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanoparticles are not taken into account. However, under certain conditions one can augment equation (1) for the evolution of the film thickness by coupling it to an equation for the evolution of the mean particle concentration. The resulting model is able to describe the behaviour of an evaporating solution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C. We should expect such a model to describe the mesoscopic dewetting front discussed above. However, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor film.\n\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a discrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on evaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The validity of this strong assumption regarding the relevant transport processes can be confirmed from an estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The convective mobility is proportional to h 3 , i.e., it is large for thick films but decreases strongly with reduced film thickness. The evaporative mobility, however, is a constant, implying that evaporation will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57] and a small contact angle (≈ 0.01), the cross-over thickness is in the range of 1-5 nanometers. This estimate justifies the neglect of convective transport in a description of the postcursor film and may explain why one has such good agreement between the experimentally observed patterns and the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model [35]. We introduce the KMC model below in Section III A.\n\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its potential applications. For instance, the thermodynamic chemical potential as well as any wetting interaction of the solvent with the substrate are collected in a single parameter – an effective chemical potential. This implies that any influence of a disjoining pressure is 'smeared out' over the whole system and that no distinction between the short- and the long-range parts of the disjoining pressure is possible. It is furthermore based on the assumption that evaporation/condensation is", - "page_start": 7, - "page_end": 7, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "Where are located the magnetic ions in the lattice of the studied layers ?", - "target_page": 2, - "target_passage": "the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "FIG. 7: (color online) ∆ϕl (T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\nfilm leads to an effective 2d-like trend. Region ii) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i) and ii).\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l, but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T . TN (8), an abrupt drop of ∆ϕ3 and ∆ϕ4, which rapidly reach an almost constant value, only slightly larger than ∆ϕ1. In the temperature range TN (8) . T < TC(8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi-FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Qz,max of the structure factor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is reported, again for n = 8 and for different lateral dimensions L 26. As expected from the previous argument, we see that Qz,max = 0 for TN (8) < T < TC(8), while it begins to shift to higher values as soon as the temperature decreases below TN (8), making apparent a progressive fan stabilization with Qz,max 6= 0 and reaching a value of about 21◦ for T = 10 K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements16) on a HCP lattice14,15, it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 − 16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), vs. temperature for thickness n = 8. Inset: magnetic vector (mx l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around TC(n) (error bars lye within point size).\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J1 − J2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ϕl with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦ , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90◦ to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane h100i orientations, and the latter dominant close to TC (∼35 K) giving an easy axis along the [1¯10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the TC of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field HE, indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/d dependence of HE was found previously for MnAs/(Ga,Mn)As bilayers4 , and is generally observed in exchanged-biased thin films12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆E = MF SHEd = 0.003 erg/cm2 . This value is rather small compared to typical exchange bias systems12, reflecting the low moment density MF S of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures13, while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe L2,3 absorption edges in order to determine the magnetic response of the individual elements. In L2,3 XMCD, electrons are excited from a 2p core level to the unoccupied 3d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products – either fluorescent x-rays or electrons – of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L2,3 absorption, the probing depths for FY and TEY detection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where Il(r) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70◦ to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L2,3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1: (colors online) (a): body-centered tetragonal (BCT) lattice with J0 in-plane coupling constant, and out-of-plane J1, and J2 competing interactions.\n\nbe achieved with different number of interacting layers: notably, nearest and next-nearest layers competitive interactions are enough to get a helical structure with a whatever pitch wavevector. Such observation gives us a possible way to solve the conundrum previously emerged, as we have the possibility of varying the range of interactions without modifying the helical pitch, thus decoupling the two relevant length scales along the film growth direction, and making accessible a range of n of the order of, or smaller than, the helical pitch, but still large enough that a substantial number of layers can behave as \"bulk\" layers. Therefore, while in the previous papers we have studied the properties of ultrathin magnetic films of Ho assuming a model with six interlayer exchange interactions, here we investigate by MC simulations the properties of the same system by making use of the simplest model Hamiltonian able to describe the onset of a helical magnetic order in Holmium, i.e. we consider only two inter-layer coupling constants, as previously done in Ref. 11.\n\nThe paper is organized as follows: In Sec. II the model Hamiltonian will be defined, and the MC techniques, and all the thermodynamic quantities relevant for this study, will be introduced. In Sec. III the results obtained for different thicknesses will be presented, both in the matter of the critical properties of the model and of the magnetic ordered structures observed. Finally, in Sec. IV we shall discuss such results, drawing also some conclusions.\n\n# II. MODEL HAMILTONIAN AND MONTE CARLO OBSERVABLES\n\nThe model Hamiltonian we use in our simulations is the minimal one able to describe helimagnetic structures:\n\n$${\\mathcal{H}}=-\\left[J_{0}\\sum_{\\langle i j\\rangle}{\\vec{S}}_{i}\\cdot{\\vec{S}}_{j}+J_{1}\\sum_{\\langle i k\\rangle}{\\vec{S}}_{i}\\cdot{\\vec{S}}_{k}+J_{2}\\sum_{\\langle i l\\rangle}{\\vec{S}}_{i}\\cdot{\\vec{S}}_{l}\\right].\\tag{1}$$\n\nS~ i are classical planar unit vectors representing the direction of the total angular momentum of the magnetic ions, whose magnitude p j(j + 1) (j = 8 for Holmium ions) is already encompassed within the definition of the interaction constants J0,1,2. As sketched in Fig. 1, the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice; the first sum appearing in the Hamiltonian describes the in-plane (xy) nearest neighbor (NN) interaction, which is taken ferromagnetic (FM), with exchange strength J0 > 0; the second sum represents the coupling, of exchange strength J1, between spins belonging to nearest neighbor (NN) planes along the z-direction (which we will assume to coincide with the film growth direction); finally, the third sum takes into account the interaction, of exchange strength J2, between spins lying on next-nearest neighbor (NNN) planes along z. In order to have frustration, giving rise to noncollinear order along z in the bulk, NN interaction J1 can be taken both ferro- or antiferromagnetic, but NNN coupling J2 has necessarily to be antiferromagnetic, and the condition |J2| > |J1|/4 must be fulfilled. Such simplified Hamiltonian was already employed to simulate helical ordering in bulk systems by Diep1,17 and Loison18 . In the bulk limit, the state of minimal energy of a system described by Eq.(1) corresponds to a helical arrangement of spins. The ground state energy per spin is equal to eg(Qz) = [−4J0 − 2J1 (4 cos (Qzc ′ ) + δ cos (2Qzc ′ ))] where c ′ is the distance between NN layers, δ = J2 J1 , and Qzc ′ = arccos − 1 δ is the angle between spins lying on adjacent planes along the z-direction. The observed helical arrangement in bulk holmium corresponds to Qzc ′ ≃ 30.5 ◦10: such value can be obtained from the formula above with the set of coupling constants J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have employed in our simulations. The given values for the exchange constants are the same already used by Weschke et al. in Ref. 13 to interpret experimental data on Holmium films on the basis of a J1 − J2 model, after a proper scaling by the numbers of NN and NNN on neighboring layers of a BCT lattice.\n\nIn the following we will denote with n the film thickness, i.e. the number of spin layers along the z direction, and with L×L the number of spins in each layer (i.e., L is the lattice size along both the x and y directions). In our simulations thickness values from 1 to 24 were considered, while the range of lateral size L was from 8 to 64. Periodic boundary conditions were applied along x and y, while free boundaries were obviously taken along the film growth direction z.\n\nThermal equilibrium was attained by the usual Metropolis algorithm19, supplemented by the overrelaxed technique20 in order to speed-up the sampling of the spin configuration space: a typical \"Monte Carlo step\" was composed by four Metropolis and four-five over-relaxed moves per particle. Such judicious mix of moves is able both to get faster the thermal equilibrium and to minimize the correlation \"time\" between successive samples, i.e. the undesired effects due to lack of in", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "# Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n# I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties2 , and in view of possible technological applications3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed4,5. A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials6 , itinerant MnSi7 , binary compounds as FeGe8 , glass transition of spins9 , and XY helimagnets, as Holmium, Terbium or Dysprosium10. In the latter case, a new universality class was predicted because a Z2 × SO(2) symmetry is spontaneously broken in the ordered phase2 : In fact, when dealing with such systems, in addition to the SO(2) symmetry of the spin degrees of freedom S~ i , one has to consider also the Z2 symmetry of the spin chirality κij ∝ h S~ i × S~ j iz .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures12. Recent experimental data on ultra-thin Holmium films13 have been lately interpreted and discussed14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al.16, allows for competitive middle-range interactions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Qz such that Qzc ′ ≃ 30◦ , where c ′ = c/2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x − y planes, while z will be taken parallel to c. For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 − 16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as \"surface planes\", i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures TN (n) and TC (n) vs. film thickness n.\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at TC(8) = 133.3(3) K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that TC(n) results quite n-independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify TC (n), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80 K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χκ (Fig. 4c), which for the largest L has a maximum at T = 85 K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of TN (8) by looking at the Binder cumulant u4(κ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at TN (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at TN (8), being the entropy substantially removed at TC (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n . 15, where a clear separation between TN (n) and TC(n) can be easily figured out. In such temperature window, the strong surface effects produce a quasi-FM set-up of the magnetic film structure along the z-direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of TN (n) and TC(n) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where TN (6) = 38(4), that is TN (6) ∼ 1 3 TC(6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below TC(n). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on NN layers (l + 1, l) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\nangle of the magnetization between nearest planes:\n\n$$\\Lambda\\varphi_{l}=\\varphi_{l+1}-\\varphi_{l}=\\arccos\\left[M_{l}^{x}M_{l+1}^{x}+M_{l}^{y}M_{l+1}^{y}\\right]\\tag{10}$$\n\nwhere (Mx l , My l ) is the magnetic vector profile for each plane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ϕl keeps an almost temperature independent very small value; what's more, ∆ϕl seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of \"bulk planes\" inside the film, so that we are left with only a 2d trend at TC(n), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n# IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i) high thickness, n > 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii) intermediate thickness, 6 ≤ n . 15, where the temperature corresponding to the onset of in-plane order, TC (n), is still ≃ T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature TN (n) < TC (n); iii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 10: (colors online) Equilibrium probability distribution of the energy for the thickness n = 8 for some temperatures around TN (8), (a), and TC(8), (b), respectively.\n\nopposite magnetization. We can thus confidently assert that, regardless of the underlying lattice structure, by decreasing the number of the out-of-plane interactions, for thicknesses close to the helical bulk pitch, the block\n\n- 1 Frustrated spin Systems, edited by H. T. Diep (World Scientific, 2004).\n- 2 H. Kawamura, J. Phys.: Cond. Matt. 10, 4707 (1998).\n- 3 T. Kimura et al., Nature (London) 426, 55 (2003).\n- 4 F. Cinti et al., Phys. Rev. Lett. 100, 057203 (2008).\n- 5 J.H. Park, S. Onoda, N. Nagaosa, and J. H. Han, Phys. Rev. Lett. 101, 167202 (2008), and references therein.\n- 6 S. W. Cheong and M. Mostovoy, Nature Materials (London) 6, 13 (2007).\n- 7 Minhyea Lee, W. Kang, Y. Onose, Y. Tokura, and N. P. Ong, Phys. Rev. Lett. 102, 186601 (2009)\n- 8 P. Pedrazzini et al., Phys. Rev. Lett. 98, 047204 (2007).\n- 9 H. Kawamura and M. S. Li, Phys. Rev. Lett. 87, 187204 (2001).\n- 10 P. J. Jensen, and A. R. Mackintosh, Rere Earth Magnetism (Structure and Excitations), Clarendon Press, Oxford (1991).\n- 11 S. Konings, C. Schuessler-Langeheine, H. Ott, E. Weschke, E. Schierle, J. B. Goedkoop, arXiv 0707.2765v2\n- 12 P.J. Jensen, and K.H. Bennemann, Surface Science Reports 61, 129 (2006).\n- 13 E. Weschke, et al., Phys. Rev. Lett. 93, 157204 (2004).\n- 14 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 78, 020402(R) (2008).\n- 15 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 79,\n\nphase is replaced by a quasi-FM configuration in the intermediate temperature range TN (n) < T < TC(n) .\n\nAs a final issue we address the problem of the order of the transitions observed at TN (n) and TC(n), respectively. In particular, we focus our attention to the thickness ranges where the chiral order parameter is relevant, i.e. regions i) and ii) as defined at the beginning of this Section. In Fig. 10 the equilibrium probability distribution of the energy for temperatures around TN (8) (Fig. 10a) and TC(8) (Fig. 10b) is plotted: for both temperatures, no double peak structure is observed, so that we have no direct indication for a first order transition even if, according to precedent studies of Loison and Diep17,18, the presence of a first-order transition at TN (n), cannot be completely excluded, as it could reveal itself only when the lateral dimension L are much larger than the largest correlation length. The same conclusion about the order of transition is reached for any other investigated film thickness, as the energy probability distribution shape does not qualitatively change. This findings agree with the results we got in previous MC simulations discussed in Ref. 15, so that we may conclude that the order of the observed transitions is not affected by the range of interactions.\n\n134420 (2009).\n\n- 16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. D'Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, and J. Jensen, Physica B 159, 93 (1989).\n- 17 H. T. Diep, Phys. Rev. B 39, 397 (1989).\n- 18 D. Loison, Physica A 275, 207 (2000).\n- 19 N. Metropolis, et al., J. Chem. Phys. 21, 1087 (1953).\n- 20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58, 2394 (1987).\n- 21 D. P. Landau, and K. Binder, A Guide to Monte Carlo Simulation in Statistical Physics, Cambridge University Press, Cambridge (2000).\n- 22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Methods in Statistical Physics, Clarendon Press, Oxford (1999).\n- 23 B. Efron, The Annals of Statistics 7, 1 (1979).\n- 24 P. M. Chaikin, T. C. Lubensky Principles of condensed matter physics, Cambridge University Press, New York (1995).\n- 25 K. Binder, Z. Phys. B 43, 119 (1981). K. Binder, Phys. Rev. Lett. 47, 693 (1981).\n- 26 Such observable has been obtained from instantaneous evaluation of the structure factor during the stochastic process, and subsequently statistically analyzed as all the other macroscopic quantities.", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - }, - { - "text": "## Exchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\n\nK. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3\n\nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5\n\n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n\nInstitute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic 3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom\n\n4Diamond Light Source, Harwell Science and Innovation Campus,\n\n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n\n(Dated: August 24, 2018)\n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin overlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic circular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface layer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized at room temperature.\n\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\n\n2\n\nFerromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material. The realization of spin-valve devices from FM semiconductors requires the controlled switching of magnetization in adjacent layers between antiferromagnetic (AFM) and FM configurations. This has motivated several theoretical investigations of interlayer coupling in all-semiconductor devices1 , and AFM coupling has recently been demonstrated in (Ga,Mn)As multilayers separated by p-type non-magnetic spacers2 . However, the Curie temperature TC of (Ga,Mn)As is currently limited to 185 K in single layers3 , and is typically much lower for layers embedded within a heterostructure2 , which is an obstacle to the practical implementation of semiconductor spintronics.\n\nThe development of FM metal/FM semiconductor heterostructures has the potential to bring together the benefits of metal and semiconductor based spintronics, offering access to new functionalities and physical phenomena. Recent studies of MnAs/(Ga,Mn)As and NiFe/(Ga,Mn)As bilayer films have shown FM interlayer coupling and independent magnetization behavior, respectively4,5. Of particular interest is the Fe/(Ga,Mn)As system, since the growth of epitaxial Fe/GaAs(001) films is well-established6 . Remarkably, a recent x-ray magnetic circular dichroism (XMCD) study has shown that Fe may induce a proximity polarization in the near-surface region of (Ga,Mn)As, antiparallel to the Fe moment and persisting even above room temperature7 . Devices incorporating Fe/(Ga,Mn)As therefore offer the prospect of obtaining non-volatile room temperature spin-polarization in a semiconductor.\n\nUntil now, no information has been revealed about the coupling of Fe to (Ga,Mn)As layers away from the nearsurface region. At the surface, the (Ga,Mn)As layer may be highly non-stoichiometric and Mn-rich, due to its nonequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers were produced by a process including exposure to air followed by sputtering and annealing prior to Fe deposition, which may further disrupt the interface order. The origin of the interface magnetism then had to be inferred by comparison to a series of reference samples7 . Demonstration of coupling between the bulk of the layers, i.e., an exchange bias effect, would provide direct evidence of the interface magnetic order. Moreover, such coupling would offer new means of manipulating the FM semiconductor spin state and utilizing the proximity polarization effect in a spintronic device.\n\nHere, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures10,11) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref.7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260◦C, using previously established methods3,8. A low Mn concentration of x ≈ 0.03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼0 ◦C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L2,3 x-ray absorption and XMCD\n\nDidcot, Oxfordshire, OX11 0DE, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/d dependence (dashed line).\n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73, 165205 (2006).\n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "What is the minimum number of spin layers in a film before a correct bulk is reached ?", - "target_page": 1, - "target_passage": "For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/d dependence (dashed line).\n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73, 165205 (2006).\n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 5: Transition temperatures TN (n) and TC (n) vs. film thickness n.\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at TC(8) = 133.3(3) K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that TC(n) results quite n-independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify TC (n), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80 K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χκ (Fig. 4c), which for the largest L has a maximum at T = 85 K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of TN (8) by looking at the Binder cumulant u4(κ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at TN (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at TN (8), being the entropy substantially removed at TC (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n . 15, where a clear separation between TN (n) and TC(n) can be easily figured out. In such temperature window, the strong surface effects produce a quasi-FM set-up of the magnetic film structure along the z-direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of TN (n) and TC(n) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where TN (6) = 38(4), that is TN (6) ∼ 1 3 TC(6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below TC(n). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on NN layers (l + 1, l) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\nangle of the magnetization between nearest planes:\n\n$$\\Lambda\\varphi_{l}=\\varphi_{l+1}-\\varphi_{l}=\\arccos\\left[M_{l}^{x}M_{l+1}^{x}+M_{l}^{y}M_{l+1}^{y}\\right]\\tag{10}$$\n\nwhere (Mx l , My l ) is the magnetic vector profile for each plane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ϕl keeps an almost temperature independent very small value; what's more, ∆ϕl seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of \"bulk planes\" inside the film, so that we are left with only a 2d trend at TC(n), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n# IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i) high thickness, n > 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii) intermediate thickness, 6 ≤ n . 15, where the temperature corresponding to the onset of in-plane order, TC (n), is still ≃ T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature TN (n) < TC (n); iii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ϕl (T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\nfilm leads to an effective 2d-like trend. Region ii) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i) and ii).\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l, but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T . TN (8), an abrupt drop of ∆ϕ3 and ∆ϕ4, which rapidly reach an almost constant value, only slightly larger than ∆ϕ1. In the temperature range TN (8) . T < TC(8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi-FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Qz,max of the structure factor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is reported, again for n = 8 and for different lateral dimensions L 26. As expected from the previous argument, we see that Qz,max = 0 for TN (8) < T < TC(8), while it begins to shift to higher values as soon as the temperature decreases below TN (8), making apparent a progressive fan stabilization with Qz,max 6= 0 and reaching a value of about 21◦ for T = 10 K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements16) on a HCP lattice14,15, it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 − 16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), vs. temperature for thickness n = 8. Inset: magnetic vector (mx l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around TC(n) (error bars lye within point size).\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J1 − J2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ϕl with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦ , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "# Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n# I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties2 , and in view of possible technological applications3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed4,5. A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials6 , itinerant MnSi7 , binary compounds as FeGe8 , glass transition of spins9 , and XY helimagnets, as Holmium, Terbium or Dysprosium10. In the latter case, a new universality class was predicted because a Z2 × SO(2) symmetry is spontaneously broken in the ordered phase2 : In fact, when dealing with such systems, in addition to the SO(2) symmetry of the spin degrees of freedom S~ i , one has to consider also the Z2 symmetry of the spin chirality κij ∝ h S~ i × S~ j iz .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures12. Recent experimental data on ultra-thin Holmium films13 have been lately interpreted and discussed14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al.16, allows for competitive middle-range interactions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Qz such that Qzc ′ ≃ 30◦ , where c ′ = c/2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x − y planes, while z will be taken parallel to c. For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 − 16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as \"surface planes\", i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 3: (color online) Binder cumulants at thickness n = 16, colors as in Fig. 2. (a): Binder cumulant for the order parameter defined in Eq. (3). (b): Binder cumulant extracted from the integral of the structure factor (see Sec. II). Inset: structure factor for L = 64 between T = 131 K (upper curve) and T = 140 K (lower), with 1 K temperature step.\n\n# III. RESULTS\n\nThe results obtained by MC simulations of the model introduced in Sec. II will be presented starting from n = 16, i.e. the highest investigated film thickness which still displays a bulk-like behaviour. In Fig. 2 the specific heat for samples with n = 16 and lateral dimension L = 24, 32, 48, 64 is shown. The location of the specific heat maximum shows a quite definite evolution toward the bulk transition temperature, T Ho N ≃ 132 K10 (it is worthwhile to note that for this XY model the mean field theory predicts a critical temperature T Ho N,MF ≃ 198 K).\n\nThe intensity of the maximum of cv has been analyzed by the MH technique for the same lateral dimensions (see inset of Fig. 2): it clearly appears as it increases with L in a smooth way.\n\nThe Binder cumulant for the average order parameter defined in Eq. (3) was obtained close to the cv peak and is reported in Fig. 3a; its analysis leads to an estimate of the critical temperature of the sample (given by the location of the common crossing point of the different curves reported in the figure) of TC (16) = 133.2(5) This value can be considered in a rather good agreement with the experimental ordering temperature of Holmium T Ho N , the relative difference being about 1%. Even such a mismatch between T Ho N and TC (16) could be completely eliminated by slightly adjusting the in-plane coupling constant J0, but, as discussed in Sec. II, we shall preserve the value reported in Refs. 13, and 12 in order to allow for a correct comparison with the results reported in those papers.\n\nThe development of the helical arrangement of magnetization along the film growth direction was investigated by looking at the integral of the structure factor S(~q) along the z-direction, i.e. by taking ~q = (0, 0, qz), and making again use of the cumulant analysis in order to locate the helical transition temperature at TN (16) =\n\nFIG. 4: (color online) Thermodynamic quantities obtained for thickness n = 8 in the temperature range 0-150 K. Colors and symbols as in Fig. 2. (a): specific heat; (b): chirality order parameter. (c): susceptibility χκ. (d): Binder cumulant for κ.\n\n133.1(3) K (see Fig. 3b). The crossing points of the Binder's cumulants of the helical order parameter immediately appear to be located, within the error bars, at the same temperature of those for the average magnetization previously discussed. In addition, it is worthwhile to observe that the peak evolution of S(0, 0, qz), in particular close to TN (16) (inset of Fig. 3b), displays the typical behaviour expected for an helical structure. We can thus conclude that for n = 16, as it is commonly observed in bulk samples, the establishment of the in-plane order coincides with onset of the perpendicular helical arrangement at TN (16). However, due to helix distortion in the surface regions, the maximum of S(0, 0, qz) stabilizes at values of qz sensibly smaller (e.g. Qz(TN (16)) ≈ 16◦ , and Qz(T = 10K) ≈ 28◦ ) with respect to the bulk one (QHo z = 30.5 ◦ ).\n\nThe MC simulations outcomes for n = 16 we just presented appear quite different with respect to those obtained at the same thickness for the model with six coupling constants along the z direction14,15. Indeed, for the J1-J2 model here investigated, we observe that all layers order at the same temperature, and we do not find any hint of the block-phase, with inner disordered planes intercalated to antiparallel quasi-FM four-layer blocks, previously observed; sample MC runs we made using the same hcp lattice employed in Refs. 14,15 shows that the presence or absence of the block phase is not related to the lattice geometry, but it is a consequence of the interaction range only.\n\nWe now move to describe and discuss MC simulation data for thinner samples. A graphical synthesis of the results obtained for n = 8 in reported in Fig. 4a-d. The specific heat cv, shown in Figs. 4a, reveals very small finite-size effects, which, however, cannot be unambiguously detected for the largest lattice size (L = 64), as they fall comfortably within the error range. Surprisingly, the specific heat maximum is located close to the bulk transition temperature as found for n = 16, and", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles in a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3 ), (b) medium (Ω = 2 × 10−6 ) and (c) low (Ω = 0.78 × 10−8 ) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length scale is ` = p γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the vertical length scale is H = p 2SLW /κd0. The remaining dimensionless parameters are the evaporation number Ω = Qeη0` 2/H3 , the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical potential M = Hµ/κ = −0.0035. The system size is L = 19500`. Film thickness and hp in the plots are scaled by the precursor film thickness.\n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the coordinate x as the distance from the centre of the circular film.\n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film contains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the film of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional holes can occur (even with noise the probability would be extremely low). Without evaporation the film dewets 'classically' by a retraction of the initially step-like front. After a short time, surface tension smoothes the profile of the receding front and a capillary rim forms that collects all the", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C5 and C8) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C10 and C12). For even longer chains (C14), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "Figure 4.32. Spin Characteristics", - "page_start": 327, - "page_end": 327, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "What the rough sales amount of the nordstrom.com website ?", - "target_page": 3, - "target_passage": "$2 billion in nordstrom.com sales", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### **Retail Business Net Sales**\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel2: | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | — |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot3: | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels (Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) as a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square footage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n#### Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n#### **Retail Business Gross Profit**\n\nThe following table summarizes the Retail Business gross profit:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Retail gross profit1 | $4,709 | $4,434 | $4,335 |\n| Retail gross profit as a % of net sales | 35.9% | 36.4% | 36.9% |\n| Ending inventory per square foot2 | $64.05 | $58.84 | $53.77 |\n| Inventory turnover rate3 | 4.67 | 5.07 | 5.37 |\n\n1 Retailers do not uniformly record the costs of buying and occupancy and supply chain operations (freight, purchasing, receiving, distribution, etc.) between gross profit and selling, general and administrative expense. As such, our gross profit and selling, general and administrative expenses and rates may not be comparable to other retailers' expenses and rates.\n\n2 Ending inventory includes pack and hold inventory of $222, $173 and $125 in 2014, 2013 and 2012, which represents strategic purchases of merchandise for upcoming selling seasons.\n\n3 Inventory turnover rate is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Retailers do not uniformly calculate inventory turnover as buying and occupancy costs may be included in selling, general and administrative expenses. As such, our inventory turnover rates may not be comparable to other retailers.", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Dollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom Rack net sales for the quarter increased $130, or 17%, reflecting 27 new Nordstrom Rack store openings since the fourth quarter of 2013, while comparable sales increased 3.2%. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat. Shoes and Accessories were the category highlights for Nordstrom Rack.\n\n#### Gross Profit\n\nOur total company gross profit rate decreased 53 basis points compared with the same period in the prior year, primarily due to increased markdowns at Nordstrom Rack.\n\n#### Retail Selling, General, and Administrative Expenses\n\nOur Retail SG&A rate increased 80 basis points primarily due to expenses related to the acquisition of Trunk Club and ongoing technology and fulfillment expenses.\n\n#### Credit Expenses\n\nIn the fourth quarter, expenses for our Credit segment of $54 increased from $38 in the prior year. The increase was primarily driven by higher operational expenses resulting from a 6% increase in credit volume during the fourth quarter of 2014. The fourth quarter of 2013 also included the impact of the conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes, which decreased operational expenses in the prior year.\n\nFor further information on our quarterly results in 2014 and 2013, refer to Note 17: Selected Quarterly Data in the Notes to Consolidated Financial Statements in Item 8: Financial Statements and Supplementary Data.\n\n#### **2015 Outlook**\n\nOur expectations for 2015 are as follows:\n\n| Net sales | 7 percent to 9 percent increase |\n| --- | --- |\n| Comparable sales | 2 percent to 4 percent increase |\n| Earnings per diluted share1 | $3.65 to $3.80 |\n\n1 This outlook does not include the impact of any future share repurchases.\n\nCapital expenditures, net of property incentives, of approximately $1.2 billion are expected in 2015, an increase from $751 in 2014. The increase relates to store expansion, including Canada and Manhattan, and ongoing investments to improve the customer experience through flagship store remodels and a third fulfillment center expected to open in the second half of the year. To date in 2015, we have opened our second full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional Nordstrom full-line stores in the U.S. and another full-line store in Canada during 2015. Planned net store openings are expected to increase our retail square footage by approximately 6.1%.", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.**\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n#### **OVERVIEW**\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: \"Nordstrom\" branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name \"Last Chance.\" As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.\n\nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of Nordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated growth in this channel in the second half of 2014. Demonstrating synergies across our businesses, we enabled customers to return purchases from HauteLook and Nordstromrack.com to any of our Nordstrom Rack stores, which drove nearly one million incremental trips to Nordstrom Rack stores.\n\nNordstrom.com finished its fifth consecutive year of approximately 20% or more comparable sales growth, with a key driver being increased merchandise selection. In 2015, we plan to open our third fulfillment center, located in Pennsylvania, which will enhance the customer experience through faster delivery. Furthermore, we have extended our full-price offering with our acquisition of Trunk Club, a high-growth business offering a new approach to personalized service.\n\nOur credit business, through our Nordstrom Rewards program, continues to play an important role in attracting new customers and deepening our engagement with existing customers. The program contributes to our overall results, with members shopping more frequently and spending more on average than non-members. For the third consecutive year, we opened over one million new accounts. With over four million active members, 2014 sales from members represented approximately 40% of our sales.\n\nWe are confident in our ability to execute our customer strategy as we evolve with customers and continue to leverage capabilities across all channels to serve customers on their terms. To enhance the customer experience, we continue to make investments in our stores in new markets such as Canada, Puerto Rico and Manhattan, in our ecommerce and fulfillment capabilities and in technology to support growth across all channels. We believe these investments in our customer strategy will help us achieve long-term top-quartile shareholder returns through high single-digit total sales growth and mid-teens Return on Invested Capital.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **COMPETITIVE CONDITIONS**\n\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry similar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific competitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer experiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, technology, product fulfillment, personalization and appealing, relevant store environments in top locations.\n\n#### **INVENTORY**\n\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and receipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and receive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). Beginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of merchandise from some of our full-line stores' top brands in advance of the upcoming selling seasons to take advantage of favorable buying opportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. We pay for our merchandise purchases under the terms established with our vendors.\n\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and foreign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We expect our suppliers to meet our \"Nordstrom Partnership Guidelines,\" which address our corporate social responsibility standards for matters such as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\n\n#### **EMPLOYEES**\n\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, employment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. We believe our relationship with our employees is good.\n\n#### **CAUTIONARY STATEMENT**\n\nCertain statements in this Annual Report on Form 10-K contain or may suggest \"forward-looking\" information (as defined in the Private Securities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the fiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new and international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current beliefs and expectations of the company's management and are subject to significant risks and uncertainties. Actual future results may differ materially from historical results or current expectations depending upon factors including, but not limited to:\n\n- successful execution of our customer strategy, including expansion into new markets, acquisitions, investments in our stores and online, our ability to realize the anticipated benefits from growth initiatives, our ability to provide a seamless experience across all channels, and the timely completion of construction associated with newly planned stores, relocations and remodels, all of which may be impacted by the financial health of third parties,\n- our ability to manage the transformation of our business/financial model as we increase our investments in growth opportunities, including our online business and our ability to manage related organizational changes,\n- our ability to maintain relationships with our employees and to effectively attract, develop and retain our future leaders,\n- effective inventory management, disruptions in our supply chain and our ability to control costs,\n- the impact of any systems failures, cybersecurity and/or security breaches, including any security breach of our systems or those of a third-party provider that results in the theft, transfer or unauthorized disclosure of customer, employee or company information or compliance with information security and privacy laws and regulations in the event of such an incident,\n- successful execution of our information technology strategy,\n- our ability to effectively utilize data in strategic planning and decision making,\n- efficient and proper allocation of our capital resources,\n- reviewing of options and structure for a financial partner in regards to a potential transaction related to our credit card receivables,\n- our ability to safeguard our reputation and maintain our vendor relationships,\n- the impact of economic and market conditions and the resultant impact on consumer spending patterns,\n- our ability to respond to the business environment, fashion trends and consumer preferences, including changing expectations of service and experience in stores and online,\n- the effectiveness of planned advertising, marketing and promotional campaigns in the highly competitive retail industry,\n- weather conditions, natural disasters, health hazards, national security or other market disruptions, or the prospects of these events and the resulting impact on consumer spending patterns,\n- our compliance with applicable banking-related laws and regulations impacting our ability to extend credit to our customers, employment laws and regulations, certain international laws and regulations, other laws and regulations applicable to us, including the outcome of claims and litigation and resolution of tax matters, and ethical standards,\n- impact of the current regulatory environment and financial system and health care reforms,", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### Gross Profit (2014 vs. 2013)\n\nOur Retail gross profit rate decreased 52 basis points compared with 2013 due to increased markdowns and Nordstrom Rack's accelerated store expansion. The growth in Nordstrom Rack stores resulted in a higher occupancy expense as sales volume at new stores typically take several years to reach the average of our mature stores and also have substantial pre-opening costs. Retail gross profit increased $275 in 2014 due to an increase in net sales, partially offset by increased markdowns.\n\nOur inventory turnover rate decreased to 4.67 times in 2014, from 5.07 times in 2013. Ending inventory per square foot increased 8.8% compared with the same period in 2013, which outpaced the total sales per square foot increase of 3.9% primarily due to planned inventory growth related to Nordstrom Rack and Nordstromrack.com and HauteLook.\n\n#### Gross Profit (2013 vs. 2012)\n\nOur Retail gross profit rate decreased 41 basis points compared with 2012 primarily due to higher expenses associated with the growth in the Nordstrom Rewards customer loyalty program and higher occupancy costs related to Nordstrom Rack's accelerated store expansion. Retail gross profit increased $99 in 2013 compared with 2012 due to an increase in net sales at Nordstrom.com and Nordstrom Rack, which was partially offset by a decrease in full-line net sales and increased occupancy costs related to Nordstrom Rack's accelerated store expansion.\n\nOur inventory turnover rate decreased to 5.07 times in 2013, from 5.37 times in 2012. This was primarily due to our increased investment in pack and hold inventory at Nordstrom Rack, which helped fuel the growth in that channel. On a per square foot basis, we ended the year with a 9.4% increase in our ending inventory on a 0.8% increase in sales compared with 2012. The increase in ending inventory per square foot relative to the increase in sales per square foot was primarily due to the impact of the 53rd week in 2012, which decreased inventory levels in our full-line stores and included an additional week of sales in 2012. In 2013, we also planned inventory increases in full-line stores to fuel growth in well-performing merchandise categories and increased our pack and hold inventory at Nordstrom Rack.\n\n#### **Retail Business Selling, General and Administrative Expenses**\n\nRetail Business selling, general and administrative expenses (\"Retail SG&A\") are summarized in the following table:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Selling, general and administrative expenses | $3,588 | $3,272 | $3,172 |\n| Selling, general and administrative expenses as a % of net sales | 27.4% | 26.9% | 27.0% |\n\n#### Selling, General and Administrative Expenses (2014 vs. 2013)\n\nOur Retail SG&A rate increased 48 basis points in 2014 compared with 2013 primarily due to expenses related to the acquisition of Trunk Club and ongoing fulfillment and technology investments. Our Retail SG&A increased $316 in 2014 due primarily to growth-related investments in fulfillment and technology.\n\n#### Selling, General and Administrative Expenses (2013 vs. 2012)\n\nOur Retail SG&A rate decreased 8 basis points in 2013 compared with 2012 due to expense leverage from increased sales volume. Our Retail SG&A expenses increased $100 in 2013 compared with 2012 due primarily to growth-related investments in our ecommerce business, Nordstrom Rack's accelerated store expansion and Canada pre-opening expenses. The increase also reflected expenses associated with higher sales volume and the opening of 22 Nordstrom Rack stores in 2013.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 1. Business.**\n\n## **DESCRIPTION OF BUSINESS**\n\nFounded in 1901 as a retail shoe business in Seattle, Nordstrom later incorporated in Washington state in 1946 and went on to become one of the leading fashion specialty retailers based in the U.S. As of March 16, 2015, we operate 290 U.S. stores located in 38 states as well as a robust ecommerce business through Nordstrom.com, Nordstromrack.com and HauteLook and TrunkClub.com. We also operate two Nordstrom full-line stores in Canada. The west and east coasts of the U.S. are the areas in which we have the largest presence. We have two reportable segments: Retail and Credit.\n\nAs of March 16, 2015, the **Retail** segment includes our 115 \"Nordstrom\" branded full-line stores in the U.S. and Nordstrom.com, 167 off-price Nordstrom Rack stores, two Canada full-line stores, Nordstromrack.com and HauteLook, and other retail channels including five Trunk Club showrooms and TrunkClub.com, our two Jeffrey boutiques and one clearance store that operates under the name \"Last Chance.\" Through these multiple retail channels, we strive to deliver the best customer experience possible. We offer an extensive selection of high-quality brand-name and private label merchandise focused on apparel, shoes, cosmetics and accessories. Our integrated Nordstrom full-line stores and online store allow us to provide our customers with a seamless shopping experience. In-store purchases are primarily fulfilled from that store's inventory, but when inventory is unavailable at that store it may also be shipped to our customers from our fulfillment center in Cedar Rapids, Iowa, or from other Nordstrom full-line stores. Online purchases are primarily shipped to our customers from our Cedar Rapids fulfillment center, but may also be shipped from our Nordstrom full-line stores. Our customers can also pick up online orders in our Nordstrom full-line stores if inventory is available at one of our locations. These capabilities allow us to better serve customers across various channels and improve sales. Nordstrom Rack stores purchase high-quality brand-name merchandise primarily from the same vendors carried in Nordstrom full-line stores and also serve as outlets for clearance merchandise from our Nordstrom stores and other retail channels. During the year, we launched Nordstromrack.com and the associated mobile app. Nordstromrack.com combines the technology expertise of HauteLook with the merchant expertise of Nordstrom Rack. Nordstromrack.com and HauteLook offer limited-time sale events on fashion and lifestyle brands as well as a persistent selection of off-price, high-quality brand-name merchandise and are integrated with a single customer log-in, shared shopping cart and streamlined checkout process. Furthermore, we can accommodate returns from these sites by mail or at any Nordstrom Rack location.\n\nOur **Credit** segment includes our wholly owned federal savings bank, Nordstrom fsb, through which we provide a private label credit card, two Nordstrom Visa credit cards and a debit card. The credit and debit cards feature a loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment would incur if our customers used third-party cards.\n\nFor more information about our business and our reportable segments, see Item 7: Management's Discussion and Analysis of Financial Condition and Results of Operations and Note 16: Segment Reporting in Item 8: Financial Statements and Supplementary Data.\n\n#### **FISCAL YEAR**\n\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31st. References to 2014 and all years within this document are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\n\n#### **TRADEMARKS**\n\nWe have 156 trademarks, each of which is the subject of one or more trademark registrations and/or trademark applications. Our most notable trademarks include Nordstrom, Nordstrom Rack, HauteLook, Halogen, BP., Zella, Caslon and Trunk Club. Each of our trademarks is renewable indefinitely, provided that it is still used in commerce at the time of the renewal.\n\n#### **RETURN POLICY**\n\nWe have a fair and liberal approach to returns as part of our objective to provide high-quality customer service. We do not have a formal return policy at our Nordstrom full-line stores or online at Nordstrom.com. Our goal is to take care of our customers, which includes making returns and exchanges easy, whether in stores or online, where we offer free shipping and free returns. Our Nordstrom Rack stores generally accept returns up to 90 days from the date of purchase with the original price tag and sales receipt, and also accept returns of Nordstromrack.com and HauteLook merchandise. Nordstromrack.com and HauteLook generally accept returns of apparel, footwear and accessories within 90 days from the date of shipment.\n\n#### **SEASONALITY**\n\nDue to our Anniversary Sale in July and the holidays in December, our sales are typically higher in the second and fourth quarters than in the first and third quarters of the fiscal year.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Nordstrom, Inc. Consolidated Statements of Earnings**\n\nIn millions except per share amounts\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net sales | $13,110 | $12,166 | $11,762 |\n| Credit card revenues | 396 | 374 | 372 |\n| Total revenues | 13,506 | 12,540 | 12,134 |\n| Cost of sales and related buying and occupancy costs | (8,406) | (7,737) | (7,432) |\n| Selling, general and administrative expenses | (3,777) | (3,453) | (3,357) |\n| Earnings before interest and income taxes | 1,323 | 1,350 | 1,345 |\n| Interest expense, net | (138) | (161) | (160) |\n| Earnings before income taxes | 1,185 | 1,189 | 1,185 |\n| Income tax expense | (465) | (455) | (450) |\n| Net earnings | $720 | $734 | $735 |\n| Earnings per share: | | | |\n| Basic | $3.79 | $3.77 | $3.62 |\n| Diluted | $3.72 | $3.71 | $3.56 |\n| Weighted-average shares outstanding: | | | |\n| Basic | 190.0 | 194.5 | 203.0 |\n| Diluted | 193.6 | 197.7 | 206.7 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.\n\n# **Nordstrom, Inc.**\n\n# **Consolidated Statements of Comprehensive Earnings**\n\nIn millions\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net earnings | $720 | $734 | $735 |\n| Postretirement plan adjustments, net of tax of $7, ($6) and $1 | (11) | 10 | (2) |\n| Foreign currency translation adjustment | (14) | (2) | — |\n| Comprehensive net earnings | $695 | $742 | $733 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 48, - "page_end": 48, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **RESULTS OF OPERATIONS**\n\nOur reportable segments are Retail and Credit. Our Retail segment includes our U.S. Nordstrom branded full-line stores and online store, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club, Jeffrey, our Canada store and our Last Chance clearance store. For purposes of discussion and analysis of our results of operations of our Retail Business, we combine our Retail segment results with revenues and expenses in the \"Corporate/Other\" column of Note 16: Segment Reporting in the Notes to Consolidated Financial Statements of Item 8: Financial Statements and Supplementary Data. We analyze our results of operations through earnings before interest and income taxes for our Retail Business and Credit, while interest expense and income taxes are discussed on a total company basis.\n\nSimilar to many other retailers, Nordstrom follows the retail 4-5-4 reporting calendar, which included an extra week in the fourth quarter of 2012 (the \"53rd week\"). The analysis of our results of operations, liquidity and capital resources compares the 52 weeks in 2013 to the 53 weeks in 2012. However, the 53rd week is not included in comparable sales calculations. In 2012, the 53rd week contributed approximately $0.04 to earnings per diluted share.\n\n#### RETAIL BUSINESS\n\n#### **Summary**\n\nThe following table summarizes the results of our Retail Business for the past three years:\n\n| Fiscal year | 2014 | | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | % of net | | % of net | | % of net |\n| | Amount | sales1 | Amount | sales1 | Amount | sales1 |\n| Net sales | $13,110 | 100.0% | $12,166 | 100.0% | $11,762 | 100.0% |\n| Cost of sales and related buying and | | | | | | |\n| occupancy costs | (8,401) | (64.1%) | (7,732) | (63.6%) | (7,427) | (63.1%) |\n| Gross profit | 4,709 | 35.9% | 4,434 | 36.4% | 4,335 | 36.9% |\n| Selling, general and administrative expenses | (3,588) | (27.4%) | (3,272) | (26.9%) | (3,172) | (27.0%) |\n| Earnings before interest and income taxes | $1,121 | 8.6% | $1,162 | 9.6% | $1,163 | 9.9% |\n\n1 Subtotals and totals may not foot due to rounding.", - "page_start": 28, - "page_end": 28, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many employees did Nordstrom count in 2014 ?", - "target_page": 17, - "target_passage": "During 2014, we employed approximately 67,000 employees on a full- or part-time basis.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "#### Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n#### Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n#### **Retail Business Gross Profit**\n\nThe following table summarizes the Retail Business gross profit:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Retail gross profit1 | $4,709 | $4,434 | $4,335 |\n| Retail gross profit as a % of net sales | 35.9% | 36.4% | 36.9% |\n| Ending inventory per square foot2 | $64.05 | $58.84 | $53.77 |\n| Inventory turnover rate3 | 4.67 | 5.07 | 5.37 |\n\n1 Retailers do not uniformly record the costs of buying and occupancy and supply chain operations (freight, purchasing, receiving, distribution, etc.) between gross profit and selling, general and administrative expense. As such, our gross profit and selling, general and administrative expenses and rates may not be comparable to other retailers' expenses and rates.\n\n2 Ending inventory includes pack and hold inventory of $222, $173 and $125 in 2014, 2013 and 2012, which represents strategic purchases of merchandise for upcoming selling seasons.\n\n3 Inventory turnover rate is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Retailers do not uniformly calculate inventory turnover as buying and occupancy costs may be included in selling, general and administrative expenses. As such, our inventory turnover rates may not be comparable to other retailers.", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.**\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n#### **OVERVIEW**\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: \"Nordstrom\" branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name \"Last Chance.\" As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.\n\nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of Nordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated growth in this channel in the second half of 2014. Demonstrating synergies across our businesses, we enabled customers to return purchases from HauteLook and Nordstromrack.com to any of our Nordstrom Rack stores, which drove nearly one million incremental trips to Nordstrom Rack stores.\n\nNordstrom.com finished its fifth consecutive year of approximately 20% or more comparable sales growth, with a key driver being increased merchandise selection. In 2015, we plan to open our third fulfillment center, located in Pennsylvania, which will enhance the customer experience through faster delivery. Furthermore, we have extended our full-price offering with our acquisition of Trunk Club, a high-growth business offering a new approach to personalized service.\n\nOur credit business, through our Nordstrom Rewards program, continues to play an important role in attracting new customers and deepening our engagement with existing customers. The program contributes to our overall results, with members shopping more frequently and spending more on average than non-members. For the third consecutive year, we opened over one million new accounts. With over four million active members, 2014 sales from members represented approximately 40% of our sales.\n\nWe are confident in our ability to execute our customer strategy as we evolve with customers and continue to leverage capabilities across all channels to serve customers on their terms. To enhance the customer experience, we continue to make investments in our stores in new markets such as Canada, Puerto Rico and Manhattan, in our ecommerce and fulfillment capabilities and in technology to support growth across all channels. We believe these investments in our customer strategy will help us achieve long-term top-quartile shareholder returns through high single-digit total sales growth and mid-teens Return on Invested Capital.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **Retail Business Net Sales**\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel2: | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | — |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot3: | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels (Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) as a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square footage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## **Nordstrom, Inc. Consolidated Balance Sheets** In millions\n\n**January 31, 2015 February 1, 2014 Assets** Current assets: Cash and cash equivalents **$827** $1,194 Accounts receivable, net **2,306** 2,177 Merchandise inventories **1,733** 1,531 Current deferred tax assets, net **256** 239 Prepaid expenses and other **102** 87 Total current assets **5,224** 5,228 Land, property and equipment, net **3,340** 2,949 Goodwill **435** 175 Other assets **246** 222 **Total assets $9,245** $8,574 **Liabilities and Shareholders' Equity** Current liabilities: Accounts payable **$1,328** $1,263 Accrued salaries, wages and related benefits **416** 395 Other current liabilities **1,048** 876 Current portion of long-term debt **8** 7 Total current liabilities **2,800** 2,541 Long-term debt, net **3,123** 3,106 Deferred property incentives, net **510** 498 Other liabilities **372** 349\n\n#### Commitments and contingencies\n\n| Shareholders' equity: | | |\n| --- | --- | --- |\n| Common stock, no par value: 1,000 shares authorized; 190.1 and 191.2 shares issued and | | |\n| outstanding | 2,338 | 1,827 |\n| Retained earnings | 166 | 292 |\n| Accumulated other comprehensive loss | (64) | (39) |\n| Total shareholders' equity | 2,440 | 2,080 |\n| Total liabilities and shareholders' equity | $9,245 | $8,574 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 49, - "page_end": 49, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **COMPETITIVE CONDITIONS**\n\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry similar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific competitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer experiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, technology, product fulfillment, personalization and appealing, relevant store environments in top locations.\n\n#### **INVENTORY**\n\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and receipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and receive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). Beginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of merchandise from some of our full-line stores' top brands in advance of the upcoming selling seasons to take advantage of favorable buying opportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. We pay for our merchandise purchases under the terms established with our vendors.\n\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and foreign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We expect our suppliers to meet our \"Nordstrom Partnership Guidelines,\" which address our corporate social responsibility standards for matters such as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\n\n#### **EMPLOYEES**\n\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, employment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. We believe our relationship with our employees is good.\n\n#### **CAUTIONARY STATEMENT**\n\nCertain statements in this Annual Report on Form 10-K contain or may suggest \"forward-looking\" information (as defined in the Private Securities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the fiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new and international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current beliefs and expectations of the company's management and are subject to significant risks and uncertainties. Actual future results may differ materially from historical results or current expectations depending upon factors including, but not limited to:\n\n- successful execution of our customer strategy, including expansion into new markets, acquisitions, investments in our stores and online, our ability to realize the anticipated benefits from growth initiatives, our ability to provide a seamless experience across all channels, and the timely completion of construction associated with newly planned stores, relocations and remodels, all of which may be impacted by the financial health of third parties,\n- our ability to manage the transformation of our business/financial model as we increase our investments in growth opportunities, including our online business and our ability to manage related organizational changes,\n- our ability to maintain relationships with our employees and to effectively attract, develop and retain our future leaders,\n- effective inventory management, disruptions in our supply chain and our ability to control costs,\n- the impact of any systems failures, cybersecurity and/or security breaches, including any security breach of our systems or those of a third-party provider that results in the theft, transfer or unauthorized disclosure of customer, employee or company information or compliance with information security and privacy laws and regulations in the event of such an incident,\n- successful execution of our information technology strategy,\n- our ability to effectively utilize data in strategic planning and decision making,\n- efficient and proper allocation of our capital resources,\n- reviewing of options and structure for a financial partner in regards to a potential transaction related to our credit card receivables,\n- our ability to safeguard our reputation and maintain our vendor relationships,\n- the impact of economic and market conditions and the resultant impact on consumer spending patterns,\n- our ability to respond to the business environment, fashion trends and consumer preferences, including changing expectations of service and experience in stores and online,\n- the effectiveness of planned advertising, marketing and promotional campaigns in the highly competitive retail industry,\n- weather conditions, natural disasters, health hazards, national security or other market disruptions, or the prospects of these events and the resulting impact on consumer spending patterns,\n- our compliance with applicable banking-related laws and regulations impacting our ability to extend credit to our customers, employment laws and regulations, certain international laws and regulations, other laws and regulations applicable to us, including the outcome of claims and litigation and resolution of tax matters, and ethical standards,\n- impact of the current regulatory environment and financial system and health care reforms,", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Dollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "| FISCAL YEAR | 2014 | 2013 | % CHANGE |\n| --- | --- | --- | --- |\n| Net sales | $13,110 | $12,166 | 7.8 |\n| Earnings before interest and income taxes (EBIT) | 1,323 | 1,350 | (2.0) |\n| Net earnings | 720 | 734 | (1.9) |\n| Earnings per diluted share | 3.72 | 3.71 | 0.3 |\n| Cash dividends paid per share | 1.32 | 1.20 | 10.0 |\n\n**NET SALES ($)**\n\n| NET SALES PERCENTAGE INCREASE | | | | |\n| --- | --- | --- | --- | --- |\n| '10 | '11 | '12 | '13 | '14 |\n| 12.7 | 12.7 | 12.1 | 3.4 | 7.8 |\n\n**SALES PER SQUARE FOOT AND 4-WALL SALES PER SQUARE FOOT ($)***\n\n**EARNINGS BEFORE INTEREST AND INCOME TAXES (EBIT) ($)** \n\n**COMPARABLE SALES PERCENTAGE INCREASE**\n\nSales Per Square Foot\n\n21008 - 037404A 2014 ANNUAL REPORT - pg IFC-IBC\n\n8.375 X 10.875 - PDF X1A - KODAK\n\n#### **CASH FLOW FROM OPERATIONS ($)**\n\n**RETURN ON ASSETS AND RETURN ON INVESTED CAPITAL (ROIC) (%)*****\n\nDollars in millions except per share and per square foot amounts.\n\n*4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jerey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.\n\n**Inventory Turn is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Our inventory turnover rate decreased in 2012, 2013 and 2014 primarily due to increasing our investment in pack and hold inventory beginning in 2012, which helped fuel the growth of Nordstrom Rack. ***See Return on Invested Capital (ROIC) Non-GAAP financial measure on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Nordstrom, Inc. Consolidated Statements of Earnings**\n\nIn millions except per share amounts\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net sales | $13,110 | $12,166 | $11,762 |\n| Credit card revenues | 396 | 374 | 372 |\n| Total revenues | 13,506 | 12,540 | 12,134 |\n| Cost of sales and related buying and occupancy costs | (8,406) | (7,737) | (7,432) |\n| Selling, general and administrative expenses | (3,777) | (3,453) | (3,357) |\n| Earnings before interest and income taxes | 1,323 | 1,350 | 1,345 |\n| Interest expense, net | (138) | (161) | (160) |\n| Earnings before income taxes | 1,185 | 1,189 | 1,185 |\n| Income tax expense | (465) | (455) | (450) |\n| Net earnings | $720 | $734 | $735 |\n| Earnings per share: | | | |\n| Basic | $3.79 | $3.77 | $3.62 |\n| Diluted | $3.72 | $3.71 | $3.56 |\n| Weighted-average shares outstanding: | | | |\n| Basic | 190.0 | 194.5 | 203.0 |\n| Diluted | 193.6 | 197.7 | 206.7 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.\n\n# **Nordstrom, Inc.**\n\n# **Consolidated Statements of Comprehensive Earnings**\n\nIn millions\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net earnings | $720 | $734 | $735 |\n| Postretirement plan adjustments, net of tax of $7, ($6) and $1 | (11) | 10 | (2) |\n| Foreign currency translation adjustment | (14) | (2) | — |\n| Comprehensive net earnings | $695 | $742 | $733 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 48, - "page_end": 48, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Executive Officers**\n\nExecutive Vice President, Executive Vice President,\n\n**Brian K. Dennehy,** 49 Executive Vice President and Apparel Executive Vice President and Regional Manager, Chief Marketing Officer Southern California **Geevy S. K. Thomas,** 50\n\nExecutive Vice President and Nordstrom Rack Chief Financial Officer **Blake W. Nordstrom,** 54\n\n**Gemma Lionello,** 49 Executive Vice President and General Merchandise Manager, Executive Vice President and Cosmetics Division President, Nordstrom.com **David M. Witman,** 56\n\nChief Information Officer President, Stores\n\nFinance and Operations, President, Merchandising Nordstrom.com\n\n**Teri Bariquit,** 49 **Steven C. Mattics,** 46 **Robert B. Sari,** 58 Executive Vice President, Executive Vice President; Executive Vice President, Nordstrom Merchandising Group Chairman and Chief Executive Officer of General Counsel and Secretary Nordstrom fsb, **Kirk Beardsley,** 46 President of Nordstrom Credit, Inc. **Michael Sato,** 48\n\nOnline Merchandising **Scott A. Meden,** 52 Supply Chain Executive Vice President and **Terence Boyle,** 42 General Merchandise Manager, **Tricia D. Smith,** 43 Executive Vice President, Shoe Division Executive Vice President and\n\n**James A. Howell,** 49 **Margaret Myers,** 68 President, Nordstrom Rack Executive Vice President, Executive Vice President and Finance and Treasurer General Merchandise Manager, **Paige L. Thomas,** 43 Accessories and Women's Executive Vice President and **Michael G. Koppel,** 58 Specialized Divisions General Merchandise Manager,\n\nPresident **Mark J. Tritton,** 51\n\nExecutive Vice President and Executive Vice President and Men's Apparel\n\n**Lisa Luther,** 46 **Peter E. Nordstrom,** 53 Executive Vice President, Executive Vice President of Executive Vice President and Strategy and Development\n\n> **Brian Saltzman,** 47 Executive Vice President, User Experience and Optimization\n\nNordstromrack.com|HauteLook General Merchandise Manager, **Robert J. Middlemas,** 58 Designer, Women's and Kids'\n\nExecutive Vice President and\n\nExecutive Vice President and **Erik B. Nordstrom,** 51 President, Nordstrom Product Group\n\nExecutive Vice President and **Daniel F. Little,** 53 **James F. Nordstrom, Jr.,** 42 General Merchandise Manager,\n\n**Kenneth J. Worzel,** 50", - "page_start": 91, - "page_end": 91, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "### **Nordstrom, Inc.**\n\n## **Consolidated Statements of Cash Flows**\n\nIn millions\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Operating Activities | | | |\n| Net earnings | $720 | $734 | $735 |\n| Adjustments to reconcile net earnings to net cash provided by operating activities: | | | |\n| Depreciation and amortization expenses | 508 | 454 | 429 |\n| Amortization of deferred property incentives and other, net | (76) | (58) | (63) |\n| Deferred income taxes, net | 7 | 12 | 22 |\n| Stock-based compensation expense | 68 | 58 | 53 |\n| Tax benefit from stock-based compensation | 20 | 21 | 23 |\n| Excess tax benefit from stock-based compensation | (22) | (23) | (24) |\n| Bad debt expense | 41 | 52 | 42 |\n| Change in operating assets and liabilities: | | | |\n| Accounts receivable | (161) | (93) | (99) |\n| Merchandise inventories | (176) | (157) | (170) |\n| Prepaid expenses and other assets | (4) | (6) | 5 |\n| Accounts payable | 15 | 167 | 48 |\n| Accrued salaries, wages and related benefits | 18 | (12) | 13 |\n| Other current liabilities | 155 | 60 | 36 |\n| Deferred property incentives | 110 | 89 | 58 |\n| Other liabilities | (3) | 22 | 2 |\n| Net cash provided by operating activities | 1,220 | 1,320 | 1,110 |\n| Investing Activities | | | |\n| Capital expenditures | (861) | (803) | (513) |\n| Change in restricted cash | — | — | 200 |\n| Change in credit card receivables originated at third parties | (8) | (6) | (42) |\n| Other, net | (20) | (13) | (14) |\n| Net cash used in investing activities | (889) | (822) | (369) |\n| Financing Activities | | | |\n| Proceeds from long-term borrowings, net of discounts | 34 | 399 | — |\n| Principal payments on long-term borrowings | (7) | (407) | (506) |\n| (Decrease) increase in cash book overdrafts | (4) | 47 | 5 |\n| Cash dividends paid | (251) | (234) | (220) |\n| Payments for repurchase of common stock | (610) | (515) | (725) |\n| Proceeds from issuances under stock compensation plans | 141 | 103 | 91 |\n| Excess tax benefit from stock-based compensation | 22 | 23 | 24 |\n| Other, net | (23) | (5) | (2) |\n| Net cash used in financing activities | (698) | (589) | (1,333) |\n| Net decrease in cash and cash equivalents | (367) | (91) | (592) |\n| Cash and cash equivalents at beginning of year | 1,194 | 1,285 | 1,877 |\n| Cash and cash equivalents at end of year | $827 | $1,194 | $1,285 |\n| Supplemental Cash Flow Information | | | |\n| Cash paid during the year for: | | | |\n| Income taxes, net of refunds | $391 | $445 | $429 |\n| Interest, net of capitalized interest | 152 | 170 | 169 |\n| Non-cash investing and financing activities: | | | |\n| Issuance of common stock for Trunk Club acquisition | 280 | — | — |\n| Debt exchange | — | 201 | — |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 51, - "page_end": 51, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many stores did Nordstrom posses at the end of 2014 ?", - "target_page": 22, - "target_passage": "Number of stores, end of year : 292", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "#### Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n#### Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n#### **Retail Business Gross Profit**\n\nThe following table summarizes the Retail Business gross profit:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Retail gross profit1 | $4,709 | $4,434 | $4,335 |\n| Retail gross profit as a % of net sales | 35.9% | 36.4% | 36.9% |\n| Ending inventory per square foot2 | $64.05 | $58.84 | $53.77 |\n| Inventory turnover rate3 | 4.67 | 5.07 | 5.37 |\n\n1 Retailers do not uniformly record the costs of buying and occupancy and supply chain operations (freight, purchasing, receiving, distribution, etc.) between gross profit and selling, general and administrative expense. As such, our gross profit and selling, general and administrative expenses and rates may not be comparable to other retailers' expenses and rates.\n\n2 Ending inventory includes pack and hold inventory of $222, $173 and $125 in 2014, 2013 and 2012, which represents strategic purchases of merchandise for upcoming selling seasons.\n\n3 Inventory turnover rate is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Retailers do not uniformly calculate inventory turnover as buying and occupancy costs may be included in selling, general and administrative expenses. As such, our inventory turnover rates may not be comparable to other retailers.", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 1. Business.**\n\n## **DESCRIPTION OF BUSINESS**\n\nFounded in 1901 as a retail shoe business in Seattle, Nordstrom later incorporated in Washington state in 1946 and went on to become one of the leading fashion specialty retailers based in the U.S. As of March 16, 2015, we operate 290 U.S. stores located in 38 states as well as a robust ecommerce business through Nordstrom.com, Nordstromrack.com and HauteLook and TrunkClub.com. We also operate two Nordstrom full-line stores in Canada. The west and east coasts of the U.S. are the areas in which we have the largest presence. We have two reportable segments: Retail and Credit.\n\nAs of March 16, 2015, the **Retail** segment includes our 115 \"Nordstrom\" branded full-line stores in the U.S. and Nordstrom.com, 167 off-price Nordstrom Rack stores, two Canada full-line stores, Nordstromrack.com and HauteLook, and other retail channels including five Trunk Club showrooms and TrunkClub.com, our two Jeffrey boutiques and one clearance store that operates under the name \"Last Chance.\" Through these multiple retail channels, we strive to deliver the best customer experience possible. We offer an extensive selection of high-quality brand-name and private label merchandise focused on apparel, shoes, cosmetics and accessories. Our integrated Nordstrom full-line stores and online store allow us to provide our customers with a seamless shopping experience. In-store purchases are primarily fulfilled from that store's inventory, but when inventory is unavailable at that store it may also be shipped to our customers from our fulfillment center in Cedar Rapids, Iowa, or from other Nordstrom full-line stores. Online purchases are primarily shipped to our customers from our Cedar Rapids fulfillment center, but may also be shipped from our Nordstrom full-line stores. Our customers can also pick up online orders in our Nordstrom full-line stores if inventory is available at one of our locations. These capabilities allow us to better serve customers across various channels and improve sales. Nordstrom Rack stores purchase high-quality brand-name merchandise primarily from the same vendors carried in Nordstrom full-line stores and also serve as outlets for clearance merchandise from our Nordstrom stores and other retail channels. During the year, we launched Nordstromrack.com and the associated mobile app. Nordstromrack.com combines the technology expertise of HauteLook with the merchant expertise of Nordstrom Rack. Nordstromrack.com and HauteLook offer limited-time sale events on fashion and lifestyle brands as well as a persistent selection of off-price, high-quality brand-name merchandise and are integrated with a single customer log-in, shared shopping cart and streamlined checkout process. Furthermore, we can accommodate returns from these sites by mail or at any Nordstrom Rack location.\n\nOur **Credit** segment includes our wholly owned federal savings bank, Nordstrom fsb, through which we provide a private label credit card, two Nordstrom Visa credit cards and a debit card. The credit and debit cards feature a loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment would incur if our customers used third-party cards.\n\nFor more information about our business and our reportable segments, see Item 7: Management's Discussion and Analysis of Financial Condition and Results of Operations and Note 16: Segment Reporting in Item 8: Financial Statements and Supplementary Data.\n\n#### **FISCAL YEAR**\n\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31st. References to 2014 and all years within this document are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\n\n#### **TRADEMARKS**\n\nWe have 156 trademarks, each of which is the subject of one or more trademark registrations and/or trademark applications. Our most notable trademarks include Nordstrom, Nordstrom Rack, HauteLook, Halogen, BP., Zella, Caslon and Trunk Club. Each of our trademarks is renewable indefinitely, provided that it is still used in commerce at the time of the renewal.\n\n#### **RETURN POLICY**\n\nWe have a fair and liberal approach to returns as part of our objective to provide high-quality customer service. We do not have a formal return policy at our Nordstrom full-line stores or online at Nordstrom.com. Our goal is to take care of our customers, which includes making returns and exchanges easy, whether in stores or online, where we offer free shipping and free returns. Our Nordstrom Rack stores generally accept returns up to 90 days from the date of purchase with the original price tag and sales receipt, and also accept returns of Nordstromrack.com and HauteLook merchandise. Nordstromrack.com and HauteLook generally accept returns of apparel, footwear and accessories within 90 days from the date of shipment.\n\n#### **SEASONALITY**\n\nDue to our Anniversary Sale in July and the holidays in December, our sales are typically higher in the second and fourth quarters than in the first and third quarters of the fiscal year.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.**\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n#### **OVERVIEW**\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: \"Nordstrom\" branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name \"Last Chance.\" As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.\n\nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of Nordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated growth in this channel in the second half of 2014. Demonstrating synergies across our businesses, we enabled customers to return purchases from HauteLook and Nordstromrack.com to any of our Nordstrom Rack stores, which drove nearly one million incremental trips to Nordstrom Rack stores.\n\nNordstrom.com finished its fifth consecutive year of approximately 20% or more comparable sales growth, with a key driver being increased merchandise selection. In 2015, we plan to open our third fulfillment center, located in Pennsylvania, which will enhance the customer experience through faster delivery. Furthermore, we have extended our full-price offering with our acquisition of Trunk Club, a high-growth business offering a new approach to personalized service.\n\nOur credit business, through our Nordstrom Rewards program, continues to play an important role in attracting new customers and deepening our engagement with existing customers. The program contributes to our overall results, with members shopping more frequently and spending more on average than non-members. For the third consecutive year, we opened over one million new accounts. With over four million active members, 2014 sales from members represented approximately 40% of our sales.\n\nWe are confident in our ability to execute our customer strategy as we evolve with customers and continue to leverage capabilities across all channels to serve customers on their terms. To enhance the customer experience, we continue to make investments in our stores in new markets such as Canada, Puerto Rico and Manhattan, in our ecommerce and fulfillment capabilities and in technology to support growth across all channels. We believe these investments in our customer strategy will help us achieve long-term top-quartile shareholder returns through high single-digit total sales growth and mid-teens Return on Invested Capital.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **Item 1B. Unresolved Staff Comments.**\n\nNone.\n\n# **Item 2. Properties.**\n\nThe following table summarizes the number of retail stores we own or lease, and the percentage of total store square footage represented by each listed category as of January 31, 2015:\n\n| | Number of stores | % of total store square footage |\n| --- | --- | --- |\n| Leased stores on leased land | 195 | 38% |\n| Owned stores on leased land | 61 | 40% |\n| Owned stores on owned land | 35 | 21% |\n| Partly owned and partly leased store | 1 | 1% |\n| Total | 292 | 100% |\n\nThe following table summarizes our store activity during the last three years:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Number of stores, beginning of year | 260 | 240 | 225 |\n| Stores opened | 31 | 22 | 16 |\n| Stores acquired | 4 | — | — |\n| Stores closed | (3) | (2) | (1) |\n| Number of stores, end of year | 292 | 260 | 240 |\n| Nordstrom full-line stores - U.S. | 116 | 117 | 117 |\n| Nordstrom Rack | 167 | 140 | 119 |\n| Other1 | 9 | 3 | 4 |\n\n1 Other includes Jeffrey boutiques, Trunk Club showrooms, our Nordstrom Canada full-line store and Last Chance.\n\nIn 2014, we opened three Nordstrom full-line stores (The Woodlands, Texas; Calgary, Alberta; and Jacksonville, Florida) and 27 Nordstrom Rack stores (Palm Desert, California; San Francisco, California; Chicago, Illinois; Riverside, California; Skokie, Illinois; Tulsa, Oklahoma; Wauwatosa, Wisconsin; Brooklyn, New York; Columbus, Ohio; Houston, Texas; Manhassett, New York; Chicago, Illinois; Dayton, Ohio; Houston, Texas; Queens, New York; Brentwood, Tennessee; Greenville, South Carolina; Madison, Wisconsin; Tempe, Arizona; Brooklyn, New York; Livingston, New Jersey; West Palm Beach, Florida; Brandon, Florida; Columbia, South Carolina; Des Moines, Iowa; Philadelphia, Pennsylvania; and Summerlin, Nevada). As part of our purchase of Trunk Club in August 2014, we acquired four Trunk Club showrooms (Los Angeles, California; Chicago, Illinois; Dallas, Texas; and Washington D.C.) and opened one additional Trunk Club showroom (New York City, New York) in December 2014. Additionally, in 2014, we closed three Nordstrom full-line stores (Orlando, Florida; Vancouver, Washington; and Portland, Oregon).\n\nTo date in 2015, we have opened one Nordstrom full-line store in Ottawa, Ontario. During the remainder of 2015, we have announced the opening of four additional Nordstrom full-line stores (San Juan, Puerto Rico; Vancouver, British Columbia; Minneapolis, Minnesota; and Wauwatosa, Wisconsin) and the opening of 27 additional Nordstrom Rack stores (Bakersfield, California; Redlands, California; Reno, Nevada; Princeton, New Jersey; Westwood, Massachusetts; Webster, Texas; Laguna Niguel, California; Miami, Florida; Springfield, Virginia; St. Louis Park, Minnesota; Dublin, California; Albany, New York; Anchorage, Alaska; Baton Rouge, Louisiana; Buffalo, New York; Cerritos, California; Clearwater, Florida; Eatontown, New Jersey; Emeryville, California; Fort Collins, Colorado; Long Beach, California; Mount Pleasant, South Carolina; Newark, Delaware; Rockaway, New Jersey; Syracuse, New York; Thousand Oaks, California; and Wayne, New Jersey).\n\nWe also own six merchandise distribution centers (Portland, Oregon; Dubuque, Iowa; Ontario, California; Newark, California; Upper Marlboro, Maryland; and Gainesville, Florida) and we own one fulfillment center on leased land (Cedar Rapids, Iowa), all of which are utilized by our Retail segment. Trunk Club and HauteLook, which are included in our Retail segment, lease three administrative offices (Chicago, Illinois; Los Angeles, California and New York City, New York) and one fulfillment center (San Bernardino, California). We plan to open a third, owned fulfillment center (Elizabethtown, Pennsylvania) in the second half of 2015. We lease office buildings in Centennial, Colorado and Scottsdale, Arizona, both for use by our Credit segment. Our administrative offices in Seattle, Washington are a combination of leased and owned space. We also lease a data center in Centennial, Colorado.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **Retail Business Net Sales**\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel2: | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | — |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot3: | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels (Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) as a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square footage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Dollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n| --- | --- | --- | --- |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "The following table lists our U.S. and Canada retail store count and facility square footage by state/province as of January 31, 2015:\n\n| Retail stores by channel | Nordstrom Full-Line Stores - U.S. | | Nordstrom Rack and Other1 | | Total | |\n| --- | --- | --- | --- | --- | --- | --- |\n| State/Province | Count | Square Footage (000's) | Count | Square Footage (000's) | Count | Square Footage (000's) |\n| Alabama | — | — | 1 | 35 | 1 | 35 |\n| Alaska | 1 | 97 | — | — | 1 | 97 |\n| Alberta | — | — | 1 | 142 | 1 | 142 |\n| Arizona | 2 | 384 | 7 | 262 | 9 | 646 |\n| California2 | 32 | 5,489 | 38 | 1,473 | 70 | 6,962 |\n| Colorado | 3 | 559 | 4 | 148 | 7 | 707 |\n| Connecticut | 1 | 189 | 1 | 36 | 2 | 225 |\n| Delaware | 1 | 127 | — | — | 1 | 127 |\n| Florida2 | 9 | 1,389 | 12 | 414 | 21 | 1,803 |\n| Georgia | 3 | 555 | 5 | 165 | 8 | 720 |\n| Hawaii | 1 | 211 | 1 | 44 | 2 | 255 |\n| Idaho | — | — | 1 | 37 | 1 | 37 |\n| Illinois | 4 | 947 | 11 | 401 | 15 | 1,348 |\n| Indiana | 1 | 134 | 1 | 35 | 2 | 169 |\n| Iowa | — | — | 1 | 35 | 1 | 35 |\n| Kansas | 1 | 219 | 1 | 35 | 2 | 254 |\n| Kentucky | — | — | 1 | 33 | 1 | 33 |\n| Maine | — | — | 1 | 30 | 1 | 30 |\n| Maryland | 4 | 765 | 4 | 156 | 8 | 921 |\n| Massachusetts | 4 | 595 | 5 | 193 | 9 | 788 |\n| Michigan | 3 | 552 | 4 | 145 | 7 | 697 |\n| Minnesota | 1 | 240 | 2 | 75 | 3 | 315 |\n| Missouri | 2 | 342 | 2 | 69 | 4 | 411 |\n| Nevada | 1 | 207 | 2 | 70 | 3 | 277 |\n| New Jersey | 5 | 991 | 3 | 102 | 8 | 1,093 |\n| New York | 2 | 460 | 10 | 307 | 12 | 767 |\n| North Carolina | 2 | 300 | 2 | 74 | 4 | 374 |\n| Ohio | 3 | 549 | 6 | 224 | 9 | 773 |\n| Oklahoma | — | — | 2 | 67 | 2 | 67 |\n| Oregon | 4 | 555 | 5 | 190 | 9 | 745 |\n| Pennsylvania | 2 | 381 | 3 | 120 | 5 | 501 |\n| Rhode Island | 1 | 206 | 1 | 38 | 2 | 244 |\n| South Carolina | — | — | 2 | 67 | 2 | 67 |\n| Tennessee | 1 | 145 | 1 | 36 | 2 | 181 |\n| Texas2 | 8 | 1,431 | 15 | 496 | 23 | 1,927 |\n| Utah | 2 | 277 | 3 | 101 | 5 | 378 |\n| Virginia | 5 | 894 | 5 | 201 | 10 | 1,095 |\n| Washington | 7 | 1,392 | 7 | 276 | 14 | 1,668 |\n| Washington D.C. | — | — | 3 | 80 | 3 | 80 |\n| Wisconsin | — | — | 2 | 67 | 2 | 67 |\n| Total (38 states/1 province) | 116 | 20,582 | 176 | 6,479 | 292 | 27,061 |\n\n1 Other includes one Nordstrom Canada full-line store, five Trunk Club showrooms, one Last Chance clearance store and two Jeffrey boutiques.\n\n2 California, Texas and Florida had the highest square footage, with a combined 10,692 square feet, representing 40% of the total company square footage.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## **Nordstrom, Inc. Consolidated Balance Sheets** In millions\n\n**January 31, 2015 February 1, 2014 Assets** Current assets: Cash and cash equivalents **$827** $1,194 Accounts receivable, net **2,306** 2,177 Merchandise inventories **1,733** 1,531 Current deferred tax assets, net **256** 239 Prepaid expenses and other **102** 87 Total current assets **5,224** 5,228 Land, property and equipment, net **3,340** 2,949 Goodwill **435** 175 Other assets **246** 222 **Total assets $9,245** $8,574 **Liabilities and Shareholders' Equity** Current liabilities: Accounts payable **$1,328** $1,263 Accrued salaries, wages and related benefits **416** 395 Other current liabilities **1,048** 876 Current portion of long-term debt **8** 7 Total current liabilities **2,800** 2,541 Long-term debt, net **3,123** 3,106 Deferred property incentives, net **510** 498 Other liabilities **372** 349\n\n#### Commitments and contingencies\n\n| Shareholders' equity: | | |\n| --- | --- | --- |\n| Common stock, no par value: 1,000 shares authorized; 190.1 and 191.2 shares issued and | | |\n| outstanding | 2,338 | 1,827 |\n| Retained earnings | 166 | 292 |\n| Accumulated other comprehensive loss | (64) | (39) |\n| Total shareholders' equity | 2,440 | 2,080 |\n| Total liabilities and shareholders' equity | $9,245 | $8,574 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 49, - "page_end": 49, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "**THE WOODLANDS, TEXAS**\n\n*Just visited* **\"** *the first Nordstrom in Canada. Well done. It's a fantastic store.* OUR CUSTOMER, **\"**ROB\n\n**OH, CANADA!** BY 2017, WE'LL HAVE SIX STORES IN CANADA— FROM VANCOUVER TO OTTAWA.\n\n8.375 X 10.875 - PDF X1A - KODAK\n\n21008 - 037404B 2014 ANNUAL REPORT pg 6\n\ncustomer experience that will allow us to evolve with our customers in the years to come. In January 2015, the Retail Design Institute recognized Nordstrom The Woodlands with First Place for a New or Remodeled Department Store and Innovation in Store Planning. We appreciate their recognition, but the true measure of success will come from our customers' experiences in our new stores.\n\nIn addition to our two new stores in Canada this year, we'll also open stores in Puerto Rico, Milwaukee and a second store in Minneapolis, which has long been a terrific market for us.\n\nWe are also mindful of serving customers better through product, speed and convenience. Expanded merchandise selection and growing customer adoption of mobile shopping are two factors contributing to the\n\ncontinued growth of Nordstrom.com. First, we've expanded Nordstrom.com selection by three times from three years ago, so customers have greater choice of their favorite brands. Second, a great mobile experience is a vital link to many customers, and we are working hard behind the scenes to improve this experience. We have enhanced our mobile app with localized inventory and personalized homepage features, and more features are coming this year.\n\nWe are also opening a fulfillment center in Elizabethtown, Pennsylvania, in 2015 that, when combined with our fulfillment center in Cedar Rapids, Iowa, and our Nordstromrack.com/HauteLook fulfillment center in San Bernardino, California, will greatly increase our capabilities. These fulfillment centers will allow us", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "**OUR NEW LOOK** FROM WINDOWS THAT BRING THE OUTSIDE IN TO DEPARTMENTS THAT SEAMLESSLY FLOW TOGETHER— OUR NEW STORE DESIGN CREATES AN EXCITING SPACE THAT CAN CHANGE WITH HOW OUR CUSTOMERS SHOP.\n\nto be within two-day ground delivery of approximately half the population of the United States, which will help improve delivery times for customers and help us meet their rising expectations.\n\nFinally, in 2014, we acquired Trunk Club, a high-growth personalized men's clothing business based on a service model that is highly complementary to our own. We believe Trunk Club is a natural extension of our business, and together we will continue to evolve and bring together the online and oine worlds to deliver a great shopping experience.\n\n#### OFF-PRICE: NORDSTROM RACK, NORDSTROMRACK.COM AND HAUTELOOK\n\n21008 - 037404B 2014 ANNUAL REPORT pg 7\n\n8.375 X 10.875 - PDF X1A - KODAK\n\nWe opened a record 27 new Nordstrom Rack stores, ending 2014 with 167 stores and on track to meet our long-term growth plans\n\nof 300 stores by 2020. Customers continue to respond favorably to the treasure-hunt experience that defines Nordstrom Rack stores. As we expand in many markets for the first time, we hope to continue delivering a great experience, as this business represents a terrific opportunity for us to attract new customers. Last year, Nordstrom Rack was our biggest source of new customers, attracting nearly 4 million. Also, a year ago, we began accepting returns of HauteLook and Nordstromrack.com merchandise at any Nordstrom Rack store. This drove nearly 1 million trips to Nordstrom Rack stores in 2014. The Nordstrom Rack customer also tends to be younger than our full-line customer, and there is a meaningful opportunity for these customers to begin shopping our full-price channels as well. We plan to open 27 more Nordstrom Racks in 2015 across the U.S.\n\n*I love how you used models with* **\"** *physical challenges in your Anniversary catalog. Nice work!* **\"**\n\nOUR CUSTOMER, DONNA A.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What type of nanostructured material works notably well to build gas nanosensors ?", - "target_page": 1, - "target_passage": "carbon nanotubes (CNT) [2] have been shown to work remarkably well as de- tectors of small gas molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## arXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010\n\n## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra1,2 , ∗ D. J. Mowbray1,2, K. S. Thygesen2 , A. Rubio1,3, and K. W. Jacobsen2\n\n*1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,*\n\n*Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebastian, Spain ´*\n\n*2Center for Atomic-scale Materials Design, Department of Physics,*\n\n*Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany*\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3–8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert – a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11–13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13–21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant (>1 Ω) for small changes in CO concentration in the relevant range of around 0.1–10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 A for ˚ representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 A˚ ×15 A˚ ×14.622 A). For this size ˚ of supercell a Γ-point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1)\n\nwhere E[M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E[C] is the energy per carbon atom in a pristine nanotube, and E[M@NT]\n\n<i>Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), \"Grupos Consolidados UPV/EHU del Gobierno Vasco\" (IT-319-07), e-I3 ETSF project (Contract Number 211956), \"Red Espanola de Super- ˜ computacion\", NABIIT and the Danish Center for Scientific ´ Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jose Castillejo programs. ´\n\n∗ Electronic address: juanmaria.garcia@ehu.es\n\n- [1] *Gas Sensing Materials, MRS Bull.*, vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, \"Electronic and transport properties of nanotubes\", Rev. Mod. Phys. 79(2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. 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Grigorian, \"Tailoring gas sensing properties of carbon nanotubes\", J. Appl. Phys. 104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, \"Variable range hopping in oxygen-exposed single-wall carbon nanotube networks\", Phys. Stat. Solidi A 205(6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \"Influence of O2 and N2 on the conductivity of carbon nanotube networks\", Phys. Rev. B 79(19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, \"Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory\", Chem. Phys. Lett. 387(4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, \"Defective carbon nanotubes for single-molecule sensing\", Phys. Rev. B 80(15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and Angel Rubio, \"Conductance of sidewall-functionalized ´ carbon nanotubes: Universal dependence on adsorption sites\", Phys. Rev. Lett. 101(23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, \"*Ab initio* study of an iron atom interacting with single-wall carbon nanotubes\", Phys. Rev. B 67(20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, \"Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3d transition metals: A first-principles study\", Phys. Rev. B 69(7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. 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B 78(19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, \"Embedding transition- ¨ metal atoms in graphene: Structure, bonding, and magnetism\", Phys. Rev. Lett. 102(12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \"Real-space grid implementation of the projector augmented wave method\", Phys. Rev. B 71(3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, \"Generalized gradient approximation made simple\", Phys. Rev. Lett. 77(18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\n$$E_{\\rm form}[{\\rm VC}]=E[{\\rm VC}]+nE[{\\rm C}]-E[{\\rm NT}],\\tag{2}$$\n\nwhere E[VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov *et al.* for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\n$$E_{\\rm ads}[X\\,\\mbox{\\small@M@VC}]=E[X\\,\\mbox{\\small@M@VC}]-E[X]-E[\\mbox{\\small@VC}],\\tag{3}$$\n\nFIG. 2: Calculated (a) adsorption energy Eads in eV and (b) change in conductance ∆G in units of G0 =2e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E[X@M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E[X] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\n$$\\Theta[X]=\\frac{K[X]C[X]}{1+\\sum_{Y}K[Y]C[Y]},\\tag{4}$$\n\nwhere K = k+/k− is the ratio of forward and backward rate constants for the adsorption reaction,\n\n$$K[X]=\\exp\\left[-\\frac{E_{\\rm ads}[X]+TS[X]}{k_{B}T}\\right].\\tag{5}$$\n\nIn these expressions C[X] is the concentration of species X, S[X] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C5 and C8) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C10 and C12). For even longer chains (C14), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. 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Nagayama, \"Stripe patterns formed on a glass-surface during droplet evaporation,\" Langmuir 11, 1057–1060 (1995).\n- [46] R. D. Deegan, \"Pattern formation in drying drops,\" Phys. Rev. E 61, 475–485 (2000).\n- [47] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, \"Contact line deposits in an evaporating drop,\" Phys. Rev. E 62, 756–765 (2000).\n- [48] L. Shmuylovich, A. Q. Shen, and H. A. Stone, \"Surface morphology of drying latex films: Multiple ring formation,\" Langmuir 18, 3441–3445 (2002).\n- [49] V. X. Nguyen and K. J. Stebe, \"Patterning of small particles by a surfactant-enhanced Marangoni-", - "page_start": 27, - "page_end": 27, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 2: Typical KMC results for the final dried-in nanoparticle structures resulting from the evaporative dewetting processes of nanoparticle solutions (nanofluids) in the case of (a) a spinodal-like process at µ = −2.55, (b) nucleation and growth of holes at µ = −2.3, (c) unstable fronts at µ = −2.3 and low mobility M = 5, and (d) unstable fronts at µ = −2.3 and medium mobility M = 10. The starting configuration in (a) and (b) is a homogeneous liquid film with uniformly distributed particles whereas in (c) and (d) a hole at the center is nucleated 'by hand'. The remaining parameters are (a,b) M = 50, nl = 2.0, nn = 1.5, ρ av n = 0.2, kT = 0.3, MC steps= 500, domain size 1200 × 1200; (c,d) εnn = 2.0, nl = 1.5, ρ av n = 0.2, kT = 0.2, MC steps= 3000, domain size 1200 × 1200. Lattice sites occupied by particles are coloured black, and the empty sites are coloured white.", - "page_start": 10, - "page_end": 10, - "source_file": "1001.2669.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What seems to be a great technique to ensure vacancies are formed in carbon nanotubes (CNT) ?", - "target_page": 4, - "target_passage": "Furthermore, it has been shown that CNT vacan- cies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ion", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\n$$E_{\\rm form}[{\\rm VC}]=E[{\\rm VC}]+nE[{\\rm C}]-E[{\\rm NT}],\\tag{2}$$\n\nwhere E[VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov *et al.* for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\n$$E_{\\rm ads}[X\\,\\mbox{\\small@M@VC}]=E[X\\,\\mbox{\\small@M@VC}]-E[X]-E[\\mbox{\\small@VC}],\\tag{3}$$\n\nFIG. 2: Calculated (a) adsorption energy Eads in eV and (b) change in conductance ∆G in units of G0 =2e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E[X@M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E[X] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\n$$\\Theta[X]=\\frac{K[X]C[X]}{1+\\sum_{Y}K[Y]C[Y]},\\tag{4}$$\n\nwhere K = k+/k− is the ratio of forward and backward rate constants for the adsorption reaction,\n\n$$K[X]=\\exp\\left[-\\frac{E_{\\rm ads}[X]+TS[X]}{k_{B}T}\\right].\\tag{5}$$\n\nIn these expressions C[X] is the concentration of species X, S[X] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), \"Grupos Consolidados UPV/EHU del Gobierno Vasco\" (IT-319-07), e-I3 ETSF project (Contract Number 211956), \"Red Espanola de Super- ˜ computacion\", NABIIT and the Danish Center for Scientific ´ Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jose Castillejo programs. ´\n\n∗ Electronic address: juanmaria.garcia@ehu.es\n\n- [1] *Gas Sensing Materials, MRS Bull.*, vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, \"Electronic and transport properties of nanotubes\", Rev. Mod. Phys. 79(2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, \"Nanotube molecular wires as chemical sensors\", Science 287(5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, \"Extreme oxygen sensitivity of electronic properties of carbon nanotubes\", Science 287(5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, *Carbon Nanotube Devices: Properties, Modeling, Integration and Applications* (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-Paez, A. H. Romero, E. Mu ´ noz-Sandoval, ˜ L. M. Mart´ınez, H. Terrones, and M. Terrones, \"Fabrication of vapor and gas sensors using films of aligned CNx nanotubes\", Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, \"Designing real nanotube-based gas sensors\", Phys. Rev. Lett. 100(17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, \"Tailoring gas sensing properties of carbon nanotubes\", J. Appl. Phys. 104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, \"Variable range hopping in oxygen-exposed single-wall carbon nanotube networks\", Phys. Stat. Solidi A 205(6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \"Influence of O2 and N2 on the conductivity of carbon nanotube networks\", Phys. Rev. B 79(19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, \"Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory\", Chem. Phys. Lett. 387(4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, \"Defective carbon nanotubes for single-molecule sensing\", Phys. Rev. B 80(15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and Angel Rubio, \"Conductance of sidewall-functionalized ´ carbon nanotubes: Universal dependence on adsorption sites\", Phys. Rev. Lett. 101(23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, \"*Ab initio* study of an iron atom interacting with single-wall carbon nanotubes\", Phys. Rev. B 67(20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, \"Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3d transition metals: A first-principles study\", Phys. Rev. B 69(7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, \"Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes\", J. Phys. Chem. B 110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, \"First-principles study of metal adatom adsorption on graphene\", Phys. Rev. B 77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \"Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes\", J. Phys. Chem. C 112(19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \"Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems\", J. Phys. Chem. C 112(22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, \" ¨ *Ab initio* study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms\", Phys. Rev. B 78(19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, \"Embedding transition- ¨ metal atoms in graphene: Structure, bonding, and magnetism\", Phys. Rev. Lett. 102(12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \"Real-space grid implementation of the projector augmented wave method\", Phys. Rev. B 71(3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, \"Generalized gradient approximation made simple\", Phys. Rev. Lett. 77(18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "## arXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010\n\n## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra1,2 , ∗ D. J. Mowbray1,2, K. S. Thygesen2 , A. Rubio1,3, and K. W. Jacobsen2\n\n*1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,*\n\n*Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebastian, Spain ´*\n\n*2Center for Atomic-scale Materials Design, Department of Physics,*\n\n*Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany*\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3–8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert – a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11–13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13–21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant (>1 Ω) for small changes in CO concentration in the relevant range of around 0.1–10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 A for ˚ representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 A˚ ×15 A˚ ×14.622 A). For this size ˚ of supercell a Γ-point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nEform[M@VC] = E[M@VC] + nE[C] − E[M@NT] (1)\n\nwhere E[M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E[C] is the energy per carbon atom in a pristine nanotube, and E[M@NT]\n\n<i>Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C5 and C8) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C10 and C12). For even longer chains (C14), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Jacobsen, \"Benchmark density functional theory calculations for nanoscale conductance\", J. Chem. Phys. 128(11), 114714 (Mar. 2008), doi:10.1063/1.2839275.\n- [25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Ordejon, and D. S ´ anchez-Portal, \"The SIESTA method for ´ *ab initio* order-n materials simulation\", J. Phys.: Condens. Matter 14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n- [26] J. S. Griffith, *The Theory of Transition-Metal Ions* (Cambridge University Press, London, 1961).\n- [27] P. Atkins and J. de Paula, *Physical Chemistry*, 8th ed. (Oxford University Press, London, 2006).\n- [28] D. Lide, *Handbook of Chemistry and Physics*, 87th ed. (CRC-Press, 2006–2007).\n- [29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, \"Scal-\n\ning theory put into practice: First-principles modeling of transport in doped silicon wires\", Phys. Rev. Lett. 99(7), 076803 (Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n\n- [30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, W.-J. Chun, Y. Koike, and K. Asakura, \"X-ray absorption fine structure (XAFS) analyses of Ni species trapped in graphene sheet of carbon nanofibers\", Phys. Rev. B 73(14), 144103 (Apr. 2006), doi:10.1103/PhysRevB.73.144103.\n- [31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, F. J. Garcia-Vidal, A. Rubio, and F. Flores, \"Tuning the conductance of single-walled carbon nanotubes by ion irradiation in the Anderson localization regime\", Nature Materials 4, 534 (Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [34] P. Moriarty, M. D. R. Taylor, and M. Brust, \"Nanostructured cellular networks,\" Phys. Rev. Lett. 89, 248303 (2002).\n- [35] E. Rabani, D. R. Reichman, P. L. Geissler, and L. E. Brus, \"Drying-mediated self-assembly of nanoparticles,\" Nature 426, 271–274 (2003).\n- [36] L. V. Govor, G. Reiter, J. Parisi, and G. H. Bauer, \"Self-assembled nanoparticle deposits formed at the contact line of evaporating micrometer-size droplets,\" Phys. Rev. E 69, 061609 (2004).\n- [37] C. P. Martin, M. O. Blunt, and P. Moriarty, \"Nanoparticle networks on silicon: Self-organized or disorganized?\" Nano Lett. 4, 2389–2392 (2004).\n- [38] C. P. Martin, M. O. Blunt, E. Pauliac-Vaujour, A. Stannard, P. Moriarty, I. Vancea, and U. Thiele, \"Controlling pattern formation in nanoparticle assemblies via directed solvent dewetting,\" Phys. Rev. Lett. 99, 116103 (2007).\n- [39] A. Stannard, C. P. Martin, E. Pauliac-Vaujour, P. Moriarty, and U. Thiele, \"Dual-scale pattern formation in nanoparticle assemblies,\" J. Chem. Phys. C 112, 15195–15203 (2008).\n- [40] E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, I. Notingher, P. J. Moriarty, I. Vancea, and U. Thiele, \"Fingering instabilities in dewetting nanofluids,\" Phys. Rev. Lett. 100, 176102 (2008).\n- [41] I. Vancea, U. Thiele, E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, and P. J. Moriarty, \"Front instabilities in evaporatively dewetting nanofluids,\" Phys. Rev. E 78, 041601 (2008).\n- [42] U. Thiele, *Entnetzung von Kollagenfilmen*, Ph.D. thesis, Technische Universitat Dresden (1998). ¨\n- [43] H. Yabu and M. Shimomura, \"Preparation of self-organized mesoscale polymer patterns on a solid substrate: Continuous pattern formation from a receding meniscus,\" Adv. Funct. Mater. 15, 575–581 (2005).\n- [44] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, \"Capillary flow as the cause of ring stains from dried liquid drops,\" Nature 389, 827–829 (1997).\n- [45] E. Adachi, A. S. Dimitrov, and K. Nagayama, \"Stripe patterns formed on a glass-surface during droplet evaporation,\" Langmuir 11, 1057–1060 (1995).\n- [46] R. D. Deegan, \"Pattern formation in drying drops,\" Phys. Rev. E 61, 475–485 (2000).\n- [47] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, \"Contact line deposits in an evaporating drop,\" Phys. Rev. E 62, 756–765 (2000).\n- [48] L. Shmuylovich, A. Q. Shen, and H. A. Stone, \"Surface morphology of drying latex films: Multiple ring formation,\" Langmuir 18, 3441–3445 (2002).\n- [49] V. X. Nguyen and K. J. Stebe, \"Patterning of small particles by a surfactant-enhanced Marangoni-", - "page_start": 27, - "page_end": 27, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 2: Typical KMC results for the final dried-in nanoparticle structures resulting from the evaporative dewetting processes of nanoparticle solutions (nanofluids) in the case of (a) a spinodal-like process at µ = −2.55, (b) nucleation and growth of holes at µ = −2.3, (c) unstable fronts at µ = −2.3 and low mobility M = 5, and (d) unstable fronts at µ = −2.3 and medium mobility M = 10. The starting configuration in (a) and (b) is a homogeneous liquid film with uniformly distributed particles whereas in (c) and (d) a hole at the center is nucleated 'by hand'. The remaining parameters are (a,b) M = 50, nl = 2.0, nn = 1.5, ρ av n = 0.2, kT = 0.3, MC steps= 500, domain size 1200 × 1200; (c,d) εnn = 2.0, nl = 1.5, ρ av n = 0.2, kT = 0.2, MC steps= 3000, domain size 1200 × 1200. Lattice sites occupied by particles are coloured black, and the empty sites are coloured white.", - "page_start": 10, - "page_end": 10, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles in a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3 ), (b) medium (Ω = 2 × 10−6 ) and (c) low (Ω = 0.78 × 10−8 ) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length scale is ` = p γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the vertical length scale is H = p 2SLW /κd0. The remaining dimensionless parameters are the evaporation number Ω = Qeη0` 2/H3 , the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical potential M = Hµ/κ = −0.0035. The system size is L = 19500`. Film thickness and hp in the plots are scaled by the precursor film thickness.\n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the coordinate x as the distance from the centre of the circular film.\n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film contains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the film of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional holes can occur (even with noise the probability would be extremely low). Without evaporation the film dewets 'classically' by a retraction of the initially step-like front. After a short time, surface tension smoothes the profile of the receding front and a capillary rim forms that collects all the", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How many employees did HON Industries count in 2003 ?", - "target_page": 15, - "target_passage": "Members (employees) at year-end : 8,926", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## N O T E S T O C O N S O L I D A T E D F I N A N C I A L S T A T E M E N T S\n\n#### **Nature of Operations**\n\nHON INDUSTRIES Inc., with its subsidiaries (the \"Company\"), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n#### **Summary of Significant Accounting Policies**\n\n*PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END* The consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n#### *C A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S*\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):\n\n| | Cash and | | Short- | | | Long- |\n| --- | --- | --- | --- | --- | --- | --- |\n| | cash | | term | | | term |\n| (In thousands) | equivalents | | investments | | investments | |\n| Y E A R - E N D 2 0 0 3 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ 31,000 | | $ | – | | $ 2,396 |\n| U.S. government securities | – | | | – | | – |\n| Certificates of deposit | – | | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | – | | | 4,259 | | – |\n| Money market preferred stock | – | | | – | | – |\n| Asset- and mortgage-backed securities | – | | | 60,949 | | 12,835 |\n| Cash and money market accounts | 107,982 | | | – | | – |\n| Total | $138,982 | | | $ 65,208 | | $ 15,631 |\n| Y E A R - E N D 2 0 0 2 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ | 82,300 | $ | 1,900 | $ | 5,396 |\n| U.S. government securities | | – | | – | | 11,995 |\n| Certificates of deposit | | – | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | | – | | 3,478 | | – |\n| Money market preferred stock | | – | | 11,000 | | – |\n| Asset- and mortgage-backed securities | | – | | – | | 7,098 |\n| Cash and money market accounts | | 56,865 | | – | | – |\n| Total | $ | 139,165 | $ | 16,378 | $ 24,889 | |\n\nThe 2001 cash and cash equivalents generally consisted of cash and commercial paper.\n\n#### *R E C E I V A B L E S*\n\nAccounts receivable are presented net of an allowance for doubtful accounts of $10,859,000, $9,570,000, and $16,576,000 for 2003, 2002, and 2001, respectively. The allowance for receivables is developed based on several factors including overall customer credit quality, historical write-off experience and specific account analyses that", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## I N V E S T O R I N F O R M A T I O N\n\n#### **S C H E D U L E O F Q U A R T E R L Y R E S U L T S**\n\nThe Company operates on a fiscal year ending on the Saturday nearest December 31. Quarterly results are typically announced within 25 days after the end of each quarter, and audited results are typically announced within 40 days after year-end.\n\n#### **F I S C A L 2 0 0 4 Q U A R T E R - E N D D A T E S**\n\n1st Quarter: Saturday, April 3 2nd Quarter: Saturday, July 3 3rd Quarter: Saturday, October 2 4th Quarter: Saturday, January 1\n\n#### **A N N U A L M E E T I N G**\n\nThe Company's annual shareholders' meeting will be held at 10:30 a.m. on May 4, 2004, at the Holiday Inn, Highways 61 & 38 North, Muscatine, Iowa. Shareholders and other interested investors are encouraged to attend the meeting.\n\n#### **I N V E S T O R R E L A T I O N S**\n\nSend inquiries to: Investor Relations HON INDUSTRIES Inc. 414 East Third Street Muscatine, IA 52761 Telephone: 563.264.7400 Fax: 563.264.7655 E-mail: investorrelations@honi.com\n\n#### **C O R P O R A T E H E A D Q U A R T E R S**\n\nHON INDUSTRIES Inc. 414 East Third Street P.O. Box 1109 Muscatine, IA 52761-0071 Telephone: 563.264.7400 Fax: 563.264.7217 Website: www.honi.com\n\n#### **I N D E P E N D E N T P U B L I C A C C O U N T A N T S**\n\nPricewaterhouseCoopers LLP One North Wacker Drive Chicago, IL 60606\n\n#### **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades on the New York Stock Exchange under the symbol: HNI. Stock price quotations can be found in major daily newspapers and *The Wall Street Journal*.\n\n#### **T R A N S F E R A G E N T**\n\nShareholders may report a change of address or make inquiries by writing or calling:\n\nComputershare Investor Services, LLC 2 North LaSalle Street Chicago, IL 60602 Telephone: 312.588.4991\n\n#### **F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to plans, objectives, and future financial performance, are \"forward-looking\" statements that are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements involve known and unknown risks, which may cause the Company's actual results in the future to differ materially from expected results. These risks include, among others:\n\n**•** competition within the office furniture and fireplace industries, including competition from imported products and competitive pricing;\n\n**•** increases in the cost of raw materials, including steel, which is the Company's largest raw material category;\n\n**•** increases in the cost of health care benefits provided by the Company;\n\n**•** reduced demand for the Company's storage products caused by changes in office technology; including the change from paper record storage to electronic record storage;\n\n**•** the effects of economic conditions, on demand for office furniture, customer insolvencies and related bad debts and claims against the Company that it received preferential payments;\n\n**•** changes in demand and order patterns from the Company's customers, particularly its top ten customers, which represented approximately 36% of net sales in 2003;\n\n**•** issues associated with acquisitions and integration of acquisitions;\n\n**•** the ability of the Company to realize cost savings and productivity improvements from its cost containment and business simplification initiatives;\n\n**•** the ability of the Company to realize financial benefits from investments in new products;\n\n**•** the ability of the Company's distributors and dealers to successfully market and sell the Company's products;\n\n- **•** the availability and cost of capital to finance planned growth; and\n- **•** other risks, uncertainties, and factors described from time to time in the Company's filings with the Securities and Exchange Commission.\n\nWe caution the reader that the above list of factors may not be exhaustive. The Company does not assume any obligation to update any forward-looking statement, whether as a result of new information, future events or otherwise.\n\n K", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## T O O U R S H A R E H O L D E R S :\n\nL E F T : Stan A. Askren, P R E S I D E N T R I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect — in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\n We outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\n Although we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are leaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best — operational excellence. Our transformation continues:\n\n#### **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the \"perfect match\" with end-users in every segment we serve.\n\n### **A C H I E V I N G B E S T T O T A L C O S T A N D L E A N E N T E R P R I S E**\n\n\"Best total cost\" means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell — all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "# afkljdf aojvoaipdddd S E E K I N G I N V E S T O R S F O R A P E R F E C T M A T C H\n\nJoin us in the dynamic, aggressive, profitable growth of HON INDUSTRIES.\n\n#### T H E B E S T I S Y E T T O C O M E !\n\nManagement's Discussion and Analysis … 32 Consolidated Financial Statements and Notes … 39 Eleven-Year Summary … 56 Reports of Independent Auditors … 58 A Message from the Board of Directors … 61 Board of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## O U R V I S I O N\n\nWe, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to exceeding our customers' expectations, and to making our company a great place to work. We will always treat each other, as well as customers, suppliers, shareholders, and our communities, with fairness and respect.\n\nOur success depends upon business simplification, rapid continuous improvement, and innovation in everything we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs:\n\n#### **W E W I L L B E P R O F I T A B L E .**\n\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an adequate profit can the other elements of this Vision be realized.\n\n#### **W E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .**\n\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and pursuing profitable growth opportunities. We will safeguard our shareholders' equity by maintaining a strong balance sheet to allow flexibility in responding to a continuously changing market and business environment.\n\n#### **W E W I L L P U R S U E P R O F I T A B L E G R O W T H .**\n\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and financial success for all stakeholders.\n\n#### **W E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .**\n\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services exceed our customers' expectations and enable our distributors and our company to make a fair profit.\n\n#### **W E W I L L B E A G R E A T P L A C E T O W O R K .**\n\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active involvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that attracts and retains the most capable people who work safely, are motivated, and are devoted to making our company and our members successful.\n\n#### **W E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .**\n\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which we live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and provides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, and governmental affairs of our society.\n\n#### **T O O U R S T A K E H O L D E R S :**\n\nWhen our company is appreciated by its *members,* favored by its *customers,* supported by its *suppliers,* respected by *the public,* and admired by its *shareholders,* this Vision is fulfilled.\n\n> **H O N I N D U S T R I E S I n c . ( H N I ) 414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071 www.honi.com**", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## A M E S S A G E F R O M T H E B O A R D O F D I R E C T O R S\n\n#### **Dear Shareholders:**\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is reflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement represents much more than a traditional \"mission,\" and it goes much deeper than company policy. The beliefs and values represented in that document are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining a strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to maintain the company's long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company's accounting policies have always been conservative and straightforward. The Board's three committees — Audit; Human Resources and Compensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years.\n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the New York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that HON INDUSTRIES governance practices were already in accord with the spirit of the rules.\n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the management of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\n\nSincerely, The HON INDUSTRIES Board of Directors\n\nStan A. Askren\n\nGary M. Christensen\n\nCheryl A. Francis\n\nRobert L. Katz\n\nDennis J. Martin\n\nJack D. Michaels\n\nJoseph Scalzo\n\nAbbie J. Smith\n\nRichard H. Stanley\n\nBrian E. Stern\n\nRonald V. Waters, III", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## R E P O R T O F I N D E P E N D E N T A U D I T O R S\n\n#### **To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders' equity, and cash flows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and December 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Company's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the adjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased operations. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and other intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, on December 30, 2001.\n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were audited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclosures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other Intangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nPricewaterhouseCoopers LLP Chicago, Illinois February 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "our rapid continuous improvement (RCI) programs, in 1992. It is not only a process to drive out cost, it is a powerful tool to engage every member every day in making choices to improve the value we provide to our customers.\n\n#### **E N H A N C I N G C U L T U R E A N D C A P A B I L I T I E S**\n\nOur values are simple yet powerful. They are as relevant today as they were when the company was founded 60 years ago. Our member-owner culture of shared responsibility and shared reward engages all members in the ongoing business improvement process and allows us to embrace change. As we continue to add and develop talent to support our growth strategies, we become more diverse in our perspectives, strengthening our ability to understand and meet the needs of our customers and end-users.\n\nOn January 5, 2004, we completed the acquisition of Paoli Inc., a leading provider of wood case goods and seating. The acquisition reflects our commitment to achieving profitable growth. With annual sales in excess of $80 million, Paoli has well-known brands, a broad product offering, and strong independent representative sales and dealer networks. This acquisition supports our operating philosophy to work through autonomous, decentralized businesses with strong brands focused on distinct markets.\n\nImportant to our company's success, is a strong Board of Directors who bring their individual skills, knowledge, and experience to our company. Their involvement, independence, and integrity provide the ongoing foundation for effective governance and corporate oversight for you, our shareholders.\n\nThis year we recognize retiring directors Lorne R. Waxlax, Robert W. Cox, and M. Farooq Kathwari. We thank them for their dedication. We are also pleased to welcome Joseph Scalzo, President, Personal Care Products, The Gillette Company, to our board.\n\nOur CEO succession process is progressing smoothly. The appointment of Stan Askren as President of HON INDUSTRIES and as a member of the Board of Directors, announced in February 2003, was an important part of this process.\n\nOur office furniture and hearth businesses are healthy and well-positioned for growth; still we continue to face a competitive business environment. We are confident of our financial security, and certain that our transition to becoming a marketdriven, operationally excellent company will continue to enhance shareholder value. The transformation continues. We will be seeking shareholder approval, in early May 2004, to change the name of HON INDUSTRIES to HNI Corporation, drawing on our heritage while remaining true to our culture and values. The new name will serve to better align the corporate identity with the direction of the company, as a strategic manager of multiple, distinct, and independent brands.\n\nWe thank our member-owners for their continued dedication, and look forward to the challenges and opportunities of 2004.\n\nJack D. Michaels C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\n\nStan A. Askren P R E S I D E N T", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "| For the year ended December 31, | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Revenues from continuing operations | $ | 62,803,000 | $ | 59,533,000 |\n| Operating income | | 6,923,000 | | 5,782,000 |\n| Income from continuing operations | | 4,892,000 | | 4,065,000 |\n| Earnings per diluted share from continuing operations | $ | 2.66 | $ | 2.18 |\n| Weighted average diluted shares outstanding | | 1,839,000 | | 1,863,000 |\n| As of December 31, | | 2003 | | 2002 |\n| Total assets | $ | 60,050,000 | $ | 60,807,000 |\n| Working capital | | 13,803,000 | | 14,787,000 |\n| Long-term debt | | 4,287,000 | | 10,337,000 |\n| Stockholders' equity | $ | 44,604,000 | $ | 41,691,000 |", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## B O A R D O F D I R E C T O R S A N D O F F I C E R S\n\n#### **B O A R D O F D I R E C T O R S**\n\n**Stan A. Askren** President, HON INDUSTRIES Inc.\n\n**Gary M. Christensen** Retired President and Chief Executive Officer, Pella Corporation\n\n#### **Cheryl A. Francis**\n\nAdvisor/Consultant Former Executive Vice President and Chief Financial Officer, RR Donnelley & Sons\n\n**Robert L. Katz** President, Robert L. Katz and Associates\n\n**Dennis J. Martin** Chairman, President and Chief Executive Officer, General Binding Corporation\n\n**Jack D. Michaels** Chairman and Chief Executive Officer, HON INDUSTRIES Inc.\n\n### **Joseph Scalzo** Vice President and President, Personal Care Products, The Gillette Company\n\n**Abbie J. Smith** Chaired Professor, The University of Chicago Graduate School of Business\n\n**Richard H. Stanley** Vice Chairman, HON INDUSTRIES Inc. Chairman, SC Companies, Inc. Chairman, Stanley Consultants, Inc.\n\n#### **Brian E. Stern**\n\nPresident, Xerox Supplies Technology Enterprises Xerox Corporation\n\n**Ronald V. Waters, III** Chief Operating Officer, Wm. Wrigley Jr. Company\n\n#### **C O M M I T T E E S O F T H E B O A R D**\n\n*A U D I T* Cheryl A. Francis, Chairperson Dennis J. Martin Ronald V. Waters, III\n\n*H U M A N R E S O U R C E S A N D C O M P E N S A T I O N* Gary M. Christensen, Chairperson Robert L. Katz\n\nAbbie J. Smith\n\n*P U B L I C P O L I C Y A N D C O R P O R A T E G O V E R N A N C E* Richard H. Stanley, Chairperson\n\nJoseph Scalzo Brian E. Stern\n\n**H O N I N D U S T R I E S I N C . O F F I C E R S** \n\n**Jack D. Michaels** Chairman and Chief Executive Officer\n\n**Stan A. Askren** President\n\n**Peter R. Atherton** Vice President and Chief Technology Officer\n\n**Jerald K. Dittmer** Vice President and Chief Financial Officer\n\n**Robert J. Driessnack** Vice President, Controller\n\n**Melinda C. Ellsworth** Vice President, Treasurer and Investor Relations\n\n**Jeffrey D. Fick** Vice President, Member and Community Relations\n\n**Malcolm C. Fields** Vice President and Chief Information Officer\n\n**James I. Johnson** Vice President, General Counsel and Secretary\n\n**Timothy R. Summers** Vice President, Lean Enterprise\n\n#### **S U B S I D I A R I E S**\n\n**David C. Burdakin** Executive Vice President, HON INDUSTRIES, Inc. President, The HON Company\n\n**Brad D. Determan** President, Hearth and Home Technologies Inc.\n\n**Thomas D. Head** Vice President, General Manager, Holga Inc.\n\n**Eric K. Jungbluth** President, Allsteel Inc.\n\n**Donald T. Mead** President, The Gunlocke Company L.L.C.\n\n**Marco V. Molinari** President, International and Business Development\n\n**Jean M. Reynolds** President, Maxon Furniture Inc.\n\n**Thomas A. Tolone** President, Paoli Inc.", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "Did automating the writing of EM-to-IP handoffs notes using LLM lead to life-threatening outputs ?", - "target_page": 8, - "target_passage": "none of the incorrect output text elements reached life-threatening risk", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "# **Original Investigation | Emergency Medicine** Developing and Evaluating Large LanguageModel–Generated EmergencyMedicine Handoff Notes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n# **Abstract**\n\n**IMPORTANCE** An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\n**OBJECTIVE** To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\n**DESIGN, SETTING, AND PARTICIPANTS** This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\n**EXPOSURE** LLM-generated EM handoff notes.\n\n**MAIN OUTCOMES AND MEASURES** LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\n**RESULTS** In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\n**CONCLUSIONS AND RELEVANCE** In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n# **Key Points**\n\n**Question** Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\n**Findings** In this cohort study of 1600 EM patient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\n**Meaning** These findings suggest the value of a manual, patient safety– focused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n# **+ Invited Commentary**\n\n# **+ Supplemental content**\n\nAuthor affiliations and article information are listed at the end of this article.\n\n**Open Access.** This is an open access article distributed under the terms of the CC-BY License.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "#### Abstract (continued)\n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-inloop implementation design for this model and demonstrates an effective strategy to measure preimplementation patient safety of LLM models.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n## **Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of clinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint Commission, the Accreditation Council for Graduate Medical Education, and the Association of American Medical Colleges have all recommended the development of high-quality and standardized handoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing handoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality handoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by medical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The EM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly adhered to in emergency departments (EDs), including in medical centers with formalized handoff systems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with adverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high risk, and an electronic health record (EHR)-based technology is commonly mentioned as the most desired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated EM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal medicine leadership of the study site collaboratively developed and launched a mandatory, EHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for realtime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal evaluation of new EM-to-IP handoff notes through random medical record review and unstructured clinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of the handoff notes.\n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks in an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical notes using natural language processing (NLP) have been overall shown to improve note completion rates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements in health care with the discovery of the transformer model architecture, the building block of large language models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology reports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels of perceived quality in each workflow.29 LLMs are particularly effective at summarizing large unstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is their ability to hallucinate data, or LLMs generating output text that is not factually consistent with the original source content.31 Much work has been done in health care to reduce hallucinations through building larger-parameter models trained on trillions of datasets, and then instruction finetuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability by citing inferred content back to the reference source notes.34 For short-context length notes, using few-shot prompt engineering approaches with large language models like GPT-4 can produce summaries that outperform standard physician documentation in completeness and error frequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the context length increases,36 and for medium- to long-context tasks, fine-tuning an open-source model has been shown to perform better than a prompt-learning approach.37 In prior work, members of this study team demonstrated 62% of LLM-generated hospital course summaries met standard-of-care for a formal inpatient discharge summary.24 However, recently published clinical\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 2/12", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen.42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n### **Models**\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n#### **Data Processing**\n\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n#### **Model Training and Inference**\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the **Figure**.\n\n| | Table 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda |\n| --- | --- |\n| Type of data | Description |\n| Descriptive | Date of birth, medical record number, encounter number, and total time of stay in ED |\n| Encounter | ED arrival date and time, IP admit date and time |\n| Laboratory tests | Examples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium, |\n| (all results available) | potassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate, |\n| | urinalysis, ketone, blood, nitrite, leucocytes, and red blood cells |\n| Laboratory tests | Examples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level, |\n| (only if abnormal) | salicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate |\n| Notes (in order of | EM clinician notes, consultation notes, EM progress notes, and EM procedure notes |\n| hierarchy) | |\n| Vitals | Height, weight, temperature, heart rate, blood pressure, and peripheral capillary |\n| | oxygen saturation |\n| Orders | Medications, consults, and radiology results |\n\nAbbreviations: EM, emergency medicine; IP, inpatient.\n\na Automated EM handoff notes are generated from the curation of the data through both rule-based and large language model–summarization approaches.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 4/12", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows.29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy.54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps),30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n### **Limitations**\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.\n\nWhile the dataset was smaller, we made significant efforts to reduce model variance and prevent overfitting by allocating more data to the training cohort and using k-fold cross validation. And while our ratio split choice implies the testing results will have slightly greater variance than expected, this is mitigated through the extensive manual clinical assessment that was performed. The study's multidimensional clinical evaluation was labor intensive, requiring more than 200 hours from expert informaticists and quality trained clinician experts to both curate the dataset of 1600\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 8/12", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "# REROUTING LLM ROUTERS\n\nA PREPRINT\n\nAvital Shafran The Hebrew University of Jerusalem\n\nRoei Schuster Wild Moose\n\nThomas Ristenpart Cornell Tech\n\nVitaly Shmatikov Cornell Tech\n\n### ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call \"confounder gadgets\" that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n### 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, o1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed *LLM routing* systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. Given query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 if Ms is required. The system then routes q accordingly.\n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce *LLM control plane integrity* as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety.38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n# **Methods**\n\n### **Data Collection**\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n### **EM-to-IP Handoff Note Template**\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n### **Data Curation for Automated ED Note Generation**\n\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rulebased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail in eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in **Table 1**: EM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## **Discussion**\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user–developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\n| | | | Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| | | | Likert rating 1-5, No. (%)a | | | | | | Likert rating 1-5, No. (%)a | | | |\n| Criteria | Mean score (SD) | 1 | 2 | 3 | 4 | 5 | Mean score (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.00 (0.88) | 0 | 12 (8) | 31 (20.7) | 69 (46) | 38 (25.3) | 4.16 (0.84) | 0 | 3 (2) | 31 (20.7) | 48 (32) | 68 (45.3) |\n| Curation | 4.24 (0.58) | 0 | 1 (0.7) | 13 (8.7) | 85 (56.7) | 51 (34) | 4.76 (0.48) | 0 | 0 | 6 (4) | 39 (26) | 105 (70) |\n| Readability | 4.00 (0.64) | 0 | 8 (5.3) | 17 (11.3) | 87 (58) | 38 (25.3) | 4.64 (0.49) | 0 | 0 | 5 (3.3) | 38 (25.3) | 107 (71.3) |\n| Correctness | 4.52 (0.64) | 0 | 0 | 13 (8.7) | 39 (26) | 98 (65.3) | 4.90 (0.39) | 0 | 0 | 2 (1.3) | 12 (8) | 136 (90.7) |\n| Usefulness | 4.04 (0.86) | 0 | 12 (8) | 30 (20) | 59 (39.3) | 49 (32.7) | 4.36 (0.71) | 0 | 5 (3.3) | 13 (8.7) | 53 (35.3) | 79 (52.7) |\n\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results.\n\n#### Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written\n\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | Likert score 1-5, No. (%)a | | | | | | Likert score 1-5, No. (%)a | | | |\n| Criteria | Mean (SD) | 1 | 2 | 3 | 4 | 5 | Mean (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.20 (0.93) | 0 | 13 (8.7) | 19 (12.7) | 58 (38.7) | 60 (40) | 4.50 (0.65) | 0 | 0 | 17 (11.3) | 43 (28.7) | 90 (60) |\n| Curation | 4.82 (0.32) | 0 | 1 (0.7) | 3 (2) | 21 (14) | 125 (83.3) | 4.90 (0.31) | 0 | 0 | 3 (2) | 8 (5.3) | 139 (92.7) |\n| Readability | 4.74 (0.37) | 0 | 1 (0.7) | 6 (4) | 23 (15.3) | 120 (80) | 4.94 (0.14) | 0 | 0 | 0 | 10 (6.7) | 140 (93.3) |\n| Correctness: hallucination | 4.96 (0.14) | 0 | 0 | 0 | 5 (3.3) | 145 (96.7) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Correctness: knowledge gap | 4.88 (0.48) | 0 | 3 (2) | 2 (1.3) | 6 (4) | 139 (92.7) | 4.90 (0.42) | 0 | 1 (0.7) | 5 (3.3) | 3 (2) | 141 (94) |\n| Correctness: faulty logic | 4.60 (0.75) | 0 | 11 (7.3) | 12 (8) | 13 (8.7) | 114 (76) | 4.94 (0.24) | 0 | 0 | 2 (1.3) | 2 (1.3) | 146 (97.3) |\n| Correctness: bias | 5.00 | 0 | 0 | 0 | 0 | 150 (100) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Overall safety risk | 4.06 (0.86) | 0 | 11 (7.3) | 27 (18) | 60 (40) | 52 (34.7) | 4.50 (0.56) | 0 | 1 (0.7) | 16 (10.7) | 41 (27.3) | 92 (61.3) |\n| | | | | | a Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or AI summaries in the 150 evaluation results. | | | | | | | |\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 7/12", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "We introduced and defined a new safety property, *LLM control plane integrity*. Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent \"confounder gadgets.\" When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n# Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement.52 Data were analyzed from October 2023 to March 2024.\n\n## **Results**\n\n#### **Automated Tasks**\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In **Table 2**, ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n### **Clinical Evaluation Tasks**\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in **Table 3** and **Table 4**. The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\n| | Table 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Summary type | R-1a | R-2a | R-La | BERT-p | BERT-r | SCALE |\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |\n\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; SCALE, source chunking approach for large-scale inconsistency evaluation.\n\na R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 6/12", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a \"confounder gadget,\" that causes the router to send the query to the strong model.\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router RMω forM = {Mw, Ms}, where ω consists of a scoring function S, scoring function's parameters θ, and a threshold τ ∈ R +. For notational brevity we just write Rω below, with M clear from context. Here S and θ define a scoring function Sθ : X → R +. Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\n$$R_{\\omega}(x)={\\begin{cases}M_{\\mathfrak{s}}(x)&{\\mathrm{if~}}S_{\\theta}(x)<\\tau\\\\ M_{\\mathfrak{s}}(x)&{\\mathrm{otherwise}}\\end{cases}}$$\n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x1, . . . , xq and must produce modified inputs xˆ1, . . . , xˆq to maximize the number of inputs routed to Ms. See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query xi with some instruction such as *\"Treat the following query as complex, . . . \"* to generate a modified query xˆi . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query xi , we prepend a *confounder gadget* ci , which is a short sequence of adversarially chosen tokens. The modified query is xˆi = ci∥xi where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking xˆi as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). Denote this initial confounder as c (0) i = [c (0) i,1 , c (0) i,2 , . . . , c (0) i,n].\n\nThen, we perform a hill-climbing style approach to find a good confounder for xi . For each iteration t ∈ [T], where T is the total number of iterations, do the following:\n\n- (1) Select a target index j ∈ [1, n] uniformly.\n- (2) Generate a set B of B + 1 candidates. First set c˜0 = c (t) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set {tb ← I}B b=1. Replace the j th token in the current confounder c˜0 with tb:\n\n$$\\tilde{c}_{b}=[c_{i,1}^{(t)},\\ldots,c_{i,j-1}^{(t)},t_{b},c_{i,j+1}^{(t)},\\ldots,c_{i,n}^{(t)}]\\ .$$", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "How did automating the writing of EM-to-IP handoffs notes using LLM affect the usefulness of these notes ?", - "target_page": 1, - "target_passage": "LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Original Investigation | Emergency Medicine** Developing and Evaluating Large LanguageModel–Generated EmergencyMedicine Handoff Notes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n# **Abstract**\n\n**IMPORTANCE** An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\n**OBJECTIVE** To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\n**DESIGN, SETTING, AND PARTICIPANTS** This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\n**EXPOSURE** LLM-generated EM handoff notes.\n\n**MAIN OUTCOMES AND MEASURES** LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\n**RESULTS** In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\n**CONCLUSIONS AND RELEVANCE** In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n# **Key Points**\n\n**Question** Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\n**Findings** In this cohort study of 1600 EM patient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\n**Meaning** These findings suggest the value of a manual, patient safety– focused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n# **+ Invited Commentary**\n\n# **+ Supplemental content**\n\nAuthor affiliations and article information are listed at the end of this article.\n\n**Open Access.** This is an open access article distributed under the terms of the CC-BY License.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen.42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n### **Models**\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n#### **Data Processing**\n\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n#### **Model Training and Inference**\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the **Figure**.\n\n| | Table 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda |\n| --- | --- |\n| Type of data | Description |\n| Descriptive | Date of birth, medical record number, encounter number, and total time of stay in ED |\n| Encounter | ED arrival date and time, IP admit date and time |\n| Laboratory tests | Examples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium, |\n| (all results available) | potassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate, |\n| | urinalysis, ketone, blood, nitrite, leucocytes, and red blood cells |\n| Laboratory tests | Examples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level, |\n| (only if abnormal) | salicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate |\n| Notes (in order of | EM clinician notes, consultation notes, EM progress notes, and EM procedure notes |\n| hierarchy) | |\n| Vitals | Height, weight, temperature, heart rate, blood pressure, and peripheral capillary |\n| | oxygen saturation |\n| Orders | Medications, consults, and radiology results |\n\nAbbreviations: EM, emergency medicine; IP, inpatient.\n\na Automated EM handoff notes are generated from the curation of the data through both rule-based and large language model–summarization approaches.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 4/12", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "# REROUTING LLM ROUTERS\n\nA PREPRINT\n\nAvital Shafran The Hebrew University of Jerusalem\n\nRoei Schuster Wild Moose\n\nThomas Ristenpart Cornell Tech\n\nVitaly Shmatikov Cornell Tech\n\n### ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call \"confounder gadgets\" that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n### 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, o1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed *LLM routing* systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. Given query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 if Ms is required. The system then routes q accordingly.\n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce *LLM control plane integrity* as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "#### Abstract (continued)\n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-inloop implementation design for this model and demonstrates an effective strategy to measure preimplementation patient safety of LLM models.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n## **Introduction**\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of clinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint Commission, the Accreditation Council for Graduate Medical Education, and the Association of American Medical Colleges have all recommended the development of high-quality and standardized handoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing handoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality handoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by medical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The EM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly adhered to in emergency departments (EDs), including in medical centers with formalized handoff systems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with adverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high risk, and an electronic health record (EHR)-based technology is commonly mentioned as the most desired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated EM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal medicine leadership of the study site collaboratively developed and launched a mandatory, EHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for realtime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal evaluation of new EM-to-IP handoff notes through random medical record review and unstructured clinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of the handoff notes.\n\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks in an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical notes using natural language processing (NLP) have been overall shown to improve note completion rates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements in health care with the discovery of the transformer model architecture, the building block of large language models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology reports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels of perceived quality in each workflow.29 LLMs are particularly effective at summarizing large unstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is their ability to hallucinate data, or LLMs generating output text that is not factually consistent with the original source content.31 Much work has been done in health care to reduce hallucinations through building larger-parameter models trained on trillions of datasets, and then instruction finetuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability by citing inferred content back to the reference source notes.34 For short-context length notes, using few-shot prompt engineering approaches with large language models like GPT-4 can produce summaries that outperform standard physician documentation in completeness and error frequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the context length increases,36 and for medium- to long-context tasks, fine-tuning an open-source model has been shown to perform better than a prompt-learning approach.37 In prior work, members of this study team demonstrated 62% of LLM-generated hospital course summaries met standard-of-care for a formal inpatient discharge summary.24 However, recently published clinical\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 2/12", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety.38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n# **Methods**\n\n### **Data Collection**\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n### **EM-to-IP Handoff Note Template**\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n### **Data Curation for Automated ED Note Generation**\n\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rulebased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail in eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in **Table 1**: EM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows.29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy.54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps),30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n### **Limitations**\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.\n\nWhile the dataset was smaller, we made significant efforts to reduce model variance and prevent overfitting by allocating more data to the training cohort and using k-fold cross validation. And while our ratio split choice implies the testing results will have slightly greater variance than expected, this is mitigated through the extensive manual clinical assessment that was performed. The study's multidimensional clinical evaluation was labor intensive, requiring more than 200 hours from expert informaticists and quality trained clinician experts to both curate the dataset of 1600\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 8/12", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7].\n\n### 3 LLM Control Plane Integrity\n\nIn this section, we define *LLM control plane integrity*. Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by a string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the case of n = 2, and, for reasons that will be clear in a moment, use Ms (\"strong\") and Mw (\"weak\") to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ←$ RMω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a query.\n\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of LLM invocations Mij (zj ) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RMω (x). Here m is the total number of LLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\n$$T=(i_{1},z_{1}),(i_{2},z_{2}),\\ldots,(i_{m},z_{m})$$\n\nof pairs of model indexes ij ∈ {w, s} and model inputs zj . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x),(s, x)}. We write submitting a sequence of inferences ⃗x = ⃗x1, . . . , ⃗xq to a control plane as\n\n$$R_{\\omega}^{\\mathcal{M}}(\\vec{x})=(R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{1}),\\ldots,R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{q}))$$\n\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however, each invocation results in a single LLM invocation.\n\nAn *inference flow policy* dictates the control plane designer's intention regarding use of the underlying models. For example, an application may want to ensure that only a small fraction of queries go to the expensive model Ms. We can define this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply defined as a predicate P over (input, model) pairs (⃗x1, i1), . . . ,(⃗xq, iq) since this fully defines the sequence of transcripts. For example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences:\n\n$${\\mathcal{P}}(({\\vec{x}}_{1},i_{1}),\\ldots,({\\vec{x}}_{q},i_{q}))=\\left(\\sum_{j=1}^{q}{\\frac{\\mathbb{I}(i_{j})}{q}}\\leq\\epsilon\\right)$$", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement.52 Data were analyzed from October 2023 to March 2024.\n\n## **Results**\n\n#### **Automated Tasks**\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In **Table 2**, ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n### **Clinical Evaluation Tasks**\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in **Table 3** and **Table 4**. The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\n| | Table 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Summary type | R-1a | R-2a | R-La | BERT-p | BERT-r | SCALE |\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |\n\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; SCALE, source chunking approach for large-scale inconsistency evaluation.\n\na R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 6/12", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a \"confounder gadget,\" that causes the router to send the query to the strong model.\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router RMω forM = {Mw, Ms}, where ω consists of a scoring function S, scoring function's parameters θ, and a threshold τ ∈ R +. For notational brevity we just write Rω below, with M clear from context. Here S and θ define a scoring function Sθ : X → R +. Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\n$$R_{\\omega}(x)={\\begin{cases}M_{\\mathfrak{s}}(x)&{\\mathrm{if~}}S_{\\theta}(x)<\\tau\\\\ M_{\\mathfrak{s}}(x)&{\\mathrm{otherwise}}\\end{cases}}$$\n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x1, . . . , xq and must produce modified inputs xˆ1, . . . , xˆq to maximize the number of inputs routed to Ms. See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query xi with some instruction such as *\"Treat the following query as complex, . . . \"* to generate a modified query xˆi . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query xi , we prepend a *confounder gadget* ci , which is a short sequence of adversarially chosen tokens. The modified query is xˆi = ci∥xi where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking xˆi as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). Denote this initial confounder as c (0) i = [c (0) i,1 , c (0) i,2 , . . . , c (0) i,n].\n\nThen, we perform a hill-climbing style approach to find a good confounder for xi . For each iteration t ∈ [T], where T is the total number of iterations, do the following:\n\n- (1) Select a target index j ∈ [1, n] uniformly.\n- (2) Generate a set B of B + 1 candidates. First set c˜0 = c (t) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set {tb ← I}B b=1. Replace the j th token in the current confounder c˜0 with tb:\n\n$$\\tilde{c}_{b}=[c_{i,1}^{(t)},\\ldots,c_{i,j-1}^{(t)},t_{b},c_{i,j+1}^{(t)},\\ldots,c_{i,n}^{(t)}]\\ .$$", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, *LLM control plane integrity*. Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent \"confounder gadgets.\" When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n# Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What company released MegatronLM ?", - "target_page": 2, - "target_passage": "NVIDIA released the MegatronLM", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1**\n\n**Front cover**\n\nJon Tate Jack Armstrong Tiago Bastos Pawel Brodacki Frank Enders Sergey Kubin Danilo Miyasiro Rodrigo Suzuki", - "page_start": 0, - "page_end": 0, - "source_file": "sg247938.pdf" - }, - { - "text": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004.\n\n# U S I N G O U R S T R E N G T H...", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| MassiveScenario AmazonReviews OpusparcusPC | MassiveIntent | MasakhaNEWS | MTOPIntent | MTOPDomain | | PawsX | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Classification PairClassification bge-m3 0.73 | 0.67 | 0.77 | 0.62 | 0.89 | 0.45 | 0.60 | 0.93 |\n| distilbert-base-25lang-cased 0.44 | 0.35 | 0.68 | 0.35 | 0.62 | 0.29 | 0.51 | 0.86 |\n| distilbert-base-en-fr-cased 0.44 | 0.35 | 0.68 | 0.35 | 0.62 | 0.29 | 0.51 | 0.86 |\n| distilbert-base-fr-cased 0.44 | 0.35 | 0.68 | 0.35 | 0.62 | 0.29 | 0.51 | 0.86 |\n| sentence-camembert-large 0.70 | 0.64 | 0.74 | 0.61 | 0.87 | 0.38 | 0.61 | 0.94 |\n| sentence-flaubert-base 0.63 | 0.59 | 0.71 | 0.53 | 0.79 | 0.40 | 0.58 | 0.93 |\n| Solon-embeddings-base-0.1 0.70 | 0.65 | 0.75 | 0.62 | 0.87 | 0.41 | 0.59 | 0.93 |\n| Solon-embeddings-large-0.1 0.71 | 0.67 | 0.76 | 0.69 | 0.89 | 0.42 | 0.60 | 0.94 |\n| sentence-croissant-llm-base 0.65 | 0.59 | 0.79 | 0.63 | 0.86 | 0.35 | 0.63 | 0.91 |\n| bert-base-multilingual-cased 0.44 | 0.37 | 0.64 | 0.38 | 0.64 | 0.29 | 0.53 | 0.87 |\n| bert-base-multilingual-uncased 0.44 | 0.38 | 0.76 | 0.39 | 0.64 | 0.29 | 0.53 | 0.87 |\n| camembert-base 0.39 | 0.31 | 0.66 | 0.29 | 0.58 | 0.30 | 0.52 | 0.83 |\n| sentence-camembert-base 0.61 | 0.52 | 0.70 | 0.43 | 0.77 | 0.36 | 0.57 | 0.92 |\n| sentence-camembert-large 0.69 | 0.63 | 0.81 | 0.59 | 0.86 | 0.38 | 0.60 | 0.95 |\n| embed-multilingual-light-v3.0 0.59 | 0.56 | 0.83 | 0.50 | 0.81 | 0.39 | 0.57 | 0.91 |\n| embed-multilingual-v3.0 0.67 | 0.63 | 0.83 | 0.61 | 0.86 | 0.42 | 0.61 | 0.94 |\n| flaubert_base_cased 0.11 flaubert_base_uncased 0.11 | 0.07 0.06 | 0.71 0.63 | 0.09 0.09 | 0.26 0.28 | 0.25 0.24 | 0.52 0.53 | 0.82 0.82 |\n| flaubert_large_cased 0.23 | 0.16 | 0.56 | 0.10 | 0.24 | 0.22 | 0.54 | 0.75 |\n| e5-mistral-7b-instruct 0.70 | 0.60 | 0.75 | 0.53 | 0.82 | 0.44 | 0.60 | 0.92 |\n| multilingual-e5-base 0.66 | 0.61 | 0.80 | 0.56 | 0.85 | 0.41 | 0.57 | 0.93 |\n| multilingual-e5-large 0.68 | 0.64 | 0.79 | 0.59 | 0.86 | 0.42 | 0.59 | 0.94 |\n| multilingual-e5-small 0.61 | 0.56 | 0.78 | 0.46 | 0.81 | 0.40 | 0.56 | 0.93 |\n| udever-bloom-1b1 0.50 | 0.43 | 0.81 | 0.51 | 0.69 | 0.35 | 0.62 | 0.86 |\n| udever-bloom-560m 0.22 | 0.15 | 0.68 | 0.16 | 0.35 | 0.27 | 0.60 | 0.82 |\n| laser2 0.59 | 0.53 | 0.66 | 0.57 | 0.76 | 0.34 | 0.70 | 0.94 |\n| bge-m3-custom-fr 0.75 | 0.67 | 0.70 | 0.61 | 0.90 | 0.42 | 0.61 | 0.93 |\n| sentence_croissant_alpha_v0.2 0.70 | 0.64 | 0.76 | 0.61 | 0.89 | 0.38 | 0.67 | 0.93 |\n| sentence_croissant_alpha_v0.3 0.70 | 0.65 | 0.76 | 0.59 | 0.88 | 0.36 | 0.65 | 0.93 |\n| mistral-embed 0.70 | 0.63 | 0.81 | 0.66 | 0.90 | 0.42 | 0.62 | 0.93 |\n| LaBSE 0.65 | 0.60 | 0.77 | 0.62 | 0.84 | 0.39 | 0.55 | 0.94 |\n| all-MiniLM-L12-v2 0.54 | 0.45 | 0.72 | 0.39 | 0.76 | 0.28 | 0.56 | 0.87 |\n| all-MiniLM-L6-v2 0.51 | 0.43 | 0.74 | 0.40 | 0.75 | 0.27 | 0.55 | 0.87 |\n| distiluse-base-multilingual-cased-v2 0.67 | 0.60 | 0.77 | 0.56 | 0.85 | 0.36 | 0.51 | 0.92 |\n| multi-qa-MiniLM-L6-cos-v1 0.50 | 0.43 | 0.76 | 0.37 | 0.73 | 0.27 | 0.57 | 0.88 |\n| paraphrase-multilingual-MiniLM-L12-v2 0.65 | 0.58 | 0.76 | 0.48 | 0.78 | 0.37 | 0.57 | 0.92 |\n| paraphrase-multilingual-mpnet-base-v2 0.68 | 0.62 | 0.78 | 0.52 | 0.80 | 0.40 | 0.58 | 0.93 |\n| sentence-t5-base 0.60 | 0.51 | 0.81 | 0.44 | 0.75 | 0.37 | 0.55 | 0.89 |\n| sentence-t5-large 0.64 | 0.57 | 0.80 | 0.48 | 0.80 | 0.41 | 0.60 | 0.91 |\n| sentence-t5-xl 0.66 | 0.61 | 0.80 | 0.54 | 0.85 | 0.44 | 0.63 | 0.92 |\n| sentence-t5-xxl 0.69 | 0.66 | 0.79 | 0.58 | 0.86 | 0.46 | 0.64 | 0.94 |\n| text2vec-base-multilingual 0.58 | 0.52 | 0.74 | 0.45 | 0.72 | 0.34 | 0.66 | 0.92 |\n| text-embedding-3-large 0.76 | 0.71 | 0.82 | 0.74 | 0.93 | 0.46 | 0.65 | 0.96 |\n| text-embedding-3-small 0.73 | 0.68 | 0.76 | 0.68 | 0.91 | 0.43 | 0.61 | 0.94 |\n| text-embedding-ada-002 0.71 | 0.65 | 0.82 | 0.64 | 0.89 | 0.44 | 0.60 | 0.94 |\n| voyage-code-2 0.70 | 0.63 | 0.82 | 0.59 | 0.88 | 0.42 | 0.61 | 0.93 |\n| universal-sentence-encoder-multilingual-3 0.70 | 0.61 | 0.82 | 0.54 | 0.85 | 0.34 | 0.52 | 0.91 |\n| universal-sentence-encoder-multilingual-large-3 0.73 0.35 | 0.66 | 0.72 | 0.64 | 0.88 | | 0.54 | 0.93 |\n| xlm-roberta-base 0.23 0.44 0.27 | 0.14 | 0.60 | 0.19 | | | 0.51 | 0.85 |\n| xlm-roberta-large 0.24 0.37 0.27 | 0.16 | 0.66 | 0.15 | | | 0.53 | 0.84 |\n\nTable 10: Performance of each model for Classification and Pair Classification.", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv4.pdf" - }, - { - "text": "### Long-Range Strategy: *Translating Potential Into Results (continued)*\n\nAs a leadership team, we have developed a long-range strategic plan to accelerate profitable growth. Our plan includes numerous growth opportunities across our business, and implementation is underway, including:\n\n- • Leveraging sales capabilities and existing CRM (Customer Relationship Management) processes to expand our value-add and reach new customers\n- • Strengthening our position in attractive vertical markets while growing in our core segments\n- • Expanding our products and solutions; growing our core bearings and power transmission business at a rate greater than the market, along with focused product expansion via logical extensions and enhanced local capabilities\n- • Building on our fluid power market leadership via strengthened product offerings and value-added services for OEM and MRO customers\n- • Enhancing our operational excellence by capturing the full benefits of our ERP system and driving continuous improvement with customers, suppliers and throughout our operations\n- • Accelerating strategic acquisitions by leveraging our cash generation and strong financial position to extend into new markets\n\nToday, nearly 90 years since our founding, we are well-positioned and committed to realizing our potential – a potential that builds upon a proud past and the dedication of our associates around the globe.\n\nAs we look ahead, we see a bright future with excellent opportunities for growth and increased profitability – organically, via acquisition, and through our technology investments. *We are in exciting times, and we firmly believe our best days are ahead.*\n\nThank you for your ongoing investment and support of Applied.\n\nNeil A. Schrimsher Chief Executive Officer\n\nAugust 15, 2012\n\nBenjamin J. Mondics President & Chief Operating Officer\n\n25358_AIT_Report_WT.indd 4 8/28/12 4:22 PM\n\nOVERVIEW\n\nWith more than 4,600 associates across North America, Applied Industrial Technologies (\"Applied,\" the \"Company,\" \"We,\" \"Us\" or \"Our\") is a leading industrial distributor serving MRO and OEM\n\nmanagement solutions that provide added value to its customers. We have a long tradition of growth dating back to 1923, the year our business was founded in Cleveland, Ohio. At June 30, 2012, business was conducted in the United States, Canada, Mexico\n\nWhen reviewing the discussion and analysis set forth below, please note that the majority of SKUs we sell in any given year were not sold in the prior year, resulting in the inability to quantify certain commonly used comparative metrics analyzing\n\nOur fiscal 2012 sales were $2.4 billion, an increase of $162.6 million or 7.3% compared to the prior year. Net sales from acquired businesses added $16.6 million or 0.7% to the current year. Gross margin of 27.6% compares to 27.7% in the prior year. Our operating margin increased to 7.1% compared to the prior year's 6.8%. Our earnings per share was $2.54 versus $2.24\n\nOur consolidated balance sheet remains strong. Shareholders' equity is $672.1 million, up from $633.6 million at June 30, 2011. Working capital increased $31.4 million from June 30, 2011 to $435.6 million at June 30, 2012. Our current ratio remains strong\n\nApplied monitors several economic indices that have been key indicators for industrial economic activity in the United States. These include the Industrial Production and Manufacturing Capacity Utilization (MCU) indices published by the Federal Reserve Board and the Purchasing Managers Index (PMI) published by the Institute for Supply Management (ISM). Historically, our performance correlates well with the MCU which measures productivity and calculates a ratio of actual manufacturing output versus potential full capacity output. When manufacturing plants are running at a high rate of capacity, they tend to wear out machinery and require replacement parts. Our sales tend to lag the MCU by up\n\nat 2.9 to 1, consistent with the June 30, 2011 level.\n\nsales, such as changes in product mix and volume.\n\nin fiscal year 2011, an increase of 13.4%.\n\nto six months.\n\ncustomers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory\n\nand Puerto Rico from 476 facilities.\n\n## **Celebrating 90 Years of Strength in Distribution**\n\nIn January 2013, Applied Industrial Technologies will celebrate its 90th anniversary. The Company was founded in 1923 by Joseph M. Bruening as The Ohio Ball Bearing Company, a distributor of bearings to customers in Cleveland, Ohio. Over the years, the Company grew to become a regional distributor of bearings, then an international distributor of a wide range of industrial technologies and components. Today, nearly 90 years since our beginning, customers served by Applied benefit from our years of accumulated experience, expertise and exceptional ability to improve our customers' operations.\n\nJoin us as we kick-off a year-long celebration of our strength in distribution. We thank all of you, our stakeholders, for making it possible.\n\n1\n\nIndustrial production increased 0.4% in June after having declined 0.2% in May. In the manufacturing sector, outputs advanced 0.7% in June, reversing a decline of 0.7% in May and increased at an annual rate of 1.4% in the second quarter. In June, capacity utilization for manufacturing moved up 0.4% to 77.7%, a rate 13.9 percentage points above its trough in June of 2009 and was still 1.1 percentage points below its long-run average. The ISM PMI registered 49.7 in June, the first time this indicator dropped below 50 (its expansionary threshold) since July 2009. We remain optimistic about the U.S. industrial economy for our fiscal 2013.\n\nYEAR ENDED JUNE 30, 2012 vs. 2011\n\nstatements of consolidated income.\n\nfiscal 2012 was the same as in fiscal 2011.\n\nas a continued focus on profitable sales growth.\n\nCanada and Mexico versus 474 at June 30, 2011.\n\n29.5% fluid power in the prior year.\n\nThe following table is included to aid in review of Applied's\n\nNet Sales **100.0%** 100.0% 7.3% Gross Profit **27.6%** 27.7% 6.7% Selling, Distribution & Administrative **20.5%** 20.9% 5.1% Operating Income **7.1%** 6.8% 11.7% Net Income **4.6%** 4.4% 12.4%\n\nNet sales in fiscal 2012 were $2.4 billion, which was $162.6 million or 7.3% above the prior year, driven by improvements in the industrial economy as well as a continued focus on profitable sales growth. Incremental net sales from companies acquired since the prior year period contributed approximately $16.6 million or 0.7%. Currency translation decreased fiscal year sales by approximately $1.8 million or 0.1%. In local currency, net sales from our Canadian operations were up 12.2% from fiscal 2011, including 2.8% from acquisitions. In local currency, net sales from our Mexican operations were up 25.9%. The number of selling days in\n\nNet sales of our Service Center Based Distribution segment increased $133.8 million, or 7.6%, compared to fiscal year 2011 led by\n\nThe sales product mix for fiscal 2012 was 70.8% industrial products and 29.2% fluid power products compared to 70.5% industrial and\n\nAt June 30, 2012, we had a total of 476 operating facilities in the U.S.,\n\nimprovements in the industrial economy as well as a continued focus on profitable sales growth, with acquisitions adding $16.6 million or 0.9%. Net sales of our Fluid Power Businesses segment increased $28.8 million or 6.5%, also driven by improvements in the industrial economy as well\n\nYear Ended June 30, As a % of Net Sales\n\n**2012** 2011 % Increase\n\nChange in $'s Versus Prior Period", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "# POINTS IN TIME DEFINING MOMENTS OF MGM MIRAGE\n\n**19**\n\n**THE NEW YORK-NEW YORK SKYLINE BECOMES A TOWERING PRESENCE IN THE PORTFOLIO.** We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\n**IT ALL BEGINS WITH MGM GRAND.** MGM Grand, the largest hotel-casino in the world, opened to great fanfare. \"The City of Entertainment\" redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## **Making Profit as a Smaller Player**\n\nEUROPE\n\n\"Europe is one of the most fragmented automotive market in the world and a highly competitive one besides. Despite our relatively small size, however, we have begun to demonstrate that it is possible to make money in Europe. In fact, although Nissan does not yet deliver the levels of profitability here\n\nDOMINIQUE THORMANN Senior Vice President Nissan Europe\n\nthat the U.S. or other markets generate, we surpassed our NISSAN 180 business targets in fiscal 2004. Our profitability is now on par with the best European manufacturers. Nissan has a foundation for increasing profitability further in the coming years in Europe.\n\nNissan is already an established name around the region, and the brand is strongly associated with 4x4 technology, off-road vehicles and pickup trucks. However, there is also a solid heritage built around the Micra, a model designed for urban driving. Both the first and second generations of this car were very successful, and the third generation is performing well. To leverage our 4x4 heritage and SUV strength into the passenger car segment, Nissan is developing a series of crossover vehicles that blend car-like performance with 4x4 versatility. The Qashqai concept vehicle introduced at the 2004 Geneva Motor Show is the first of these—smaller, more affordable, and better adapted to European roads. The Qashqai will go into production in our plant in Sunderland in the UK in early 2007. The Murano, launched this year, is a precursor to the Qashqai in the larger executive segment. Europeans have already taken to the Murano, driving sales far past our initial forecasts in all markets. This car is helping make Nissan a brand that people aspire to own.\n\nNissan is still a small player in the region, selling 550,000 cars across a very large and diverse territory that stretches from the Atlantic Ocean to Russia, and from Finland to Israel. In the past we covered the area through multiple distribution channels, which we are currently in the process of simplifying. A few aspects of the European market have made profitability more difficult to achieve. For example, automakers must provide models with much diversity: diesel and gasoline powertrains; manual and automatic transmissions. The cars must also be engineered to suit the high driving speeds typical in the region and ensure superior handling, which results in higher costs.\n\nAs in many other mature markets, an incentive war is raging in Europe. Nissan's position here, as elsewhere, is to use incentives selectively and to always protect profitability. Providing products which customers recognize and appreciate for their style and attributes rather than being the best deal is the foundation of Nissan's profitable growth. We now have a wide range of products, five of which were newly launched in 2005, including the Pathfinder and the Navara pickup. We will release the Micra C+C at the Frankfurt Motor Show in September, giving customers the option of a unique standard glass roof in a fully retracting hard convertible top.\n\nNissan's manufacturing still defines the leading edge in Europe. According to *The Harbour Report*, our plant in Sunderland is the most productive plant in Europe. Sunderland will start production on a new B-segment car based on the Tone concept car in early 2006, followed by the Qashqai crossover vehicle in early 2007. Our Barcelona plant, which manufactures SUVs, 4x4s and light commercial vehicles, will reach full capacity in mid-2005. Finally, our truck plant in Avila, Spain, which specializes in light-duty trucks, will start producing a replacement for the popular Cabstar in late 2006. This efficient production base is a critical part of our profitable growth scenario.\n\nNISSAN Value-Up has given us a plan for building both profit and volume. We will not, however, sacrifice profit to gain volume. How far we can go depends on how fast we deliver results. I believe that we have much more room to grow, and to demonstrate that in even a crowded European market a smaller player can produce significant returns.\"", - "page_start": 62, - "page_end": 62, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "**Retail Sales by Region** (Units: 1000s)\n\n*Including Mexico and Canada", - "page_start": 10, - "page_end": 10, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **Notices**\n\nThis information was developed for products and services offered in the U.S.A.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to:\n\nIBM Director of Licensing, IBM Corporation, North Castle Drive, Armonk, NY 10504-1785 U.S.A.\n\n**The following paragraph does not apply to the United Kingdom or any other country where such provisions are inconsistent with local law:** INTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some states do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. 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Actual results may vary. Users of this document should verify the applicable data for their specific environment.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to the names and addresses used by an actual business enterprise is entirely coincidental.\n\n#### COPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs.", - "page_start": 12, - "page_end": 12, - "source_file": "sg246915.pdf" - }, - { - "text": "## **Growing in Areas of Expansion**\n\nJED CONNELLY Senior Vice President Nissan North America\n\n\"We had a terrific year in North America; sales for calendar year 2004 grew by 24.7 percent, and that growth that came in a flat U.S. market. The auto industry here only rose by about 237,000 vehicles, while Nissan was up by 191,000 cars. It was a strong year with a rich mix of products. The Altima continues to be a core car\n\nfor us, and our most important car in terms of volume. We sell over 200,000 Altimas a year, at a rate of 20,000 units per month—outstanding for a car so far along in its lifecycle. The Infiniti has also been phenomenal over the past few years. The G35 sedan and coupe continue to be the icons of the brand, driving both volume and profit.\n\nOur success always comes down to the product. We had great products from top to bottom, throughout the lineup and in both divisions. We were also very intelligent, I believe, in the way we price our vehicles—very close to the transaction price, and with limited reliance on incentives. That's been our strategy for four years, and it works. Customers understand that we provide a great product at a fair price. The other key to our success has been a very consistent marketing message. The SHIFT_ campaign is consistent and has been in place for some time now, and it's starting to gain traction with the public. Consumers look at Nissan products and our dealerships and say, 'Hey, something really is going on at Nissan!'\n\nIn a year full of successes, the one thing we would like to have handled better was the Quest. We had some initial quality issues, and some trim mix issues. We've corrected these, however, and repackaged the Quest to give people their most popular options. We've also made great strides in quality and on other aspects get it right.\n\nFor fiscal 2005 we have a volume growth target of 3.3 percent, but in the first three months of this period we were actually up by 18 percent! We launched a few new products at the end of the last year, so it's probably not realistic to expect that kind of volume for the whole year, but it makes us very confident of reaching our target.\n\nWe won't have any completely new products in fiscal 2005. That means that, while we will have solid, enviable growth, it won't translate into the spectacular numbers we've had over the past four years. The Altima will continue to drive our growth—it's in its fifth year, but still a remarkable performer. We've gotten a good boost in the market from the Pathfinder, which was relaunched last fall. We also expect to make some inroads with the Frontier, which is outperforming its competitors—it's clearly the best truck in the mid-size truck segment. This is, however, a difficult segment at the moment.\n\nWe have a great opportunity to build on the strengths that we've demonstrated in North America over the past four years. We have solid growth, and we continue to establish the Nissan brand. We have new models that continue to gain strength, such as the Murano, which has done wonderful things for Nissan's image in the market. On the Infiniti side, we just launched the M45, the mid-size luxury sedan that competes with the BMW 5 series. In the first three months after its launch, the M45 is doing very well. As we continue to establish Nissan brand recognition, we also will continue to define Infiniti, because now we're strong with the M45, strong in the luxury crossover market with the FX, and with the M we have a luxury sedan that can compete with anything in its class. Infiniti is strong all across the board.\n\nNot having a new product launch in fiscal year 2005 might be seen as a risk, but the current models are strong and selling well, and we'll have a host of new models in 2006. Most of our risks in the coming year are from", - "page_start": 63, - "page_end": 63, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Special thanks to the following people for their content contribution:\n\n**Ben Boltz** is a Senior Software Engineer. He has 32 years of experience in the Software Industry. He has worked on Content Manager OnDemand for Multiplatforms for over 20 years.\n\n**Darrell Bryant** joined IBM as a manufacturing engineer and worked as a Systems Engineer who specialized in S/36 and AS/400 systems. In 2000, Darrell joined the OnDemand team. He has performed a mix of activities, including services, education, support, and testing. Darrell is now the lead tester for OnDemand for i. He also develops and teaches workshops to clients and partners. He is the editor of the OnDemand Newsletter.\n\n**Nelson Chen** is a Software Developer with Content Manager OnDemand. He has over 30 years of experience in software development, among them 27 years at IBM and last 20 years in OnDemand. His areas of expertise include ArsXML, Install, and Configurator.\n\n**Trang Kim Duong** is a Software Developer with Content Manager OnDemand. Among her 17 years of experience in software development, the last 11 years were in Content Manager OnDemand. Trang's areas of expertise include workflow for Space Vehicle Design, Content Manager OnDemand Report Distribution, Exporter utility for Content Federation Services for Content Manager OnDemand (CFS-CMOD), and the Content Manager OnDemand back-end database component.\n\n**Hubert Hwang** is a Software Developer with Content Manager OnDemand. He is a Certified Solutions Expert for Content Manager OnDemand with over 10 years of experience with the product. His areas of expertise include the Content Manager OnDemand Web Enablement Kit Java application programming interfaces (APIs), Content Navigator, and software test automation. He has extensive experience troubleshooting all aspects of the product. He has authored over 200 technotes on topics, such as migration, data collection, and troubleshooting guides, for Content Manager OnDemand.\n\n**Vicki Miller** is a Senior Certified Client Technical Professional at IBM, working in the technology industry for 33 years with a focus on Enterprise Content Manager (ECM) since 1999. Her area of expertise in the realm of ECM is focused on solution sales consulting and technical account leadership that revolves around the management, processing, and analysis of any type of electronic content to help organizations optimize and protect their business. Vicki has spoken at IBM conferences on critical ECM topics, contributed to the development of technical publications, and led groups within IBM and client organizations to drive the enhancement ECM solutions and products.\n\n**Paula Muir** is a Software Developer with Content Manager OnDemand for Multiplatforms in Boulder, Colorado. Her areas of expertise include indexing and loading data, and AFP and PDF architecture.\n\n**Nancy O'Brian** started at IBM as an applications programmer, then transferred to a branch office where she performed her first Content Manager OnDemand (then known as R/DARS) implementation. After many more implementation service engagements, she joined the Content Manager OnDemand development team and continued to perform implementation services, training, support, testing, and technical writing. She currently focuses primarily on technical writing and testing.\n\n**Sandi Pond** is a Software Developer with Content Manager OnDemand for Multiplatforms. She has 17 years of experience with Content Manager OnDemand, working in various areas of the development team. Her area of expertise is the OnDemand Web Enablement Kit (ODWEK).\n\n**Debbie Wagner** is a Senior Software Engineer at IBM and has over 22 years of experience in content management, specifically, Content Manager OnDemand for Multiplatforms. Her areas", - "page_start": 18, - "page_end": 18, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What is the average emission of a human being per year in terms of CO2eq ?", - "target_page": 3, - "target_passage": "the average human is responsible for an estimated 5t CO2e per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "**Figure 14.** Difference in annual maximum daily maximum temperature between 2°C and 1.5°C global warming, for individual ensemble members and ensemble mean.\n\n**Figure 15.** Difference between 2°C and 1.5°C global warming for percentage of days with maximum temperature above 90th percentile of baseline, for individual ensemble members and ensemble mean.\n\npossible outcomes projected here, the differences between 2°C and 1.5°C are not always clear. The differences between 2°C and 1.5°C are not always in the same direction as the changes at 2°C; in the Amazon, for example, the difference in flow between 2°C and 1.5°C varies from positive to negative between ensemble members.\n\n........................................................\n\n *A* **376**: 20160452", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**).\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order . The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order. The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order .\n\n**Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**).\n\n#### **5. Discussion 5. Discussion 5. Discussion**\n\n#### *5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses*\n\n#### 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action\n\nClimate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "# **1 Introduction**\n\nThe Non-Annex I Inventory software (NAIIS) web application is a web-based tool developed for use by Parties not included in Annex I to the Convention (non-Annex I Parties) to estimate and report their national greenhouse gas inventories (GHG inventories). As per Article 4, paragraph 1 (a), and Article 12, paragraph 1 (a) of the Convention, non-Annex I Parties are required to communicate to the Conference of the Parties a national inventory of anthropogenic emissions by sources and removals by sinks of all greenhouse gases (GHGs) not controlled by the Montreal Protocol, to the extent their capacities permit, following the guidelines contained in the annex to decision17/CP.8.\n\nIn order to assist non-Annex I Parties in estimating and reporting their GHG inventories as part of their national communications, the secretariat developed an Excel-based software which incorporated all the elements of a national GHG inventory prescribed by decision 17/CP.8. The software was based on the IPCC inventory software version 1.1, which used the Tier 1 methodologies for estimating GHG emissions and removals for all source categories included in the Revised 1996 IPCC Guidelines, and further complemented by the GPGs.1\n\nSince its release in 2005, most non-Annex I Parties have been using that software for the development of their national GHG inventories. In December 2011, Parties requested the secretariat to upgrade the software and make it available to non-Annex I Parties by June 2013. Pursuant to that request, the secretariat converted the current Excelbased version of the software (v.1.3.2)2 into a web-based application (NAIIS) which provides greater flexibility and security for maintaining data.\n\n# **2 General information**\n\nThe NAIIS is a web-based application designed to enable non-Annex I Parties estimate their national GHG inventories according to the UNFCCC guidelines and using the IPCC methodologies, and to report the results in their national communications and biennial update reports.\n\n# **2.1 System overview**\n\nThe NAIIS web application has the following functionalities:\n\n- 1. User management (only for the user roles NFP and PM)\n- 2. Submission management\n- 3. Data entry\n- 4. Key category analysis\n- 5. Reporting tables\n- 6. Data Export/Import\n- 7. Completeness\n- 8. Consistency\n\nThe NAIIS web application allows input of data through three different channels:\n\n- 1. Manual input into the entry grids\n- 2. Partial or full import of data from Excel\n- 3. Bulk import of data from XML\n\nThe GHG emissions totals, by gas and by sector, are automatically calculated and saved based on the values entered for activity data (AD), emission factors and other relevant parameters. In addition, the software facilitates the reporting of other category specific information, for example, the choice of the method for activity data and emission factors.\n\n1 Good Practice Guidance and Uncertainty Management in National Greenhouse Gas Inventories, 2000, and Good Practice Guidance for Land\n\nUse, Land‐Use Change and Forestry, 2003. 2 http://unfccc.int/files/national_reports/non‐\n\nannex_i_natcom/training_material/methodological_documents/application/zip/unfccc_nai_is_132.zip", - "page_start": 3, - "page_end": 3, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n| --- | --- | --- |\n| Carbon dioxide | CO2 | 1 |\n| Methane | CH4 | 21 |\n| Nitrous oxide | N2O | 310 |\n| HFC-23 | CHF3 | 11,700 |\n| HFC-32 | CH2F2 | 650 |\n| HFC-41 | CH3F | 150 |\n| HFC-43-10mee | C5H2F10 | 1,300 |\n| HFC-125 | C2HF5 | 2,800 |\n| HFC-134 | C2H2F4 | 1,000 |\n| HFC-134a | CH2FCF3 | 1,300 |\n| HFC-152a | C2H4F2 | 140 |\n| HFC-143 | C2H3F3 | 300 |\n| HFC-143a | CF3CH3 | 3,800 |\n| HFC-227ea | C3HF7 | 2,900 |\n| HFC-236fa | C3H2F6 | 6,300 |\n| HFC-254ca | C3H3F5 | 560 |\n| Perfluoromethane | CF4 | 6,500 |\n| Perfluroethane | C2F6 | 9,200 |\n| Perfluoropropape | C3F8 | 7,000 |\n| Perfluorobutane | C2F10 | 7,000 |\n| Perfluorocyclobutane | c-c4F8 | 8,700 |\n| Perfluoropentane | C5F12 | 7,500 |\n| Perfluorohexane | C6F14 | 7,400 |\n| Sulphur hexafluoride | SF6 | 23,900 |\n\n# **Annex 3: Global Warming Potentials (GWPs)**\n\n*Source: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical Summary of the Working Group I Report, page 22.*", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "**Figure 2.** Simulated changes in annual daily maximumtemperature relativeto1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 4.** Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven by differentsets of CMIP5sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2024 | 2035 |\n| | GFDL-ESM2M | 2036 | 2051 |\n| | HadGEM2-ES | 2019 | 2033 |\n| | IPSL-CM5A-MR | 2023 | 2036 |\n| | MIROC-ESM-CHEM | 2020 | 2032 |\n| ACCESS1-0 | | 2026 | 2040 |\n| | | | |\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.\n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase more in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global warming compared with present day, whereas in the mid-latitudes between 20% and 30% of days exceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).\n\nrsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "The figure below displays the relation between **major risks** and the **health outcome in DALYs**. The estimates of DALYS that are attributable to work vary between 6.8 million years (ICOH) and 4.4 million years (WHO/ILO), both for the EU27.\n\nPutting the absolute numbers of WHO/ILO in relation to the EU27 population above 16 years this results in approximately **1,172 lost life years per 100,000 working-age population** (WHO/ILO). ICOH calculates in absolute numbers 6.8 million lost life years for the labour force population, resulting **in 3,364 DALYs per 100,000 labour force**.\n\nIt can be concluded that despite methodological differences the estimates **do not vary that much if the same reference population** is used in the calculation. Future research will contribute to a better attribution of the impact of work on these diseases. **In the future, relevant disease groups will be incorporated in these estimates**, that is, the impact of work on the prevalence of **mental diseases** and of communicable diseases caused by biological agents needs to be incorporated.\n\nThe next table shows the **difference between major occupational risk factors and deaths** at the EU27 level and the global level. At EU27 level asbestos-related cancers are clearly the most frequent reason for work-related deaths with nearly 60% of all cases; the two next main causes are COPD (15.9%) and CVD (12.3%). The global situation is quite different. CVD account for nearly 40%, COPD for 24% and injuries for 19%.", - "page_start": 83, - "page_end": 83, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "### **3. Emission factors**\n\n- *a. Ozone precursors and SO2 from oil refining Crude oil throughput* NOx = 0.06 CO = 0.09 NMVOC = 0.62 SO2 = 0.93\n- *b. Ozone precursors and SO2 from oil refining Catalytic cracker throughput* NOx = 0.2 CO = 42.6 NMVOC = 0.6 SO2 = 1.5\n- *c. NMVOC emissions from storage and handling Crude oil throughput* Secondary seals = 0.2 Primary seals = 0.7 Fixed Roof = 4.9\n- *d. SO2 from Sulphur Recovery Plants* **139 kg/t**\n- **4. CKD correction factor** = 1.02\n- **5. Methane Correction Factor (MCF)** Managed — 1.0 Unmanaged – deep (>= 5m) — 0.8 Unmanaged – shallow (< 5m) — 0.4 Methane Correction Factor — 0.6\n- **6. Inventory time period** *(for Cropland remaining Cropland Carbon stock change Mineral soils)* = **20 years**", - "page_start": 49, - "page_end": 49, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "exposures. The WHO/ILO study estimated the highest AF for the risk pair asbestos and mesothelioma, for occupational ergonomic factors and back and neck pain, and for some types of occupational injuries.\n\n| Attributable Fractions - Global | Health Outcome | DEATHS | DALYs |\n| --- | --- | --- | --- |\n| Asbestos | Mesothelioma | 91.45 | 86.73 |\n| Asbestos | Trachea, bronchus and lung | 10.48 | 8.06 |\n| | cancers | | |\n| Occupational particulate matter, gases, | Chronic obstructive | 14.87 | 15.14 |\n| fumes | pulmonary diseases | | |\n| Occupational injuries | Cyclist road injuries | 16.66 | 19 |\n| Exposure to silica | Trachea, bronchus and lung | 2.49 | 3.24 |\n| | cancers | | |\n| Occupational asthmagens | Asthma | 7.35 | 10.81 |\n| Occupational noise | Hearing loss | - | 18.24 |\n| Occupational ergonomic factors | Back and neck pain | -- | 26.38 |\n| Long working hours | Ischaemic heart disease | 3.69 | 5.26 |\n| Long working hours | Stroke | 6.93 | 9.29 |\n\n#### **Table 24: Examples of fractions of diseases attributable to work (AF) – WHO/ILO215**\n\nIn 2021, the WHO and ILO published their estimates of the burden of work-related diseases, named the 'WHO/ILO joint estimates of the work-related burden of disease and injury, 2000-2016'.216 WHO/ILO calculates for the EU27 114,000 **work-related deaths per year in 2016**. When setting the **absolute number of work-related deaths** (114,000) in relation to the EU27 population above 16 years (371 million) in 2016, this results in approximately **31 deaths per 100,000 population in working age above 16 years**.217\n\nThe second reference estimate was provided by the **International Commission on Occupational Health (ICOH)**. The size of the two major health consequences ('Outcomes') was calculated, that is, **work-related deaths**, and **work-related diseases**. ICOH estimates in total **179,000 deaths**; moreover, they refer to the much smaller **labour force** population (209 million) and calculate **89 work-related deaths per 100,000 labour force**. The main reason for these different estimates is the general approach: WHO/ILO restricts their analysis to selected risk-outcome pairs, for example, long working hours as risk and stroke as outcome, whereas ICOH aspired to cover all work-related diseases.", - "page_start": 81, - "page_end": 81, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**18**\n\n**Figure 12.** Comparison of global mean changes in climate extremes indices relative to 1981–2010 at 2°C and 1.5°C global warming for individual ensemble members and ensemble mean. (*a*) Change in annual daily maximum temperature; (*b*) percentage of days with maximum temperature above 90th percentile for 1981–2010; (*c*) change in consecutive dry days; (*d*) change in annual maximum 5-day rainfall.\n\nFor precipitation, generally similar changes are seen at 1.5°C global warming as at 2°C, but smaller in magnitude (compare figures 16 and 4), suggesting that most of these changes are a response to radiatively forced climate change as opposed to internal climate variability. However, some localized changes do vary in sign between the GWLs, such as in South Australia, suggesting a possible dominance of internal variability over the global warming signal in these places.\n\nWhere Rx5day increases, the increases are projected to be larger—in some cases approximately double—at 2°C global warming than 1.5°C. Where Rx5day decreases, again the decreases are projected to be larger at 2°C global warming than 1.5°C (figure 17).\n\nOf the 122 countries assessed, 93 have smaller ensemble-mean HCVI calculated at 1.5°C global warming than at 2°C, indicating an ensemble consensus that 76% of assessed countries would see a smaller increase in vulnerability to food insecurity if global warming were limited to 1.5°C (figures 18 and 19). Conversely, 24% of countries would, by this metric, see the same or higher vulnerability to food insecurity at 1.5°C than 2°C. Of these, some are countries where HCVI is projected to be lower at 2°C global warming than in the baseline. For example, in Mali the ensemble-mean baseline HCVI of 0.83 increased slightly to 0.85 at 1.5°C then reduced to 0.81 at 2°C. In some countries, the ensemble-mean HCVI happened to be identical at both warming levels. In Chad, for example, the baseline HCVI of 0.89 increased to 0.91 at both 1.5°C and 2°C.\n\nAs noted above, four countries saw ensemble-mean HCVI values at 2°C above any seen in the baseline, and this number increased to seven at 1.5°C. The same four countries with 'unprecedented' HCVI values at 2°C also saw 'unprecedented' values at 1.5°C; these were Oman, Bangladesh, Mauritania and Yemen. These were joined by Myanmar, India and Cambodia as having 'unprecedented' values at 1.5°C. The role of internal climate variability in the HCVI results needs to be assessed, as does the effect of potential nonlinear interactions between the flood and drought metric. Until the reasons behind these country-specific results are understood,", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 10.** Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more rsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "How did the Black Lives Matter movement influence the writing of Wikipedia articles ?", - "target_page": 5, - "target_passage": " the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people in- creased in coverage and were generated with reduced latency", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "most similar to the ones used in GPT-2's training data, i.e. documents linked to from Reddit [25], plus Wikipedia and a collection of books. While this was reportedly effective at filtering out documents that previous work characterized as \"unintelligible\" [134], what is unmeasured (and thus unknown) is what else it filtered out. The Colossal Clean Crawled Corpus [107], used to train a trillion parameter LM in [43], is cleaned, inter alia, by discarding any page containing one of a list of about 400 \"Dirty, Naughty, Obscene or Otherwise Bad Words\" [p.6].14 This list is overwhelmingly words related to sex, with a handful of racial slurs and words related to white supremacy (e.g. swastika, white power) included. While possibly effective at removing documents containing pornography (and the associated problematic stereotypes encoded in the language of such sites [125]) and certain kinds of hate speech, this approach will also undoubtedly attenuate, by suppressing such words as twink, the influence of online spaces built by and for LGBTQ people.15 If we filter out the discourse of marginalized populations, we fail to provide training data that reclaims slurs and otherwise describes marginalized identities in a positive light.\n\nThus at each step, from initial participation in Internet fora, to continued presence there, to the collection and finally the filtering of training data, current practice privileges the hegemonic viewpoint. In accepting large amounts of web text as 'representative' of 'all' of humanity we risk perpetuating dominant viewpoints, increasing power imbalances, and further reifying inequality. We instead propose practices that actively seek to include communities underrepresented on the Internet. For instance, one can take inspiration from movements to decolonize education by moving towards oral histories due to the overrepresentation of colonial views in text [35, 76, 127], and curate training datasets through a thoughtful process of deciding what to put in, rather than aiming solely for scale and trying haphazardly to weed out, post-hoc, flotsam deemed 'dangerous', 'unintelligible', or 'otherwise bad'.\n\n#### 4.2 Static Data/Changing Social Views\n\nA central aspect of social movement formation involves using language strategically to destabilize dominant narratives and call attention to underrepresented social perspectives. Social movements produce new norms, language, and ways of communicating. This adds challenges to the deployment of LMs, as methodologies reliant on LMs run the risk of 'value-lock', where the LM-reliant technology reifies older, less-inclusive understandings.\n\nFor instance, the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people increased in coverage and were generated with reduced latency [135]. Importantly, articles describing past shootings and incidents of police brutality were created and updated as articles for new events were created, reflecting how social movements make connections between events in time to form cohesive narratives [102]. More generally, Twyman et al. [135] highlight how social movements actively influence framings and reframings of minority narratives\n\nin the type of online discourse that potentially forms the data that underpins LMs.\n\nAn important caveat is that social movements which are poorly documented and which do not receive significant media attention will not be captured at all. Media coverage can fail to cover protest events and social movements [41, 96] and can distort events that challenge state power [36]. This is exemplified by media outlets that tend to ignore peaceful protest activity and instead focus on dramatic or violent events that make for good television but nearly always result in critical coverage [81]. As a result, the data underpinning LMs stands to misrepresent social movements and disproportionately align with existing regimes of power.\n\nDeveloping and shifting frames stand to be learned in incomplete ways or lost in the big-ness of data used to train large LMs — particularly if the training data isn't continually updated. Given the compute costs alone of training large LMs, it likely isn't feasible for even large corporations to fully retrain them frequently enough to keep up with the kind of language change discussed here. Perhaps fine-tuning approaches could be used to retrain LMs, but here again, what would be required is thoughtful curation practices to find appropriate data to capture reframings and techniques for evaluating whether such fine-tuning appropriately captures the ways in which new framings contest hegemonic representations.\n\n## 4.3 Encoding Bias\n\nIt is well established by now that large LMs exhibit various kinds of bias, including stereotypical associations [11, 12, 69, 119, 156, 157], or negative sentiment towards specific groups [61]. Furthermore, we see the effects of intersectionality [34], where BERT, ELMo, GPT and GPT-2 encode more bias against identities marginalized along more than one dimension than would be expected based on just the combination of the bias along each of the axes [54, 132]. Many of these works conclude that these issues are a reflection of training data characteristics. For instance, Hutchinson et al. find that BERT associates phrases referencing persons with disabilities with more negative sentiment words, and that gun violence, homelessness, and drug addiction are overrepresented in texts discussing mental illness [61]. Similarly, Gehman et al. show that models like GPT-3 trained with at least 570GB of data derived mostly from Common Crawl16 can generate sentences with high toxicity scores even when prompted with non-toxic sentences [53]. Their investigation of GPT-2's training data17 also finds 272K documents from unreliable news sites and 63K from banned subreddits.\n\nThese demonstrations of biases learned by LMs are extremely valuable in pointing out the potential for harm when such models are deployed, either in generating text or as components of classification systems, as explored further in §6. However, they do not represent a methodology that can be used to exhaustively discover all such risks, for several reasons.\n\nFirst, model auditing techniques typically rely on automated systems for measuring sentiment, toxicity, or novel metrics such as 'regard' to measure attitudes towards a specific demographic group [119]. But these systems themselves may not be reliable\n\n14Available at https://github.com/LDNOOBW/List-of-Dirty-Naughty-Obscene-and-Otherwise-Bad-Words/blob/master/en, accessed Jan 18, 2021\n\n15This observation is due to William Agnew.\n\n16https://commoncrawl.org/the-data/\n\n17GPT-3's training data is not openly available, but GPT-2's training data was used indirectly to construct GPT-3's [53].", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "issues and re-constructing them differently. By comparing the persistent words used related to the two discourses in the 10-year period in Table 2, we think that global warming showed a relative preference toward general descriptions or slogans, such as \"earth\" and \"pollution\", whereas \"climate change\" was more associated to specific issues like \"solar\", \"coal\", \"china\", and \"food\".\n\nStudies have suggested that the public shows a preference for scientific publications with general keywords compared with those with complicated scientific jargon [47], lacking a deep understanding of the complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions seem to suit global warming more than climate change according to the current study, which is probably because climate change receives more publicity and recognition than global warming in the scientific community. In the association network shown in Figure 2, global warming was found to be more connected with temperature abnormalities. This finding is in accordance with studies reporting that short-term temperature anomalies [87] can increase the public's belief about global warming by increasing the understanding of this abstract issue [88], although scientists mostly make judgments based on long-term weather statistics [89]. However, none of the four words, \"snow\", \"summer\", \"winter\", or \"heatwave\" in the temperature theme of global warming were ranked in the top 50 nodes list of the climate change network.\n\nEven when climate change and global warming shared concern about similar topics such as the cause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas climate change preferred a more in-depth perspective, highlighting the importance of global action to mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to carbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern [90], the two terminologies' differences in connotations suggest that introducing these absent sub-topics into global warming discourse or highlighting climate change for its inherent connotations may help communicators raise public concern about climate.\n\n#### 5.1.2. Political Connotations\n\nStudies noted that frame preference between climate change and global warming reflects individuals' ideological spectrum, where climate change and global warming were favored by the liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the current study demonstrated that global warming triggered far more political responses than climate change. The second largest cluster of global warming was politics-based, where hashtag \"tcot\", favored by right-leaning users and \"p2\", favored by left-leaning users, were both ranked in the list of top nodes of the global warming discourse, but neither was included in the list of top nodes of the climate change discourse. Considering that earlier findings suggested that global warming was more likely to be used by conservatives to question the reality of climate issue [11] and climate change is more commonly adopted when discussing action against the climate change issue [5], global warming had a stronger political connotation in public discussion.\n\n#### 5.1.3. Discourse Structure\n\nIn the discourse surrounding #climatechange, \"environment\", \"energy\", and \"global action\" represented the themes of the three largest clusters in the network. However, three popularly recurring hashtags, \"#environment\", \"#energy\", and \"#climateaction\", did not belong to any of the three clusters above, but formed another small tight cluster together, sitting in the most central part of the semantic network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of the climate change topic and these three hashtags were tightly bundled might indicate an attempt by #climatechange users to address all three communities together [91], consolidating climate change as a topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags' function of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5. then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5. then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5.\n\n**Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018. **Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018. **Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018.\n\n**Figure 4.** Association network of top 50 nodes of global warming for each year from 2009 to 2018. **Figure 4. Figure 4.**Association network of top 50 nodes of global warming for each year from 2009 to 2018. Association network of top 50 nodes of global warming for each year from 2009 to 2018.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed10.pdf" - }, - { - "text": "conducted to reveal the interactions between public discourse and natural, scientific, social, or political events. In particular, factors promoting public consensus and factors resulting in discourse discrepancy should be further identified to help climate communicators narrow the public cognitive divergence about the global climate issue.\n\n**Supplementary Materials:** The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1.\n\n**Author Contributions:** W.S. designed the study, collected the data, conducted the analysis, and wrote the article. H.F. offered suggestions to the part of temporal analysis. P.W. contributed to the hashtag co-occurrence part. C.C. helped with the design of the study. J.X. contributed to the framing of the article and helped with the revision. All authors have read and agreed to the published version of the manuscript.\n\n**Funding:** This work was supported in part by the National Key R&D Program of China (Grant No. 2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and U1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High Performance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and Technology (Qingdao).\n\n**Conflicts of Interest:** The authors declare no conflict of interest.\n\n# **Appendix A**\n\n#agw, short for anthropogenic global warming, indicating global warming is caused by human activities.\n\n#cdnpoli, short for Canadian politics\n\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency aiming at protecting environment.\n\n#gop, short for Grand Old Party, the Republican political party in the United States.\n\n#nyc, short for New York City\n\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter. #parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global warming by reducing greenhouse gas emissions.\n\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the United Nations General Assembly in 2015 and expected to be achieved in 2030.\n\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political standpoints on Twitter.\n\n#un, short for the United Nations\n\n#us, short for the United States\n\n## **References**\n\n- 1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. *Environ. Sci. Policy Sustain. Dev.* **2009**, *51*, 12–23. [CrossRef]\n- 2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change discourse on social media during extreme weather events. *Glob. Environ. Chang.* **2019**, *54*, 50–60. [CrossRef]\n- 3. Schuldt, J.P.; Konrath, S.H.; Schwarz, N. \"Global warming\" or \"climate change\"? Whether the planet is warming depends on question wording. *Public Opin. Q.* **2011**, *75*, 115–124. [CrossRef]\n- 4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter? *Clim. Chang.* **2011**, *105*, 1–12. [CrossRef]\n- 5. Jang, S.M.; Hart, P.S. Polarized frames on \"climate change\" and \"global warming\" across countries and states: Evidence from Twitter big data. *Glob. Environ. Chang.* **2015**, *32*, 11–17. [CrossRef]\n- 6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online: https://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on 10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nFor example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n- For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n- Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## **(7) Operating Leases**\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | | Lease |\n| --- | --- | --- |\n| | | payments |\n| Year ending June 30: | | |\n| 2025 | | 419,791 |\n| | $ Total minimum lease payments | 419,791 |\n\n#### **(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "means of measuring the toxicity of text generated by LMs. For example, the Perspective API model has been found to associate higher levels of toxicity with sentences containing identity markers for marginalized groups or even specific names [61, 103].\n\nSecond, auditing an LM for biases requires an a priori understanding of what social categories might be salient. The works cited above generally start from US protected attributes such as race and gender (as understood within the US). But, of course, protected attributes aren't the only identity characteristics that can be subject to bias or discrimination, and the salient identity characteristics and expressions of bias are also culture-bound [46, 116]. Thus, components like toxicity classifiers would need culturally appropriate training data for each context of audit, and even still we may miss marginalized identities if we don't know what to audit for.\n\nFinally, we note that moving beyond demonstrating the existence of bias to building systems that verify the 'safety' of some LM (even for a given protected class) requires engaging with the systems of power that lead to the harmful outcomes such a system would seek to prevent [19]. For example, the #MeToo movement has spurred broad-reaching conversations about inappropriate sexual behavior from men in power, as well as men more generally [84]. These conversations challenge behaviors that have been historically considered appropriate or even the fault of women, shifting notions of sexually inappropriate behavior. Any product development that involves operationalizing definitions around such shifting topics into algorithms is necessarily political (whether or not developers choose the path of maintaining the status quo ante). For example, men and women make significantly different assessments of sexual harassment online [40]. An algorithmic definition of what constitutes inappropriately sexual communication will inherently be concordant with some views and discordant with others. Thus, an attempt to measure the appropriateness of text generated by LMs, or the biases encoded by a system, always needs to be done in relation to particular social contexts and marginalized perspectives [19].\n\n#### 4.4 Curation, Documentation & Accountability\n\nIn summary, LMs trained on large, uncurated, static datasets from the Web encode hegemonic views that are harmful to marginalized populations. We thus emphasize the need to invest significant resources into curating and documenting LM training data. In this, we follow Jo et al. [62], who cite archival history data collection methods as an example of the amount of resources that should be dedicated to this process, and Birhane and Prabhu [18], who call for a more justice-oriented data collection methodology. Birhane and Prabhu note, echoing Ruha Benjamin [15], \"Feeding AI systems on the world's beauty, ugliness, and cruelty, but expecting it to reflect only the beauty is a fantasy.\" [p.1541]\n\nWhen we rely on ever larger datasets we risk incurring documentation debt, 18 i.e. putting ourselves in a situation where the datasets are both undocumented and too large to document post hoc. While documentation allows for potential accountability [13, 52, 86], undocumented training data perpetuates harm without recourse. Without documentation, one cannot try to understand training data characteristics in order to mitigate some of these attested issues or even unknown ones. The solution, we propose, is to budget for\n\ndocumentation as part of the planned costs of dataset creation, and only collect as much data as can be thoroughly documented within that budget.\n\n#### 5 DOWN THE GARDEN PATH\n\nIn §4 above, we discussed the ways in which different types of biases can be encoded in the corpora used to train large LMs. In §6 below we explore some of the risks and harms that can follow from deploying technology that has learned those biases. In the present section, however, we focus on a different kind of risk: that of misdirected research effort, specifically around the application of LMs to tasks intended to test for natural language understanding (NLU). As the very large Transformer LMs posted striking gains in the state of the art on various benchmarks intended to model meaning-sensitive tasks, and as initiatives like [142] made the models broadly accessible to researchers seeking to apply them, large quantities of research effort turned towards measuring how well BERT and its kin do on both existing and new benchmarks.19 This allocation of research effort brings with it an opportunity cost, on the one hand in terms of time not spent applying meaning capturing approaches to meaning sensitive tasks, and on the other hand in terms of time not spent exploring more effective ways of building technology with datasets of a size that can be carefully curated and available for a broader set of languages [65, 91].\n\nThe original BERT paper [39] showed the effectiveness of the architecture and the pretraining technique by evaluating on the General Language Understanding Evaluation (GLUE) benchmark [138], the Stanford Question Answering Datasets (SQuAD 1.1 and 2.0) [108], and the Situations With Adversarial Generations benchmark (SWAG) [155], all datasets designed to test language understanding and/or commonsense reasoning. BERT posted state of the art results on all of these tasks, and the authors conclude by saying that \"unsupervised pre-training is an integral part of many language understanding systems.\" [39, p.4179]. Even before [39] was published, BERT was picked up by the NLP community and applied with great success to a wide variety of tasks [e.g. 2, 149].\n\nHowever, no actual language understanding is taking place in LM-driven approaches to these tasks, as can be shown by careful manipulation of the test data to remove spurious cues the systems are leveraging [21, 93]. Furthermore, as Bender and Koller [14] argue from a theoretical perspective, languages are systems of signs [37], i.e. pairings of form and meaning. But the training data for LMs is only form; they do not have access to meaning. Therefore, claims about model abilities must be carefully characterized.\n\nAs the late Karen Spärck Jones pointed out: the use of LMs ties us to certain (usually unstated) epistemological and methodological commitments [124]. Either i) we commit ourselves to a noisy-channel interpretation of the task (which rarely makes sense outside of ASR), ii) we abandon any goals of theoretical insight into tasks and treat LMs as \"just some convenient technology\" [p.7], or iii) we implicitly assume a certain statistical relationship — known to be invalid — between inputs, outputs and meanings.20 Although\n\n18On the notion of documentation debt as applied to code, rather than data, see [154].\n\n19~26% of papers sampled from ACL, NAACL and EMNLP since 2018 cite [39].\n\n20Specifically, that the mutual information between the input and the meaning given the output is zero — what Spärck Jones calls \"the model of ignorance\".", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "- 58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption? In Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012; pp. 261–270.\n- 59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring Information Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of Microposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12.\n- 60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy on twitter. In *Between the Public and Private in Mobile Communication*; Routledge: Abingdon, UK, 2017; pp. 303–323.\n- 61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. *Int. J. Press.* **2013**, *18*, 138–166.\n- 62. Papacharissi, Z.; de Fatima Oliveira, M. Affective news and networked publics: The rhythms of news storytelling on# Egypt. *J. Commun.* **2012**, *62*, 266–282.\n- 63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag sentiment classification approach. In Proceedings of the 20th ACM International Conference on Information and Knowledge Management, Scotland, UK, 24–28 October 2011; pp. 1031–1040.\n- 64. Laniado, D.; Mika, P. Making sense of twitter. In Proceedings of the International Semantic Web Conference 2010, Shanghai, China, 7–11 November 2010; pp. 470–485.\n- 65. González-Ibánez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings of the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies: Short Papers—Volume 2, Portland, OR, USA, 19–24 June 2011; pp. 581–586.\n- 66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on twitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona, Spain, 17–21 July 2011.\n- 67. Kitzie, V.; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter. In Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for the Community, St. Louis, MO, USA, 6–10 October; 2015; p. 41.\n- 68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In *Hashtag Publics. The Power and Politics of Discursive Networks*; Peter Lang: New York, NY, USA, 2015; pp. 61–76.\n- 69. Rushkoff, D. 17. Permanent revolution: Occupying democracy. In *The Playful Citizen*; Amsterdam University Press: Amsterdam, The Netherlands, 2013; p. 335.\n- 70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore hashtag. *IC Rev. Científica De Inf. Y Comun.* **2015**, *11*, 49–57.\n- 71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. *Commun. Politics Cult.* **2011**, *44*, 37–56.\n- 72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and conversations about the 2013 IPCC Working Group 1 report. *PLoS ONE* **2014**, *9*, e94785. [CrossRef]\n- 73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P.; Yan, H.; Li, X. Comparing twitter and traditional media using topic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18–21 April 2011; pp. 338–349.\n- 74. Doctor, V. Hashtag History: When and What Started It? Available online: https://www.hashtags.org/featured/ hashtag-history-when-and-what-started-it/ (accessed on 16 January 2020).\n- 75. Newman, T.P. Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the release of the Working Group I Summary for Policymakers. *Public Underst. Sci.* **2017**, *26*, 815–825. [CrossRef]\n- 76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore the ecologies of two climate change protests. *Commun. Rev.* **2011**, *14*, 197–215. [CrossRef]\n- 77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in Millions). 2019. Available online: https://www.statista.com/statistics/282087/number-of-monthly-activetwitter-users/ (accessed on 10 October 2019).\n- 78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin': Evolution of Twitter users and behavior. In Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI, USA, 1–4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "problems at various levels of different domains [92]. No similar mechanism was observed in the global warming discourse, suggesting that global warming was less evocative of diverse adjacent sub-themes.\n\n#### *5.2. Evolution of Associations in the Two Discourses*\n\n### 5.2.1. Shrinking of Traditional Political Discussions and Emergence of Discourse Alliance\n\nThe temporal analysis revealed the evolution of public discourse from 2009 to 2018. In both discourses, political discussions gradually faded, indicating a trend in the public perception of climate issues to seeming slowly return to the scientific dimension in general. In 2009, political discussion was the second most important topic in the global warming discourse, but its ranking fell to last in 2018. In the climate change discourse, as shown in Figure 3, the association to political hashtags disappeared in the recent two years. These findings seem to contradict earlier studies suggesting noticeable political polarization in the climate discussion [66,93] and a Pew report saying that the partisan divide had widened in terms of attitudes toward climate change issues [94]. We suggest a probable reason responsible for this contradiction: Although political clusters in both discourses were shrinking, in the climate change discourse, the proportion of red associations started to increase in recent years, as shown in Figure 5a. The red cluster is a topic cluster with blurred edges and is composed of diverse hashtags, such as \"healthcare\", \"education\", \"poverty\", \"innovation\", and \"politics\". We examined the tweets with these co-occurrences and found that although few typical political hashtags such as \"p2\" and \"tcot\" were used, most of these tweets had strong political intentions. For example, when the public noticed that whitehouse.gov no longer provided specific pages for climate change as well as healthcare, LGBT rights, and civil rights in January 2017 [95], the red cluster expanded, as shown in Figure 5a, and a large amount of co-occurrences among these issues emerged to blame the government's wrong practices of neglecting all these issues. We observed that \"climatechange\" occurred often with hashtags such as \"education\", \"poverty\", \"economy\", \"leadership\", and \"innovation\" as the object of the verb \"rethink\" in a large amount of tweets arguing for the government's reflections on several domestic policies. Thus, we think that climate politics did not disappear but changed their form in public discussions in the last two years of the studied decade. A kind of discourse alliance formed among climate change and several other domestic political issues to show political appeal together, where a trend of pan-politicization rather than de-politicization might be identified in climate change discussion.\n\n#### 5.2.2. Strengthened Associations between Global Warming and Weather Abnormalities\n\nAlthough global warming is linked to abnormal weather phenomena, temporal analysis suggests their associations were not innate or changeless. An increase in association strength was observed in 2012 according to Figure 4. Two reasons may have contributed to this change. Firstly, the Hurricane Irene and Hurricane Sandy, two serious extreme weather events in 2011 and 2012, were proven to raise the volume of climate-related tweets and evoke the public's consciousness of global warming [2] to some extent. However, Sandy may not be the only reason. Studies that analyzed the discourse of three extreme events on Twitter pointed out that political and ideological debates, rather than phenomenon-related discussions, dominated during Sandy, evidenced by hashtag \"#sandy\" not being even to the temperature and extreme weather cluster (red in Figure 4), but was identified to the cluster describing hesitation between climate facts and actions (yellow in Figure 4).\n\nAfter examining every associated node in the red cluster in 2012, we suggest that the hashtag \"2012\" in the top right-hand corner, which is the only event-based hashtag, can provide another hint about why the associations related to temperature and extremeweather significantly increased in 2012. The Maya inscriptions about the end of the world in December 2012 were prevalent then, and even inspired a famous American disaster film named \"2012\", telling a story that the earth would be destroyed by a series of disastrous extreme natural events. Previously, historians focused on the correlations between climate issues and the collapse of the Mayan civilization [96,97], but no", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed10.pdf" - }, - { - "text": "- Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and Search\" (https://doi.org/10.1145%2F360018.360022). *Communications of the ACM*. **19** (3): 113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022).\n- Nicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\" (https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1 518020478). *The Wall Street Journal*. ISSN 0099-9660 (https://search.worldcat.org/issn/009 9-9660). Archived (https://web.archive.org/web/20241005171230/https://www.wsj.com/articl es/how-youtube-drives-viewers-to-the-internets-darkest-corners-1518020478) from the original on 5 October 2024. Retrieved 16 June 2018.\n- Nilsson, Nils (1983). \"Artificial Intelligence Prepares for 2001\" (https://ai.stanford.edu/~nilsson/O nlinePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF). *AI Magazine*. **1** (1). Archived (https://web.archive.org/web/20200817194457/http://ai.stanford.edu/~nilsson/Onlin ePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF) from the original on 17 August 2020. Retrieved 22 August 2020. Presidential Address to the Association for the Advancement of Artificial Intelligence.\n- NRC (United States National Research Council) (1999). \"Developments in Artificial Intelligence\". *Funding a Revolution: Government Support for Computing Research*. National Academy Press.\n- Omohundro, Steve (2008). *The Nature of Self-Improving Artificial Intelligence*. presented and distributed at the 2007 Singularity Summit, San Francisco, CA.\n- Oudeyer, P-Y. (2010). \"On the impact of robotics in behavioral and cognitive sciences: from insect navigation to human cognitive development\" (http://www.pyoudeyer.com/IEEETAMD Oudeyer10.pdf) (PDF). *IEEE Transactions on Autonomous Mental Development*. **2** (1): 2– 16. doi:10.1109/tamd.2009.2039057 (https://doi.org/10.1109%2Ftamd.2009.2039057). S2CID 6362217 (https://api.semanticscholar.org/CorpusID:6362217). Archived (https://web. archive.org/web/20181003202543/http://www.pyoudeyer.com/IEEETAMDOudeyer10.pdf) (PDF) from the original on 3 October 2018. Retrieved 4 June 2013.\n- Pennachin, C.; Goertzel, B. (2007). \"Contemporary Approaches to Artificial General Intelligence\". *Artificial General Intelligence*. Cognitive Technologies. Berlin, Heidelberg: Springer. pp. 1–30. doi:10.1007/978-3-540-68677-4_1 (https://doi.org/10.1007%2F978-3-54 0-68677-4_1). ISBN 978-3-5402-3733-4.\n- Pinker, Steven (2007) [1994], *The Language Instinct*, Perennial Modern Classics, Harper, ISBN 978-0-0613-3646-1\n\nPoria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of affective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository. napier.ac.uk/Output/1792429). *Information Fusion*. **37**: 98–125. doi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003). hdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem anticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165 407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-ofaffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23 March 2023. Retrieved 27 April 2021.\n\n- Rawlinson, Kevin (29 January 2015). \"Microsoft's Bill Gates insists AI is a threat\" (https://www.b bc.co.uk/news/31047780). *BBC News*. Archived (https://web.archive.org/web/20150129183 607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved 30 January 2015.\n- Reisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering Generative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla ma-pirated-books/675063/), *The Atlantic*, archived (https://web.archive.org/web/2024100307 1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-piratedbooks/675063/) from the original on 3 October 2024, retrieved 5 October 2024", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n### **6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic difference between climate change and global warming seems subtle, the differences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, \"global warming\" is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n#### *Limitation and Future Directions*\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.\n\nIn this study, we characterized the differences between two popular climate discourses and examined how two discourses evolved over a 10-year period. We did not focus on the interactions between public climate discourse and external factors. However, the evolution of climate discourse might be driven by several external forces such as scientific efforts, natural events, politics and online information (or misinformation) campaigns. The prevalence of certain climate concepts may inverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, previous studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation campaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading low-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with other sub-systems of our society should be noticed and explored in future. More studies like [2], who examined the influence of several extreme events on public climate change perception, should be", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "Concerning electrolyte solutions, what assumption makes the primitive model (PM) regarding ions?", - "target_page": 1, - "target_passage": "simple phenomenological models such as the primitive model (PM), for which the ions are assimi- lated to charged hard spheres", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina1,2,3 , ∗ Jean-Fran¸cois Dufrˆeche1,2,3 , † Mathieu\n\nSalanne1,2 , Olivier Bernard1,2 , Marie Jardat1,2 , and Pierre Turq1,2\n\n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n\nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, H¨uckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8–11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from molecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.\n\nThe first stage consists in calculating the McMillan-Mayer effective ion-ion interaction potentials V eff ij (r), by inverting the radial distribution functions (RDF) gij (r) obtained by MD. The simulations were carried out on a box of 2000 water molecules and 48 NaCl pairs using the same interaction potentials as in reference [16]. This setup corresponds to a concentration of 0.64 mol l−1 . NPT ensemble sampling at standard pressure and temperature was enforced, with a time step of 1 fs and a pressure bath coupling constant of 1 ps. An equilibration run of 0.25 ns was followed by a production run of 0.6 ns for five different initial configurations. The averages of the resulting RDF were then used for the potential inversion via the HNC closure [15]. These effective potentials are assumed to be concentration independent and will be used for simulations at all concentrations.\n\nSubtracting the long-range Coulombic potential V LR ij (r) (which depends on the dielectric constant of the solvent) from V eff ij (r), we obtain the short-range contribution V SR ij (r) to the effective potentials. These are given in Fig. 1 (species 1 and 2 refer to Na+ and Cl− free ions, respectively). All the short-range potentials exhibit oscillations corresponding to the solvent layering between the ions, but this effect is particularly important for the cation-anion interaction: a considerable potential barrier (& 2kBT ) separates the first two attractive wells. To serve as a reference, Monte Carlo (MC) simulations were performed with these effective potentials; a comparison between MD and MC RDF is also provided in Fig. 1. The excellent agreement between both sets of RDF validates the HNC inversion procedure [17], and allows us to com-\n\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3\n\nInstitut de Chimie S´eparative de Marcoule (ICSM),\n\n∗Electronic address: john.molina@etu.upmc.fr\n\n†Electronic address: jean-francois.dufreche@upmc.fr", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, Vij = V (0) ij + ∆Vij , a first-order truncated expression for the free energy density of the system βfv is obtained,\n\n$$\\beta f_{v}\\lesssim\\beta f_{v}^{(0)}+\\frac{1}{2}\\beta\\sum_{i,j}\\rho_{i}\\rho_{j}\\int\\mathrm{d}\\mathbf{r}\\,g_{i j}^{(0)}(r)\\Delta V_{i j}(r)\\qquad(1)$$\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = (kBT ) −1 and ρi the concentration of species i. The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter (σi) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆Vij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g(r) = exp [gMSA(r) − 1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillan-Mayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\nWe first used LPT for a two-component system (Na+ and Cl− free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2.0 mol l−1 . The minimization leads to almost constant diameters on the whole range of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0.1 mol l−1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4.2 ˚A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.\n\nTo overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than kBT . In addition, the perturbation term of the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l−1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives, edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1–66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9, 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96, 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, 3730 (1995).\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100, 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359, 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties, vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101, 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair βVeint(r) is set equal to βV eff ij (r) for distances less than 4 ˚A.\n\ntrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n$$\\widetilde{V}_{3i}^{\\rm SR}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)\\big{[}V_{1i}^{\\rm SR}+V_{2i}^{\\rm SR}\\big{]}(\\mathbf{k}),\\quad i=1,2\\tag{2a}$$\n\n$$\\widetilde{V}_{33}^{\\mathrm{SR}}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)^{2}\\big[V_{11}^{\\mathrm{SR}}+V_{22}^{\\mathrm{SR}}+2V_{12}^{\\mathrm{SR}}\\big](\\mathbf{k})\\tag{2b}$$\n\nwhere we(r) is the pair probability distribution\n\n$$\\tilde{w}(\\mathbf{r})=K_{0}^{-1}e^{-\\beta\\tilde{V}_{\\rm int}(r)}\\tag{2c}$$\n\nVeint(r) is the internal part of the pair potential (see Fig. 3), and K0 is the association constant, defined as:\n\n$$K_{0}=\\int_{0}^{\\infty}\\mathrm{d}r\\,4\\pi r^{2}e^{-\\beta\\tilde{V}_{\\mathrm{int}}(r)}=0.43\\ \\mathrm{L.mol^{-1}}\\qquad(3)$$\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture βfeex v plus a correction term\n\n$$\\beta f_{v}^{\\rm ex}=\\beta\\tilde{f}_{v}^{\\rm ex}-\\tilde{\\rho}_{3}\\ln K_{0},\\tag{4}$$\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c. (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c.\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let σec be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σe3 = 4 √ 2 π σec[21].\n\nUsing these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, 4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l−1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:\n\n$$\\rho_{i}\\rho_{j}g_{ij}(\\mathbf{k})=\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k})\\left(1-\\delta_{ij}\\right)+\\widetilde{\\rho}_{i}\\widetilde{\\rho}_{j}\\widetilde{g}_{ij}(\\mathbf{k})$$\n \n$$+\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k}/2)\\left[\\widetilde{\\rho}_{i}\\widetilde{g}_{3i}+\\widetilde{\\rho}_{j}\\widetilde{g}_{3j}\\right](\\mathbf{k})\\tag{5}$$\n \n$$+\\widetilde{\\rho}_{3}^{2}\\left[\\widetilde{w}(\\mathbf{k}/2)\\right]^{2}\\widetilde{g}_{33}(\\mathbf{k})$$", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "form of the imaginary part.\n\nFIG. 17: Conductivities and ∆W for a fixed λωsf . Top – ωsf = 26 meV ,λ = 1,ωo = 40 meV ,Zo = 0.77 Bottom – ωsf = 2.6 meV ,λ = 10,ωo = 13.5 meV ,Zo = 1.22. The zero crossing for ∆W is not affected by a change in λ because it is determined only by λωsf . We set ∆ = 30 meV .\n\nFIG. 18: The behavior of Kubo sums in the CB model. Note that the spectral weight in the NS is always larger than in the SCS. We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nWe performed the same calculations of conductivities and optical integrals as in the previous three cases. The results are summarized in Figs. 17 - 22. Fig 17 shows conductivities in the NS and the SCS for two couplings λ = 1 and λ = 10 (keeping λωsf constant). Other parameters Zo and ωo are calculated according to the discussion after Eq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV , Zo = 0.77. And for ωsf = 2.6 meV , λ = 10, we find ωo = 13.5 meV , Zo = 1.22. Note that the conductivity in the SCS starts at 2∆ + ωo (i.e. the resonance energy\n\nFIG. 19: The evolution of the optical integrals in the NS and the SCS in the CB model. Note that about ∼ 75% of the spectral weight is recovered up to 1 eV . We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nFIG. 20: ∆W (in meV) for λ = 1(top) and λ = 10(bottom). We used ωsf = 26 meV /λ and ∆ = 30meV . The zero crossing is not affected because we keep λωsf constant. The notable difference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\n$$F[\\rho_{l},\\rho_{n}]\\ =\\ \\int\\mathrm{d}\\mathbf{r}\\Big{[}f(\\rho_{l},\\rho_{n})+\\frac{\\varepsilon_{ll}}{2}(\\nabla\\rho_{l})^{2}+\\frac{\\varepsilon_{nn}}{2}(\\nabla\\rho_{n})^{2}+\\varepsilon_{nl}(\\nabla\\rho_{n})\\cdot(\\nabla\\rho_{l})-\\mu\\rho_{l}\\Big{]},\\tag{4}$$\n\nwhere\n\n$$f(\\rho_{l},\\rho_{n})=kT[\\rho_{l}\\ln\\rho_{l}+(1-\\rho_{l})\\ln(1-\\rho_{l})]\\tag{5}$$\n \n$$+\\ kT[\\rho_{n}\\ln\\rho_{n}+(1-\\rho_{n})\\ln(1-\\rho_{n})]$$\n \n$$-\\ 2\\varepsilon_{ll}\\rho_{l}^{2}-2\\varepsilon_{nn}\\rho_{n}^{2}-4\\varepsilon_{nl}\\rho_{n}\\rho_{l}.$$\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µn = δF[ρn, ρl ]/δρn(r). In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current is j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n$$\\frac{\\partial\\rho_{n}}{\\partial t}=\\nabla\\cdot\\left[M_{n}\\rho_{n}\\nabla\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{n}}\\right].\\tag{6}$$\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − 0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρl is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 6: Evolution of ∆W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3.5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\int d\\omega^{\\prime}\\frac{1}{\\omega_{o}^{2}-\\omega^{\\prime2}-i\\delta}\\frac{\\omega+\\omega^{\\prime}}{\\sqrt{(\\omega+\\omega^{\\prime})^{2}-\\Delta^{2}}}\\tag{16}$$\n\nObserve that Σ′′(ω) is no-zero only for ω < −ωo − ∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ′ (ω) = −Σ ′ (−ω) and Σ′′(ω) = Σ′′(−ω).\n\nFig7 shows conductivities σ(ω) and Kubo sums WK as a function of the dimensionless coupling λ. We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆WK is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model – only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆W(ωc) as a function of ωc. We see the same behavior as in the BCSI model in a clean limit – ∆W(ωc) is positive at small frequencies, crosses zero at some ωc, passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest wc. However, in distinction to BCSI model, ∆W(ωc) keeps varying with ωc up a much larger scale and saturates only at around 0.8eV . In between the dip at 0.1eV and 0.8eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆f(ωc) as evidenced by a close similarity between the behavior of the actual ∆W and ∆W in the absence\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that WK in the SCS is below that in the NS. We set ωo = 40 meV , ∆ = 30 meV , λ = .5\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W(0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω, hence the polarization bubble Π(0) 6= 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles with average density ρ av n = 0.3. The top row are the nanoparticle density profiles and the bottom row are the corresponding liquid density profiles at the times t/tl = 8 (left) and 80 (right), where tl = 1/kTMnc l σ 2 . The parameters are kT /εll = 0.8, εnl/εll = 0.6, εnn = 0, α = 0.4Mnc l σ 4 , Mc l = 0, ρl(t = 0) = 0.9 ± ξ (where ξ represents white noise of amplitude 0.05) and (µ − µcoex)/kT = −0.88, where the liquid exhibits spinodal decomposition-evaporation.\n\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines developed above for the nanoparticles. For the non-conserved part we assume a standard form [85], i.e., the change in time of ρl is proportional to −(µsurf(r, t) − µ) = −δF[ρn, ρl ]/δρl(r) where µsurf(r, t) is the local chemical potential of the liquid at the point r on the surface at time t. This gives the evolution equation for the liquid density\n\n$$\\frac{\\partial\\rho_{l}}{\\partial t}=\\nabla\\cdot\\left[M_{l}^{c}\\rho_{l}\\nabla\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{l}}\\right]-M_{l}^{\\rm nc}\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{l}},\\tag{7}$$\n\nwhere we assume that the coefficients Mc l and Mnc l are constants.", - "page_start": 15, - "page_end": 15, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the principle of the liquid perturbation theory (LPT) ?", - "target_page": 2, - "target_passage": "The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the differ- ence between them treated as a perturbation in the ref- erence potential", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, Vij = V (0) ij + ∆Vij , a first-order truncated expression for the free energy density of the system βfv is obtained,\n\n$$\\beta f_{v}\\lesssim\\beta f_{v}^{(0)}+\\frac{1}{2}\\beta\\sum_{i,j}\\rho_{i}\\rho_{j}\\int\\mathrm{d}\\mathbf{r}\\,g_{i j}^{(0)}(r)\\Delta V_{i j}(r)\\qquad(1)$$\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = (kBT ) −1 and ρi the concentration of species i. The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter (σi) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆Vij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g(r) = exp [gMSA(r) − 1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillan-Mayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\nWe first used LPT for a two-component system (Na+ and Cl− free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2.0 mol l−1 . The minimization leads to almost constant diameters on the whole range of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0.1 mol l−1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4.2 ˚A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.\n\nTo overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n### A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l. The resulting three possible states of a cell are: liquid (l = 1, n = 0), nanoparticle (l = 0, n = 1), and vapour (l = 0, n = 0, i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\n$$E\\,=\\,-\\frac{\\varepsilon_{nn}}{2}\\sum_{}n_{i}n_{j}\\,-\\,\\frac{\\varepsilon_{nl}}{2}\\sum_{}n_{i}l_{j}\\,-\\,\\frac{\\varepsilon_{ll}}{2}\\sum_{}l_{i}l_{j}\\,-\\,\\mu\\sum_{i}l_{i}\\tag{3}$$\n\nwhere P denotes a sum over nearest neighbour pairs and εll, εnn and εnl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters εll, εnn, εnl and the effective chemical potential µ determines the equilibrium state of the system. We choose εll as unit of energy – i.e. we set εll = 1.\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles with average density ρ av n = 0.3. The top row are the nanoparticle density profiles and the bottom row are the corresponding liquid density profiles at the times t/tl = 8 (left) and 80 (right), where tl = 1/kTMnc l σ 2 . The parameters are kT /εll = 0.8, εnl/εll = 0.6, εnn = 0, α = 0.4Mnc l σ 4 , Mc l = 0, ρl(t = 0) = 0.9 ± ξ (where ξ represents white noise of amplitude 0.05) and (µ − µcoex)/kT = −0.88, where the liquid exhibits spinodal decomposition-evaporation.\n\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines developed above for the nanoparticles. For the non-conserved part we assume a standard form [85], i.e., the change in time of ρl is proportional to −(µsurf(r, t) − µ) = −δF[ρn, ρl ]/δρl(r) where µsurf(r, t) is the local chemical potential of the liquid at the point r on the surface at time t. This gives the evolution equation for the liquid density\n\n$$\\frac{\\partial\\rho_{l}}{\\partial t}=\\nabla\\cdot\\left[M_{l}^{c}\\rho_{l}\\nabla\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{l}}\\right]-M_{l}^{\\rm nc}\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{l}},\\tag{7}$$\n\nwhere we assume that the coefficients Mc l and Mnc l are constants.", - "page_start": 15, - "page_end": 15, - "source_file": "1001.2669.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\n$$F[\\rho_{l},\\rho_{n}]\\ =\\ \\int\\mathrm{d}\\mathbf{r}\\Big{[}f(\\rho_{l},\\rho_{n})+\\frac{\\varepsilon_{ll}}{2}(\\nabla\\rho_{l})^{2}+\\frac{\\varepsilon_{nn}}{2}(\\nabla\\rho_{n})^{2}+\\varepsilon_{nl}(\\nabla\\rho_{n})\\cdot(\\nabla\\rho_{l})-\\mu\\rho_{l}\\Big{]},\\tag{4}$$\n\nwhere\n\n$$f(\\rho_{l},\\rho_{n})=kT[\\rho_{l}\\ln\\rho_{l}+(1-\\rho_{l})\\ln(1-\\rho_{l})]\\tag{5}$$\n \n$$+\\ kT[\\rho_{n}\\ln\\rho_{n}+(1-\\rho_{n})\\ln(1-\\rho_{n})]$$\n \n$$-\\ 2\\varepsilon_{ll}\\rho_{l}^{2}-2\\varepsilon_{nn}\\rho_{n}^{2}-4\\varepsilon_{nl}\\rho_{n}\\rho_{l}.$$\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µn = δF[ρn, ρl ]/δρn(r). In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current is j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n$$\\frac{\\partial\\rho_{n}}{\\partial t}=\\nabla\\cdot\\left[M_{n}\\rho_{n}\\nabla\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{n}}\\right].\\tag{6}$$\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − 0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρl is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles per unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F[h] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\n\n$$\\eta(\\phi)=\\eta_{0}\\,\\left(1-\\frac{\\phi}{\\phi_{c}}\\right)^{-2}\\tag{8}$$\n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length hp = φh one obtains the following evolution equation:\n\n$$\\partial_{t}(\\phi h)\\,=\\,\\nabla\\cdot\\left[\\phi Q_{c}\\nabla\\frac{\\delta F}{\\delta h}\\right]+\\nabla\\cdot\\left[D(\\phi)h\\nabla\\phi\\right],\\tag{9}$$\n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by the Einstein relation D(φ) = kT/6πRη(φ), where R is the radius of the nanoparticles [96]. We illustrate results obtained employing this thin film theory using the single example of a re-\n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\n$$f(h)=\\frac{S_{LW}d_{0}^{2}}{h^{2}}+S_{P}\\exp\\left(\\frac{d_{0}-h}{l_{0}}\\right),\\tag{10}$$\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the Born repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable precursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "# Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λ Hperturbation = λ[Sj1 · Sk1 + r(Sj2 · Sk2)], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of Hperturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k. Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk) can be replaced by a c-number (−2Jcluster) −1 . Therefore the perturbation up to second order is\n\n$$-\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\,{\\mathcal{P}}_{j k}(H_{\\mathrm{perturbation}})^{2}{\\mathcal{P}}_{j k}$$\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes (a, b = x, y, z),\n\n$$\\begin{array}{c}{{-\\,\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\sum_{a,b}\\left[\\mathcal{P}_{j}S_{j1}^{a}S_{j1}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k1}^{b}\\mathcal{P}_{k}\\right]}}\\\\ {{\\quad+2r\\,\\mathcal{P}_{j}S_{j1}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k2}^{b}\\mathcal{P}_{k}}}\\\\ {{\\quad+r^{2}\\,\\mathcal{P}_{j}S_{j2}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k2}^{a}S_{k2}^{b}\\mathcal{P}_{k}\\right]}}\\end{array}$$\n\nThen use the fact that PjS a jℓS b jmPj = δab(1/3)Pj(Sjℓ · Sjm)Pj by spin rotation symmetry, the perturbation becomes\n\n$$-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+2r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2})({\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}$$\n \n$$=-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+(r/2)\\tau_{j}^{x}\\tau_{k}^{x}-r/2$$\n \n$$-r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}.$$\n\nSo we can choose −(r λ2 )/(12Jcluster) = −Jx, and include the last intra-cluster Sj1 ·Sj2 + Sk1 ·Sk2 term in the first order perturbation.\n\nThe perturbation on x-links is then (not unique),\n\n$\\lambda_{x}\\,H_{\\rm perturbation}$, $x=\\lambda_{x}[{\\bf S}_{j1}\\cdot{\\bf S}_{k1}+{\\rm sgn}(J_{x})\\cdot({\\bf S}_{j2}\\cdot{\\bf S}_{k2})]$ \n \n$-J_{x}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2})$\n\nwith λx = p 12|Jx| · Jcluster, and r = sgn(Jx) is the sign of Jx. The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on ylinks, λ Hperturbation = λ[Sj1 ·(Sk3 − Sk4) + r Sk1 ·(Sj3 − Sj4)]. Following similar procedures we get the second order perturbation from this term\n\n− λ 2 6Jcluster h 9 + 9r 2 8 + 2r Pjk[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki = − λ 2 6Jcluster h 9 + 9r 2 8 + 2r (3/4)τ y j τ y k − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki\n\nSo we can choose −(r λ2 )/(4Jcluster) = −Jy, and include the last intra-cluster Sk3 · Sk4 + r 2 Sj3 · Sj4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y-links (not unique),\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster, r = sgn(Jy) is the sign of Jy. The τ z τ z term is again more difficult to get. We use\n\nj k the representation of τ z by spin-chirality (6). And consider the following perturbation\n\n$$H_{\\mathrm{perturbation}}={\\bf S}_{j2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})+r\\,{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})$$\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\n$$\\begin{array}{l}{{\\lambda^{2}\\,{\\mathcal{P}}_{j k}{\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4})(1-{\\mathcal{P}}_{j k})}}\\\\ {{\\ \\times\\left[0-H_{\\mathrm{cluster}\\ j}-H_{\\mathrm{cluster}\\ k}\\right]^{-1}}}\\\\ {{\\ \\times\\left(1-{\\mathcal{P}}_{j k}\\right){\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4}){\\mathcal{P}}_{j k}}}\\end{array}$$\n\nFor the cluster j part we can use the same arguments as before, the Hcluster j can be replaced by a c-number Jcluster. For the cluster k part, consider the fact that Sk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4], the action of Sk3 ×Sk4 on physical singlet states of k will also only produce spin-1 state. So we can replace the Hcluster k in the denominator by a c-number Jcluster as well. Use spin rotation symmetry to separate the j and k parts, this term simplifies to\n\n− λ 2 6Jcluster PjSj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk. Use (S) 2 = 3/4 and (Sk3 × Sk4) · (Sk3 × Sk4) = X a,b (S a k3S b k4S a k3S b k4 − S a k3S b k4S b k3S a k4 ) = (Sk3 · Sk3)(Sk4 · Sk4) − X a,b S a k3S b k3 [δab/2 − S a k4S b k4 ] = 9/16 + (Sk3 · Sk4)(Sk3 · Sk4) − (3/8)", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [81] A. J. Archer and M. Rauscher, \"Dynamical density functional theory for interacting brownian particles: Stochastic or deterministic?\" J. Phys. A-Math. Gen. 37, 9325–9333 (2004).\n- [82] A. J. Archer and R. Evans, \"Dynamical density functional theory and its application to spinodal decomposition,\" J. Chem. Phys. 121, 4246–4254 (2004).\n- [83] P. A. Monson, \"Mean field kinetic theory for a lattice gas model of fluids confined in porous materials,\" J. Chem. Phys. 128, 084701 (2008).\n- [84] P. M. Chaikin and T. C. Lubensky, *Principles of condensed matter physics*, Cambridge University Press (1997).\n- [85] J. S. Langer, \"An introduction to the kinetics of first-order phase transitions,\" in C. Godreche, editor, \"Solids far from Equilibrium,\" pages 297–363, Cambridge University Press (1992).\n- [86] M. A. Spaid and G. M. Homsy, \"Stability of Newtonian and viscoelastic dynamic contact lines,\" Phys. Fluids 8, 460–478 (1996).\n- [87] U. Thiele and E. Knobloch, \"Front and back instability of a liquid film on a slightly inclined plate,\" Phys. Fluids 15, 892–907 (2003).\n- [88] M. R. E. Warner, R. V. Craster, and O. K. Matar, \"Surface patterning via evaporation of ultrathin films containing nanoparticles,\" J. Colloid Interface Sci. 267, 92–110 (2003).\n- [89] O. K. Matar, R. V. Craster, and K. Sefiane, \"Dynamic spreading of droplets containing nanoparticles,\" Phys. Rev. E 76, 056315 (2007).\n- [90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, \"Theory for shock dynamics in particle-laden thin films,\" Phys. Rev. Lett. 94, 117803 (2005).\n- [91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, \"Shock solutions for particle-laden thin films,\" SIAM J. Appl. Math. 68, 760–783 (2008).\n- [92] R. V. Craster, O. K. Matar, and K. Sefiane, \"Pinning, retraction, and terracing of evaporating droplets containing nanoparticles,\" Langmuir (2009), online available.\n- [93] D. Quemada, \"Rheology of concentrated disperse systems and minimum energy-dissipation principle I. Viscosity-concentration relationship,\" Rheol. Acta 16, 82–94 (1977).\n- [94] D. Quemada and C. Berli, \"Energy of interaction in colloids and its implications in rheological modeling,\" Adv. Colloid Interface Sci. 98, 51–85 (2002).\n- [95] J. J. Stickel and R. L. Powell, \"Fluid mechanics and rheology of dense suspensions,\" Annu. Rev. Fluid Mech. 37, 129–149 (2005).\n- [96] J. K. G. Dhont, *An Introduction to Dynamics of Colloids*, Elsevier, Amsterdam (1996).", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "By how much did the Hartford group's link to AARP website account concerning buisness made over the internet ?", - "target_page": 16, - "target_passage": "In 2001 the company’s link to AARP’s Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "most dynamic sources of business growth. In 2001 the company's link to AARP's Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet.\n\nBecause The Hartford quotes and issues this business online (and added online billing in 2001), acquisition and processing costs are 15 to 20 percent lower than those of traditional direct-marketing or face-toface sales. Because of this and other factors, the expense ratio for AARP business is 30 percent below that of the industry in general. And the customer renewal rate is 96 percent, versus the industry's 88 percent, making the AARP program yield some of the most profitable auto business The Hartford writes.\n\nThe relationship also has The Hartford thinking ahead toward new business and an even stronger relationship with AARP members. The Hartford can crossmarket auto insurance to homeowner's customers and homeowner's insurance to auto customers, which presents a tremendous growth opportunity. In addition,\n\nThe Hartford is committed to providing value to AARP members in many ways. An example: The Hartford and AARP work with the MIT Age Lab to produce information—available in print and on both partners' Web sites—advising AARP members about Alzheimer's disease and other forms of dementia as they affect driving ability. The information guides caregivers struggling with difficult decisions about family members' safety behind the wheel. The resource—a customer solution like no other—helps enhance the superior value The Hartford provides to AARP members.\n\nAlthough it's the most comprehensive, the AARP relationship isn't The Hartford's only affinity program. The company also has affinity arrangements with USAA and other companies. Regardless of the program's size, the affinity partners share the right qualities: strong name-brand recognition, first-class marketing and a broad and loyal customer base.\n\nIn other words, they share some of The Hartford's core attributes.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**\"P**artnering\" is a popular business buzzword that may vanish as quickly as it appeared. The Hartford's partnerships, on the other hand, are built for the long term and have played a major role in the company's growth and success.\n\nThe company enjoys outstanding partnerships with several of the world's top asset managers. It also values its thousands of relationships with financial intermediaries such as large broker-dealers, banks and independent financial planners—and with affinity partners who extend The Hartford's reach into large, growing markets.\n\n\"A lot of people talk about having the right partners, but The Hartford views it differently from most,\" says Gary Trippe, CEO of Fort Myers, Fla., propertycasualty agency Oswald, Trippe and Company, Inc. \"They look for partners who share their core values, and the relationship is based on trust and respect. It's all about compatibility.\" Trippe should know. His agency writes three times as much business with The Hartford, in both personal and commercial lines, as it writes with any other insurer.\n\nMutually beneficial partnerships with successful businesses of all sizes are the foundation of The Hartford's business model.\n\nPerhaps no relationship represents shared values and shared success better than the one with AARP, which signed a new eight-year contract with The Hartford that began Jan. 1, 2002. The AARP insurance program with The Hartford is a model of affinity marketing and distribution savvy. AARP's membership those age 50 and over—is the fastest-growing segment of the U.S. population. Computer use among this group is growing by an estimated 20 percent per year, and the population segment respects established brands and seeks value, convenience and extraordinary service.\n\nThat right combination of factors helps make AARP's World Wide Web site one of The Hartford's", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- - *John Belisle, right, is senior vice president of Oswald, Trippe and Company, Inc. in Fort Myers, Fla., one of The Hartford's largest sellers of Select Customer commercial insurance. David van der Merwe, president of electronics manufacturer Saftronics, Inc., depends on him for reliable counsel, as well as products tailored to Saftronics' business.*\n- *The Hartford signed a new eightyear contract, beginning Jan.1, 2002, to continue its highly successful relationship with AARP. Property & Casualty Operations President and CEO Dave Zwiener, second from left, works closely with, left to right, Bill Farris, director, financial products, AARP Services, Inc.; Leisha Spaulding, manager, financial products, AARP Services, Inc.; and Steve Zaleznick, CEO, AARP Services, Inc.*", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "#### **Corporate Information**\n\n**Corporate Headquarters** The Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\n#### **Internet Address**\n\nhttp://www.thehartford.com\n\n#### **Annual Meeting**\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n#### **Form 10-K and Other Information**\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n#### **Transfer Agent/Shareholder Records**\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department–11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department–11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\n#### **Investor Relations**\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations 860-547-2537\n\n#### **Media Inquiries**\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n**Common Stock and Dividend Information**\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol \"HIG.\" The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | | Dividends |\n| --- | --- | --- | --- |\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**N**ew technology tools made The Hartford Experience customer solutions, ease of doing business and extraordinary service—more real than ever for our customers in 2001.\n\nIt was a year that saw the debut of life operations' Hartford Investor Web portal, expanded Web portals for group benefits administrators, and enhancements to technology for The Hartford's property-casualty agents and customers.\n\nHartford Investor is both a versatile personal assistant and an aid in wholesaling, especially for the independent financial planner channel. Broker-dealers and financial advisors can use it to research The Hartford's full complement of individual life and investment products, update their books of business in seconds, track daily fund performance, run financialplanning models, receive online product training, produce customized presentations and even submit business electronically.\n\nIn short, the portal allows The Hartford to bring products and functions from a variety of sources into one convenient online environment.\n\nHartford Investor has two strategic objectives: One, deepen current intermediaries' loyalty to The Hartford by extending The Hartford Experience right to their desktops. Two, expand the network of intermediaries by giving them the technological support they need to grow their businesses.\n\nMore than 153,000 licensed intermediaries—from solo advisors to members of large financial institutions—are appointed to sell The Hartford's products. Yet fewer than 60,000 actively write business for the company. The untapped potential is vast, especially among independents, the fastest-growing distribution channel and the only one in which The Hartford doesn't hold the largest market share.\n\nThat's bound to change. With Hartford Investor available on their desktops, intermediaries will have far", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- *Marsh, Inc. is a major distributor of The Hartford's group benefits plans for mid-sized businesses a key growth area for The Hartford. Joe Axelrod, senior account executive, third from right, and Kevin Szott, group sales representative, far right, work in partnership with senior executives from*\n*Marsh's employee benefits practice. The team includes, left to right, Senior Vice Presidents Kerry King, Robert Lustberg, Maria McHugh and, second from right, Eric Jacobson. Szott, who is legally blind, also works with The Hartford's Team Ability, a group of company-sponsored athletes with disabilities.* \n\n- *In 2001, The Hartford introduced a new category of commercial coverage called CyberFlex,TM designed to protect small and mid-sized businesses against e-business risks such as e-mail viruses and Web site business interruption. Deirdre Barbee, The Hartford's middle market manager in Charlotte, N.C., Mike Lesniak, Charlotte regional vice president, far left, and VIP agent*\n*Cameron Harris, president of Cameron M. Harris & Company, second from right, explain CyberFlex's benefits to Todd W. Mansfield, CEO of Crosland, a Charlotte property developer and a 13-year customer of The Hartford. Product innovations such as CyberFlex allow The Hartford to provide riskmanagement solutions for customers as their businesses evolve.*", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "All this translates into increased shareholder value. Since 1995, our market cap has increased from $5.7 billion to $15.4 billion—an 18 percent compound annual growth rate. Our share price has increased nearly 160 percent since The Hartford became a public company. During the same period, the S&P 500 increased 89 percent, and the Dow Jones Industrial Average 97 percent.\n\nIt's no surprise that our management team is highly regarded within the financial services industry and on Wall Street. We've built a strong leadership team, complemented by more than 27,000 dedicated employees who are nurtured and energized by a culture of success. Consequently, we had a smooth leadership transition over the past year. Tom Marra succeeded Lon Smith as president of our life operations and joined our board of directors. Lon retired after a 33-year career with The Hartford, and we owe him a tremendous amount of gratitude for building a strong and successful operation.\n\nDuring 2001 we also welcomed two new members to our board of directors. Edward J. Kelly III, president and CEO of Mercantile Bankshares Corp., joined us in May, and we welcomed Charles B. Strauss, president and CEO of Unilever United States, Inc., in November.\n\nWe're well-positioned for growth in 2002. On Jan. 1 we renewed our relationship with AARP by signing a new eight-year contract to market auto and homeowner's insurance to its 35 million members. Our small-business property-casualty operation continues to grow—premiums surpassed $1.2 billion in annual sales in 2001.\n\nWe're also in a leading position to take advantage of demographic shifts and to provide estate planning and investment and insurance products to baby boomers. We are very excited, too, about our new SMART 529™ college savings program, which offers flexible features and numerous tax advantages. And the growing small-business market segment is a key target for our 401(k) and group-benefits businesses. In fact, with $2 billion in fully insured premiums and $106 million in net income, the Group Benefits Division (GBD) had its best year ever.\n\nAs our markets continue to grow and evolve, we stay intensely focused on the key strategies in all our businesses.\n\n*Soon after the Sept. 11 attack, The Hartford Chairman, President and CEO Ramani Ayer, left foreground, joined other industry CEOs in meeting with President Bush at the White House. During the meeting, the executives assured the president of industry support as the nation recovers.*", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- - *Business Technology Solutions Manager Mike Conery and Automation Trainer Brenda Fischer, left, help agents such as Bonnie Piazza, commercial select accounts manager at Webster Insurance in Hartford, Conn., integrate The Hartford's technological*\n*tools into their sales strategies. BTSMs work out of 14 regional offices throughout the country, advising agents on the best way to use tools such as the Electronic Business Center and InterComm On the Net (ICON), a Web-based automated quoting system.*\n\n- *Kwadwo Dankyi-Ampadu, service representative, personal lines, takes customer phone calls in The Hartford's Southington, Conn., customer call center. It's one of three AARP call centers throughout the United States.*\n## the", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**The Hartford Financial Services Group, Inc.**\n\n**Hartford Plaza, 690 Asylum Avenue**\n\n**Hartford, Connecticut 06115**\n\nFORM 100025[2001]", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "| The Hartford Financial Services Group, Inc. |\n| --- |\n| Hartford Plaza, 690 Asylum Avenue |\n| Hartford, Connecticut 06115 |\n\n*There's only*\n\n**The Hartford Financial Services Group, Inc. 2001 Summary Annual Report**\n\n*to run a business...*", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "How many licensed intermediaries did Hartford group have in 2001 ?", - "target_page": 23, - "target_passage": "More than 153,000 licensed intermediaries", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "**N**ew technology tools made The Hartford Experience customer solutions, ease of doing business and extraordinary service—more real than ever for our customers in 2001.\n\nIt was a year that saw the debut of life operations' Hartford Investor Web portal, expanded Web portals for group benefits administrators, and enhancements to technology for The Hartford's property-casualty agents and customers.\n\nHartford Investor is both a versatile personal assistant and an aid in wholesaling, especially for the independent financial planner channel. Broker-dealers and financial advisors can use it to research The Hartford's full complement of individual life and investment products, update their books of business in seconds, track daily fund performance, run financialplanning models, receive online product training, produce customized presentations and even submit business electronically.\n\nIn short, the portal allows The Hartford to bring products and functions from a variety of sources into one convenient online environment.\n\nHartford Investor has two strategic objectives: One, deepen current intermediaries' loyalty to The Hartford by extending The Hartford Experience right to their desktops. Two, expand the network of intermediaries by giving them the technological support they need to grow their businesses.\n\nMore than 153,000 licensed intermediaries—from solo advisors to members of large financial institutions—are appointed to sell The Hartford's products. Yet fewer than 60,000 actively write business for the company. The untapped potential is vast, especially among independents, the fastest-growing distribution channel and the only one in which The Hartford doesn't hold the largest market share.\n\nThat's bound to change. With Hartford Investor available on their desktops, intermediaries will have far", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- *The Hartford's acquisition of Fortis Financial Group in 2001 enhanced the company's market share and distribution advantage. Most importantly, the acquisition brought into The Hartford's family powerful sales professionals like Allen Chinoy of Darien, Ill., left, the nation's fifthleading producer of The Hartford's variable universal life insurance. Chinoy is a vocal supporter of Hartford Investor, which makes it easier for him to show customers such as Dr. Dilip Patel how his portfolio is performing.*\n- *Joe Smith, right, and Kim Connolly, left, are a brother-sister team heading Smith Brothers Insurance, Inc. of Glastonbury, Conn. These VIP agents are enthusiastic users of The Hartford's Electronic Business Center (EBC) and other technological tools for propertycasualty agents. They piloted the EBC and have given valuable feedback to Senior Commercial Underwriter Tracey Kamenash and others at The Hartford to help develop the EBC standards and navigational model.*", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "*The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees' new permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11, The Hartford's New York employees had their businesses back in operation by Sept. 17. Employees moved into their new permanent offices less than 60 days after the attack.*\n\nour proven approach to asset management despite the stock market's vagaries. It means growing our business profitably, maintaining financial discipline, controlling expenses and providing extraordinary service to distributors and customers.\n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive DALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service Award and the first-ever Life Insurance Service Award.\n\nAs you'll read throughout this report, service means very specific—and very important—things to us. We strive to forge strong partnerships with our distributors and provide them with technological tools and outstanding products to enhance their selling efforts. These are some of the underpinnings to our solid 2001 results.\n\nDespite the challenges I've mentioned, our revenues for 2001 rose 3 percent to $15.1 billion. Total assets under management rose 8 percent to $198 billion. Operating income rose 7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of Sept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations.\n\nThe results attest to the resilience of our enterprise. With our strong and balanced portfolio of businesses, we consistently demonstrate superior financial performance. Since 1995, we've produced 13 percent annualized operating earnings-per-share growth, excluding the effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets under management. Excluding the effect of Sept. 11 and the tax benefit, operating return on equity has met or exceeded our 13 to 15 percent target every year for the past five years.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "| The Hartford Financial Services Group, Inc. |\n| --- |\n| Hartford Plaza, 690 Asylum Avenue |\n| Hartford, Connecticut 06115 |\n\n*There's only*\n\n**The Hartford Financial Services Group, Inc. 2001 Summary Annual Report**\n\n*to run a business...*", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**The Hartford Financial Services Group, Inc.**\n\n**Hartford Plaza, 690 Asylum Avenue**\n\n**Hartford, Connecticut 06115**\n\nFORM 100025[2001]", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- *Marsh, Inc. is a major distributor of The Hartford's group benefits plans for mid-sized businesses a key growth area for The Hartford. Joe Axelrod, senior account executive, third from right, and Kevin Szott, group sales representative, far right, work in partnership with senior executives from*\n*Marsh's employee benefits practice. The team includes, left to right, Senior Vice Presidents Kerry King, Robert Lustberg, Maria McHugh and, second from right, Eric Jacobson. Szott, who is legally blind, also works with The Hartford's Team Ability, a group of company-sponsored athletes with disabilities.* \n\n- *In 2001, The Hartford introduced a new category of commercial coverage called CyberFlex,TM designed to protect small and mid-sized businesses against e-business risks such as e-mail viruses and Web site business interruption. Deirdre Barbee, The Hartford's middle market manager in Charlotte, N.C., Mike Lesniak, Charlotte regional vice president, far left, and VIP agent*\n*Cameron Harris, president of Cameron M. Harris & Company, second from right, explain CyberFlex's benefits to Todd W. Mansfield, CEO of Crosland, a Charlotte property developer and a 13-year customer of The Hartford. Product innovations such as CyberFlex allow The Hartford to provide riskmanagement solutions for customers as their businesses evolve.*", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "most dynamic sources of business growth. In 2001 the company's link to AARP's Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet.\n\nBecause The Hartford quotes and issues this business online (and added online billing in 2001), acquisition and processing costs are 15 to 20 percent lower than those of traditional direct-marketing or face-toface sales. Because of this and other factors, the expense ratio for AARP business is 30 percent below that of the industry in general. And the customer renewal rate is 96 percent, versus the industry's 88 percent, making the AARP program yield some of the most profitable auto business The Hartford writes.\n\nThe relationship also has The Hartford thinking ahead toward new business and an even stronger relationship with AARP members. The Hartford can crossmarket auto insurance to homeowner's customers and homeowner's insurance to auto customers, which presents a tremendous growth opportunity. In addition,\n\nThe Hartford is committed to providing value to AARP members in many ways. An example: The Hartford and AARP work with the MIT Age Lab to produce information—available in print and on both partners' Web sites—advising AARP members about Alzheimer's disease and other forms of dementia as they affect driving ability. The information guides caregivers struggling with difficult decisions about family members' safety behind the wheel. The resource—a customer solution like no other—helps enhance the superior value The Hartford provides to AARP members.\n\nAlthough it's the most comprehensive, the AARP relationship isn't The Hartford's only affinity program. The company also has affinity arrangements with USAA and other companies. Regardless of the program's size, the affinity partners share the right qualities: strong name-brand recognition, first-class marketing and a broad and loyal customer base.\n\nIn other words, they share some of The Hartford's core attributes.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "the New York metropolitan area. In order to speed the payment of claims, GBD employees immediately contacted customers with offices in the towers and worked with industry organizations to expedite the issuing of death certificates.\n\nThe Hartford's individual life operations scoured airline manifests and missing-persons lists, looking for names of customers. When they spotted a potential match, they called agents to alert them to a possible claim and provided tips on how to proceed.\n\nFuture generations will measure the full impact of Sept. 11. But at The Hartford, one thing is known already. As they did after disasters such as the New York fire of 1835, the Chicago fire of 1871 and the 1906 San Francisco earthquake, The Hartford's people in 2001 ran their business the only way they know how the right way. They put customers first and kept promises. In so doing, they helped lay the foundation for a more confident future.\n\n- *New York employees admire a painting depicting the courage and resilience of The Hartford employees and the New York rescue teams. The montage, which now hangs in the lobby of The Hartford's New York offices, was painted by Andy Yelenak of The Hartford's Information Technology department.*\n- *The Hartford's New York staff got their businesses back up and running in less than a week after the Sept. 11 attack, despite the destruction of their offices. Among those who were instrumental in getting 330 employees situated in temporary office space were, left to right, Lucille T. Sgaglione, vice president, Hartford Financial Products; Linda Banks, administrative assistant, office support*\n\n*services, Business Insurance; Holly McCalmont, human resources manager, Business Insurance; Jim Norris, business technology solutions manager, Business Insurance; Craig Lowenthal, first vice president and chief information officer, Hartford Financial Products; and Susan Miranda, support services manager, Hartford Specialty Co.*", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "Intermediary Service Award and the first-ever Life Insurance Service Award. The triple win reflected the overall excellence of The Hartford's service, a natural complement to the company's quality products. DAL-BAR also recognized The Hartford's mutual funds as the industry leader in several categories, including investment management.\n\nIn managing its product portfolio, The Hartford follows its own advice: think ahead and diversify. The company's earnings base derives from a variety of businesses. Diversification is a key element in managing risk and ensuring profitability—a time-tested philosophy that held especially true in 2001, as the company's other businesses evolved to anticipate changing market demands and to offer protection from new risks.\n\nThe property-casualty Business Insurance group, for example, extended its coverage to include common risks associated with e-commerce. Hartford Financial Products' (HFP) coverage continued to meet emerging risks in an extremely volatile business environment.\n\nThe Hartford helped customers manage risk by developing a new category of commercial coverage called CyberFlex.TM This targets the previously unmet needs of small and mid-sized businesses that are integrating the Internet and other communications tools into their regular operations.\n\nA 2001 survey by The Hartford revealed that 80 percent of small and mid-sized businesses weren't sure if their current insurance policies covered specific—and increasingly common—risks such as e-mail viruses, Web site business interruption and online copyright infringement. CyberFlex coverage protects middle-market and small-business policyholders against the risk of those potentially debilitating conditions.\n\nCyberFlex is part of a broad array of industryspecific coverages in The Hartford's SPECTRUM® business-owner's policy, including protection against employment practices liability, equipment breakdown and business interruption. As the economic environment changes rapidly, The Hartford thinks ahead by providing those flexible coverages. And the company's", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "# *people*\n\n**T**he worst of 2001 brought out the best in The Hartford's people.\n\nAs the world watched the horrors of Sept. 11, some 330 of our New York employees fled their offices in 7 World Trade Center. Though many were caught in the debris and dust from the nearby Twin Towers, all escaped safely.\n\nBy the time the 47-story 7 World Trade Center building collapsed at about 5:20 p.m., The Hartford had already arranged for temporary space in several of the company's other offices. Employees and suppliers immediately began working around the clock to get the business up and running again. Despite the destruction, back-up systems kept distributors' and customers' data secure.\n\nA hundred miles from Ground Zero, home office employees in Hartford, Conn., began shuttling equipment and supplies to our temporary offices. Some booked Long Island Sound ferries from Connecticut to Long Island within 48 hours of the attack. Others spent the weekend driving supplies to the new locations so employees could concentrate on customers instead of on finding pens and paper. Employees and suppliers were determined to get the company, its distributors and its customers through the crisis.\n\nBy Monday, Sept. 17, all of The Hartford's business units in New York were serving customers again. Employees had new furniture, phones, servers and PCs. Distributors' and customers' access to company e-mail was never interrupted. Calls to old phone numbers were rerouted to cell phones or new office phones. Print and radio ads—along with The Hartford's Web site gave customers instructions for filing claims quickly. Customer relationships were stronger than ever. The Hartford Experience—customer solutions, ease of doing business and extraordinary service—was never better demonstrated.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "When did the annual sherholder meeting of Hartford happen in 2002 ?", - "target_page": 38, - "target_passage": "Shareholders are cordially invited to attend The Hartford’s Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **Corporate Information**\n\n**Corporate Headquarters** The Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\n#### **Internet Address**\n\nhttp://www.thehartford.com\n\n#### **Annual Meeting**\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n#### **Form 10-K and Other Information**\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n#### **Transfer Agent/Shareholder Records**\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department–11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department–11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\n#### **Investor Relations**\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations 860-547-2537\n\n#### **Media Inquiries**\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n**Common Stock and Dividend Information**\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol \"HIG.\" The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | | Dividends |\n| --- | --- | --- | --- |\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "| The Hartford Financial Services Group, Inc. |\n| --- |\n| Hartford Plaza, 690 Asylum Avenue |\n| Hartford, Connecticut 06115 |\n\n*There's only*\n\n**The Hartford Financial Services Group, Inc. 2001 Summary Annual Report**\n\n*to run a business...*", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "## BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "*The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees' new permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11, The Hartford's New York employees had their businesses back in operation by Sept. 17. Employees moved into their new permanent offices less than 60 days after the attack.*\n\nour proven approach to asset management despite the stock market's vagaries. It means growing our business profitably, maintaining financial discipline, controlling expenses and providing extraordinary service to distributors and customers.\n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive DALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service Award and the first-ever Life Insurance Service Award.\n\nAs you'll read throughout this report, service means very specific—and very important—things to us. We strive to forge strong partnerships with our distributors and provide them with technological tools and outstanding products to enhance their selling efforts. These are some of the underpinnings to our solid 2001 results.\n\nDespite the challenges I've mentioned, our revenues for 2001 rose 3 percent to $15.1 billion. Total assets under management rose 8 percent to $198 billion. Operating income rose 7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of Sept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations.\n\nThe results attest to the resilience of our enterprise. With our strong and balanced portfolio of businesses, we consistently demonstrate superior financial performance. Since 1995, we've produced 13 percent annualized operating earnings-per-share growth, excluding the effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets under management. Excluding the effect of Sept. 11 and the tax benefit, operating return on equity has met or exceeded our 13 to 15 percent target every year for the past five years.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**The Hartford Financial Services Group, Inc.**\n\n**Hartford Plaza, 690 Asylum Avenue**\n\n**Hartford, Connecticut 06115**\n\nFORM 100025[2001]", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- - *The Hartford claims adjusters arrived in lower Manhattan within days after the Sept. 11 attack to fulfill obligations to policyholders who suffered losses. Senior Property General Adjuster Ray Davidson wrote a check on the spot for $250,000 to Wheelhouse*\n*Corp. and gave it to Wheelhouse Director Javier Flaim, left, to help the company's recovery efforts. The Burlington, Mass.-based software developer had a downtown Manhattan office that suffered extensive damage.*\n\n- *After the Sept. 11 disaster, a team of The Hartford's home office employees set up shop in a conference room to organize some 150 employees, who delivered supplies and equipment by car and ferry to get temporary New York-area offices up and running within a week. Left to right, Leslie Cyrulik, automation project manager, corporate real estate;*\n*Sarah Blount, director, client services, enterprise technologies services; Mark Gauvain, assistant vice president, property-casualty e-business; Tony Abate, vice president, IT acquisitions; Franca Lewis, assistant director, information technology; and Patrice Chandler, assistant procurement administrative manager, procurement.* \n\n## the", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "# *people*\n\n**T**he worst of 2001 brought out the best in The Hartford's people.\n\nAs the world watched the horrors of Sept. 11, some 330 of our New York employees fled their offices in 7 World Trade Center. Though many were caught in the debris and dust from the nearby Twin Towers, all escaped safely.\n\nBy the time the 47-story 7 World Trade Center building collapsed at about 5:20 p.m., The Hartford had already arranged for temporary space in several of the company's other offices. Employees and suppliers immediately began working around the clock to get the business up and running again. Despite the destruction, back-up systems kept distributors' and customers' data secure.\n\nA hundred miles from Ground Zero, home office employees in Hartford, Conn., began shuttling equipment and supplies to our temporary offices. Some booked Long Island Sound ferries from Connecticut to Long Island within 48 hours of the attack. Others spent the weekend driving supplies to the new locations so employees could concentrate on customers instead of on finding pens and paper. Employees and suppliers were determined to get the company, its distributors and its customers through the crisis.\n\nBy Monday, Sept. 17, all of The Hartford's business units in New York were serving customers again. Employees had new furniture, phones, servers and PCs. Distributors' and customers' access to company e-mail was never interrupted. Calls to old phone numbers were rerouted to cell phones or new office phones. Print and radio ads—along with The Hartford's Web site gave customers instructions for filing claims quickly. Customer relationships were stronger than ever. The Hartford Experience—customer solutions, ease of doing business and extraordinary service—was never better demonstrated.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "the New York metropolitan area. In order to speed the payment of claims, GBD employees immediately contacted customers with offices in the towers and worked with industry organizations to expedite the issuing of death certificates.\n\nThe Hartford's individual life operations scoured airline manifests and missing-persons lists, looking for names of customers. When they spotted a potential match, they called agents to alert them to a possible claim and provided tips on how to proceed.\n\nFuture generations will measure the full impact of Sept. 11. But at The Hartford, one thing is known already. As they did after disasters such as the New York fire of 1835, the Chicago fire of 1871 and the 1906 San Francisco earthquake, The Hartford's people in 2001 ran their business the only way they know how the right way. They put customers first and kept promises. In so doing, they helped lay the foundation for a more confident future.\n\n- *New York employees admire a painting depicting the courage and resilience of The Hartford employees and the New York rescue teams. The montage, which now hangs in the lobby of The Hartford's New York offices, was painted by Andy Yelenak of The Hartford's Information Technology department.*\n- *The Hartford's New York staff got their businesses back up and running in less than a week after the Sept. 11 attack, despite the destruction of their offices. Among those who were instrumental in getting 330 employees situated in temporary office space were, left to right, Lucille T. Sgaglione, vice president, Hartford Financial Products; Linda Banks, administrative assistant, office support*\n\n*services, Business Insurance; Holly McCalmont, human resources manager, Business Insurance; Jim Norris, business technology solutions manager, Business Insurance; Craig Lowenthal, first vice president and chief information officer, Hartford Financial Products; and Susan Miranda, support services manager, Hartford Specialty Co.*", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**Rand V. Araskog** Retired Chairman and Chief Executive, ITT Corporation *3–chair, 4, 5*\n\n**Ramani Ayer** Chairman, President and Chief Executive Officer, The Hartford\n\n**Dina Dublon** Executive Vice President and Chief Financial Officer, JP Morgan Chase & Co. *1, 2, 3*\n\n**Donald R. Frahm** Retired Chairman, President and Chief Executive Officer, The Hartford *1, 3, 5*\n\n**Robert W. Selander** President and Chief Executive Officer, MasterCard International\n\n*1–chair, 2, 4*\n\n**David K. Zwiener** Executive Vice President, The Hartford; President and Chief Operating Officer, Property & Casualty Operations\n\n**Edward J. Kelly III** President and Chief Executive Officer, Mercantile Bankshares Corp. *1, 3, 4*\n\n**Charles B. Strauss** President and Chief Executive Officer, Unilever United States, Inc. *1, 3, 4*\n\n**Paul G. Kirk, Jr.** Of Counsel to Sullivan & Worcester, law firm *1, 2, 5–chair*\n\n**H. Patrick Swygert** President, Howard University *2, 4–chair, 5*\n\n**Thomas M. Marra** Executive Vice President, The Hartford; President and Chief Operating Officer,\n\nLife Operations\n\n**Gordon I. Ulmer** Retired Chairman and Chief Executive Officer, the former Connecticut Bank and Trust Company\n\n*2–chair, 3, 5*\n\n*1 Audit Committee* \n\n- *2 Compensation and Personnel Committee*\n- *3 Finance Committee*\n- *4 Legal and Public Affairs Committee*\n- *5 Nominating Committee*", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change, to what corresponds the \"average length of flood events ?", - "target_page": 11, - "target_passage": "The average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "**Figure 6.** Simulated changes inthe average length of flood events(number of days in whichthe cumulative dailyrainfall excess is positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Figure 7.** Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 5.** Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 1.** Hunger and Climate Vulnerability Index for 1981–2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n**Table 2.** Proxies for flood and drought events used in the HCVI.\n\n| extreme weather event description of proxy |\n| --- |\n| average length of flood events number of days in which the cumulative daily rainfall excess is positive, |\n| compared with the 95th percentile in the 1981–2010 average |\n| |\n| average length of drought events number of days in which the cumulative daily rainfall deficit is positive, |\n| compared with the 20th percentile in the 1981–2010 average |\n| |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 11.** Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\n| Global mean changes at 1.5°C Table 6. global warming compared to present day for individual ensemble members, for the |\n| --- |\n| ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean |\n| precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). |\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIROC | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | ESM-CHEM | ACCESS1-0 | mean |\n| TXx (°C) | | | | | | | |\n| | 1.2 | 1.9 | 1.7 | 2.0 | 1.5 | 1.9 | 1.7 |\n| TX90p (% time) | 10.0 | 15.7 | 16.2 | 19.2 | 14.1 | 18.3 | 15.6 |\n| CDD | −1.2 | 0.7 | −1.3 | −5.4 | 0.0 | −3.8 | −1.6 |\n| | | | | | | | |\n| RX5day (mm) | 1.1 | 3.6 | 4.5 | 4.6 | 4.0 | 4.3 | 3.6 |\n| | | | | | | | |\n| drought proxy | 0.74 | 0.48 | n.a. | 0.39 | 0.16 | 0.31 | 0.42 |\n| flood proxy | 0.75 | 0.73 | n.a. | 0.73 | 0.79 | 0.73 | 0.75 |\n| | | | | | | | |\n| Pmean (%) | 1.4 | 0.9 | 3.1 | 1.3 | 3.9 | 2.4 | 2.2 |\n| | | | | | | | |\n| Rmean (%) | 2.1 | 0.7 | 5.4 | 0.7 | 6.7 | 5.0 | 3.9 |\n| | | | | | | | |\n| Rlow (%) | −3.4 | 0.3 | 5.9 | 2.2 | 5.9 | 4.9 | 2.6 |\n| | | | | | | | |\n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or more. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater increases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 13.** Global mean percentage changes relative to 1981–2010 in (*a*) precipitation over land, (*b*) mean run-off flows, (*c*) low run-off lows (10th percentile), at 2°C and 1.5°C global warming.\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows—increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 9.** Changes inrun-off formean flowssimulated bytheJULES ecosystem–hydrologymodel undersix climatesimulations at 2°C global warming. (*a*) Ensemble mean and (*b*) percentage of models agreeing on increased flow.\n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows where changes in mean flows were small. Changes in high run-off show similar patterns and magnitudes to those in mean run-off.\n\nThe simulated changes in both mean and low run-off flows show substantial differences among the six simulations (figures 10 and 11). In most basins examined here, the range of outcomes include both increases and decreases in mean and low flows for any particular basin, but generally with the largest proportion simulating increases in both mean and low flows. In a few cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed entirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the projected flow increases in the Ganges for 2°C global warming ranging from approximately 30% to more than 110%.\n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, Orange, Danube and Guadiana basins where the range of projected extends more towards decreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C global warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C global warming for these basins.\n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the Niger, the range of mean flow changes extended more towards increases whereas the range of low flow changes extended more towards decreases.\n\n## (b) Impacts at 1.5°C global warming compared to 2°C\n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and run-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; figures 12 and 13). The exceptions to these are mean and low run-off which each show one instance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing larger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two GWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 4.** Simulated changes inthe number of consecutive dry days relativeto1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 5.** Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow).\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIRC-ESM | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | CHEM | ACCESS1-0 | mean |\n| TXx (°C) | 2.1 | 2.8 | 2.5 | 2.9 | 2.4 | 2.8 | 2.6 |\n| | | | | | | | |\n| TX90p (% time) | 20.1 | 24.3 | 24.9 | 29.0 | 23.5 | 27.9 | 25.0 |\n| | CDD −3.0 | 0.9 | −3.4 | −5.7 | −2.0 | −5.5 | −2.9 |\n| RX5day (mm) | 3.5 | 5.4 | 6.9 | 6.8 | 6.0 | 6.7 | 5.9 |\n| drought proxy | 0.76 | 0.89 | n.a. | 0.38 | 0.38 | 0.66 | 0.61 |\n| | | | | | | | |\n| flood proxy | 0.83 | 0.82 | n.a. | 0.75 | 0.73 | 0.78 | 0.78 |\n| | | | | | | | |\n| Pmean (%) | 2.1 | 3.4 | 5.0 | 3.0 | 5.3 | 2.9 | 4.0 |\n| Rmean (%) | 2.4 | 6.5 | 8.1 | 4.4 | 8.6 | 4.9 | 5.8 |\n| | | | | | | | |\n| Rlow (%) | −2.0 | 3.8 | 11.2 | 8.0 | 9.4 | 5.1 | 5.9 |\n| | | | | | | | |\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2–4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 3.** Simulated changes in the percentage of days with daily temperature above the 90th percentile for 1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\nIndices based upon daily precipitation often show more spatial variability in changes than the temperature-based indices, and greater differences between ensemble members, but, nevertheless, some consistent pictures still emerge.\n\nThe number of consecutive dry days is projected to increase over some regions and decrease in others (figure 4). Southern Africa, the Mediterranean, Australia and northeast South America are projected to have increased dry spell lengths, while this is projected to decrease in central and eastern Asia. The general pattern of these projections is broadly consistent across the ensemble members. However, the global mean changes vary in sign (table 5), as a result of different magnitudes of regional changes dominating in different ensemble members.\n\nPerhaps more surprisingly, projected changes in maximum 5 day rainfall (Rx5day) also vary in sign both geographically and between models (figure 5). Extreme rainfall might simplistically be expected to increase in a warmer climate, and indeed the global mean change is a consistent increase in all ensemble members (table 5). Regional Rx5day is projected to increase over many regions including parts of southeast Asia, southern South America, northern Australia and the east coast of the USA. However, some regions (particularly, the central Amazon and the northern coast of South America) are projected to see a decrease in Rx5day.\n\nLarge increases in Rx5day are simulated in south and southeast Asia in all models, but with local details varying. Southeastern South America (broadly southern Brazil and northern Argentina) also see large increases in Rx5day in all models. All models show only small changes over central and north Africa, Europe and most of Asia. In northern South America, however, some models show increases in Rx5day but others show decreases. This suggests that the ensemble-mean result of a decrease in Rx5day in this area may be subject to large uncertainty. Inter-model variations in the sign of changes are seen in a few other local localized regions.\n\nThe average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline) generally increase over most of the land surface, although this increase was mostly by a day or less (figure 6). However, some *Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 10.** Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more rsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "A detailed investigation of these factors is beyond the scope of this paper; nevertheless, this result illustrates the important point that the nature and patterns of the climate forcing at a particular level of global warming can play an important role in determining the patterns of regional impacts.\n\n## 5. Conclusion\n\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related extremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the global annual mean. There is a higher degree of spatial variation in our projections compared with CMIP5-based studies.\n\nIn the model projections examined here, changes relating to the water cycle are complex, both in their geographical pattern and in the variation between different models. The length of flooding events generally increases across world in all models, but maximum rainfall can either increase or decrease depending on locations. Global patterns of increase and decrease show some consistency between the different GWLs, but also some local differences. Worldwide, most impacts broadly tend to increase with global warming in most areas. For global mean changes, even when the sign of change is uncertain, individual realizations generally show reduced impact at 1.5°C compared with 2°C. However, this does not always hold even at the scale of major global river basins.\n\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in approximately three-quarters of countries assessed. The vulnerability increase can arise from increases in either flooding or drought. Reduced drought leads to decreased vulnerability in a limited number of cases.\n\nMost simulations here project a general increase in mean streamflow in most of the basins examined, but with a number of notable exceptions in the tropics. While flows in the Ganges are consistently projected to increase by 30–110% at 2°C, Amazon flows could either increase by 3% or decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of the magnitude of changes that may be possible, so adaptation planning in particular should not rely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low streamflows also increase in many basins, but not as many as for the mean flows—many basins see decreased low flows in some or all projections.\n\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scalingback the impacts at 2°C, if this is done with individual ensemble members rather than the ensemble mean. However, this was not always the case for impacts that depend on more complex process or interactions between more than one climate variable, such as run-off and an indicator of vulnerability to food insecurity.\n\nData accessibility. This article has no additional data.\n\nCompeting interests. We declare we have no competing interests.\n\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007– 2013 under grant agreement no. 603864 (HELIX: 'High-End cLimate Impacts and eXtremes'; www. helixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint UK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\n\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion, Alissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous reviewers whose comments substantially improved the paper.\n\n## References\n\n- 1. IPCC. 2014 Summary for policymakers. In *Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change* (eds CB Field *et al*.), pp. 1–32. Cambridge, UK: Cambridge University Press.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "What is the projected situation of India regarding HCVI (Hunger and Climate Vulnerability Index)?", - "target_page": 12, - "target_passage": "India is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "**Figure 8.** Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2°C globalwarming,for five individualHadGEM3simulations driven by SSTs and SICsfrom differentmembers ofthe CMIP5 ensemble, and the ensemble mean.\n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher than any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. The implication of such HCVI values is that climate change at 2°C is projected to cause levels of vulnerability to food insecurity that are greater than any seen in the present day. For individual ensemble members, the number of countries with 'unprecedented' HCVI values at 2°C varies from three to seven. Conversely, many countries in the baseline climate have levels of vulnerability to food insecurity that are greater than those expected in other countries under 2°C global warming. This suggests that other factors are already posing greater risk for food insecurity than 2°C climate change is expected to cause in other countries, so the increased risk from climate change should not overshadow the need to reduce vulnerability to food insecurity arising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by addressing various socio-economic issues in such counties.\n\nThe JULES simulations show a general tendency towards increased run-off over approximately half of the land surface (figure 9) and the majority of the major river basins assessed (figure 10), but with large regional uncertainties including the possibility of decreased flows in many basins. The ensemble-mean change in mean streamflow shows an increase of between 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing an increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and southcentral USA, which see less than a 5% change in run-off, and the already very dry region of the Sahara Desert where the existing very small run-off become even smaller.\n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with the regions seeing an increase in mean run-off seeing a larger percentage increase in low run-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that this does not necessarily imply a larger increase in absolute low flow compared to absolute mean flow, because the baseline is (by definition) smaller for low flows. In western Europe, where the changes in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 1.** Hunger and Climate Vulnerability Index for 1981–2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n**Table 2.** Proxies for flood and drought events used in the HCVI.\n\n| extreme weather event description of proxy |\n| --- |\n| average length of flood events number of days in which the cumulative daily rainfall excess is positive, |\n| compared with the 95th percentile in the 1981–2010 average |\n| |\n| average length of drought events number of days in which the cumulative daily rainfall deficit is positive, |\n| compared with the 20th percentile in the 1981–2010 average |\n| |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "#### **Table 1.** ClimPACT weather extremes indices.\n\n| ID | definition | units | sector of relevance |\n| --- | --- | --- | --- |\n| TXx | annual maximum daily maximum temperature | °C | health, agriculture and food security |\n| | | | |\n| TX90p | percentage of days above the 90th percentile | % | health, agriculture and food security, |\n| of daily maximum temperature in the | | | water resources and hydrology |\n| 1981–2010 average | | | |\n| | | | |\n| CDD | maximum number of consecutive days with | days | health, agriculture and food security, |\n| precipitation less than 1 mm | | | water resources and hydrology |\n| | | | |\n| RX5day | maximum consecutive 5 day precipitation | mm | health, agriculture and food security, |\n| water resources and hydrology | | | |\n| | | | |\n\nmembers at any given date. Since specific levels of global warming such as 1.5°C or 2°C were reached at different times in the different ensemble members, according to the SST forcings used, any given level of global warming could be associated with different radiative forcings in different ensemble members. In any given ensemble member at any specific level of global warming, the CO2 concentration and SSTs were the same as in the driving CMIP5 model at that GWL. Land cover was fixed in this simulation—there was no dynamic vegetation nor any time-dependent anthropogenic land use change.\n\nSome comparison of the higher-resolution atmospheric simulations with the original CMIP5 simulations, is provided by Wyser *et al.* [20].\n\n### (b) Temperature and precipitation extremes: the ClimPACT indices\n\nTo quantify changes in weather extremes projected in our climate simulations, we calculated a number of indices designed to be relevant to sector-specific impacts using an established methodology, ClimPACT [21] (table 1)\n\n### (c) Food security: the Hunger and Climate Vulnerability Index\n\nTo assess implications of climate change for vulnerability to food insecurity, we used an adaptation of the Hunger and Climate Vulnerability Index (HCVI) [22]. The HCVI was developed by the United Nations World Food Programme to provide a country-level assessment of vulnerability to food insecurity as a result of climate-related events. We used a new iteration of the HCVI which makes use of gridded climate model projections to understand the impact of climate change on vulnerability to food insecurity, and the benefits that adaptation can bring via scenarios of adaptation investment [23]. This iteration of the HCVI only considers in-country production of food and does not account for food trade. For this reason, the HCVI is only calculated for 122 developing and least-developed countries (defined here as countries not in the OECD or EU which can be resolved by the scale of the climate model; i.e. larger than 500 km2).\n\nThe index provides quantification at the national level across the globe of the scale and direction of impact of climate change on food insecurity. As such, it aims to provide the following: (i) information to help policy-makers understand the level of challenge to global food security that climate change presents; (ii) information on the geography of the impacts and help to evaluate the relative benefits of mitigation and adaptation responses.\n\nThe index is not intended to be a detailed planning tool, but aims to help planners evaluate the nature of the top-level threat to food insecurity that climate change presents, thereby supporting prioritization of effort.\n\nThe HCVI consists of three equally weighted components: exposure to climate-related hazards, sensitivity of national agricultural production to climate-related hazards, and adaptive capacity a measure of a country's ability to cope with climate-related food shocks. The sensitivity and adaptive capacity components are based on data from the World Bank, World Resources Institute,", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 13.** Global mean percentage changes relative to 1981–2010 in (*a*) precipitation over land, (*b*) mean run-off flows, (*c*) low run-off lows (10th percentile), at 2°C and 1.5°C global warming.\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows—increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "Model Intercomparison Project (CMIP5) ensemble, forced with the RCP8.5 concentration scenario. To provide more detailed representations of climate processes and impacts, the spatial resolution was N216 (approx. 60 km grid length in mid-latitudes), a higher resolution than the CMIP5 models. We used a set of impacts-relevant indices and a global land surface model to examine the projected changes in weather extremes and their implications for freshwater availability and vulnerability to food insecurity. Uncertainties in regional climate responses are assessed, examining ranges of outcomes in impacts to inform risk assessments. Despite some degree of inconsistency between components of the study due to the need to correct for systematic biases in some aspects, the outcomes from different ensemble members could be compared for several different indicators. The projections for weather extremes indices and biophysical impacts quantities support expectations that the magnitude of change is generally larger for 2°C global warming than 1.5°C. Hot extremes become even hotter, with increases being more intense than seen in CMIP5 projections. Precipitation-related extremes show more geographical variation with some increases and some decreases in both heavy precipitation and drought. There are substantial regional uncertainties in hydrological impacts at local scales due to different climate models producing different outcomes. Nevertheless, hydrological impacts generally point towards wetter conditions on average, with increased mean river flows, longer heavy rainfall events, particularly in South and East Asia with the most extreme projections suggesting more than a doubling of flows in the Ganges at 2°C global warming. Some areas are projected to experience shorter meteorological drought events and less severe low flows, although longer droughts and/or decreases in low flows are projected in many other areas, particularly southern Africa and South America. Flows in the Amazon are projected to decline by up to 25%. Increases in either heavy rainfall or drought events imply increased vulnerability to food insecurity, but if global warming is limited to 1.5°C, this vulnerability is projected to remain smaller than at 2°C global warming in approximately 76% of developing countries. At 2°C, four countries are projected to reach unprecedented levels of vulnerability to food insecurity.\n\nThis article is part of the theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n## 1. Introduction\n\nThe majority of climate-change impacts assessments have tended to be framed in terms of future time horizons, e.g. impacts by the middle or end of the twenty-first century [1,2]. However, with international climate policy now largely focused on limiting warming to specific levels of global mean temperature such as 2°C [3] or 1.5°C [4], policy-relevant climate impacts assessments increasingly need to be framed in terms of such warming levels.\n\nThere are two major research questions concerning the impacts of climate change at 1.5°C and 2°C global warming, which are relevant to both mitigation and adaptation policy areas.\n\n- (i) How much larger are the impacts at 2°C compared to 1.5°C? This is the primary question arising from the Paris Agreement [4] and is relevant to mitigation policy, informing judgements and actions on holding the global temperature rise to 'well below 2°C' and 'pursuing efforts to limit the temperature increase to 1.5°C'.\n- (ii) What regional climate conditions and related hydrological and ecological conditions could occur at a particular level of global warming, such as 2°C? This is relevant to adaptation policy and planning—exploring the possible outcomes for these levels of warming will help facilitate adaptation and improved resilience to account for a 1.5°C or 2°C world. It is recognized that many adaptation decisions require information on timing of specific impacts or risks, but nevertheless, framing regional impacts assessments in terms of associated global warming levels (GWLs) may help provide context of the levels of climate change that may be avoidable or unavoidable (and hence require adaptation).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "**18**\n\n**Figure 12.** Comparison of global mean changes in climate extremes indices relative to 1981–2010 at 2°C and 1.5°C global warming for individual ensemble members and ensemble mean. (*a*) Change in annual daily maximum temperature; (*b*) percentage of days with maximum temperature above 90th percentile for 1981–2010; (*c*) change in consecutive dry days; (*d*) change in annual maximum 5-day rainfall.\n\nFor precipitation, generally similar changes are seen at 1.5°C global warming as at 2°C, but smaller in magnitude (compare figures 16 and 4), suggesting that most of these changes are a response to radiatively forced climate change as opposed to internal climate variability. However, some localized changes do vary in sign between the GWLs, such as in South Australia, suggesting a possible dominance of internal variability over the global warming signal in these places.\n\nWhere Rx5day increases, the increases are projected to be larger—in some cases approximately double—at 2°C global warming than 1.5°C. Where Rx5day decreases, again the decreases are projected to be larger at 2°C global warming than 1.5°C (figure 17).\n\nOf the 122 countries assessed, 93 have smaller ensemble-mean HCVI calculated at 1.5°C global warming than at 2°C, indicating an ensemble consensus that 76% of assessed countries would see a smaller increase in vulnerability to food insecurity if global warming were limited to 1.5°C (figures 18 and 19). Conversely, 24% of countries would, by this metric, see the same or higher vulnerability to food insecurity at 1.5°C than 2°C. Of these, some are countries where HCVI is projected to be lower at 2°C global warming than in the baseline. For example, in Mali the ensemble-mean baseline HCVI of 0.83 increased slightly to 0.85 at 1.5°C then reduced to 0.81 at 2°C. In some countries, the ensemble-mean HCVI happened to be identical at both warming levels. In Chad, for example, the baseline HCVI of 0.89 increased to 0.91 at both 1.5°C and 2°C.\n\nAs noted above, four countries saw ensemble-mean HCVI values at 2°C above any seen in the baseline, and this number increased to seven at 1.5°C. The same four countries with 'unprecedented' HCVI values at 2°C also saw 'unprecedented' values at 1.5°C; these were Oman, Bangladesh, Mauritania and Yemen. These were joined by Myanmar, India and Cambodia as having 'unprecedented' values at 1.5°C. The role of internal climate variability in the HCVI results needs to be assessed, as does the effect of potential nonlinear interactions between the flood and drought metric. Until the reasons behind these country-specific results are understood,", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 22. 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Meteorol.* **200**, 233–248 (2015).\n- 46. Hempel, S., Frieler, K., Warszawski, L., Schewe, J. & Piontek, F. A trendpreserving bias correction-the ISI-MIP approach. *Earth Syst. Dyn.* **4**, 219–236 (2013).\n- 47. Monfreda, C., Ramankutty, N. & Foley, J. A. Farming the planet: 2. Geographic distribution of crop areas, yields, physiological types, and net primary production in the year 2000. *Glob. Biogeochem. Cycles* **22**, 1022 (2008).\n- 48. You, L.Z., *et al*. *Spatial Production Allocation Model (SPAM) 2000 Version 3.2*. http://mapspam.info (2015).\n- 49. Hoogenboom, G., *et al*. *Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6* (DSSAT Foundation, 2015). http://dssat.net (2015).\n- 50. Sacks, W. J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. *Glob. Ecol. Biogeogr.* **19**, 607–620 (2010).\n- 51. Batjes, H.N. *A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profles (Version 1.0)*. Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 5.** Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change simulation, what is JULES ?", - "target_page": 7, - "target_passage": "Impacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In the present study, processing errors in the input data for one ensemble member, the HadGEM2-ES-driven member, caused the results to be invalid. Results for this member for the HCVI are, therefore, not presented here.\n\n### (d) Freshwater resources: run-off\n\nImpacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way, typically applied at global scales. Variants of JULES form the land surface scheme of Met Office Hadley Centre Earth System Models [26,27] and have been used to assess impacts of climate change on global terrestrial ecosystems and hydrology [28–30] within such models. JULES can also be used outside of the Earth System Model (ESM), driven by meteorological outputs of other ESMs to assess impacts of a wider range of climate projections [6,8]. Here we use a new, higher-resolution configuration of JULES on a global grid of 0.5° resolution [31].\n\nIt has been noted that hydrological impacts models driven by climate-change projections from climate models tend to give more severe drying than simulated in the climate models themselves [32–34]. This is largely attributed to the inclusion of plant stomatal closure in response to elevated CO2 in the climate model land surface schemes, which generally reduces evapotranspiration relative to climate projections without this process and hence further increases run-off/streamflow or ameliorates decreases [34]. This process is often omitted from standard hydrological models. Plant physiological responses to CO2 are included in the JULES model, so our projections of changes in run-off here do account for this process.\n\nWe used each HadGEM3 simulation to drive JULES to simulate changes in run-off due to the effects of climate change and CO2 rise on precipitation, evaporation and transpiration. We analysed 30 year periods centred around the year of crossing GWLs of 1.5°C and 2°C relative to pre-industrial. We examined changes in both mean flows and low flows (defined as the flows for the lowest 10% of time).\n\n## (e) Correcting biases in climate model output and implications for defining levels of global warming\n\nThe ClimPACT extreme weather indices, HCVI and JULES run-off simulations were all performed using outputs from the higher-resolution HadGEM3 projections described in §2a. However, there were some differences in how these data were applied, with different approaches to the treatment of systematic biases in the climate model output. For the ClimPACT analysis, it was considered important to assess changes in the raw climate model output, because this directly represents the behaviour of the model itself. The main focus was on the changes relative to the presentday baseline climate, defined as 1981–2010, with absolute values in either the baseline or the GWLs of 1.5°C and 2°C being only of secondary interest. For the HCVI and JULES run-off analyses, however, it was considered important to correct for systematic biases in the climate model output, because these can lead to unrealistic representations of the key quantities in the present-day simulation [35]. A bias-correction methodology was, therefore, applied for these two parts of the analysis, whereby the model output was adjusted to make it consistent with an observed climatology [36]. We used a multi-segment statistical bias-correction methodology for precipitation [37], and a modification of this for other variables [37].\n\nThis difference in approach led to inconsistencies in the definitions of the dates of GWLs in the two parts of the study. In the extremes analysis using raw model output, the dates of passing GWLs were defined on the basis of the global mean temperatures in the driving CMIP5 models relative to those models' simulations of global mean temperature in 1870–1899 (table 3). However, in the HCVI and JULES analyses which used bias-corrected data, it was considered more appropriate for the GWLs to be defined using the warming in the observational dataset", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 10.** Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more rsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 11.** Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\n| Global mean changes at 1.5°C Table 6. global warming compared to present day for individual ensemble members, for the |\n| --- |\n| ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean |\n| precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). |\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIROC | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | ESM-CHEM | ACCESS1-0 | mean |\n| TXx (°C) | | | | | | | |\n| | 1.2 | 1.9 | 1.7 | 2.0 | 1.5 | 1.9 | 1.7 |\n| TX90p (% time) | 10.0 | 15.7 | 16.2 | 19.2 | 14.1 | 18.3 | 15.6 |\n| CDD | −1.2 | 0.7 | −1.3 | −5.4 | 0.0 | −3.8 | −1.6 |\n| | | | | | | | |\n| RX5day (mm) | 1.1 | 3.6 | 4.5 | 4.6 | 4.0 | 4.3 | 3.6 |\n| | | | | | | | |\n| drought proxy | 0.74 | 0.48 | n.a. | 0.39 | 0.16 | 0.31 | 0.42 |\n| flood proxy | 0.75 | 0.73 | n.a. | 0.73 | 0.79 | 0.73 | 0.75 |\n| | | | | | | | |\n| Pmean (%) | 1.4 | 0.9 | 3.1 | 1.3 | 3.9 | 2.4 | 2.2 |\n| | | | | | | | |\n| Rmean (%) | 2.1 | 0.7 | 5.4 | 0.7 | 6.7 | 5.0 | 3.9 |\n| | | | | | | | |\n| Rlow (%) | −3.4 | 0.3 | 5.9 | 2.2 | 5.9 | 4.9 | 2.6 |\n| | | | | | | | |\n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or more. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater increases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 22. Krishnamurthy PK, Lewis K, Choularton RJ. 2014 A methodological framework for rapidly assessing the impacts of climate risk on national-level food security through a vulnerability index. *Glob. Environ. Change* **25**, 121–132. (doi:10.1016/j.gloenvcha.2013.11.004)\n- 23. Richardson K, Lewis K, Krishnamurthy K, Kent C, Wiltshire A, Hanlon H. 2018 Food security outcomes under a changing climate: impacts of mitigation and adaptation on vulnerability to food insecurity. *Clim. Change*, **147**, 327–341. (doi:10.1007/s10584-018-2137-y)\n- 24. Best M *et al.* 2011 The joint UK land environment simulator (JULES), model description—part 1: energy and water fluxes. *Geosci. Model Dev.* **4**, 677–699. 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Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in regional climate extremes as a function of global mean temperature: an interactive plotting framework. *Geosci. Model Dev.* **10**, 3609–3634. (doi:10.5194/gmd-10-3609-2017)\n- 39. Mitchell D, James R, Forster PM, Betts RA, Shiogama H, Allen M. 2016 Realizing the impacts of a 1.5°C warmer world. *Nat. Clim. Change* **6**, 735–737. (doi:10.1038/nclimate3055)\n- 40. Cox P *et al.* 2008 Increase risk of Amazonian drought due to decreasing aerosol pollution. *Nature* **453**, 212–216. (doi:10.1038/nature06960)\n- 41. Betts RA, Cox PM, Collins M, Harris PP, Huntingford C, Jones CD. 2004 The role of ecosystem-atmosphere interactions in simulated Amazonian precipitation decrease and forest dieback under global climate warming. *Theor. Appl. Climatol.* **78**, 157–175. (doi:10.1007/ s00704-004-0050-y)\n- 42. Skinner CB, Poulsen CJ, Chadwick R, Diffenbaugh NS, Fiorella RP. 2017 The role of CO2 plant physiological forcing in shaping future daily-scale precipitation. *J. Climate* **30**, 2319–2340. (doi:10.1175/JCLI-D-16-0603.1)", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 6.** Simulated changes inthe average length of flood events(number of days in whichthe cumulative dailyrainfall excess is positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Figure 7.** Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "# **PROJECTIONS OVER LAND**\n\nThe land projections comprise three components:\n\n### **60KM GLOBAL PROJECTIONS**\n\n#### **20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## **25KM PROBABILISTIC PROJECTIONS**\n\n**Captures natural variability and climate change. Updated models and observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP0911. The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided12.\n\n### **DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n\n**Downscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX13.\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n\n12 30-year means can be created using the UKCP18 PDF data\n\n13 http://www.euro-cordex.net/", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 2.** Simulated changes in annual daily maximumtemperature relativeto1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 4.** Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven by differentsets of CMIP5sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2024 | 2035 |\n| | GFDL-ESM2M | 2036 | 2051 |\n| | HadGEM2-ES | 2019 | 2033 |\n| | IPSL-CM5A-MR | 2023 | 2036 |\n| | MIROC-ESM-CHEM | 2020 | 2032 |\n| ACCESS1-0 | | 2026 | 2040 |\n| | | | |\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.\n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase more in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global warming compared with present day, whereas in the mid-latitudes between 20% and 30% of days exceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).\n\nrsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 4.** Simulated changes inthe number of consecutive dry days relativeto1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 5.** Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow).\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIRC-ESM | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | CHEM | ACCESS1-0 | mean |\n| TXx (°C) | 2.1 | 2.8 | 2.5 | 2.9 | 2.4 | 2.8 | 2.6 |\n| | | | | | | | |\n| TX90p (% time) | 20.1 | 24.3 | 24.9 | 29.0 | 23.5 | 27.9 | 25.0 |\n| | CDD −3.0 | 0.9 | −3.4 | −5.7 | −2.0 | −5.5 | −2.9 |\n| RX5day (mm) | 3.5 | 5.4 | 6.9 | 6.8 | 6.0 | 6.7 | 5.9 |\n| drought proxy | 0.76 | 0.89 | n.a. | 0.38 | 0.38 | 0.66 | 0.61 |\n| | | | | | | | |\n| flood proxy | 0.83 | 0.82 | n.a. | 0.75 | 0.73 | 0.78 | 0.78 |\n| | | | | | | | |\n| Pmean (%) | 2.1 | 3.4 | 5.0 | 3.0 | 5.3 | 2.9 | 4.0 |\n| Rmean (%) | 2.4 | 6.5 | 8.1 | 4.4 | 8.6 | 4.9 | 5.8 |\n| | | | | | | | |\n| Rlow (%) | −2.0 | 3.8 | 11.2 | 8.0 | 9.4 | 5.1 | 5.9 |\n| | | | | | | | |\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2–4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "**4**\n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts—an atmosphereonly simulation requires considerably less computing time than a coupled ocean–atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.\n\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Which of #climatechange and #globalwarming is the most used ?", - "target_page": 5, - "target_passage": "A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained #globalwarming", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "| No. | #Climatechange | | #Globalwarming | |\n| --- | --- | --- | --- | --- |\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n**Table 1.** *Cont.*\n\n### *4.2. Association Network Analysis*\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or effects concerning sustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as \"world\", \"planet\", \"global\", and \"climatechangeisreal\", whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.\n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses on the responsibility to tackle climate change, where several global action hashtags are included, such as \"un\", \"parisagreement\", \"cop21\", and \"cop24\". The theme of the third largest cluster (20%) in the climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the central part of the network with a mixed theme composed of three highly ranked hashtags, including \"environment\" (No. 2), \"climateaction\" (No. 3), and \"energy\" (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "International Journal of *Environmental Research and Public Health*\n\n# *Article* **#Climatechange vs. #Globalwarming: Characterizing Two Competing Climate Discourses on Twitter with Semantic Network and Temporal Analyses**\n\n**Wen Shi 1 , Haohuan Fu 1,2, Peinan Wang 3 , Changfeng Chen 3 and Jie Xiong 4,***\n\n- 1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, Tsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); haohuan@tsinghua.edu.cn (H.F.)\n- 2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n- 3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China; wpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.)\n- 4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n- ***** Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79\n\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n\n**Abstract:** Distinct perceptions of the global climate is one of the factors preventing society from achieving consensus or taking collaborative actions on this issue. The public has not even reached an agreement on the naming of the global concern, showing preference for either \"climate change\" or \"global warming\", and few previous studies have addressed these two competing discourses resulting from distinct climate concerns by differently linking numerous climate concepts. Based on the 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 and 31 December 2018, we constructed the semantic networks of the two discourses and examined their evolution over the decade. The findings indicate that climate change demonstrated a more scientific perspective and showed an attempt to condense climate discussions rather than diffuse the topic by frequently addressing sub-topics simultaneously. Global warming triggered more political responses and showed a greater connection with phenomena. Temporal analysis suggests that traditional political discussions were gradually fading in both discourses but more recently started to revive in the form of discourse alliance in the climate change discourse. The associations between global warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is becoming more dominant than global warming in public discussions. Although two discourses have shown more similarities in the rank order of important climate concepts, apparent disagreements continue about how these concepts are associated. These findings lay the groundwork for researchers and communicators to narrow the discrepancy between diverse climate perceptions.\n\n**Keywords:** climate change; global warming; semantic network analysis; temporal analysis; public discourse; Twitter\n\n# **1. Introduction**\n\nThe public's distinct understanding of the cause and effect of the global climate issue is an obstacle to joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], previous studies noticed that the public had even failed to reach an agreement on whether \"climate change\" or \"global warming\" is the most appropriate definition of the global climate concern [3–5]. According to the definition provided by [6], global warming describes global climate issues as a continuous increase in the average temperature of Earth's surface due to anthropogenic emissions of greenhouse gases, whereas climate change includes not only temperature rise but also a range of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "#### **3. Methods** *3.1. Data Source*\n\n**3. Methods**\n\n#### *3.1. Data Source* As Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate\n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population. distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population.\n\n*Int. J. Environ. Res. Public Health* **2020**, *xx*, 5 5 of 22\n\n#### *3.2. Data 3.2. Data* In this research, we were interested in tweets containing either #climatechange or #globalwarming,\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies. as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies.\n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study. To collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study.\n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a. Given our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a.\n\n**Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**). **Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "**Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**).\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order . The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order. The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order .\n\n**Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**).\n\n#### **5. Discussion 5. Discussion 5. Discussion**\n\n#### *5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses*\n\n#### 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action\n\nClimate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "In the global warming network, politics was the second-largest discourse cluster (20% of the network), where \"tcot\", short for \"Top Conservatives on Twitter\", was the node ranked highest, and \"p2\", short for \"Progressives 2.0\", is also included. Several political figures, such as Obama and Al Gore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster (16%), including both domestic efforts, such as \"us\", \"trump\", \"climatechangeisreal\", \"climateaction\", and \"epa\", and two international items, like \"china\" and \"india\". The fourth cluster (in blue) referred to emissions, including hashtags like \"co2\", \"green\", and \"carbon\". The smallest cluster (8%) was composed of \"snow\", \"winter\", \"heatwave\", and \"summer\", referring to the temperature abnormalities on the earth.\n\n#### *4.3. Temporal Analysis of the Associations in the Two Discourses*\n\nThe online presentations of the climate change and global warming discourses are dynamic. As shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central hashtags each year for all 10 years, with 16 for the climate change\"discourse. By comparing the 11 nodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that the two lists shared nine concepts. We found \"pollution\" and \"earth\" were unique to the keyword list of the global warming discourse, and \"economy\", \"water\", \"china\", \"coal\", \"solar\", \"sustainability\", and \"food\" only occurred on the critical list for the climate change discourse.\n\n**Table 2.** Hashtags that remained on the top 50 list for the climate change or the global warming discourse from 2009 to 2018.\n\n| | Unique | Shared |\n| --- | --- | --- |\n| #climatechange | china, solar, water, food, economy, coal, sustainability | co2, news, carbon, green, climate, |\n| #globalwarming | pollution, earth | us, energy, science, environment |\n\nFigures 3 and 4 show the overall evolution of critical hashtags' associations in the 10-year period, where the nodes in the 10 graphs are located in the same position but the strength of associations varies across longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary Materials. Four themes were identified in each discourse according to the nodes' associations. To more explicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of the degree centrality of all the nodes belonging to each cluster and their change in centrality over the 10 years, as shown in Figure 5.\n\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year from 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the climate change discourse, especially more recently. However, some scientific hashtags, such as \"ghg\" (greenhouse gas), \"co2\", and \"forests\", were not identified in the scientific cluster but in the global actions cluster (in yellow) because these hashtags were frequently used in the global action context and identified with a closer semantic association to global action by Gephi. In addition to these hashtags, the global action cluster included a series of international activities, such as \"ipcc\" (Intergovernmental Panel on Climate Change), \"unfccc\" (United Nations Framework Convention on Climate Change), and \"cop\" (Conferences of the Parties) for almost every year. The blue cluster includes to political hashtags, such as \"uniteblue\", \"sgp\", \"p2\", and \"tcot\". In 2017 and 2018, the associations with political hashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining \"technology\", \"innovation\", \"education\", \"africa\", \"healthcare\", and \"politics\". The centrality sum of the nodes in the red cluster remained rather low throughout the 10-year period but obviously increased in the last two years of the period according to Figure 5a.\n\nFigure 4 describes the evolution of concepts' associations in the global warming discourse during the 10 years. The red cluster included concepts such as \"2012\", \"hot\", \"summer\", \"elnino\", and \"snow\", describing the weather abnormalities related to global warming. A notable finding is that before 2012, global warming's association with temperature abnormalities and extreme weather was not salient,", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the \"climate change\" dataset contained the #climatechange hashtag and all the tweets in the \"global warming\" dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n#### *3.3. Measurement*\n\n#### 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for \"#cimatechange redistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic\", a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n#### 3.3.2. Temporal Analysis\n\nA temporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are different to represent the changes in the associations of key hashtags for each discourse.\n\nThe correlation between climate change and global warming discourses was measured every year to observe whether the two discourses converged or diverged over time. Considering computing power limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that year were included in the calculations. First, we measured to what extent the two discourses resemble each other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags in each network were selected with a rank order according to their centrality. Then, Spearman's rank correlation coefficient was used to examine the correlation of the rank orders of the selected nodes in the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two discourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled each other in the associations between the key hashtags for each year. For every year, we obtained the union of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "column name to create two matrices. One matrix was created for the climate change discourse, and we filled the cell whose column name and row name were among the top 50 list in the climate change discourse with the frequency at which the two hashtags were associated in this discourse, and the other cells were filled with 0. This was repeated for the global warming matrix. We thus obtained two matrices with the same row and column names but different values in the cells. Then, the two matrices were input to the quadratic assignment procedure (QAP) [85] analysis provided by UCINET software [86] to assess their correlation for each year.\n\n### **4. Results**\n\n### *4.1. General Descriptions*\n\nAssociation networks surrounding #climatechange and #globalwarming showed different properties. The climate change discourse included 38,821 hashtags, whereas the global warming discourse only contained 8788 hashtags. Table 1 displays the 50 most significant hashtags in the two discourses based on centrality. As some hashtags were used in the form of an abbreviation or phrase, explanations are provided in the table. Two networks shared 32 out of the 50 most significant words. Hashtags \"canada\", \"cdnpoli\", \"sdgs\", \"biodiversity\", \"education\", \"environmental\", \"cop24\", \"sustainable\", \"auspol\", \"food\", \"agriculture\", \"cleanenergy\", \"renewableenergy\", \"renewables\", \"emissions\", \"coal\", \"fossilfuels\", and \"cop21\" only showed up on the top 50 list of the \"climate change\" network. Hashtags \"tcot\", \"california\", \"p2\", \"nyc\", \"snow\", \"agw\", \"summer\", \"global\", \"winter\", \"india\", \"planet\", \"heatwave\", \"hoax\", \"nasa\", \"algore\", \"world\", \"oil\", and \"eco\" were unique on the top 50 list of the global warming network. The two lists only shared three out of the top five hashtags. In the #climatechange network, \"climateaction\" was ranked third place and \"sustainability\" was ranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the #globalwarming network. In the #globalwarming network, \"earth\" and \"weather\" were among the top five nodes, whereas they were ranked 14th and 24th in the #climatechange network, respectively.\n\n| No. | #Climatechange | | #Globalwarming | |\n| --- | --- | --- | --- | --- |\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 1 | climate | 0.466 | climate | 0.530 |\n| 2 | environment | 0.465 | environment | 0.446 |\n| 3 | climateaction | 0.391 | science | 0.319 |\n| 4 | sustainability | 0.316 | earth | 0.296 |\n| 5 | science | 0.314 | weather | 0.280 |\n| 6 | energy | 0.283 | us * | 0.280 |\n| 7 | trump | 0.257 | trump | 0.263 |\n| 8 | us * | 0.247 | pollution | 0.256 |\n| 9 | cop21 * | 0.232 | co2 | 0.244 |\n| 10 | parisagreement * | 0.232 | green | 0.239 |\n| 11 | actonclimate * | 0.225 | tcot * | 0.229 |\n| 12 | water | 0.221 | nature | 0.213 |\n| 13 | pollution | 0.210 | news | 0.198 |\n| 14 | earth | 0.207 | energy | 0.192 |\n| 15 | green | 0.200 | climatechangeisreal | 0.187 |\n| 16 | climatechangeisreal | 0.195 | obama | 0.181 |\n| 17 | renewableenergy * | 0.194 | climateaction | 0.175 |\n| 18 | health | 0.193 | algore * | 0.174 |\n| 19 | nature | 0.187 | water | 0.171 |\n| 20 | renewables | 0.186 | agw * | 0.164 |\n| 21 | cleanenergy | 0.176 | carbon | 0.164 |\n| 22 | carbon | 0.175 | sustainability | 0.163 |\n\n**Table 1.** The top 50 central hashtags on Twitter surrounding #climatechange and #globalwarming from 2009 to 2018. The hashtag with * is explained in Appendix A in ascending alphabetical order.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed10.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n### **6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic difference between climate change and global warming seems subtle, the differences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, \"global warming\" is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n#### *Limitation and Future Directions*\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.\n\nIn this study, we characterized the differences between two popular climate discourses and examined how two discourses evolved over a 10-year period. We did not focus on the interactions between public climate discourse and external factors. However, the evolution of climate discourse might be driven by several external forces such as scientific efforts, natural events, politics and online information (or misinformation) campaigns. The prevalence of certain climate concepts may inverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, previous studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation campaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading low-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with other sub-systems of our society should be noticed and explored in future. More studies like [2], who examined the influence of several extreme events on public climate change perception, should be", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "- 7. Caitlyn Kennedy, R.L. 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Climate Change Communication in an Online Q&A Community: A Case Study of Quora. *Sustainability* **2018**, *10*, 1509.", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed10.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Is the #climateaction hashtag more bound the #globalwarming of #climatechange ?", - "target_page": 7, - "target_passage": "In the #climatechange network, “climateaction” was ranked third place and “sustainability” was ranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the #globalwarming network", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| No. | #Climatechange | | #Globalwarming | |\n| --- | --- | --- | --- | --- |\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n**Table 1.** *Cont.*\n\n### *4.2. Association Network Analysis*\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or effects concerning sustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as \"world\", \"planet\", \"global\", and \"climatechangeisreal\", whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.\n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses on the responsibility to tackle climate change, where several global action hashtags are included, such as \"un\", \"parisagreement\", \"cop21\", and \"cop24\". The theme of the third largest cluster (20%) in the climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the central part of the network with a mixed theme composed of three highly ranked hashtags, including \"environment\" (No. 2), \"climateaction\" (No. 3), and \"energy\" (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "International Journal of *Environmental Research and Public Health*\n\n# *Article* **#Climatechange vs. #Globalwarming: Characterizing Two Competing Climate Discourses on Twitter with Semantic Network and Temporal Analyses**\n\n**Wen Shi 1 , Haohuan Fu 1,2, Peinan Wang 3 , Changfeng Chen 3 and Jie Xiong 4,***\n\n- 1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, Tsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); haohuan@tsinghua.edu.cn (H.F.)\n- 2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n- 3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China; wpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.)\n- 4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n- ***** Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79\n\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n\n**Abstract:** Distinct perceptions of the global climate is one of the factors preventing society from achieving consensus or taking collaborative actions on this issue. The public has not even reached an agreement on the naming of the global concern, showing preference for either \"climate change\" or \"global warming\", and few previous studies have addressed these two competing discourses resulting from distinct climate concerns by differently linking numerous climate concepts. Based on the 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 and 31 December 2018, we constructed the semantic networks of the two discourses and examined their evolution over the decade. The findings indicate that climate change demonstrated a more scientific perspective and showed an attempt to condense climate discussions rather than diffuse the topic by frequently addressing sub-topics simultaneously. Global warming triggered more political responses and showed a greater connection with phenomena. Temporal analysis suggests that traditional political discussions were gradually fading in both discourses but more recently started to revive in the form of discourse alliance in the climate change discourse. The associations between global warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is becoming more dominant than global warming in public discussions. Although two discourses have shown more similarities in the rank order of important climate concepts, apparent disagreements continue about how these concepts are associated. These findings lay the groundwork for researchers and communicators to narrow the discrepancy between diverse climate perceptions.\n\n**Keywords:** climate change; global warming; semantic network analysis; temporal analysis; public discourse; Twitter\n\n# **1. Introduction**\n\nThe public's distinct understanding of the cause and effect of the global climate issue is an obstacle to joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], previous studies noticed that the public had even failed to reach an agreement on whether \"climate change\" or \"global warming\" is the most appropriate definition of the global climate concern [3–5]. According to the definition provided by [6], global warming describes global climate issues as a continuous increase in the average temperature of Earth's surface due to anthropogenic emissions of greenhouse gases, whereas climate change includes not only temperature rise but also a range of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the \"climate change\" dataset contained the #climatechange hashtag and all the tweets in the \"global warming\" dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n#### *3.3. Measurement*\n\n#### 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for \"#cimatechange redistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic\", a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n#### 3.3.2. Temporal Analysis\n\nA temporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are different to represent the changes in the associations of key hashtags for each discourse.\n\nThe correlation between climate change and global warming discourses was measured every year to observe whether the two discourses converged or diverged over time. Considering computing power limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that year were included in the calculations. First, we measured to what extent the two discourses resemble each other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags in each network were selected with a rank order according to their centrality. Then, Spearman's rank correlation coefficient was used to examine the correlation of the rank orders of the selected nodes in the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two discourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled each other in the associations between the key hashtags for each year. For every year, we obtained the union of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n### **6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic difference between climate change and global warming seems subtle, the differences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, \"global warming\" is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n#### *Limitation and Future Directions*\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.\n\nIn this study, we characterized the differences between two popular climate discourses and examined how two discourses evolved over a 10-year period. We did not focus on the interactions between public climate discourse and external factors. However, the evolution of climate discourse might be driven by several external forces such as scientific efforts, natural events, politics and online information (or misinformation) campaigns. The prevalence of certain climate concepts may inverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, previous studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation campaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading low-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with other sub-systems of our society should be noticed and explored in future. More studies like [2], who examined the influence of several extreme events on public climate change perception, should be", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "In the global warming network, politics was the second-largest discourse cluster (20% of the network), where \"tcot\", short for \"Top Conservatives on Twitter\", was the node ranked highest, and \"p2\", short for \"Progressives 2.0\", is also included. Several political figures, such as Obama and Al Gore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster (16%), including both domestic efforts, such as \"us\", \"trump\", \"climatechangeisreal\", \"climateaction\", and \"epa\", and two international items, like \"china\" and \"india\". The fourth cluster (in blue) referred to emissions, including hashtags like \"co2\", \"green\", and \"carbon\". The smallest cluster (8%) was composed of \"snow\", \"winter\", \"heatwave\", and \"summer\", referring to the temperature abnormalities on the earth.\n\n#### *4.3. Temporal Analysis of the Associations in the Two Discourses*\n\nThe online presentations of the climate change and global warming discourses are dynamic. As shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central hashtags each year for all 10 years, with 16 for the climate change\"discourse. By comparing the 11 nodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that the two lists shared nine concepts. We found \"pollution\" and \"earth\" were unique to the keyword list of the global warming discourse, and \"economy\", \"water\", \"china\", \"coal\", \"solar\", \"sustainability\", and \"food\" only occurred on the critical list for the climate change discourse.\n\n**Table 2.** Hashtags that remained on the top 50 list for the climate change or the global warming discourse from 2009 to 2018.\n\n| | Unique | Shared |\n| --- | --- | --- |\n| #climatechange | china, solar, water, food, economy, coal, sustainability | co2, news, carbon, green, climate, |\n| #globalwarming | pollution, earth | us, energy, science, environment |\n\nFigures 3 and 4 show the overall evolution of critical hashtags' associations in the 10-year period, where the nodes in the 10 graphs are located in the same position but the strength of associations varies across longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary Materials. Four themes were identified in each discourse according to the nodes' associations. To more explicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of the degree centrality of all the nodes belonging to each cluster and their change in centrality over the 10 years, as shown in Figure 5.\n\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year from 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the climate change discourse, especially more recently. However, some scientific hashtags, such as \"ghg\" (greenhouse gas), \"co2\", and \"forests\", were not identified in the scientific cluster but in the global actions cluster (in yellow) because these hashtags were frequently used in the global action context and identified with a closer semantic association to global action by Gephi. In addition to these hashtags, the global action cluster included a series of international activities, such as \"ipcc\" (Intergovernmental Panel on Climate Change), \"unfccc\" (United Nations Framework Convention on Climate Change), and \"cop\" (Conferences of the Parties) for almost every year. The blue cluster includes to political hashtags, such as \"uniteblue\", \"sgp\", \"p2\", and \"tcot\". In 2017 and 2018, the associations with political hashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining \"technology\", \"innovation\", \"education\", \"africa\", \"healthcare\", and \"politics\". The centrality sum of the nodes in the red cluster remained rather low throughout the 10-year period but obviously increased in the last two years of the period according to Figure 5a.\n\nFigure 4 describes the evolution of concepts' associations in the global warming discourse during the 10 years. The red cluster included concepts such as \"2012\", \"hot\", \"summer\", \"elnino\", and \"snow\", describing the weather abnormalities related to global warming. A notable finding is that before 2012, global warming's association with temperature abnormalities and extreme weather was not salient,", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - }, - { - "text": "#### **3. Methods** *3.1. Data Source*\n\n**3. Methods**\n\n#### *3.1. Data Source* As Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate\n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population. distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population.\n\n*Int. J. Environ. Res. Public Health* **2020**, *xx*, 5 5 of 22\n\n#### *3.2. Data 3.2. Data* In this research, we were interested in tweets containing either #climatechange or #globalwarming,\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies. as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies.\n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study. To collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study.\n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a. Given our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a.\n\n**Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**). **Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "**Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**).\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order . The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order. The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order .\n\n**Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**).\n\n#### **5. Discussion 5. Discussion 5. Discussion**\n\n#### *5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses*\n\n#### 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action\n\nClimate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5. then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5. then the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were included in the discourse. Notably, the red node in the top right-hand corner named \"2012\" refers to the Maya prediction that the year 2012 would be the end of the world and that the world would be destroyed by extreme natural events, and was linked to other climate hashtags for the first time in the graph exactly in 2012. The blue nodes included the political hashtags, such as \"maga\", \"ows\", \"p2\", \"tcot\", and \"obama\". The involvement of political hashtags in the global warming discourse was significantly higher than that in the climate change discourse according to the comparison between Figure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded, as shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in Figure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts and actions, where words describing global efforts, such as \"ipcc\", \"cop15\", and \"un\", and words questioning global warming, such as \"hoax\" and \"fraud\", were both included. The associations between the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following years. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of climate issue, including words such as \"ecology\", \"ocean\", and \"cleanenergy\". Associations between scientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an obvious rising trend in dominating the theme of the global warming discourse, according to Figure 5.\n\n**Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018. **Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018. **Figure 3.** Association network of top 50 nodes of climate change for each year from 2009 to 2018.\n\n**Figure 4.** Association network of top 50 nodes of global warming for each year from 2009 to 2018. **Figure 4. Figure 4.**Association network of top 50 nodes of global warming for each year from 2009 to 2018. Association network of top 50 nodes of global warming for each year from 2009 to 2018.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed10.pdf" - }, - { - "text": "issues and re-constructing them differently. By comparing the persistent words used related to the two discourses in the 10-year period in Table 2, we think that global warming showed a relative preference toward general descriptions or slogans, such as \"earth\" and \"pollution\", whereas \"climate change\" was more associated to specific issues like \"solar\", \"coal\", \"china\", and \"food\".\n\nStudies have suggested that the public shows a preference for scientific publications with general keywords compared with those with complicated scientific jargon [47], lacking a deep understanding of the complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions seem to suit global warming more than climate change according to the current study, which is probably because climate change receives more publicity and recognition than global warming in the scientific community. In the association network shown in Figure 2, global warming was found to be more connected with temperature abnormalities. This finding is in accordance with studies reporting that short-term temperature anomalies [87] can increase the public's belief about global warming by increasing the understanding of this abstract issue [88], although scientists mostly make judgments based on long-term weather statistics [89]. However, none of the four words, \"snow\", \"summer\", \"winter\", or \"heatwave\" in the temperature theme of global warming were ranked in the top 50 nodes list of the climate change network.\n\nEven when climate change and global warming shared concern about similar topics such as the cause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas climate change preferred a more in-depth perspective, highlighting the importance of global action to mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to carbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern [90], the two terminologies' differences in connotations suggest that introducing these absent sub-topics into global warming discourse or highlighting climate change for its inherent connotations may help communicators raise public concern about climate.\n\n#### 5.1.2. Political Connotations\n\nStudies noted that frame preference between climate change and global warming reflects individuals' ideological spectrum, where climate change and global warming were favored by the liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the current study demonstrated that global warming triggered far more political responses than climate change. The second largest cluster of global warming was politics-based, where hashtag \"tcot\", favored by right-leaning users and \"p2\", favored by left-leaning users, were both ranked in the list of top nodes of the global warming discourse, but neither was included in the list of top nodes of the climate change discourse. Considering that earlier findings suggested that global warming was more likely to be used by conservatives to question the reality of climate issue [11] and climate change is more commonly adopted when discussing action against the climate change issue [5], global warming had a stronger political connotation in public discussion.\n\n#### 5.1.3. Discourse Structure\n\nIn the discourse surrounding #climatechange, \"environment\", \"energy\", and \"global action\" represented the themes of the three largest clusters in the network. However, three popularly recurring hashtags, \"#environment\", \"#energy\", and \"#climateaction\", did not belong to any of the three clusters above, but formed another small tight cluster together, sitting in the most central part of the semantic network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of the climate change topic and these three hashtags were tightly bundled might indicate an attempt by #climatechange users to address all three communities together [91], consolidating climate change as a topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags' function of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "problems at various levels of different domains [92]. No similar mechanism was observed in the global warming discourse, suggesting that global warming was less evocative of diverse adjacent sub-themes.\n\n#### *5.2. Evolution of Associations in the Two Discourses*\n\n### 5.2.1. Shrinking of Traditional Political Discussions and Emergence of Discourse Alliance\n\nThe temporal analysis revealed the evolution of public discourse from 2009 to 2018. In both discourses, political discussions gradually faded, indicating a trend in the public perception of climate issues to seeming slowly return to the scientific dimension in general. In 2009, political discussion was the second most important topic in the global warming discourse, but its ranking fell to last in 2018. In the climate change discourse, as shown in Figure 3, the association to political hashtags disappeared in the recent two years. These findings seem to contradict earlier studies suggesting noticeable political polarization in the climate discussion [66,93] and a Pew report saying that the partisan divide had widened in terms of attitudes toward climate change issues [94]. We suggest a probable reason responsible for this contradiction: Although political clusters in both discourses were shrinking, in the climate change discourse, the proportion of red associations started to increase in recent years, as shown in Figure 5a. The red cluster is a topic cluster with blurred edges and is composed of diverse hashtags, such as \"healthcare\", \"education\", \"poverty\", \"innovation\", and \"politics\". We examined the tweets with these co-occurrences and found that although few typical political hashtags such as \"p2\" and \"tcot\" were used, most of these tweets had strong political intentions. For example, when the public noticed that whitehouse.gov no longer provided specific pages for climate change as well as healthcare, LGBT rights, and civil rights in January 2017 [95], the red cluster expanded, as shown in Figure 5a, and a large amount of co-occurrences among these issues emerged to blame the government's wrong practices of neglecting all these issues. We observed that \"climatechange\" occurred often with hashtags such as \"education\", \"poverty\", \"economy\", \"leadership\", and \"innovation\" as the object of the verb \"rethink\" in a large amount of tweets arguing for the government's reflections on several domestic policies. Thus, we think that climate politics did not disappear but changed their form in public discussions in the last two years of the studied decade. A kind of discourse alliance formed among climate change and several other domestic political issues to show political appeal together, where a trend of pan-politicization rather than de-politicization might be identified in climate change discussion.\n\n#### 5.2.2. Strengthened Associations between Global Warming and Weather Abnormalities\n\nAlthough global warming is linked to abnormal weather phenomena, temporal analysis suggests their associations were not innate or changeless. An increase in association strength was observed in 2012 according to Figure 4. Two reasons may have contributed to this change. Firstly, the Hurricane Irene and Hurricane Sandy, two serious extreme weather events in 2011 and 2012, were proven to raise the volume of climate-related tweets and evoke the public's consciousness of global warming [2] to some extent. However, Sandy may not be the only reason. Studies that analyzed the discourse of three extreme events on Twitter pointed out that political and ideological debates, rather than phenomenon-related discussions, dominated during Sandy, evidenced by hashtag \"#sandy\" not being even to the temperature and extreme weather cluster (red in Figure 4), but was identified to the cluster describing hesitation between climate facts and actions (yellow in Figure 4).\n\nAfter examining every associated node in the red cluster in 2012, we suggest that the hashtag \"2012\" in the top right-hand corner, which is the only event-based hashtag, can provide another hint about why the associations related to temperature and extremeweather significantly increased in 2012. The Maya inscriptions about the end of the world in December 2012 were prevalent then, and even inspired a famous American disaster film named \"2012\", telling a story that the earth would be destroyed by a series of disastrous extreme natural events. Previously, historians focused on the correlations between climate issues and the collapse of the Mayan civilization [96,97], but no", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "What are two main reasons for one's low climate concern ?", - "target_page": 13, - "target_passage": "As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "issues and re-constructing them differently. By comparing the persistent words used related to the two discourses in the 10-year period in Table 2, we think that global warming showed a relative preference toward general descriptions or slogans, such as \"earth\" and \"pollution\", whereas \"climate change\" was more associated to specific issues like \"solar\", \"coal\", \"china\", and \"food\".\n\nStudies have suggested that the public shows a preference for scientific publications with general keywords compared with those with complicated scientific jargon [47], lacking a deep understanding of the complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions seem to suit global warming more than climate change according to the current study, which is probably because climate change receives more publicity and recognition than global warming in the scientific community. In the association network shown in Figure 2, global warming was found to be more connected with temperature abnormalities. This finding is in accordance with studies reporting that short-term temperature anomalies [87] can increase the public's belief about global warming by increasing the understanding of this abstract issue [88], although scientists mostly make judgments based on long-term weather statistics [89]. However, none of the four words, \"snow\", \"summer\", \"winter\", or \"heatwave\" in the temperature theme of global warming were ranked in the top 50 nodes list of the climate change network.\n\nEven when climate change and global warming shared concern about similar topics such as the cause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas climate change preferred a more in-depth perspective, highlighting the importance of global action to mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to carbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern [90], the two terminologies' differences in connotations suggest that introducing these absent sub-topics into global warming discourse or highlighting climate change for its inherent connotations may help communicators raise public concern about climate.\n\n#### 5.1.2. Political Connotations\n\nStudies noted that frame preference between climate change and global warming reflects individuals' ideological spectrum, where climate change and global warming were favored by the liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the current study demonstrated that global warming triggered far more political responses than climate change. The second largest cluster of global warming was politics-based, where hashtag \"tcot\", favored by right-leaning users and \"p2\", favored by left-leaning users, were both ranked in the list of top nodes of the global warming discourse, but neither was included in the list of top nodes of the climate change discourse. Considering that earlier findings suggested that global warming was more likely to be used by conservatives to question the reality of climate issue [11] and climate change is more commonly adopted when discussing action against the climate change issue [5], global warming had a stronger political connotation in public discussion.\n\n#### 5.1.3. Discourse Structure\n\nIn the discourse surrounding #climatechange, \"environment\", \"energy\", and \"global action\" represented the themes of the three largest clusters in the network. However, three popularly recurring hashtags, \"#environment\", \"#energy\", and \"#climateaction\", did not belong to any of the three clusters above, but formed another small tight cluster together, sitting in the most central part of the semantic network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of the climate change topic and these three hashtags were tightly bundled might indicate an attempt by #climatechange users to address all three communities together [91], consolidating climate change as a topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags' function of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "complex changes in the state of the climate [7], which may be caused by natural process, external forces, or human interventions [8]. By randomly assigning respondents to climate change or global warming questionnaires, scholars confirmed that the different connotations contained in the two definitions are likely to evoke distinct interpretations of the causes and impacts of the global climate issue [9], which may inhibit collaboration and joint efforts to mitigate the global challenge.\n\nPublic preference between climate change and global warming is even more apparent when considering the ideology spectrum [10]. Some scholars concluded that conservatives, who are less concerned with environmental issues, tended to use global warming as a narrative strategy because global warming has a more direct connection with temperature rise, making it easier to find contradictory cues such as freezing weather or heavy snowstorms to deny global climate change facts [11]. The associations between global warming and human activities may contribute to more controversies as well [12], connecting global warming more with the \"hoax\" frame [5] and evoking greater negative sentiment [13].\n\nAlthough these existing studies have often attempted to identify the differences between these two terminologies, only a particular few perspectives, such as sentiment, ideological preference, or cause and effect, were examined in each study [3,9,13]. However, the associate network model introduced by psychologists suggests that human recognition and memory have a network-shaped architecture [14], where individual understanding of particular objects is connected with numerous other objects in the mind. According to the associate network model, individual understanding of the global climate concern is a network composed of numerous inter-connected concepts, in which climate change and global warming. As the two terminologies concern the primary mechanism of the global climate issue, the preference between the two understandings may represent two distinct climate discourses by differently organizing numerous climate concepts. Examining the differences between two discourses with an associative perspective may provide communicators with unique insights into narrowing the cognitive discrepancy. The temporal dimension was lacking in existing studies, necessitating the study of how concepts associated with each other have evolved with time.\n\nLarge amounts of user-generated data on social media, which have been valued in computer science, communication, and environmental studies [5,9,15–18], have enabled the acquistion of the social media representation of the two discourses in a decade. In this study, by analyzing hashtag co-occurrence patterns in 6,662,478 tweets containing \"climate change\" and \"global warming\" between 1 January 2009 and 31 December 2018, two semantic networks of public climate discourse were constructed to identify the critical concepts and links surrounding the two terminologies. We conducted temporal analysis to observe the evolution of the two discourses and to measure whether the discrepancy between the two has widened or narrowed within the 10-year period.\n\nTo be specific, we formulated three research questions (RQs) to be explored in this study:\n\nRQ1: What is the difference in how the two the discourses are associated with important climate concepts in people's minds?\n\nRQ2: How did the two competing climate discourses evolve from 2009 to 2018?\n\nRQ3: Did the two competing discourses converge or diverge in this decade?\n\n#### **2. Background**\n\n#### *2.1. Climate Change, Global Warming, and Frames*\n\nExisting studies have noted that the subtle difference between climate change and global warming evokes different public cognitive responses, where global warming\"indicates heat-related impacts, human causes, increased UV light penetration, ozone depletion, and the greenhouse effect, whereas climate change is more associated with a wide range of influences on climate, including drought and agriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with ice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n### **6. Conclusions**\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic difference between climate change and global warming seems subtle, the differences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, \"global warming\" is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n#### *Limitation and Future Directions*\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30–59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.\n\nIn this study, we characterized the differences between two popular climate discourses and examined how two discourses evolved over a 10-year period. We did not focus on the interactions between public climate discourse and external factors. However, the evolution of climate discourse might be driven by several external forces such as scientific efforts, natural events, politics and online information (or misinformation) campaigns. The prevalence of certain climate concepts may inverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, previous studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation campaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading low-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with other sub-systems of our society should be noticed and explored in future. More studies like [2], who examined the influence of several extreme events on public climate change perception, should be", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "**Figure 8.** Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2°C globalwarming,for five individualHadGEM3simulations driven by SSTs and SICsfrom differentmembers ofthe CMIP5 ensemble, and the ensemble mean.\n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher than any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. The implication of such HCVI values is that climate change at 2°C is projected to cause levels of vulnerability to food insecurity that are greater than any seen in the present day. For individual ensemble members, the number of countries with 'unprecedented' HCVI values at 2°C varies from three to seven. Conversely, many countries in the baseline climate have levels of vulnerability to food insecurity that are greater than those expected in other countries under 2°C global warming. This suggests that other factors are already posing greater risk for food insecurity than 2°C climate change is expected to cause in other countries, so the increased risk from climate change should not overshadow the need to reduce vulnerability to food insecurity arising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by addressing various socio-economic issues in such counties.\n\nThe JULES simulations show a general tendency towards increased run-off over approximately half of the land surface (figure 9) and the majority of the major river basins assessed (figure 10), but with large regional uncertainties including the possibility of decreased flows in many basins. The ensemble-mean change in mean streamflow shows an increase of between 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing an increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and southcentral USA, which see less than a 5% change in run-off, and the already very dry region of the Sahara Desert where the existing very small run-off become even smaller.\n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with the regions seeing an increase in mean run-off seeing a larger percentage increase in low run-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that this does not necessarily imply a larger increase in absolute low flow compared to absolute mean flow, because the baseline is (by definition) smaller for low flows. In western Europe, where the changes in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 13.** Global mean percentage changes relative to 1981–2010 in (*a*) precipitation over land, (*b*) mean run-off flows, (*c*) low run-off lows (10th percentile), at 2°C and 1.5°C global warming.\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows—increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "reports, the environment, and science [13]. Some respondents even hold the belief that global warming results in climate change [9].\n\nThe two distinct climate discourses being produced based on the same reality can be explained by the framing theory in communication study. Framing refers to the phenomenon where the reality is always partially selected or highlighted when described by the public or media [19]. By distinctly defining problems, suggesting solutions, and indicating casual interpretations [20], different frames tell the audience different stories and influence how they observe facts [21,22]. Two types of frames, equivalency frames and emphasis frames, are commonly studied by scholars to examine how framing effects influence individuals' attitudes and beliefs [23]. Equivalency frames describe the same fact or logic with different words and may suggest that the audience perceives facts in psychologicallydifferent ways [24]. For example, a cup can be described as \"half full\" and \"half empty\", where the former is a positive frame indicating a reference point lower than current status, and the latter is negative, meaning that the reference point is above the current situation [25]. Emphasis frames employ words selectively associated with parts of reality to shift the audience's attention to particular attributes [26]. Climate change and global warming have been noted to highlight different aspects of an issue by activating distinct cognitive accessibility patterns [27].\n\nDifferent frames concerning the global climate concern are popular among the public, politicians, environmentalists, and the media [1,28,29]. Big data analyses have indicated that when interpreting climate events, individuals' preference for frameworks was influenced by demographics [5] and social-political background [2]. Different choices of frameworks can evoke different psychological processes [30], promote or inhibit engagement intentions [31], or gain approval on various levels [32].\n\nStudies have noted that the frameworks of climate change and global warming may result from different political indications. The American Republican-leaning states show more preference for global warming than climate change compared with Democratic-leaning states, and global warming is more connected with \"hoax\" in questioning the reality of the global climate issue [5]. Conservatives are more likely to link heat-related phenomena to global warming, whereas liberals associate these facts equally with both frames [27]. An earlier survey conducted by [4] argued that wording choice might not influence the whole population similarly. For the whole sample and politically independent individuals, the two terminologies were equally serious, but climate change seemed more serious compared with global warming among the Republicans, and the Democrats held the opposite opinion.\n\n#### *2.2. Network Model for Cognition*\n\nDifferent framework choices may create even more differences than have already been noticed. Psychologists think that human beings are a collection of learned associations [33], and associative response rather than simply linear logic form the structural basis of thought [34]. Associative learning [35] is a long-standing assumption underlying cognitive science [14], suggesting that human cognition toward the world forms a network pattern, where the world is organized into several groups of related items and stored in a network model in the mind. When messages are processed by humans, they are first encoded into a temporary memory network and then linked to an existing associative memory network for long-term storage [36]. In the network, a node represents a certain concept, and edges refers to particular relationships, such as time sequences [37], similarity [38], semantic connections [37], or cause and effect [33] between two nodes.\n\nWhen individuals search their memory for a particular piece of a message in their mind, the targeted node becomes salient and activated in the temporary memory [39]. If two messages are always activated simultaneously, their connection tends to be more robust and the messages are regarded as associated [36]. If a link is recorded between two concepts, activations are likely to spread through the link from one concept to another with or without conscious awareness [40]. Whereas associations of nodes in the mind may not necessarily reflect the actual relationships of objects, in reality, several factors, including media usage, personal experience, and political stance [34,41,42], may help bundle different sets of concepts.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed10.pdf" - }, - { - "text": "**Figure 2.** Distribution of temperature and precipitation changes under global warming by 1.5 °C and 2.0 °C (**a**) temperature, 1.5 °C; (**b**) temperature, 2.0 °C; (**c**) precipitation, 1.5 °C; (**d**) precipitation, 2.0 °C. Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalear thdata.com.\n\nTird, yield shocks for maize were incorporated into the GTAP model via changes in land efciency for the production of the respective in each region.\n\n### **Results**\n\n**Climate change under global warming by 1.5 °C and 2.0 °C.** Tere are apparent change trends of temperature and precipitation relative to the baseline (1986–2005) under global warming by 1.5 °C and 2.0 °C. Te most remarkable characteristics is the rising of mean temperature in the worldwide (Fig. 2a, b); meanwhile, the rainfall would increase in most regions of the world. Te distributions of temperature changes under global warming by 1.5 °C and 2.0 °C are similar (Fig. 2c, d). Tere are few regions in which the temperature would go down under the two scenarios; the temperature goes up more seriously in the Northern Hemisphere than the Southern regions; especially in the high-latitude area the temperature rises more quickly than the other regions. Under global warming by 1.5 °C the area is 54.4% in whole world in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 29.2% of the whole world in which the temperature would go up more than 1.5 °C, most located in the high latitude regions of Northern Hemisphere; the area is 16.4% of the whole world in which the temperature would go up between 0 and 1.0 °C , mostly located in the Southern Hemisphere and the low latitude regions of Northern Hemisphere. Under global warming by 2.0 °C the area is 12.3% in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 69.8% in which the temperature would go up between 1.5 and 3.0 °C than the baseline, located in the middle and high latitude regions; the area\n\nVol:.(1234567890)", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 9.** Changes inrun-off formean flowssimulated bytheJULES ecosystem–hydrologymodel undersix climatesimulations at 2°C global warming. (*a*) Ensemble mean and (*b*) percentage of models agreeing on increased flow.\n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows where changes in mean flows were small. Changes in high run-off show similar patterns and magnitudes to those in mean run-off.\n\nThe simulated changes in both mean and low run-off flows show substantial differences among the six simulations (figures 10 and 11). In most basins examined here, the range of outcomes include both increases and decreases in mean and low flows for any particular basin, but generally with the largest proportion simulating increases in both mean and low flows. In a few cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed entirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the projected flow increases in the Ganges for 2°C global warming ranging from approximately 30% to more than 110%.\n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, Orange, Danube and Guadiana basins where the range of projected extends more towards decreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C global warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C global warming for these basins.\n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the Niger, the range of mean flow changes extended more towards increases whereas the range of low flow changes extended more towards decreases.\n\n## (b) Impacts at 1.5°C global warming compared to 2°C\n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and run-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; figures 12 and 13). The exceptions to these are mean and low run-off which each show one instance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing larger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two GWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed11.pdf" - }, - { - "text": "conducted to reveal the interactions between public discourse and natural, scientific, social, or political events. In particular, factors promoting public consensus and factors resulting in discourse discrepancy should be further identified to help climate communicators narrow the public cognitive divergence about the global climate issue.\n\n**Supplementary Materials:** The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1.\n\n**Author Contributions:** W.S. designed the study, collected the data, conducted the analysis, and wrote the article. H.F. offered suggestions to the part of temporal analysis. P.W. contributed to the hashtag co-occurrence part. C.C. helped with the design of the study. J.X. contributed to the framing of the article and helped with the revision. All authors have read and agreed to the published version of the manuscript.\n\n**Funding:** This work was supported in part by the National Key R&D Program of China (Grant No. 2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and U1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High Performance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and Technology (Qingdao).\n\n**Conflicts of Interest:** The authors declare no conflict of interest.\n\n# **Appendix A**\n\n#agw, short for anthropogenic global warming, indicating global warming is caused by human activities.\n\n#cdnpoli, short for Canadian politics\n\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency aiming at protecting environment.\n\n#gop, short for Grand Old Party, the Republican political party in the United States.\n\n#nyc, short for New York City\n\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter. #parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global warming by reducing greenhouse gas emissions.\n\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the United Nations General Assembly in 2015 and expected to be achieved in 2030.\n\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political standpoints on Twitter.\n\n#un, short for the United Nations\n\n#us, short for the United States\n\n## **References**\n\n- 1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. *Environ. Sci. Policy Sustain. Dev.* **2009**, *51*, 12–23. [CrossRef]\n- 2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change discourse on social media during extreme weather events. *Glob. Environ. Chang.* **2019**, *54*, 50–60. [CrossRef]\n- 3. Schuldt, J.P.; Konrath, S.H.; Schwarz, N. \"Global warming\" or \"climate change\"? Whether the planet is warming depends on question wording. *Public Opin. Q.* **2011**, *75*, 115–124. [CrossRef]\n- 4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter? *Clim. Chang.* **2011**, *105*, 1–12. [CrossRef]\n- 5. Jang, S.M.; Hart, P.S. Polarized frames on \"climate change\" and \"global warming\" across countries and states: Evidence from Twitter big data. *Glob. Environ. Chang.* **2015**, *32*, 11–17. [CrossRef]\n- 6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online: https://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on 10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - }, - { - "text": "#### **3. Methods** *3.1. Data Source*\n\n**3. Methods**\n\n#### *3.1. Data Source* As Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate\n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population. distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population.\n\n*Int. J. Environ. Res. Public Health* **2020**, *xx*, 5 5 of 22\n\n#### *3.2. Data 3.2. Data* In this research, we were interested in tweets containing either #climatechange or #globalwarming,\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies. as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies.\n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study. To collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study.\n\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a. Given our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained \"#globalwarming\". The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a.\n\n**Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**). **Figure 1.** The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 (**a**). The number of hashtags contained in the \"climate change\" or \"global warming\" datasets, and their ratio from 2009 to 2018 (**b**).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "How many scholarly articles are published every year ?", - "target_page": 1, - "target_passage": "over 3 million scholarly articles published per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nFor example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n- For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n- Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## **(7) Operating Leases**\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | | Lease |\n| --- | --- | --- |\n| | | payments |\n| Year ending June 30: | | |\n| 2025 | | 419,791 |\n| | $ Total minimum lease payments | 419,791 |\n\n#### **(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "DIP data are available by LAA (Local Authority Area). There are 148 of these across England and as the table below makes clear, all submitted some DIP data at some point between 2004 and 2013. However, a quick glance through the table also reveals that many LAAs only submitted data for certain years.\n\nAnnual number of DIP tests recorded by each LAA, 2005 to 201324 .\n\n24 The total here does not include, LAAs outside of England, or cases where no LAA was recorded. It will therefore not sum to the 296,008 tests given in other tables.", - "page_start": 33, - "page_end": 33, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "- 139. Power, Jennifer; Pym, Tinonee; James, Alexandra; Waling, Andrea (5 July 2024). \"Smart Sex Toys: A Narrative Review of Recent Research on Cultural, Health and Safety Considerations\" (https://doi.org/10.1007%2Fs11930-024-00392-3). *Current Sexual Health Reports*. **16** (3): 199–215. doi:10.1007/s11930-024-00392-3 (https://doi.org/10.1007%2Fs11 930-024-00392-3). 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Retrieved 4 March 2023.", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia1.pdf" - }, - { - "text": "#### **Table 12: Estimated 20-year lag-to-treatment distribution for model one**\n\n| Lag Inte D |\n| --- |\n| Percentage 12% 11% 11% 115% 11% 12% 119% 118% 115% 13% 11% 11% 11% 11% 12% 11% 15% 2% 11% 1% |\n| Cumulative 12% 27% - 41% 53% 62% 70% 75% 79% 82% 85% 85% 88% 90% 92% 92% 93% 93% 95% 995% 995% 199% 100% percentage |\n\nThe cumulative percentages from the table above can then be combined with statistics showing actual numbers of first presentations to treatment by year of onset to calculate an incidence trend, as demonstrated in Table 13.\n\n| | | | | | | Year of 1st treatment | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | Total | Percentag e of total incidence accounted for by observed | Estimated number yet to come to treatment | Estimated total incidence |\n| | 2005 | 1,305 | 1,508 | 1,533 | 1,250 | 938 | 800 | 512 | 408 | 376 | 330 | 8,960 | 85% | 1,523 | 10,483 |\n| | 2006 | - | 1,297 | 1,727 | 1,624 | 1,116 | 821 | 611 | 471 | 470 | 358 | 8,495 | 82% | 1,824 | 10,319 |\n| | 2007 | - | - | 1,482 | 1,906 | 1,532 | 1,020 | 671 | 566 | 491 | 416 | 8,084 | 79% | 2,183 | 10,268 |\n| | 2008 | - | - | - | 1,446 | 1,857 | 1,456 | 840 | 659 | 570 | 424 | 7,252 | 75% | 2,437 | 9,689 |\n| Year | 2009 | - | - | - | - | 1,580 | 1,811 | 1,018 | 727 | 627 | 527 | 6,290 | 70% | 2,701 | 8,990 |\n| 1st use | 2010 | - | - | - | - | - | 1,404 | 1,101 | 933 | 757 | 544 | 4,739 | 62% | 2,864 | 7,602 |\n| | 2011 | - | - | - | - | - | - | 1,001 | 1,109 | 988 | 646 | 3,744 | 53% | 3,269 | 7,013 |\n| | 2012 | - | - | - | - | - | - | - | 967 | 1,149 | 920 | 3,036 | 41% | 4,287 | 7,324 |\n\n#### **Table 13: Table showing the data used to estimate incidence in model one and the results21**\n\nReading down the year columns, the table shows that of the 6,449 people who presented for opiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another 470 said they started using in 2006, and so on.\n\n**2014 - - - - - - - - - 869 869 12%** \n\n**Total 1,305 2,805 4,742 6,226 7,023 7,312 5,754 5,840 6,449 6236.4 53,693** \n\n**2013 - - - - - - - - 1,021 1,204 2,225 27% 6,065 8,290** \n\nReading across the table shows that of all those who said they began using opiates/crack in 2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per cent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from Table 12). Another 1,508 presented for the first time a year later, and so on. The first number in the totals column (8,960) therefore represents all individuals who said they began using in 2005. It is therefore the 'observed' incidence level. The column to the right of this is the cumulative percentages from the estimated lag-to-treatment distribution in Table 12. This shows the\n\notherwise similar data (i.e. first treatment presentation and year of initiation) from OCUs attending treatment in the Manchester area.\n\n21 Note that the data for 2014 only includes Jan–Oct as this was all that was available. Hence we do not do not attempt to calculate an incidence estimate for 2014 and we adjust all the values in that column by multiplying by (12/10) to account for the missing months.", - "page_start": 23, - "page_end": 23, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**). **Figure 5.** The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 (**a**); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 (**b**).\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\n\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order . The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order. The rank–order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the *p*-values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the *p*-value for 2015 was 0.011; *p*-values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order .\n\n**Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**). **Figure 6.** Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 (**a**); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 (**b**).\n\n#### **5. Discussion 5. Discussion 5. Discussion**\n\n#### *5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses*\n\n#### 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action\n\nClimate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "population there exists a small group of frequent repeat users. 1,828 individuals (1.7% of this population) accounted for just over ten per cent of all positive tests (30,471 tests in total). These individuals provided between 16 and 57 positive tests over the period 2004 to 2013.\n\n**Figure 4: Proportion of positive tests by number of times an individual tested positive.** \n\nThe age and year-of-birth distributions for the 104,817 individuals reveals a similar profile to the distribution for total tests (Figures 5 and 6).", - "page_start": 12, - "page_end": 12, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n#### Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing – original draft, Writing – review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing – review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing – review & editing.\n\n### Funding\n\nThe author(s) declare that financial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Conflict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.\n\n### Publisher's note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n## References\n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler. 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(2008) 51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n\n19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. Cambridge, Mass: Harvard University Press (2007).\n\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "- Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and Search\" (https://doi.org/10.1145%2F360018.360022). *Communications of the ACM*. **19** (3): 113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022).\n- Nicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\" (https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1 518020478). *The Wall Street Journal*. ISSN 0099-9660 (https://search.worldcat.org/issn/009 9-9660). 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Retrieved 30 January 2015.\n- Reisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering Generative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla ma-pirated-books/675063/), *The Atlantic*, archived (https://web.archive.org/web/2024100307 1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-piratedbooks/675063/) from the original on 3 October 2024, retrieved 5 October 2024", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "For what reason a researcher's name is not a good tools to track back its works and affiliations ?", - "target_page": 1, - "target_passage": "Many people have the same name Names may change through marriage or other circumstances Individuals use different alphabets, abbreviations, or naming conventions People use different versions of their name during their career", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **The Value of Using Unique Identifiers for Researchers**\n\n#### **Researchers are mobile!**\n\n#### **30% OF THE SCIENTISTS WHO GOT THEIR PhD IN THE UNITED KINGDOM NOW LIVE ELSEWHERE** Source: Science Magazine\n\nResearch institutions and organizations therefore find it hard to\n\n- **Benchmark their organization against others**\n**Identify, track, and report on researchers' aliations and contributions (publications, peer reviews, grants, and more)** \n\n#### **Institutions Face a Rising Tide of Research**\n\n**Institutions must increasingly recognize and demonstrate the impact of all types of research contributions** \n\n# **Tackling Information Overload**\n\nORCID is a non-profit organization, which provides a fully open and interoperable identifier to reliably connect researchers with their research contributions. The ORCID iD is a 16-digit identifier that researchers can register for and use for free.\n\n### **How ORCID Works**\n\n- **It's a registry of unique persistent identifiers for researchers**\n- **It's a hub that connects researchers with their professional activities and contributions**\n- **It's a global community that enables researchers to share their data with other individuals, organizations, and systems**\n\n### **Why Connect with ORCID?**\n\n**Hundreds of members and systems use ORCID globally**\n\n# **5.5 MILLION+**\n\n**live ORCID iDs registered since its 2012 launch**\n\n## **Evidence of Institutional Value**\n\nExamples of time/sta savings achieved by implementing ORCID from around the world\n\n**UK:** 0.2 – 0.4 FTEs per institution1 **Portugal:** 100,000 researcher hours per year2 **Australia:** 15-30 minutes per grant application3 **1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015 2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017 3. Australian Research Council governance meeting, September 2018**\n\n\"Having ORCID iDs for most of our researchers has helped in providing authoritative accounts in our various databases, ensuring accuracy in reviewer identities, and helping editors find reviewers and check expertise.\"\n\n**—Brooks Hanson, Executive Vice President, Science, American Geophysical Union**\n\n#### **How Organizations and Researchers Benefit**\n\n#### **INSTITUTIONS RESEARCHERS**\n\n- Save time and reduce errors with automated information-sharing and cross-system interoperability\n- Manage your organization name and your researchers' connections with it\n\t-\n- Maintain links with your researchers - past, present, and future\n\n- Improve recognition and discoverability of their research\n- Spend more time doing research, less time managing it\n- Control and manage a trusted and easily shareable record of their research activities and aliations – for free\n- **Three Ways to Get Involved**\n\t- **1. Encourage and support your researchers in getting, sharing, and using their ORCID iD**\n\t- **2. Invest in integrating ORCID into your systems**\n\t- **3. Connect data to and from your researchers' ORCID records to support information use and reuse across organizations**\n\nSponsored by ORCID\n\n**To learn more go to https://orcid.org**\n\nAll IDC research is © 2018 by IDC. All rights reserved. All IDC materials are licensed with IDC's permission and in no way does the use or publication of IDC research indicate IDC's endorsement of ORCID's products/or strategies.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "#### **Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and \"openly\" licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material — a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works.31\n\n### *5b. Limitations & Exceptions*\n\n#### **Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.\n\nFor instance, AI researchers note that the recently released Common Corpus dataset is an \"invaluable 30 resource\" but \"comes with limitations. A lot of public domain data is antiquated—in the US, for example, copyright protection usually lasts over seventy years from the death of the author—so this type of dataset won't be able to ground an AI model in current affairs or, say, how to spin up a blog post using current slang\" and the \"dataset is tiny.\" Thus, while it is possible to train an AI model on the data, those models will have more limited utility on some dimensions than current frontier models trained on a broader array of data. See Knibbs, Kate, *Here's Proof You Can Train an AI Model Without Slurping Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-aiwithout-slurping-copyrighted-content/.\n\nOur workshop discussion did note that some widely available datasets for AI training have also 31 pursued more direct licensing agreements. For instance, the SILO LLM was created by working with scientific journal publishers to make works available for both download and AI training. While this might be viable in the context of particular, narrow classes of works, the barriers to efficient licensing mentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. \"SILO Language Models: Isolating Legal Risk in a Nonparametric Datastore.\" *ArXiv (Cornell University)*, 8 Aug. 2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "#### ?customer ?relation ?relatedToCustomer.}\n\nThis would be much less intuitive than the user defined names. There are good reasons to use autogenerated names, especially for large ontologies that are implemented in multiple natural languages. However, for new users, especially those who plan to use SPARQL and SHACL, I think it is more intuitive to start with user supplied names and then progress to auto-generated names if and when the requirements show a true need for them. This approach to developing software incrementally rather than to attempt to design the perfect system that can scale for all possible future requirements is known as the Agile approach to software development. In my experience Agile methods have proven themselves in countless real-world projects to deliver better software on time and on budget than the alternative waterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/\n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot more and if you are interested you should check out DuCharme's book or some of the many SPARQL tools and tutorials on the web. Some of these are in the bibliography.\n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open World Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter 4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that SPARQL is *not* subject to *either* of these restrictions. With SPARQL one can do non-monotonic reasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the value for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n### **2.3. Open Data in Latin America, Asia and Africa**\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of *local* interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better *in countries where it already exists and which share a great amount of history and cultural/philosophical values*.\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to *create* data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used *against* citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\n> *in Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...*\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "### **4.3. Keep past and future separate**\n\nFor the same reason why it is important to always distinguishes between political and economical advantages (or disadvantages) of Open Data, it is necessary to keep decisions about *future* data (those that will arrive in the future, due to new contracts, public services and so on) separate from those about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that Government should publish everything non-private it can **now** is \"rather dangerous\", and that it would be much better to release nothing until someone actually asked for it, and at that point doing it right, that is with an open license and so on. The first reasons for Steinberg's concern is that asking for everything as soon as possible would *\"stress the system too much, by spreading thin the finite amount of good will, money and political capital\"*. The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them.\n\nEven if these concerns were always true, it is important to realize that they apply (especially the second) to already existing data, not to future ones. The two classes of data have, or can have, very different constraints. Existing data may still exist only in paper format and/or be locked by closed or unclear licenses, or not relevant anymore for future decisions.\n\nOpening *future* data, instead, is almost always more important, useful urgent, easier and cheaper than digitizing or even only reformatting material that in many cases is already too old to make immediate, concrete differences. While this argument is probably not always true when we look at Open data for transparency, it probably is when it comes to economic development.\n\nTherefore, features and guidelines that should be present in all future data generation and management processes include:\n\n- standardization: the less, obviously open, formats are used for data of the same type, the easier it is to merge and correlate them. The formats that have to be standardized are not only those at the pure software level. Even more important is, for example, to adopt by law standard identificators for government suppliers, names and machine-readable identifiers of budget voices and so on\n- preparation for future digitization: new digital systems should explicitly be designed from the beginning so that it will be possible, when non-digital records will be digitized, to add them to the databases without modifying losses.\n- Open licenses", - "page_start": 27, - "page_end": 27, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "existing] problem that is somewhere else.\n\nRegardless of the real probability of data alterations before they are published, the major problem happens after. We already mentioned in the first report the fact that, while correct interpretation of public data from *the majority of average citizens* is absolutely critical, the current situation, even in countries with (theoretical) high alphabetization and Internet access rates, is one in which most people still lack the skills needed for such analysis. Therefore, there surely is space for both intentional manipulation of PSI and for misunderstanding it. After the publication of the first report, we've encountered several examples of this danger, which are reported in the rest of this paragraph.\n\nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the impact on the general public (in terms of raising interest and enhancing participation) on the Open Data activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there has been no big increase in demagogy, more or less manipulated scandals and conflictual discussion caused by Open Data. There has certainly been something of this in the Cablegate but that's not really relevant because, as we've already explained, what Wikileaks did is intrinsically different from Open Data. So far, negative or at least controversial reactions by manipulation and misunderstanding of Open Data haven't happened to such a scale to justify not opening PSI.\n\nThis said, let's look at some recent example of misunderstanding and/or manipulation based on (sometimes open) public digital data.\n\nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows [also] *\"mosques that are no longer in use, so as to convey the idea that Muslims were invading Russia.\"*\n\nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared in September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, as they had been doing for years. The reason was that, following the March 2009 earthquake in Italy, the data were being used to *\"come to conclusions without any basis at all\"*, both by the press, to sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing anti seismic construction codes.\n\nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a big effort to explain to his readers the limits of the maps he publishes, and the potential for misunderstanding if they are used without preparation, or with wrong expectations. This is a synthesis of Belleri's explanation, also covered in other websites, that is applicable to any map", - "page_start": 17, - "page_end": 17, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "found on the web, and this additional information can help contextualize the provenance and veracity of information.\n\n- **Breadth, Diversity, and Mitigating Bias:** Books can serve a critical role in ensuring AI models are inclusive of a broad range of topics and categories that may be underrepresented in other content. For all that the Internet has generated an explosion in human creativity and information sharing, it generally represents only a few decades of information and a small portion of the world's creative population. A books dataset, by comparison, is capable of representing centuries of human knowledge. As a result such a dataset can help ensure AI systems behavior is based on centuries of historical information from modern books. It can help ensure broad geographic and linguistic diversity. What's more, the greater breadth and diversity of high-quality content help mitigate challenges around bias and misinformation. Using a more diverse pool of training data can help support the production of a model and outputs of the model that are more representative of that diversity. Books can be useful in evaluation datasets to test existing models for memorization capabilities, which can help prevent unintended reproduction of existing works. Of course, this is all contingent on actual composition of the corpus; in order to have the benefits described, the books would need to be curated and included with characteristics like time, geographic and linguistic diversity.\n- **Other Modalities:** Finally, books do not just contain text, they often contain images and captions of those images. As such, they can be an important training source for multi-modal LLMs, which can receive and generate data in media other than text.\n\n#### **Lowering Barriers to Entry & Facilitating Competition**\n\nBroad access to books for AI training is critical to ensure powerful AI models are not concentrated in the hands of only a few companies. Access to training data, in general, has been cited as a potential competitive concern11 in the AI field because of the performance benefits to be gained by training on larger and larger datasets. But this competitive wedge is even more acute when we look specifically at access to book datasets.\n\nThe largest technology companies building commercial AI models have the resources and capacity to mass digitize books for AI training. Google has scanned 40 million books, many of which came from digitization partnerships they formed with libraries. They may already use some or all of these books to train their AI systems. It's unclear to what extent other 12 companies already have acquired books for AI training (for instance, whether Amazon's existing licenses with publishers or self-published authors may permit such uses);\n\nSee e.g. Trendacosta, Katherine and Doctorow, Cory. \"AI Art Generators and the Online Image Market.\" 11 *Electronic Frontier Foundation*, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-andonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. \"An Antimonopoly Approach to Governing Artificial Intelligence.\" *SSRN Electronic Journal*, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/ uploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/ ssrn.4597080. Accessed 25 Feb. 2024.\n\nSee white paper for Google's Gemini models https://arxiv.org/pdf/2312.11805.pdf — \"Gemini models 12 are trained on a dataset that is both multimodal and multilingual. Our pretraining dataset uses data from web documents, books, and code, and includes image, audio, and video data.\"", - "page_start": 6, - "page_end": 6, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## *5. Examining approaches to building a books data commons*\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## *5a. Public domain and permissively licensed books*\n\n#### **Existing Project Example : The Pile v2** 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others.28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2.29 Among other things, v2 would \"have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.\" At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.\n\nThis is an illustrative example, and there are also other projects of this ilk. For instance, see the 27 Common Corpus project, which includes an array of public domain books from a number of countries, at https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/ storytracer/internet_archive_books_en (\"This dataset contains more than 650,000 English public domain books (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the Open Library project.\")\n\nSee Gao et al, supra note 8. 28\n\nGoldman, Sharon. \"One of the World's Largest AI Training Datasets Is About to Get Bigger and 29 \"Substantially Better.\" *VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-aitraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *7. Conclusion*\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of existing work. The concept of mass digitization of books, including to support text and data mining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its transformative use makes questions about how we digitize, preserve, and make accessible knowledge and cultural heritage salient in a distinct way.\n\nAs such, efforts to build a books data commons need not start from scratch; there is much to glean from studying and engaging existing and previous efforts. Those learnings might inform substantive decisions about how to build a books data commons for AI training. For instance, looking at the design decisions of HathiTrust may inform how the technical infrastructure and data management practices for AI training might be designed, as well as how to address challenges to building a comprehensive, diverse, and useful corpus. In addition, learnings might inform the process by which we get to a books data commons for example, illustrating ways to attend to the interests of those likely to be impacted by the dataset's development.41\n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or paths) to extend access to books for AI training is critical. In the status quo, large swaths of knowledge contained in books are effectively locked up and inaccessible to most everyone. Google is an exception — it can reap the benefits of their 40 million books dataset for research, development, and deployment of AI models. Large, well-resourced entities could theoretically try to replicate Google's digitization efforts, although it would be incredibly expensive, impractical, and largely duplicative for each entity to individually pursue their own efforts. Even then, it isn't clear how everyone else — independent researchers, entrepreneurs, and smaller entities — will have access. The controversy around the Books3 dataset discussed at the outset should not, then, be an argument in favor of preserving the status quo. Instead, it should highlight the urgency of building a books data commons to support an AI ecosystem that provides broad benefits beyond the privileged few.\n\nFor other existing and past examples, one might look to the work of Europeana, https:// 41 www.europeana.eu/en, as well as the mountain of commentary on the failed class action settlement between Google, the Authors Guild, and the Association of American Publishers — see e.g. the excellent collection of court filings created by James Grimmelmann and colleagues (now archived at the Internet Archive) — https://web.archive.org/web/20140425012526/http://thepublicindex.org/. The Settlement expressly would have set up a \"Research Corpus\" for non-consumptive research. HathiTrust created a Research Center, with the intention of becoming one of the hosts for the \"Research Corpus.\" The Settlement was criticized and was ultimately rejected by the district court for both substantive reasons (that is, what the settlement would specifically do) and procedural (in the sense of violating class-action law, but also in a broader sense of representing a \"backroom deal\" without sufficient participation from impacted interests). The Research Corpus was not a core locus of critique, though it did receive concern in terms of providing too much control to Google, for example. Our purpose in mentioning this is not to relitigate the issue, but rather to call out that design decisions of this sort have been considered in the past.", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "What is an ORCID iD ?", - "target_page": 1, - "target_passage": "ORCID iD is a 16-digit identifier that researchers can register for and use for free.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **The Value of Using Unique Identifiers for Researchers**\n\n#### **Researchers are mobile!**\n\n#### **30% OF THE SCIENTISTS WHO GOT THEIR PhD IN THE UNITED KINGDOM NOW LIVE ELSEWHERE** Source: Science Magazine\n\nResearch institutions and organizations therefore find it hard to\n\n- **Benchmark their organization against others**\n**Identify, track, and report on researchers' aliations and contributions (publications, peer reviews, grants, and more)** \n\n#### **Institutions Face a Rising Tide of Research**\n\n**Institutions must increasingly recognize and demonstrate the impact of all types of research contributions** \n\n# **Tackling Information Overload**\n\nORCID is a non-profit organization, which provides a fully open and interoperable identifier to reliably connect researchers with their research contributions. The ORCID iD is a 16-digit identifier that researchers can register for and use for free.\n\n### **How ORCID Works**\n\n- **It's a registry of unique persistent identifiers for researchers**\n- **It's a hub that connects researchers with their professional activities and contributions**\n- **It's a global community that enables researchers to share their data with other individuals, organizations, and systems**\n\n### **Why Connect with ORCID?**\n\n**Hundreds of members and systems use ORCID globally**\n\n# **5.5 MILLION+**\n\n**live ORCID iDs registered since its 2012 launch**\n\n## **Evidence of Institutional Value**\n\nExamples of time/sta savings achieved by implementing ORCID from around the world\n\n**UK:** 0.2 – 0.4 FTEs per institution1 **Portugal:** 100,000 researcher hours per year2 **Australia:** 15-30 minutes per grant application3 **1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015 2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017 3. Australian Research Council governance meeting, September 2018**\n\n\"Having ORCID iDs for most of our researchers has helped in providing authoritative accounts in our various databases, ensuring accuracy in reviewer identities, and helping editors find reviewers and check expertise.\"\n\n**—Brooks Hanson, Executive Vice President, Science, American Geophysical Union**\n\n#### **How Organizations and Researchers Benefit**\n\n#### **INSTITUTIONS RESEARCHERS**\n\n- Save time and reduce errors with automated information-sharing and cross-system interoperability\n- Manage your organization name and your researchers' connections with it\n\t-\n- Maintain links with your researchers - past, present, and future\n\n- Improve recognition and discoverability of their research\n- Spend more time doing research, less time managing it\n- Control and manage a trusted and easily shareable record of their research activities and aliations – for free\n- **Three Ways to Get Involved**\n\t- **1. Encourage and support your researchers in getting, sharing, and using their ORCID iD**\n\t- **2. Invest in integrating ORCID into your systems**\n\t- **3. Connect data to and from your researchers' ORCID records to support information use and reuse across organizations**\n\nSponsored by ORCID\n\n**To learn more go to https://orcid.org**\n\nAll IDC research is © 2018 by IDC. All rights reserved. All IDC materials are licensed with IDC's permission and in no way does the use or publication of IDC research indicate IDC's endorsement of ORCID's products/or strategies.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "# **Event ID**\n\nAn event ID is a value that is used to identify a unique error condition that was detected by the Storwize V7000. An event ID is used internally in the cluster to identify the error.\n\n# **Excluded condition**\n\nThe excluded condition is a status condition. It describes an MDisk that the IBM Storwize V7000 decided is no longer sufficiently reliable to be managed by the cluster. The user must issue a command to include the MDisk in the cluster-managed storage.\n\n# **Extent**\n\nAn extent is a fixed-size unit of data that is used to manage the mapping of data between MDisks and volumes. The size of the extent can range 16 MB - 8 GB.\n\n# **External storage**\n\nExternal storage refers to MDisks that are SCSI logical units that are presented by storage systems that are attached to and managed by the clustered system.\n\n# **Failback**\n\nFailback is the restoration of an appliance to its initial configuration after the detection and repair of a failed network or component.\n\n# **Failover**\n\nFailover is an automatic operation that switches to a redundant or standby system or node in a software, hardware, or network interruption. See also Failback.\n\n# **Feature activation code**\n\nAn alphanumeric code that activates a licensed function on a product.\n\n# **Fibre Channel port logins**\n\nFC port logins refer to the number of hosts that can see any one V7000 port. The IBM Storwize V7000 has a maximum limit per node port of FC logins that are allowed.\n\n# **Field-replaceable unit**\n\nField-replaceable units (FRUs) are individual parts that are replaced entirely when any one of the unit's components fails. They are held as spares by the IBM service organization.\n\n# **FlashCopy**\n\nFlashCopy refers to a point-in-time copy where a virtual copy of a volume is created. The target volume maintains the contents of the volume at the point in time when the copy was established. Any subsequent write operations to the source volume are not reflected on the target volume.\n\n# **FlashCopy mapping**\n\nA FlashCopy mapping is a continuous space on a direct-access storage volume that is occupied by or reserved for a particular data set, data space, or file.\n\n# **FlashCopy relationship**\n\nSee FlashCopy mapping.", - "page_start": 797, - "page_end": 797, - "source_file": "sg247938.pdf" - }, - { - "text": "Table 6-1 Available macros\n\n| Name | Description |\n| --- | --- |\n| $ODUSERID | The user ID that is used to log in to Content |\n| | Manager OnDemand. |\n| $ODALIAS | The alias that is defined to Content Manager |\n| | OnDemand for the user's session. |\n| $ODAGNAME | The application group name. |\n| $ODAGID | The application group internal identifier. |\n\nThe substitution does not include any necessary quotes for the macro, so you must ensure that you use the correct quotation marks for the macro, if required, for example:\n\nWHERE ag_field in (SELECT value FROM where userid = '$ODUSERID')\n\nIf you log on to Content Manager OnDemand as USER1, the SQL changes to the following syntax:\n\nWHERE ag_field in (SELECT value FROM where userid = 'USER1')\n\n# **6.5.4 Annotations security**\n\nContent Manager OnDemand allows the secure creation and viewing of annotations (notes). This capability is enabled through the Administrator Client window, as shown in Figure 6-10.\n\n| System Parameters | | | |\n| --- | --- | --- | --- |\n| General Login Information | | | |\n| System Logging | | | - Annotations |\n| V Login | Failed Login | | Add Authority |\n| Logoff | Application Group Messages | | Allow Public |\n| | | | Allow Private to User |\n| | | | Allow Private to Group |\n| User Exit Logging | | | > Allow Text Annotations |\n| Login | Failed Login | | Allow Graphic Annotations |\n| Logoff | Application Group Messages | | Default Annotation Type |\n| | | | · Public |\n| System Log Comments | | | C Private to User |\n| | | | C Private to Group |\n| Enable Comments | | | |\n| Require Comments | | | Life Of Annotations |\n| | | | · Never Expire |\n| | | | C Expire After 1095 Days |\n| | Summary ... | | |\n| | OK | Cancel | Help |\n\nFigure 6-10 Add annotation authority", - "page_start": 168, - "page_end": 168, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Vital product data**\n\nVital product data (VPD or VDP) is information that uniquely defines system, hardware, software, and microcode elements of a processing system.\n\n# **Volume**\n\nA volume is an IBM Storwize V7000 logical device that appears to host systems that are attached to the SAN as a SCSI disk. Each volume is associated with exactly one I/O Group. A volume has a preferred node within the I/O Group.\n\n# **Volume copy**\n\nA volume copy is a physical copy of the data that is stored on a volume. Mirrored volumes have two copies. Non-mirrored volumes have one copy.\n\n# **Volume protection**\n\nTo prevent active volumes or host mappings from inadvertent deletion, the system supports a global setting that prevents these objects from being deleted if the system detects that they have recent I/O activity. When you delete a volume, the system checks to verify whether it is part of a host mapping, FlashCopy mapping, or remote-copy relationship. In these cases, the system fails to delete the volume, unless the **-force** parameter is specified. Using the **-force** parameter can lead to unintentional deletions of volumes that are still active. Active means that the system detected recent I/O activity to the volume from any host.\n\n# **Write-through mode**\n\nWrite-through mode is a process in which data is written to a storage device at the same time that the data is cached.\n\n# **Written capacity**\n\nSee \"Capacity\" on page 771.", - "page_start": 809, - "page_end": 809, - "source_file": "sg247938.pdf" - }, - { - "text": "The **idNode** member specifies the ID of the node. This member may not have a value of **0**. A value of **-1** indicates that child nodes do not use the **idNodeParent** member to specify this node as their parent. Instead, this node can be a parent only by enclosing child nodes in the EMF. Multiple nodes can have a ID of **-1**. If the ID is not **-1**, the value is unique across the document.\n\nThe **nodetype** specifies the type of structure node. This member is equal to one of the values from the **MSODOCEXSTRUCTTYPE** enumeration type. The following table lists examples of document structure node types.\n\nTable 7. Document structure node types\n\n#### ノ **Expand table**\n\n| Type Value | Description |\n| --- | --- |\n| msodocexStructTypePara | A block of text within an article. Its parent node |\n| | must be an article. |\n| msodocexStructTypeFigure | A graphical element (for example, an image or |\n| | collection of shapes) that has a textual |\n| | representation. The textual representation is the |\n| | alternate text used for reading or searching the |\n| | document. |\n| msodocexStructTypeArticle | A group of nodes forming a single flow of text that |\n| | should be read or searched as a contiguous block |\n| | of content. Some documents have a single article |\n| | and others have multiple articles. |\n| msodocexStructTypeHeading | A heading in the text. |\n| msodocexStructTypeTable | A block of text forming a table. |\n| msodocexStructTypeTR | A block of text forming a single row of a table. |\n| msodocexStructTypeTD | A block of text forming a single cell in a table row. |\n| msodocexStructTypeTH | A block of text forming a single header cell in a |\n| | table row. |\n| msodocexStructTypeList | A block of text forming a list. |\n| msodocexStructTypeListItem | A block of text forming a list item. |\n| msodocexStructTypeListBody | A block of text forming the body of a list item. |\n| msodocexStructTypeDocument | A document. |\n| msodocexStructTypePage | A page in the document. |", - "page_start": 20, - "page_end": 20, - "source_file": "office-pdf.pdf" - }, - { - "text": "# **Application Group Identifier and the Application Group ID**\n\nThe Application Group Identifier and the Application Group ID (AGID) are unique identifiers that are used by Content Manager OnDemand to identify the application group in system tables.\n\n# **Migrate Data from Cache**\n\nThe Migrate Data from Cache value determines when documents and resources are migrated to archive storage. A storage set that is associated with a Tivoli Storage Manager client node must be selected to enable migration to archive storage.\n\nThe following values are valid:\n\n- - No: Data is never migrated from cache. This option is unavailable when a storage set that is associated with a Tivoli Storage Manager client node is selected for the application group.\n- - When data is loaded: Data is migrated to archive storage when the data is loaded into the application group.\n- - Next cache migration: Data is migrated to archive storage the next time that **ARSMAINT** is run with the **-m** option. The **-m** option indicates that data and resources are copied from cache to archive storage.\n- - After __ days in cache: This value specifies the number of days that data remains in cache storage. After the prescribed number of days in cache storage are reached, the data is copied to archive storage the next time that **ARSMAINT** is run with the **-m** option for data migration.\n\n# **5.2.7 IBM System Storage Archive Manager**\n\nCertain regulations require data to be stored in devices that are read only. In the past, physical storage devices, such as tapes and optical disks that are Write Once Read Many (WORM), were used.\n\nWORM disks, such as the NetApp SnapLock or EMC Centera, can be used to store data in the same manner as WORM tapes or optical platters. IBM System Storage Archive Manager allows critical data to be retained for a mandated period without the possibility of being rewritten or erased.\n\nIn this section, we describe System Storage Archive Manager and how Content Manager OnDemand can be configured to use this subsystem to support these WORM disk devices.\n\n**Note:** Verify support for any particular device on a particular platform through the Tivoli Storage Manager Device support matrix before you plan your implementation.\n\nFor more information about the Tivoli Storage Manager support of WORM disk devices, such as NetApp SnapLock, or EMC Centera, see the following IBM Knowledge Center documents:\n\n- -Tivoli Storage Manager for AIX Administrator's Guide\n- -Tivoli Storage Manager for Windows Administrator's Guide\n\nYou can obtain these documents from the IBM Tivoli Storage Manager Knowledge Center at the following web address:\n\nhttp://www.ibm.com/support/knowledgecenter/SSGSG7/welcome?lang=en:", - "page_start": 127, - "page_end": 127, - "source_file": "sg246915.pdf" - }, - { - "text": "# **The apka2e exit**\n\nThe **apka2e** exit translates data that is encoded in ASCII (code set IBM-850) into EBCDIC (code set IBM-037). *If you are converting line data to AFP, consider converting the data to EBCDIC.* A much wider selection of EBCDIC coded fonts is available than ASCII fonts. Many customers find that it is easier to use character sets and code pages that are supplied by IBM than to create their own character sets and code pages. To use these predefined EBCDIC coded fonts, the data must be in EBCDIC.\n\nWhen you use the **apka2e** exit, you must manually change your indexing parameters:\n\n- - Change an ASCII CPGID to an EBCIDIC CPGID; for example, change CPGID=850 to CPGID=500.\n- - Change the HEX codes for the triggers and index names from ASCII to EBCDIC. If you do not, you receive ACIF return code 16, which states that it cannot find trigger1 or any fields.\n\nWe used a hex editor to determine the new EBCDIC values and typed them by keyboard edit into the parameter file. If you do not have a hex editor, you can find conversion tables on the Internet.\n\nFor more information about how to update indexing parameters, see 11.2.6, \"Debugging input user exit programs\" on page 247.\n\n# **The asciinp exit**\n\nThe **asciinp** exit program is used when the data does not contain carriage controls. Instead, it contains \"PC style\" carriage returns and form feeds X'0D0A' and X'0D0C'. This program is provided by IBM. The program transforms the ASCII data stream into a format that contains a carriage control character in byte 0 of every record.\n\nThe **asciinp** exit performs the following actions:\n\n- -Inserts a new page command (X'31') at the top of the first page.\n- -Removes the ASCII carriage return (X'0D').\n- - Inserts an ASCII new line (X'20') carriage control at byte 0 of each line, except the first line on a new page.\n- -Replaces the ASCII form feed (X'0C') with an ASCII new page command (X'31').\n- -Leaves X'0A' in the file.\n\n**Note:** Because the **asciinp** exit inserts carriage control characters in byte 0 of your document, and leaves X'0A', it changes the position of the triggers and fields. If you use this exit, you must add 1 to the column offsets for the triggers and fields.\n\n# **The asciinpe exit**\n\nThe **asciinpe** exit combines the previous two exits. It converts the data from ASCII to EBCDIC and inserts EBCDIC carriage control characters. For full documentation about this sample program, see the asciinpe.c source code.\n\n# **11.2.3 Index record exit**\n\nUse the index record exit to modify or ignore the records that ACIF writes in the index object file. The program, which is specified in the ACIF *indxexit parameter*, receives control before a record is written to the index object file. The user-written program can instruct ACIF to use the record, to not use the record, or to edit the record before the record is inserted into the index object file.", - "page_start": 267, - "page_end": 267, - "source_file": "sg246915.pdf" - }, - { - "text": "| XmlTagname | ODConstant | Description |\n| --- | --- | --- |\n| PRMODESOSI2 | DOCUMENT_PRMODESOSI2 | Used instead of to define the |\n| | | command-line option and value when the |\n| | | document's PRMode is \"SOSI2\" as stored in |\n| | | Content Manager OnDemand. |\n| TRC_YES | DOCUMENT_TRCYES | Used instead of to define the |\n| | | command-line option and value when the |\n| | | document's TRC is \"'Yes\" as stored in Content |\n| | | Manager OnDemand. |\n| TRC_NO | DOCUMENT_TRCNO | Used instead of to define the |\n| | | command-line option and value when the |\n| | | document's TRC is \"No\" as stored in Content |\n| | | Manager OnDemand. |\n\nTable 9-3 provides information about the OnDemand client HashMap keys that are used for advanced Java implementation.\n\n| HashMap key | Description |\n| --- | --- |\n| TXFRM_RESP_DATA | This key is the HashMap key for the transformed data byte[] to be returned to ODWEK. |\n| TXFRM_REQ_NAME | Name of transform for this request. |\n| TXFRM_REQ_METHOD | The method name that is used in the custom Java class. The transformData() method must exist in the client class. |\n| TXFRM_REQ_DATA | The original Content Manager OnDemand Document data that is contained in this request. |\n| TXFRM_REQ_PROPS | The document details as specified or requested in the transform.xml file. |\n\nTable 9-3 OnDemand client hashmap key and descriptions", - "page_start": 241, - "page_end": 241, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Action: Identify**\n\nSelect **Identify** to turn on the LED light that identifies a drive that must be replaced or that you want to troubleshoot. Select this action to access a dialog box like the one shown in Figure 6-30.\n\n*Figure 6-30 Identifying an internal drive*\n\nYour action makes an amber LED flash (turn on and off continuously) for the drive that you want to identify.\n\nClick **Turn LED Off** when you are finished. The LED returns to its initial state.\n\nIn the CLI, this action requires a command that operates with the drive enclosure. The LED does not belong to a drive itself, but to the slot of the enclosure, so the command is **chenclosureslot**. See Example 6-14 for commands to turn on and off identification LED on slot 3 of enclosure 1, populated with drive id 21.\n\n*Example 6-14 Changing slot LED to identification mode with CLI*\n\n```\nIBM_Storwize:ITSOV7K:superuser>lsenclosureslot -slot 3 1\nenclosure_id 1\nslot_id 3\nfault_LED off\npowered yes\ndrive_present yes\ndrive_id 21\nIBM_Storwize:ITSOV7K:superuser>chenclosureslot -identify yes -slot 3 1\nIBM_Storwize:ITSOV7K:superuser>lsenclosureslot -slot 3 1\nenclosure_id 1\nslot_id 3\nfault_LED slow_flashing\npowered yes\ndrive_present yes\ndrive_id 21\nIBM_Storwize:ITSOV7K:superuser>chenclosureslot -identify no -slot 3 1\n```\n#### **Action: Upgrade**\n\nSelect **Upgrade** to update the drive firmware as shown in Figure 6-31 on page 213. You can choose to update an individual drive, selected drives or all the drives in the system.", - "page_start": 233, - "page_end": 233, - "source_file": "sg247938.pdf" - }, - { - "text": "```\narsafpd -s -i testfile1.txt\nARS7104I Document type: LINE\nARS7114I Records appear to be delimited by hex character(s): 0x0A\nARS7115I Codepage appears to be: ASCII\nARS7110I Carriage control type appears to be: NONE\nARS7111I Pages appear to be delimited with a formfeed (0x0C). The \nasciinp and asciinpe userexit might be required if using ACIF.\narsafpd -s -i testfile.afp\nARS7104I Document type: AFP\nARS7107I Group TLE structured fields were encountered\narsafpd -s -i admin.pdf\nARS7104I Document type: PDF\n```\nFigure 7-1 Examples of running the arsafpd command and the output that is produced\n\nYou can also run the **arsafpd** command to display the contents of an AFP document, index, or resource file. For more information about ARSAFPD, see the Content Manager OnDemand for Multiplatforms Administration Guide, SC19-3352.\n\n# **7.1.3 Choosing an indexer**\n\nYou choose the indexer to use based on multiple factors, including the data type of the documents, the platform on which you are running the indexer, and other criteria. The main factors are listed in Table 7-1. Many other factors, such as cross-platform compatibility, advanced indexing functions, and expertise, exist.\n\n| Indexer | Input data type | Available | Conversion | Resource | Large object | Floating |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | platforms | | collection | support | triggers |\n| Generic | All | All | No | No | No | No |\n| ACIF | Line, AFP | All, except IBM i | Line to AFP | Yes | Yes | Yes |\n| PDF | PDF | All, except z/OS | No | Yes | No | Yes |\n| OS/400 | Line, AFP, SCS, and SCS-Ext | IBM i | SCS to AFP | Yes | Yes | Yes |\n| OS/390 | Line, AFP | z/OS and AIX | No | Yes | Yes | Yes |\n| XML | XML | All | No | Yes | No | No |\n\nTable 7-1 Indexers that are available for use with Content Manager OnDemand", - "page_start": 187, - "page_end": 187, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "What type of instability causes rims in ruptured polystyrene thin films to decay into small drops ?", - "target_page": 3, - "target_passage": " The rims may further decay into lines of small drops due to a Rayleigh-type instability", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### I. INTRODUCTION\n\nThe patterns formed in dewetting processes have attracted strong interest since Reiter analysed the process quantitatively in the early nineties. In these experiments, that proved to be a paradigm in our understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is deposited on a flat silicon oxide substrate is brought above the glass transition temperature. The film ruptures in several places, forming holes which subsequently grow, competing for space. As a result, a random polygonal network of liquid rims emerges. The rims may further decay into lines of small drops due to a Rayleigh-type instability [1–3]. The related problems of retracting contact lines on partially wetting substrates and the opening of single holes in rather thick films have also been studied [4, 5].\n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple non-volatile liquids and polymers (for reviews see Refs. [6–8]). All stages of the dewetting of a film are studied: the initial film rupture via nucleation or a surface instability (called spinodal dewetting) [1, 9–13], the growth process of individual holes [14–16], the evolution of the resulting hole pattern [3, 13], and the stability of the individual dewetting fronts [17–19]. We note in passing, that descriptions of dewetting patterns may also be found in historic papers, particularly for the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] considered turpentine on water and Marangoni [21, p. 352f] oil on water.\n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. However, these systems have not yet been investigated in any great depth. Such systems are complicated because their behaviour is determined by the interplay between the various solute (or colloid) and solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one has to distinguish between 'normal' convective dewetting and evaporative dewetting. A number of experiments have been performed employing (colloidal) solutions of polymers [22–25], macromolecules like collagen and DNA [26–31] and nanoparticles [32–40]. The latter are sometimes referred to as 'nanofluids'. The initial focus of much of the research in the field has been on investigating the structures that are formed which are similar to the ones observed in the 'classical' dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from spinodal dewetting and heterogeneous nucleation and growth, respectively. They are 'decorated' with the solute and therefore conserve the transient dewetting pattern as a dried-in structure when all the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [97] U. Thiele, M. G. Velarde, K. Neuffer, and Y. Pomeau, \"Film rupture in the diffuse interface model coupled to hydrodynamics,\" Phys. Rev. E 64, 031602 (2001).\n- [98] J. Heier, J. Groenewold, F. A. Castro, F. Nueesch, and R. Hany, \"Enlarged bilayer interfaces from liquid-liquid dewetting for photovoltaic applications,\" P Soc Photo-Opt Instrum Eng 6999, J9991– J9991 (2008).\n- [99] M. D. Haw, M. Gillie, and W. C. K. Poon, \"Effects of phase behavior on the drying of colloidal suspensions,\" Langmuir 18, 1626–1633 (2002).\n- [100] L. V. Govor, J. Parisi, G. H. Bauer, and G. Reiter, \"Instability and droplet formation in evaporating thin films of a binary solution,\" Phys. Rev. E 71, 051603 (2005).\n- [101] L. V. Govor, G. Reiter, G. H. Bauer, and J. Parisi, \"Self-assembled treelike patterns from an evaporating binary solution,\" Phys. Rev. E 74, 061603 (2006).\n- [102] M. Yamamura, T. Nishio, T. Kajiwara, and K. Adachi, \"Evaporation-induced pattern formation in polymer films via secondary phase separation,\" Chem. Eng. Sci. 57, 2901–2905 (2002).\n- [103] P. Muller-Buschbaum, E. Bauer, S. Pfister, S. V. Roth, M. Burghammer, C. Riekel, C. David, and ¨ U. Thiele, \"Creation of multi-scale stripe-like patterns in thin polymer blend films,\" Europhys. Lett. 73, 35–41 (2006).\n- [104] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, and O. Gengelman, \"Mesoscopic patterning in evaporated polymer solutions: New experimental data and physical mechanisms,\" Langmuir 21, 9604–9609 (2005).\n- [105] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, V. Z. Gaisin, R. Cohen, and O. V. Gendelman, \"Mesoscopic patterning in thin polymer films formed under the fast dip-coating process,\" Macromol. Mater. Eng. 290, 114–121 (2005).\n- [106] J. B. Gibson, K. Zhang, K. Chen, S. Chynoweth, and C. W. Manke, \"Simulation of colloid-polymer systems using dissipative particle dynamics,\" Mol. Simul. 23, 1–41 (1999).\n- [107] K. Stratford and I. Pagonabarraga, \"Parallel simulation of particle suspensions with the lattice Boltzmann method,\" Comput. Math. Appl. 55, 1585–1593 (2008).\n- [108] G. Drazer, B. Khusid, J. Koplik, and A. Acrivos, \"Wetting and particle adsorption in nanoflows,\" Phys. Fluids 17, 017102 (2005).\n- [109] J. Kromkamp, D. van den Ende, D. Kandhai, R. van der Sman, and R. Boom, \"Lattice Boltzmann simulation of 2d and 3d non-Brownian suspensions in Couette flow,\" Chem. Eng. Sci. 61, 858–873 (2006).", - "page_start": 31, - "page_end": 31, - "source_file": "1001.2669.pdf" - }, - { - "text": "fast evaporation [104, 105]. These complex experimental systems all represent systems of high practical interest that the theories presented here are not (yet) able to describe. Such experiments do, however, provide a strong motivation for further work to extend the theories presented here, as well as to develop new approaches.\n\nLet us finally mention that several topics were entirely excluded from our discussion here. First, we focused on a limited range of descriptions and did, for instance, not mention lattice Boltzmann, molecular dynamics or dissipative particle dynamics approaches that may also be employed to describe fluid suspensions [106–109]. Second, we have only discussed spatially homogeneous substrates. Patterned substrates are widely used in dewetting experiments [38, 110–112]. Theoretical descriptions are well developed for the dewetting of films of pure non-volatile liquids on such substrates [68, 113–119]. However, in the case of volatile liquids on heterogeneous substrates, much less work has been done. A third topic that we did not touch upon are possible continuum thin film approaches to demixing dewetting suspensions. We believe it is feasible to extend the diffuse interface theories such as model-H [120] to include the influence of evaporation in dewetting nanoparticle suspensions. For instance, such models have already been adapted to describe demixing free surface films of polymer blends [121–123].\n\n## Acknowledgments\n\nAJA and MJR gratefully acknowledge RCUK and EPSRC, respectively, for financial support. We acknowledge support by the European Union via the FP6 and FP7 Marie Curie schemes [Grants MRTN-CT-2004005728 (PATTERNS) and PITN-GA-2008-214919 (MULTIFLOW)].\n\n- [1] G. Reiter, \"Dewetting of thin polymer films,\" Phys. Rev. Lett. 68, 75–78 (1992).\n- [2] G. Reiter, \"Mobility of polymers in films thinner than their unperturbed size,\" Europhys. Lett. 23, 579–584 (1993).\n- [3] A. Sharma and G. Reiter, \"Instability of thin polymer films on coated substrates: Rupture, dewetting and drop formation,\" J. 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Herminghaus, and K. Jacobs, \"Dewetting patterns and molecular forces: A reconciliation,\" Phys. Rev. Lett. 86, 5534–5537 (2001).\n- [11] U. Thiele, M. G. Velarde, and K. Neuffer, \"Dewetting: Film rupture by nucleation in the spinodal regime,\" Phys. Rev. Lett. 87, 016104 (2001).\n- [12] M. Bestehorn and K. Neuffer, \"Surface patterns of laterally extended thin liquid films in three dimensions,\" Phys. Rev. Lett. 87, 046101 (2001).\n- [13] J. Becker, G. Grun, R. Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, \"Complex ¨ dewetting scenarios captured by thin-film models,\" Nat. Mater. 2, 59–63 (2003).\n- [14] C. Redon, F. Brochard-Wyart, and F. Rondelez, \"Dynamics of dewetting,\" Phys. Rev. Lett. 66, 715– 718 (1991).\n- [15] R. Seemann, S. Herminghaus, and K. Jacobs, \"Shape of a liquid front upon dewetting,\" Phys. Rev. Lett. 87, 196101 (2001).\n- [16] R. Fetzer, K. Jacobs, A. Munch, B. Wagner, and T. P. Witelski, \"New slip regimes and the shape of ¨ dewetting thin liquid films,\" Phys. Rev. Lett. 95, 127801 (2005).\n- [17] F. Brochard-Wyart and C. Redon, \"Dynamics of liquid rim instabilities,\" Langmuir 8, 2324–2329 (1992).\n- [18] G. Reiter and A. Sharma, \"Auto-optimization of dewetting rates by rim instabilities in slipping polymer films,\" Phys. Rev. Lett. 87, 166103 (2001).\n- [19] A. Munch and B. Wagner, \"Contact-line instability of dewetting thin films,\" Physica D ¨ 209, 178–190 (2005).", - "page_start": 25, - "page_end": 25, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "also shift the spinodal and binodal lines as compared to the locations of these lines in the phase diagram for the pure solvent [41]. As a consequence, the solute concentration influences the hole nucleation rate. More importantly, the solute particles may also destabilise the dewetting fronts. As a result, one may find strongly ramified structures in all three systems [23, 25, 40, 42]. A selection of images exhibiting some of the possible structures is displayed in Fig.1.\n\nFor volatile solvents, the contact lines retract even for wetting fluids. It has been found that such evaporatively receding contact lines may deposit very regular line or ring patterns parallel to the moving contact line [24, 43]. The deposition of a single ring of colloids from a evaporating drop of colloidal suspension is well known as the 'coffee stain effect' [44]. Detailed investigations reveal the emergence of rich structures including multiple irregular rings, networks, regular droplet patterns, sawtooth patterns, Sierpinski carpets, and – in the case of DNA – liquid crystalline structures [22, 30, 45–49]. The deposition of regularly spaced straight lines orthogonal to the moving contact line has also been reported [50]. Droplet patterns may as well be created employing solvent-induced dewetting of glassy polymer layers below the glass transition temperature [51–53].\n\nNote that the dewetting of pure volatile liquids has also been studied experimentally [54] and theoretically [55–58]. In this case, different contact line instabilities have been observed for evaporating liquid drops [59, 60].\n\nIn the present article we review and preview the experiments and in particular the various modelling approaches for dewetting suspensions of (nano-)particles in volatile partially wetting solvents. After reviewing the basic experimental results in Section II, we discuss in Section III several theoretical approaches. In particular, we present a kinetic Monte Carlo model in Section III A, a dynamic density functional theory in Section III B, and a thin film evolution equation in Section III C. Finally, we conclude in Section IV by discussing advantages and shortcomings of the individual approaches and future challenges to all of them.\n\n### II. EXPERIMENT WITH NANOPARTICLE SOLUTIONS\n\nWe focus on experiments that use monodisperse colloidal suspensions of thiol-passivated gold nanoparticles in toluene [33, 34, 37–40, 61]. The gold core of 2 – 3 nm diameter is coated by a layer of alkyl-thiol molecules. The length of the carbon backbone of the thiol used in the experiments ranges from 6 to 12 carbon atoms (C6 to C12) [40]. By varying the chain length, one can control", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Concerning the dewetting of nanoparticle solutions, how does the concentration of nanoparticle affect the main finger's width ?", - "target_page": 12, - "target_passage": "A quantitative analysis shows that the mean number of fingers depends only very weakly on the av- erage concentration of the nanoparticles ; only the mean finger width increases with increasing concentration", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "FIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles in a volatile solvent that partially wets the substrate for (a) high (Ω = 10−3 ), (b) medium (Ω = 2 × 10−6 ) and (c) low (Ω = 0.78 × 10−8 ) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length scale is ` = p γ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the vertical length scale is H = p 2SLW /κd0. The remaining dimensionless parameters are the evaporation number Ω = Qeη0` 2/H3 , the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical potential M = Hµ/κ = −0.0035. The system size is L = 19500`. Film thickness and hp in the plots are scaled by the precursor film thickness.\n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the coordinate x as the distance from the centre of the circular film.\n\nWe start with a film of height h0 of finite length sitting on a precursor film and assume that the film contains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the film of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional holes can occur (even with noise the probability would be extremely low). Without evaporation the film dewets 'classically' by a retraction of the initially step-like front. After a short time, surface tension smoothes the profile of the receding front and a capillary rim forms that collects all the", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 5: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles with average density ρ av n = 0.3 and with the liquid excluded from the region y < 0. The top row shows the nanoparticle density profiles and bottom row the corresponding liquid density profiles at the times t/tl = 1000 (left), 10000 (middle) and 30000 (right), where tl = 1/kTMnc l σ 2 . The parameters are kT /εll = 0.8, εnl/εll = 0.6, εnn = 0, α = 0.2Mnc l σ 4 , Mc l = 0, ρl(t = 0) = 0.9 ± ξ (where ξ represents white noise of amplitude 0.05) and (µ − µcoex)/kT = −0.78.\n\nThis theory allows us to study the time evolution of the evaporating film of nanoparticle suspension without some of the restrictions of the kinetic Monte Carlo model. Here, however, we illustrate its application in similar parameter regimes as used above for the KMC. We focus on two examples: (i) the spinodal dewetting of a initially flat film of nanoparticle suspension characterised by constant ρl and ρn (Fig. 4); and (ii) the retraction of a dewetting front that is unstable with respect to a fingering instability (Fig. 5).\n\nFig. 4 presents two pairs of snapshots from a purely evaporative dewetting process deep inside the parameter region of the phase diagram where spinodal dewetting occurs. For small times the film becomes unstable showing a typical spinodal labyrinthine pattern with a typical wavelength. The nanoparticles concentrate where the remaining liquid is situated. However, they are 'slow' in their reaction: when ρl already takes values in the range 0.08 – 0.83, the nanoparticle concentration has only deviated by about 25% from its initial value. The film thins strongly forming many", - "page_start": 16, - "page_end": 16, - "source_file": "1001.2669.pdf" - }, - { - "text": "polymers which only result in fingers without side-branches [75] or fields of droplets left behind [18].\n\nA quantitative analysis shows that the mean number of fingers depends only very weakly on the average concentration of the nanoparticles ρ av n ; only the mean finger width increases with increasing concentration. However, decreasing the mobility (i.e., decreasing the diffusivity of the particles) leads to a much denser finger pattern and also causes the front instability to appear at an earlier stage, i.e., when the front instability is in its initial linear regime, it has a higher growth rate and a smaller characteristic wavelength (cf. Fig. 2(c) and (d)). Decreasing the effective chemical potential (increasing its absolute value) has a similar but less strong effect. For details see [41]. These findings lead to the conclusion that the determining factor for the front instability is the ratio of the time-scales of the different transport processes. In particular, the front becomes more unstable when the velocity of the dewetting front increases as compared to the mean diffusion velocity of the nanoparticles.\n\nIf the particle diffusivity is low, the front 'collects' the particles, resulting in a build up of the particles at the front that itself is slowed down. This makes the front unstable and any fluctuation along the front will trigger a transverse instability that results in an evolving fingering pattern. This happens even when the particle-liquid and particle-particle attractive interactions do not favour clustering (i.e. demixing of the liquid and the nanoparticles). In this regime, the instability is a purely dynamic effect and energetics plays no role in determining the number of fingers. We call this the 'transport regime'.\n\nTo illustrate the influence of energetics (characterized by the interaction parameters εij ) on fingering in Fig. 3 we display the dependence of the mean finger number on particle-liquid interaction strength εnl. For εnl ≥ 1.5 the mean finger number < f > is nearly constant; this is the transport regime. However, on decreasing εnl below 1.5, we observe a marked increase in the value of < f >, indicating that energy plays an important role in determining the number of fingers in this regime. In this parameter range, demixing of particles and liquid occurs at the moving front and increases its transverse instability. In this 'demixing regime', the wavelength of the fingering instability is determined by the dynamics *and* the energetics of the system. Decreasing εnl further (below 1.4 in Fig. 3) one first observes in regime (iii) a slight decrease in the average finger number. This is a geometric effect resulting from our one-dimensional finger counting routine: The fingers increasingly break up and the dried-in pattern looks progressively isotropic. In regime (iv), the measure hfi does not represent a finger number but instead indicates a decrease in the typical", - "page_start": 11, - "page_end": 11, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 7: (Colour online) A sequence of profiles during a dewetting process with competing evaporation and convection that leads to the dried-in ring structure of nanoparticles displayed in Fig. 6(b). Profiles are at (a) before pinning (t = 0.08T), (b) at self-pinning (t = 0.13T), and (c) after depinning (t = 0.29T), where T = 3 × 1010τ with τ = η0γH/κ2 (T is of order of 1s). The film thickness profiles h are the bold solid lines, the nanoparticle concentrations φ are the dotted lines and the nanoparticle layer height hp = hφ are the dashed lines. The remaining parameters and scalings are as in Fig. 6(b).\n\n(i) in Fig. 8). The concentration increases further and when it approaches random close packing φc, the viscosity diverges and the front pins itself. When pinned, further retraction only occurs through evaporation (Fig. 7(b) and regime (ii) in Fig. 8). The front eventually depins and starts to move again, leaving a nanoparticle ring behind (Fig. 7(c) and regime (iii) in Fig. 8). However, the velocity is not as large as at the beginning, owing to the fact that the mean concentration of particles has increased. The remaining particles are transported to the centre and are deposited there when the remaining solvent evaporates (regime (iv) in Fig. 8).\n\nThe simple model used here shows, (i) that the contact line stops due to self-pinning by the deposited particles and (ii) the Marangoni effect is not necessary for the ring formation. The model can easily be refined to account for solutal and/or thermal Marangoni effects [88] but self-pinning", - "page_start": 21, - "page_end": 21, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle deposits. The concentration of particles is much higher at the network nodes – an effect that can not been seen within the KMC model. As the particles attract the liquid there remains some liquid on the substrate where the nanoparticles are.\n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. At early times the straight front shows a rather short-wave instability, about 16 wiggles can be seen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 fingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger number remains constant, although new branches are continuously created and old branches join each other. In general, the results on fingering agree well with results obtained using the KMC model [41]. From this we conclude that jamming of discrete particles is not a necessary factor for causing the instability, since the fingering is seen here in a continuum model with a diffusion constant that is independent of the nanoparticle concentration. The DDFT is better suited than the KMC for investigations of the early instability stages: they are more easy to discern without the discrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of the one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations (in analogy to the approach used in Refs. [19, 86, 87]).\n\n## C. Thin film hydrodynamics\n\nThe previous two sections focused on two approaches to describe the experimentally observed patterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewetting front. Although both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the framework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach by considering an isothermal situation where the nanoparticles are not surface active, i.e., they do not act as surfactants. For a model incorporating the effects of latent heat generation and surfaceactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of spreading particle solutions incorporating a structural disjoining pressure has also been considered [89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "dewetted liquid. The front recedes until all liquid is collected in a central drop. Since no liquid evaporates [Qnc = 0 in Eq. (1)], the particle concentration does not change during the process.\n\nThe situation changes when allowing for evaporation (Qnc > 0). Now the front may retract by convection *and/or* evaporation. Evaporation leads to the possibility of a strong increase in the particle concentration at the contact line as evaporation is strongest there. Due to the strong nonlinear dependence of the viscosity on the particle concentration, this may lead to a dramatic decrease of the convective contribution to the front velocity. For moderate evaporation rates, this may result in a (temporary) self-pinning of the front. Within the present basic model, the process can (after complete dry-in) result in three different basic deposition patterns: (i) for very fast evaporation rates, all other processes occur over time scales that are much larger. In particular, the effects of convective redistribution of the liquid are neglectable. As a result one finds that a nearly homogeneous film of nanoparticles of thickness hp = φ0h0 is deposited (see Fig. 6(a)). Convection only results in the small heap of material visible at the left hand side of Fig. 6(a). The decrease in hp on the right side of Fig. 6(a) arises due to the diffusion of particles to the right of the initial front position; (ii) for very low evaporation rates, the film dynamics is dominated by convective dewetting as this process acts on a much shorter time scale than evaporation. As a result, all the liquid is collected into a drop before evaporation slowly removes the remaining solvent. Under these conditions most of the nanoparticles are deposited in a single heap (see Fig. 6(c)). Depending on the diffusivity, the heap might be highest at the centre or show a depression there; (iii) at intermediate evaporation rates, one may observe the deposition of a nanoparticle ring around a region with a nanoparticle film of much lower height. At the centre deposition might increase again (see Fig. 6(b)).\n\nThe most intriguing feature is the ring formation that has been observed experimentally for suspensions of very different particle sizes ranging from nanometers [32, 36, 46, 47] to hundreds of micrometers. Pinning of the contact line and thermal Marangoni effects are often mentioned as necessary conditions for the ring formation. The contact line pinning is often assumed to result from substrate heterogeneities. Film height and concentration profiles at various instants during the dewetting process are displayed in Fig. 7. The profiles are from before, at and after self-pinning of the contact line. In Fig. 8 we display a space-time plot for the complete process. At first, the front recedes in the same manner as when there is no evaporation, but now driven by convection and evaporation. A small capillary rim forms that collects all the dewetted liquid that does not evaporate. The particle concentration slowly increases at the contact line (Fig. 7(a) and regime", - "page_start": 20, - "page_end": 20, - "source_file": "1001.2669.pdf" - }, - { - "text": "distance between particle clusters resulting from the demixing process that occurs already in the bulk liquid and is not related to the front instability at all. Note that one finds a similar sequence of regimes (i) to (iv) when increasing the particle-particle interaction strengths for fixed εnl (see Ref. [41]) for further details.\n\nFIG. 3: (Colour online) Dependence of the mean finger number left behind by the unstable dewetting front on the particle-liquid interaction strength εnl. The regions marked (i) to (iv) are discussed in the main text. The insets display typical snapshots obtained in the four different regions. Particles are black, liquid is grey (green online) and the empty substrate is white. The remaining parameters are kT = 0.2, M = 20, µ = −2.2, ρ av n = 0.1, nn = 2.0, domain size 1200 × 1200. For the insets, from left to right, nl = 1.2, 1.4, 1.45, 1.8.\n\nWe note also that the fingering process may be viewed as self-optimising the front motion – i.e. the front keeps its average velocity constant by expelling particles into the fingers. A similar effect exists for dewetting polymer films [18], where liquid is expelled from the growing moving rim which collects the dewetted polymer. There, the surplus liquid is left on the surface as a droplet pattern.\n\nThe kinetic Monte Carlo model is a very useful tool that helps one to understand the pattern formation in drying nanoparticle suspensions. One has, however, to keep in mind the restrictions", - "page_start": 12, - "page_end": 12, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles per unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F[h] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\n\n$$\\eta(\\phi)=\\eta_{0}\\,\\left(1-\\frac{\\phi}{\\phi_{c}}\\right)^{-2}\\tag{8}$$\n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length hp = φh one obtains the following evolution equation:\n\n$$\\partial_{t}(\\phi h)\\,=\\,\\nabla\\cdot\\left[\\phi Q_{c}\\nabla\\frac{\\delta F}{\\delta h}\\right]+\\nabla\\cdot\\left[D(\\phi)h\\nabla\\phi\\right],\\tag{9}$$\n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by the Einstein relation D(φ) = kT/6πRη(φ), where R is the radius of the nanoparticles [96]. We illustrate results obtained employing this thin film theory using the single example of a re-\n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\n$$f(h)=\\frac{S_{LW}d_{0}^{2}}{h^{2}}+S_{P}\\exp\\left(\\frac{d_{0}-h}{l_{0}}\\right),\\tag{10}$$\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the Born repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable precursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force Microscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig and W. Pompe; see also Ref. [42]. Image size: 5µm×5µm); (b) poly(acrylic acid) in water spin-coated onto a polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright John Wiley & Sons, Inc. 2002; Image size: 2.5µm×2.5µm); and in both (c) and (d), a solution of gold nanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in panels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the empty substrate.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2669.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C5 and C8) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C10 and C12). For even longer chains (C14), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Which of ultrathin film or mesoscale hydrodynamics are best explained by kinetic Monte Carlo models ? ", - "target_page": 18, - "target_passage": "lthough both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "FIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\nshould also be investigated further in the simple case presented here.\n\n### IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "where γ is the liquid-gas surface tension and f(h) is a local free energy term that describes the wettability of the surface. Since µ corresponds to a chemical potential, the term µh may either bias the system towards the liquid or towards the gas state. The variation of F w.r.t. h gives the pressure. It contains the curvature (Laplace) pressure −γ∆h and the disjoining pressure Π(h) = −∂hf(h). Many different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]).\n\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanoparticles are not taken into account. However, under certain conditions one can augment equation (1) for the evolution of the film thickness by coupling it to an equation for the evolution of the mean particle concentration. The resulting model is able to describe the behaviour of an evaporating solution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C. We should expect such a model to describe the mesoscopic dewetting front discussed above. However, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor film.\n\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a discrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on evaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The validity of this strong assumption regarding the relevant transport processes can be confirmed from an estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The convective mobility is proportional to h 3 , i.e., it is large for thick films but decreases strongly with reduced film thickness. The evaporative mobility, however, is a constant, implying that evaporation will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57] and a small contact angle (≈ 0.01), the cross-over thickness is in the range of 1-5 nanometers. This estimate justifies the neglect of convective transport in a description of the postcursor film and may explain why one has such good agreement between the experimentally observed patterns and the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model [35]. We introduce the KMC model below in Section III A.\n\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its potential applications. For instance, the thermodynamic chemical potential as well as any wetting interaction of the solvent with the substrate are collected in a single parameter – an effective chemical potential. This implies that any influence of a disjoining pressure is 'smeared out' over the whole system and that no distinction between the short- and the long-range parts of the disjoining pressure is possible. It is furthermore based on the assumption that evaporation/condensation is", - "page_start": 7, - "page_end": 7, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the ultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an unstable manner resulting in an array of isotropically branched structures as shown, e.g., above in Fig. 1. This indicates that at least some of the patterns described in the literature may have arisen from processes in similar ultrathin 'postcursor' films.\n\nThe existence of the ultrathin 'postcursor' film is an experimental finding that can be drawn on when choosing a theoretical approach to account for the pattern formation (see below). Note however, that at the moment there exists no explanation for its existence. A possible hypothesis is that the substrate strongly attracts the nanoparticles. As a result they form a dense suspension layer having a thickness roughly equal to the diameter of the nanoparticles. The observed mesoscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration suspension from the higher concentration suspension on the surface of the substrate.\n\n### III. MODELLING APPROACHES\n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydrodynamics. Starting from the Stokes equations, together with continuity and boundary conditions at the substrate and free surface, one applies a long-wave approximation (assuming small surface slopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness profile h(x, y, t). In the case of volatile liquids one finds [55–58, 64]\n\n$$\\partial_{t}h\\,=\\,\\nabla\\cdot\\left[Q_{\\mathrm{e}}\\nabla\\frac{\\delta F}{\\delta h}\\right]\\,-\\,Q_{\\mathrm{e}}\\frac{\\delta F}{\\delta h},\\tag{1}$$\n\nwith the mobility functions Qc(h) = h 3/3η ≥ 0 (assuming Poiseuille flow in the film and no slip at the substrate; η is the dynamic viscosity) and Qe ≥ 0 for the convective and evaporative part of the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory or from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the film is close to the saturation pressure. For alternative expressions that are used to describe the non-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇ = (∂x, ∂y), and ∂t , ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates.\n\nFocusing on the influence of capillarity and wettability only, the energy functional F[h] is given by\n\n$$F[h]\\,=\\,\\int dx\\int dy\\left[\\frac{\\gamma}{2}(\\nabla h)^{2}+f(h)-\\mu h\\right]\\tag{2}$$", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n### A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l. The resulting three possible states of a cell are: liquid (l = 1, n = 0), nanoparticle (l = 0, n = 1), and vapour (l = 0, n = 0, i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\n$$E\\,=\\,-\\frac{\\varepsilon_{nn}}{2}\\sum_{}n_{i}n_{j}\\,-\\,\\frac{\\varepsilon_{nl}}{2}\\sum_{}n_{i}l_{j}\\,-\\,\\frac{\\varepsilon_{ll}}{2}\\sum_{}l_{i}l_{j}\\,-\\,\\mu\\sum_{i}l_{i}\\tag{3}$$\n\nwhere P denotes a sum over nearest neighbour pairs and εll, εnn and εnl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters εll, εnn, εnl and the effective chemical potential µ determines the equilibrium state of the system. We choose εll as unit of energy – i.e. we set εll = 1.\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "# Abstract\n\nWe review recent experiments on dewetting thin films of evaporating colloidal nanoparticle suspensions (nanofluids) and discuss several theoretical approaches to describe the ongoing processes including coupled transport and phase changes. These approaches range from microscopic discrete stochastic theories to mesoscopic continuous deterministic descriptions. In particular, we focus on (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nModels (i) and (ii) are employed to discuss the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor film' that remains behind a mesoscopic dewetting front. We highlight, in particular, the presence of a transverse instability in the evaporative dewetting front which results in highly branched fingering structures. The subtle interplay of decomposition in the film and contact line motion is discussed.\n\nFinally, we discuss a simple thin film model (iii) of the hydrodynamics on the mesoscale. We employ coupled evolution equations for the film thickness profile and mean particle concentration. The model is used to discuss the self-pinning and de-pinning of a contact line related to the 'coffee-stain' effect.\n\nIn the course of the review we discuss the advantages and limitations of the different theories, as well as possible future developments and extensions.\n\nThe paper is published in: *J. Phys.-Cond. Mat.* 21, 264016 (2009), in the Volume \"Nanofluids on solid substrates\" and can be obtained at http://dx.doi.org/10.1088/0953-8984/21/26/264016", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h(x, t) and the amount of nanoparticles per unit length hp = φh, where φ is the volume concentration of the nanoparticles. Note, that hp corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F[h] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\n\n$$\\eta(\\phi)=\\eta_{0}\\,\\left(1-\\frac{\\phi}{\\phi_{c}}\\right)^{-2}\\tag{8}$$\n\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length hp = φh one obtains the following evolution equation:\n\n$$\\partial_{t}(\\phi h)\\,=\\,\\nabla\\cdot\\left[\\phi Q_{c}\\nabla\\frac{\\delta F}{\\delta h}\\right]+\\nabla\\cdot\\left[D(\\phi)h\\nabla\\phi\\right],\\tag{9}$$\n\nwhere the particle concentration dependent diffusion coefficient D(φ) is related to the viscosity by the Einstein relation D(φ) = kT/6πRη(φ), where R is the radius of the nanoparticles [96]. We illustrate results obtained employing this thin film theory using the single example of a re-\n\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\n$$f(h)=\\frac{S_{LW}d_{0}^{2}}{h^{2}}+S_{P}\\exp\\left(\\frac{d_{0}-h}{l_{0}}\\right),\\tag{10}$$\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the Born repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable precursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction (x), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle deposits. The concentration of particles is much higher at the network nodes – an effect that can not been seen within the KMC model. As the particles attract the liquid there remains some liquid on the substrate where the nanoparticles are.\n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. At early times the straight front shows a rather short-wave instability, about 16 wiggles can be seen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 fingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger number remains constant, although new branches are continuously created and old branches join each other. In general, the results on fingering agree well with results obtained using the KMC model [41]. From this we conclude that jamming of discrete particles is not a necessary factor for causing the instability, since the fingering is seen here in a continuum model with a diffusion constant that is independent of the nanoparticle concentration. The DDFT is better suited than the KMC for investigations of the early instability stages: they are more easy to discern without the discrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of the one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations (in analogy to the approach used in Refs. [19, 86, 87]).\n\n## C. Thin film hydrodynamics\n\nThe previous two sections focused on two approaches to describe the experimentally observed patterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewetting front. Although both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the framework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach by considering an isothermal situation where the nanoparticles are not surface active, i.e., they do not act as surfactants. For a model incorporating the effects of latent heat generation and surfaceactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of spreading particle solutions incorporating a structural disjoining pressure has also been considered [89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "fast evaporation [104, 105]. These complex experimental systems all represent systems of high practical interest that the theories presented here are not (yet) able to describe. Such experiments do, however, provide a strong motivation for further work to extend the theories presented here, as well as to develop new approaches.\n\nLet us finally mention that several topics were entirely excluded from our discussion here. First, we focused on a limited range of descriptions and did, for instance, not mention lattice Boltzmann, molecular dynamics or dissipative particle dynamics approaches that may also be employed to describe fluid suspensions [106–109]. Second, we have only discussed spatially homogeneous substrates. Patterned substrates are widely used in dewetting experiments [38, 110–112]. Theoretical descriptions are well developed for the dewetting of films of pure non-volatile liquids on such substrates [68, 113–119]. However, in the case of volatile liquids on heterogeneous substrates, much less work has been done. A third topic that we did not touch upon are possible continuum thin film approaches to demixing dewetting suspensions. We believe it is feasible to extend the diffuse interface theories such as model-H [120] to include the influence of evaporation in dewetting nanoparticle suspensions. For instance, such models have already been adapted to describe demixing free surface films of polymer blends [121–123].\n\n## Acknowledgments\n\nAJA and MJR gratefully acknowledge RCUK and EPSRC, respectively, for financial support. We acknowledge support by the European Union via the FP6 and FP7 Marie Curie schemes [Grants MRTN-CT-2004005728 (PATTERNS) and PITN-GA-2008-214919 (MULTIFLOW)].\n\n- [1] G. Reiter, \"Dewetting of thin polymer films,\" Phys. Rev. Lett. 68, 75–78 (1992).\n- [2] G. Reiter, \"Mobility of polymers in films thinner than their unperturbed size,\" Europhys. Lett. 23, 579–584 (1993).\n- [3] A. Sharma and G. Reiter, \"Instability of thin polymer films on coated substrates: Rupture, dewetting and drop formation,\" J. Colloid Interface Sci. 178, 383–399 (1996).\n- [4] P.-G. de Gennes, \"Wetting: Statics and dynamics,\" Rev. Mod. Phys. 57, 827–863 (1985).", - "page_start": 24, - "page_end": 24, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What is AgMERRA ?", - "target_page": 2, - "target_passage": " historical daily weather data (1986–2005) are from the AgMERRA dataset. AgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications (MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily time-series data", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "The silver and gold mineralisation is hosted within tertiary-aged volcanic units at Arqueros and Teterita, and in Paleozoic sediments at Chimberos. The alteration and mineralisation are all Miocene in age and associated with the Cerros Bravos paleovolcano.\n\nMineralisation comprises two main components. Silver-rich horizontal units termed 'mantos' (Spanish for blanket) and a series of near-vertical, cross-cutting gold-rich structures. The mantos silver mineralisation is hosted by vuggy silica within dacitic lapilli tuff. Mantos occurs at Arqueros and Teterita where the mineralising process has replaced horizontal porous tuffs. At Chimberos, silver mineralisation is hosted in vuggy silica hydrothermal breccia superimposed on folded Paleozoic sediments.\n\nThe vertical gold-rich mineralisation, also characterised by vuggy silica, is well-developed at Arqueros. It has been interpreted as feeders for mineralising fluids. Nonetheless, this style of mineralisation has not yet been observed at Teterita and is poorly preserved at Chimberos.\n\n### Resource\n\nKingsgate has updated the project resource base to incorporate the recent drilling on the Chimberos project and using the current gold/ silver ratio of 60 (previously 45) for its gold equivalent (AuEq60) and silver equivalent (AgEq60) calculations.The combined Measured, Indicated and Inferred mineral resource for the Nueva Esperanza Project is based on resource block modelling of Arqueros, Chimberos and Teterita, and has been estimated at a cut-off grade of 0.5 grams per tonne (g/t), gold equivalent (AuEq60) to be 28.9 million tonnes at 0.27 g/t gold and 84 g/t silver.\n\nThis represents about 250,000 ounces of gold and 78.5 million ounces of silver.\n\nThe Measured, Indicated and Inferred resource may be expressed in gold or silver equivalent ounces as:\n\n- 〉 Gold equivalent ounces (AuEQ60): 1.6 million ounces at 1.7 g/t gold equivalent; and\n- 〉 Silver equivalent ounces (AgEQ60): 93.5 million ounces at 100 g/t silver equivalent.\n\n## Feasibility Study\n\nA Definitive Feasibility Study commenced on the project at the end of May 2011 with the focus on Arqueros, and open pit mining of that deposit with processing by traditional mill and agiitation leaching in cyanide. Subsequent acquisition of the Teterita and Chimberos deposits resulted in an expansion of the feasibility study to incorporate their resources.\n\nIn late 2012, a decision was taken to examine lower cost options for processing using heap leaching. With major engineering already done, technical studies focussed on metallurgical testwork and heap leach design. It has been established that the mineralisation from the three deposits can be processed by HPGR (High Pressure Grinding Rolls) crushing and heap leaching with silver and gold recoveries of the order of 70% to 75% for silver and 65% to 70% for gold. The project development plan is now focussed on a 3 million tonne per annum heap leach operation with an initial mine life of over 6 years. Annualised production levels (post rampup) are estimated at 6.0–8.0 million ounces of silver and 18,000–22,000 ounces of gold, at an indicative start-up capital cost between US$130–150 million (inclusive of 25% contingency).\n\nThese project parameters are based on preliminary results only and are insufficient to provide assurance as to the economic development of the project at this stage and these parameters may also change following completion of the Definitive Feasibility Study.\n\nWith the technical and economical feasibility of heap leaching being established, the project will now move into the final feasibility and design stage with results expected to be available during the March quarter 2014.\n\nThe environmental permitting process for the original Arqueros project has been completed, with approval to commence construction and mining granted by the Chilean authorities. A modification of the environmental assessment is being prepared to have the approvals modified for heap leaching and on-site power generation.\n\nExtensive community consultation has been undertaken with positive outcomes, and relationships with indigenous rural and urban communities remain a priority.", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "| Table name | Purpose | Description |\n| --- | --- | --- |\n| ARSUSRGRP | Users in group table | One row for each user that is assigned to a Content |\n| | | Manager OnDemand group |\n| ARSUSRGRPID | User group ID table | Maintains the association of users with user |\n| | | owners and their authority for groups |\n| Dynamic name | Application group data | One row for each document that is stored in the |\n| | table | application group |\n\n**Important:** *Do not update* the tables by using SQL commands or DB2 system tools, such as SQL Processor Using File Input (SPUFI) or any other tools. The tables must be updated only by the Content Manager OnDemand Administrator Client or Content Manager OnDemand commands.\n\n# **4.2 Main data table structures**\n\nThe Content Manager OnDemand data tables can grow rapidly. You must understand the structure of the data tables and the relationships between them.\n\nTwo important tables exist that you must examine here: the *segment table* (ARSSEG) and the *application group data table* (ag_internal_id). The segment table contains one row for each segment of each application group data table. Table 4-2 shows the first four columns of the ARSSEG table structure.\n\n| Column name | Description |\n| --- | --- |\n| agid | Application group ID |\n| table_name | Application group segment table name |\n| start_date | Segment start date |\n| stop_date | Segment stop date |\n\nTable 4-2 ARSSEG table structure\n\nThe ARSSEG table points to the application group data table name (second column of the table, table_name). The application group data table is created or updated during the **arsload** process. The application group data table contains a row for each item that is stored in the application group.\n\nThe name of the application group data table is ag_internal_id, which is the identifier that Content Manager OnDemand assigns to the application group when the application group is created with the Administrator Client. The three-digit application group identifier is listed in the Storage Management window of the Administrator Client, as shown in Figure 4-1 on page 81. In this case, the application group identifier is WBA, AGID 5185.", - "page_start": 103, - "page_end": 103, - "source_file": "sg246915.pdf" - }, - { - "text": "ii- 2.18. Rhuiples of Ropellerr", - "page_start": 163, - "page_end": 163, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## CHAIRMAN ' S REPORT\n\nLabour hire is heavily dependent upon the quality of the personnel database and our intention has been announced to offer training at Dampier, Broome and Darwin for those who live in the North West and wish to work in the offshore industry there. Planning for this new initiative is well advanced and we expect to be running courses for prospective offshore employees in coming months. Although the training program is not directed to any particular community group, it has been encouraging to have active support from Aboriginal leaders in the Kimberley region.\n\nWorld prospects for energy, the need for Australia to add value to its resources, Government initiatives for the support of these activities and environmental imperatives, heavily favour gas, giving every indication that Mermaid Marine's development push has been extremely timely.\n\nIt is also important to draw attention to increased efforts in terms of health, safety and environmental protection. Our workplace is largely at sea, where operations involve natural dangers and the safety of our people is paramount. We also work in a setting where the tasks in which we are involved cast us in the role of environmental caretakers of the sea and coastline.\n\nOver the past twelve months, we have worked even more closely with producers to take this side of our business to the highest possible standard. We are proud of the achievement and at the time of this report, despite the inherent dangers involved in the work, our employees have accrued a record 348 days free of Lost Time Injuries, a tremendous effort.\n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve earnings of at least $100million, with appropriate levels of accompanying profit. That will be addressed through our policy of strategic positioning and development in the North West of Australia, and also by acquisition where merger or purchase will add to our earnings and strengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are well able to pursue and secure our ambitious program.\n\nAlan Birchmore Chairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### SUMMARY OF FINANCIAL RESULTS OF LONG-TERM DEBT GUARANTOR\n\nOur outstanding public debt, $2.5 billion bank credit and letter of credit facilities and Derivatives are unsecured obligations of RCI, as obligor, and Rogers Communications Partnership (RCP), as either co-obligor or guarantor, as applicable.\n\nThe following table sets forth the selected unaudited consolidating summary financial information for RCI for the periods identified below, presented with a separate column for: (i) RCI, (ii) RCP, (iii) our nonguarantor subsidiaries (Other Subsidiaries) on a combined basis, (iv) consolidating adjustments, and (v) the total consolidated amounts.\n\n#### Years ended December 31 (unaudited)\n\n| | | | | | | | Other | | | Consolidating | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | RCI1, 2 | | RCP1, 2 | | | Subsidiaries1, 2 | | | Adjustments1, 2 | | Total | |\n| (In millions of dollars) | | 2013 | 2012 | 2013 | 2012 | | 2013 | 2012 | | 2013 | 2012 | 2013 | 2012 |\n| Selected Statement of Income data measures: | | | | | | | | | | | | | |\n| Revenue | $ | 14 $ | 5 | $ 11,028 | $ 10,970 | $ | 1,822 | $ 1,666 | $ | (158) $ | (155) $ 12,706 | | $ 12,486 |\n| Operating income (loss) | | (207) | (166) | 3,129 | 2,959 | | 75 | 44 | | (71) | (71) | 2,926 | 2,766 |\n| Net income (loss) | | 1,670 | 1,693 | 3,093 | 2,929 | | 772 | 778 | | (3,866) | (3,707) | 1,669 | 1,693 |\n\n#### As at period end December 31 (unaudited)\n\n| | | | | | | | Other | | Consolidating | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | RCI1, 2 | | | RCP1, 2 | | | Subsidiaries1, 2 | | Adjustments1, 2 | | Total | | |\n| (In millions of dollars) | 2013 | 2012 | 2013 | | 2012 | | 2013 | 2012 | 2013 | 2012 | 2013 | | 2012 |\n| Selected Balance Sheet data measures: | | | | | | | | | | | | | |\n| Current assets | $ 16,592 $ | 1,682 | $ 11,035 | | $ 8,209 | $ | 3,594 | $ 1,905 | $ (26,900) $ | (9,575) $ | 4,321 | $ | 2,221 |\n| Non-current assets | 19,464 | 27,388 | 12,731 | | 12,232 | | 21,678 | 6,642 | (34,593) | (28,865) | 19,280 | | 17,397 |\n| Current liabilities | 14,853 | 9,717 | 3,014 | | 2,776 | | 15,269 | 1,129 | (28,530) | (10,620) | 4,606 | | 3,002 |\n| Non-current liabilities | 13,018 | 12,082 | 293 | | 438 | | 1,186 | 179 | (171) | 149 | 14,326 | | 12,848 |\n\n1 For the purposes of this table, investments in subsidiary companies are accounted for by the equity method.\n\n2 Amounts recorded in current liabilities and non-current liabilities for RCP do not include any obligations arising as a result of being a guarantor or co-obligor, as the case may be, under any of RCI's long-term debt.", - "page_start": 89, - "page_end": 89, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### OVERVIEW\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine Australia Ltd (\"Company\") and its controlled entities, experienced a 43% turnover reduction from last year. The result was almost entirely due to a heavy fall in oil prices, which reached their low of US$10 in February 1999, leading to the lowest level of offshore activity for many years. In September 1999 Mermaid exercised its option to acquire the utility vessel \"Mermaid Achiever\" for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister for the Environment for the development of a supply and engineering base at Dampier (Dampier Base). Since that time a detailed environmental management system has been produced for final approval and as a guide to daily environmental management and compliance. Refinements to the design have proceeded, together with the preparation of bid packages and negotiations with Banks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough Engineering will see an extremely robust balance sheet, with cash on hand approaching $10 million. As construction commences at Dampier, a level of project finance will be arranged providing a comfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They are dealt with in detail under following headings.\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax profit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease of 43% over the previous period. Fixed cost reductions enabled the Company to ride out the market reversal with a minimal loss and positive operating cash before capex of $1.6m. This result, achieved against a major drop in turnover, was possible through a vigorous attack on overheads, which included more beneficial ownership costs, insurance savings, management salary savings, including voluntary sacrifice from certain senior executives in recognition of the tighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the Company to a high level of fixed costs. The vessels were valuable earners and the transfer of the Mermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved to be the right decision for all market conditions. Although there have been no contracts yet let for work of any significance by producers on the North West Shelf, underlying day to day activity has returned. Expressions of interest for major project work have been issued and as an indication of better trading conditions, an unaudited profit of $496,721 has been recorded for the two months to 31st August 2000. The trend has continued in September.\n\n#### FINANCIAL", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### CHAIRMAN ' S REPORT\n\nMermaid Marine made great progress during the year to 30th June 2000, even though trading reflected low levels of activity in the North West. Prospects over recent months have rapidly improved, with a great deal of large project work in prospect. The Prospectus concept of building our business within the triangle of oil and gas reserves found between Timor, Exmouth and Darwin, is proven and has become even more relevant.\n\nRich in gas, the region is rapidly becoming Australia's powerhouse and the focus of new resource processing industries. In a statement made in only August this year, the Shell Oil Company identified gas as that Company's premier future fuel, due to its high environmental qualifications and portability. The Federal Government, also recognising the environmental advantages of gas, has identified that liquified natural gas in particular, as a greenhouse solution rather than a problem and has effectively exempted the gas industry from Kyoto protocol restraints.\n\nWoodside Petroleum has announced the signing of Memorandums of understanding for substantial gas contracts to a range of companies planning to establish their production in the Pilbara. At the time of writing this report, firm Letters of Intent were also foreshadowed for substantial increases in LNG production, specifically to Japan and prospects are high for further export sales to China, Singapore and India.\n\nProviding marine support for such expansion has been our principle source of earnings, but Mermaid will enjoy a larger and more diversified income stream once development of the Base at Dampier is completed. The project, demonstrated in more detail later in this report, will revolutionise our Company and drive significant changes in the way offshore producers are serviced in the North West of Australia.\n\nCoinciding with a start of Base construction, we were successful in attracting Mr Mark Bradley, formerly Managing Director of Clough Offshore, to join us as Mermaid's Chief Executive. As reported by the Age newspaper, our new Chief Executive has put his money where his mouth is, offering a personal investment of $2 million for equity in our company. Mark has had an extremely successful career with McDermotts and Clough Offshore. He will now drive the development of a much stronger engineering capability at Mermaid, through which, whether in joint venture or alone, we intend to be more closely involved as direct participants in North West Shelf work.\n\nImmediately following Mark Bradley's decision, his old employer, Clough Engineering, also expressed a desire to become a shareholder, subscribing $3 million for new equity. The influence that the direct involvement of Mark Bradley and Clough Engineering will have in our company's future should not be underestimated. At this time when we welcome Mark as a Director and shareholder, we are also pleased to announce the appointment of Mr Richard Reid, finance", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings. SEAGOING OPERATIONS\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\n#### DAMPIER BASE\n\n8\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n**•**\n\n**•**\n\n- A wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## CHAIRMAN ' S REPORT\n\nDirector of the Clough Group and a highly experienced and talented executive. Richard has appointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with engineering qualifications and associated business skills to assist him.\n\nCaptain Jim Carver, Mermaid's founder continues to play a significant role in Mermaid's operations, paying particular attention to our business at sea. Under 20 years of Jim's leadership, Mermaid developed an enviable reputation as a \"can do\" company, and in our drive for new engineering expertise and professionalism, we have no intention of allowing that attitude to be lost.\n\nLast year we identified Broome as our next strategic position. No oil and gas work had been supported out of Broome for seventeen years and with the valuable cooperation and assistance of the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first client. The base was then established early this year.\n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven months operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support of their current drilling programs. All the holes drilled from the Broome Base have been designated as commercial finds by the explorers and the very major increase in the reserves at Brecknock, Woodside's permit 500 kilometres north of Broome creates optimism for future production based in the Broome area.\n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu Undan project operated by Phillips, is well advanced and will impact Darwin's offshore activity quite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with Perkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping is synonymous with Darwin's history. Set up by V.B. Perkins in the late 40's, it has grown to significant size, operating its ships across the top of Australia and into South East Asia. There are many synergies which Mermaid shares with Perkins and we look forward to developing our Darwin business in close association with that fine old Company.\n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early in the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to be paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour hire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General Manager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director. With their reputation and talent added to Mermaid's experienced team, this labour hire company has become a significant force and can be expected to be in the final when major labour hire contracts are let.", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Research Report 90\n\nNick Morgan, Daniel Heap, Amy Elliott, Tim Millar\n\nJanuary 2016", - "page_start": 0, - "page_end": 0, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "In 2018, what was the global proportion of maize grown in the US ?", - "target_page": 5, - "target_passage": "According to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. The United States accounts for more than 32%", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "by 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, China and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% in Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would be increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield increasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 11.4% under global warming by 2.0 °C. By comparing the maize production in diferent countries, it can be found that the reduction trend of total maize production in the top fve countries is more obvious, especially under the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\n\nFrom the view of continents, there are diferent trends of maize yield changes in the 6 continents (except Antarctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under global warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, Europe and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 continents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight in Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are diferent in 2 continents, including Asia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the maize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively − 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in Africa the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming scenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual maize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under global warming by 2.0 °C than that under global warming by 1.5 °C. Tere would be an obvious crisis of food supply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make full preparation for adaptation to climate change in the whole world.\n\n<b>Figure 5. (continued)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 3.** Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL-CM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalearthdata.com.\n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the whole world under climate change. We should grasp the opportunities and expand the yield increasing potentials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the high-risk regions.\n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in the world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. Te area is 37.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low and middle latitude of South America and Asia, and the middle latitude of Africa and North America. Te area is 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located in the low latitude of South America and the middle latitude of Asia and Europe. Te area is 45.8% of the whole maize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and North America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under RCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative to 1986–2005. Tere are opposite trends of maize yield under global warming by 1.5 °C, which are simulated by diferent global climate models. However, the spatial distributions of maize yield change are similar to each other. Te diference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing are going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world would increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their best to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, gross maize production of the whole world would not be infuenced so much by climate change, but the food\n\nVol:.(1234567890)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - }, - { - "text": "that maize yield would decrease severely. For the whole world more mitigation and adaptation actions should be taken from now on. Food security would be a signifcant challenge in this century.\n\n**Yield change of maize in main countries.** Tere are huge diferences in impacts on maize yield under climate change, which would infuence the food crisis in diferent regions. Tere are 159 countries in the whole world which plant maize. Te gross yield of maize the top 20 countries accounts for more than 90% of the total yield in the 159 countries. So, the changes in the top 20 countries under future scenarios would infuence the food security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming by 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become 33.5%. Tere would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly increase. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which the mean yield loss rate is approximate to that under global warming by 1.5 °C. Tere would be 77 countries experiencing yield increase; however, the mean yield increase is apparently smaller than that under global warming by 1.5 °C. Generally, the global maize yield would decrease. Te results show that the adverse efect of warming up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to develop forward-looking adaptation measures to cope with future climate change.\n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. Te United States accounts for more than 32%; China accounts for about 24%; Brazil, Argentina and Mexico account for about 23%. Te fuctuation of maize production in these fve top countries will have a signifcant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, the maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss rate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. However, there would be increasing trends in the United States and Mexico; the change in the United States would not be signifcant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming\n\nVol:.(1234567890)", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 4.** Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: NorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalearthdata.com.\n\nsecurity of the whole world would still be attacked violently. Tere are huge diferences among the continents; South America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming by 1.5 °C. Te changes in maize yield in diferent regions would infuence the maize price and food trades. So, it should be cautious to cope with the maize changes under global warming by 1.5 °C.\n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in the world between 2060 and 2079 would decrease by 18.7% relative to 1986–2005. Te area is 41.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%. Te area is 15.6% of the whole maize planting regions, in which the yield loss would be more than 50%. Te area is 42.7% of the whole maize planting regions, in which the yield would increase. Te distribution of maize yield change is similar to that under global warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the gross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986–2005. Comparing to the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield increases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, the gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M model. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would decrease 10.8% relative to 1986–2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk of yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of global warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance become much bigger for all countries in the world, who will be facing the severe challenge of global temperature rise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 6.** Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n**Market price of maize in main countries.** In this study, we elaborate on the endogenous response of our economic models. Tis response can be theoretically elaborated as: due to the efect of climate change on yield reduction (improvement), the supply curve moves lefward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shifing to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. Tis also alters the self-sufciency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among diferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signifcantly under both scenarios, as their yields improve due to climate efects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-sufciency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive efects on yields and/or are relatively less dependent on imports, are positively (less negatively) afected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-sufciency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n#### **Discussion and conclusion**\n\n**Discussion.** Our analysis highlights the efects of climate change on global- and regional-specifc maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We fnd that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. Te limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 7.** Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\n\n**Figure 8.** Changes in Self-sufciency ratio of maize in main countries under global warming by 1.5 °C and 2.0 °C.\n\nmeantime, the huge diferences in yield changes in diferent regions provide a small chance for the world, especially under global warming by 1.5 °C. In the near future, if the global temperature can be efectively controlled under 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. All regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the potentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the yield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by 1.5 °C and 2.0 °C.\n\nMeanwhile, the risk of price fuctuations caused by global corn trade due to future climate change should be paid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, the population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, the supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify the contradiction between supply and demand, which would threaten the food security and sustainable development in the whole world.\n\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (Te Inter-Sectoral Impact Model Intercomparison Project); compared with other climate models, the fve models could more efectively support impact assessment in diferent sectors and provide more reliable results. Based on the simulation results", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "## **OPEN**\n\n# **The impact of 1.5 °C and 2.0 °C global warming on global maize production and trade**\n\n**Kuo Li1*****, Jie Pan1 , Wei Xiong2 , Wei Xie3 & TariqAli3**\n\n**Climate change is becoming more and more remarkable which has an obvious impact on crop yields all over the world. Future climate scenario data was simulated by 5 climate models recommended by ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C and 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the world under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at national and global levels were simulated. The results showed that, the risk of maize yield reduction under 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were separately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize production is obvious in the top fve countries and the main producing regions of the world, especially under the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under 1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all countries to pay enough attention to the risk of maize yield and take actions of mitigation and adaptation to climate change.**\n\nIn the past hundred years, the global climate has experienced great changes1–4 . According to the sixth assessment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and almost all regions in the world experienced surface warming5 . Due to global warming, the extreme climate events become more and more frequent, and the ecological environment problems caused by climate change are more and more serious, which restrict the sustainable development of human society and health6–10. Global warming has gradually changed from a scientifc issue to a major social issue of common concern to governments and people of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate change reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated that it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels and pursue eforts to limit the temperature increase to 1.5 °C above pre-industrial levels.\n\nFaced with climate change, agriculture is the most vulnerable sector, which will experience the largest negative impacts from climatic change and lead to more serious food security in the whole world15–20. Meanwhile, global production losses might lead to price shocks and trigger export restrictions21–24; an increasingly interconnected global food system25,26 and the projected fragility of the global food production system due to climatic change further exacerbate the threats to food security in the worldwide27–29. So, the impacts of climate changes on crop yields and prices have been of highly concerned. Numerous studies have revealed that the warming trend has negative impact on crop yields and global trade in most regions all over the world30–32. Tere are three main methods for impacts assessment of climate change on crops, including environment-controlled experiments, statistical regression analysis and model simulations17,33. Environment-controlled experiments are designed to observe the infuence of climate factors on crops, such as drought, food, heat stress, cold damage, elevated CO2 concentration, through which the impact mechanism of climate change on crops would be revealed and established23,34,35. Crop models and trade models are applied to simulate the response of crop yield and market price under climate change, based on process-based crop growth in daily time steps, either in selected feld sites or in selected regions36–39. Te statistical regression analysis usually explores the relationship between historical crop yields and meteorological records in diferent sites or counties to establish regression functions for crop responses predictions40–43. Tese researches have documented that crop yield and price would be threatened much more seriously by global warming, especially due to the increasing trend of frequency and intensity of climate extreme events in the future.\n\n1 Institute of Environment and Sustainable Development in Agriculture, Chinese Academy of Agricultural Sciences, Beijing 100081, China. 2 International Maize and Wheat Improvement Center, Texcoco, Mexico. 3 Peking University, Beijing, China. *email: hqlk2000@163.com", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - }, - { - "text": "is 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of Northern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C.\n\nTere are apparent trends of humidifcation in most regions under global warming by 1.5 °C and 2.0 °C; but the drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is 73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; the area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the area is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere and the middle regions of Northern Hemisphere. Te distribution of precipitation under global warming by 2.0 °C is similar with the situation under global warming by 1.5 °C. Te drought-threatened area would increase by 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; the area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the extreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than those under global warming by 1.5 °C, which is what we should be pay more attention to.\n\n**Yield change of maize under global warming by 1.5 °C and 2.0 °C.** Maize production is afected by climate change apparently. According to the simulation results of CERES-maize, the yield of maize would decrease in the worldwide relative to 1986–2005 under global warming by 2.0 °C; it would increase little under global warming by 1.5 °C. Te distributions of maize yield loss under the two scenarios are similar to each other, mostly located in the middle and low latitude, which are the main regions for maize planting in the world. Te loss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of 1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize planting area in the world, in which the climate situation would become more proper for maize under global", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed9.pdf" - }, - { - "text": "| Model | Research institute | Country | Horizontal resolution |\n| --- | --- | --- | --- |\n| GFDL-ESM2M | Geophysical Fluid Dynamics Laboratory | Te United States | 144×90 |\n| HadGEM2-ES | Hadley Center for Climate Prediction and Research | Te United Kingdom | 192×145 |\n| IPSL-CM5A-LR | L' Institute Pierre-Simon Laplace | France | 96×96 |\n| NorESM1-M | Norway Climate Center | Norway | 144×96 |\n| MIROC-ESM | Center for Climate System Research, National Institute for Environmental Studies, and Frontier Research Center for Global Change | Japan | 128×64 |\n\n**Table 1.** Basic information of 5 ESMs in CMIP5. Horizontal resolution means the number of longitudinal grids×the number of latitudinal grids.\n\n**Figure 1.** Changes of global temperature of 20 years moving average from 2020 to 2099 simulated by 5 ESMs under 4 RCP scenarios. Note: Te black horizontal dashed lines: global warming by 1.5 °C and 2.0 °C; the black vertical solid line: the years when global warming reaches 1.5 °C and 2.0 °C simulated by the selected models and scenarios.\n\nAlthough, so far there are plenty of research on the impacts of global warming by 1.5 °C temperature, including the impacts comparison of global warming by 1.5 °C versus 2.0 °C44. It is necessary to do more quantitative impacts assessments of global warming by 1.5 °C and 2.0 °C on crops yield and market price to address research gaps and support the requirement of the scientifc community and governments. In this paper, the future climate situations were selected and analyzed which are the approximate scenarios with global warming by 1.5 °C and 2.0 °C, based on the simulation results from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. Ten the per unit yield changes of maize all over the world under global warming by 1.5 °C and 2.0 °C were analyzed and the spatial distributions of changes in maize yield were revealed relative to the baseline from 1985 to 2006, applying crop model DSSAT (Decision Support System for Agrotechnology Transfer). Next, we examine the efects of the resulting maize production shocks in diferent countries; the market price of maize is simulated using GTAP to reveal the impacts of climate change on global crop trade. Finally, the future trend of maize yield and market price in the main breadbasket is assessed and the adaptation suggestions are put forward for maize cultivation.\n\n#### **Materials and methods**\n\n**Data processing.** In this study, historical daily weather data (1986–2005) are from the AgMERRA dataset. AgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications (MERRA) data. Te dataset is proved to be suitable for agricultural modelling and features consistent, daily time-series data45.\n\nFor future (2020–2099), the original climate scenario data (Table 1) were extracted from output archives of fve ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M) under four RCPs (RCP2.6, RCP4.5, RCP6.0, RCP8.5) retrieved from the CMIP website. Te climate scenario data was interpolated into 0.5°×0.5° horizontal resolution and bias-corrected with respect to historical observations to remove systematic errors46. Te data of maize-planting regions are from the gridded global dataset in 2000 by combining two data products47,48.\n\n**Simulation of climate scenarios with global warming by 1.5 °C and 2.0 °C.** In this study, climate data of global warming by 1.5 °C and 2.0 °C are determined according to the results of global climate models driven by typical concentration paths (RCPs) of greenhouse gas emissions. Eligible data are selected from a total of 20 sets of data under four RCP scenarios of fve ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M), which estimate the temperature, precipitation and sunshine hours (Fig. 1).\n\nVol:.(1234567890)", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed9.pdf" - }, - { - "text": "Firstly, the period of 1986–2005 is defned as the baseline, of which the simulated average value is recognized as 0.61 °C above pre-industrial (the period of 1850–1900) levels; the baseline is selected according to the accessibility and operability of data, which is used for the determination of the periods with global warming by 1.5 °C and 2.0 °C and the comparison of maize yield between diferent periods. Secondly, the simulated values of global mean temperature in the future years are subtracted from the simulated average value of 1986–2005; then the values should be plus with 0.61 °C, which are the global warming results above pre-industrial levels; then 20 years moving average of the above results are calculated. Tirdly, the climate data of global warming by 1.5 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 1.5–2.0 °C above pre-industrial levels at the end of the twenty-frst century; the climate data of global warming by 2.0 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 2.0–2.5 °C above pre-industrial levels at the end of the twenty-frst century and the period of global warming by 2.0 °C should not be earlier than 2050. Finally, the climate models, scenarios and periods of global warming by 1.5 °C and 2.0 °C are separately confrmed; the data of global warming by 1.5 °C, simulated by IPSL-CM5A-LR under RCP2.6 scenario during 2020–2039 and simulated by GFDL-ESM2M under RCP4.5 scenario during 2041–2060; the data of global warming by 2.0 °C, simulated by NorESM1-M under RCP4.5 scenario during 2060–2079 and simulated by GFDL-ESM2M under RCP6.0 scenario during 2065–2084.\n\n**Simulation of maize yield using DSSAT.** According to the data of global warming by 1.5 °C and 2.0 °C selected above, we simulated global maize yield changes compared with the average yield during 1986–2005 on grid level using CERES-Maize, which is part of DSSAT version 4.649.\n\nTe inputs for DSSAT simulation include daily weather data, soil parameters, crop calendar data and management information. All the inputs are formatted at a 0.5°×0.5° grid resolution which are computed by highperformance computers. Weather data is from the AgMERRA dataset, including maximum and minimum temperatures, precipitation, total radiation and humidity. Crop calendar data were from the Center for Sustainability and Global Environment (SAGE), in which the existing observations of crop planting and harvesting dates are gridded formatted at a resolution of 5 min50. For management information, fertilizer applications, irrigation and other management practices are required. A crop-specifc gridded dataset of nitrogen fertilizer application for the world was developed by integrating national and subnational fertilizer application data from a variety of sources, which is used to set up current fertilizer application rates for maize in each grid cell. Soil parameters are from the International Soil Profle Dataset (WISE), including soil texture, bulk density, pH, organic carbon content and fraction of calcium carbonate for each of fve 20 cm thick soil layers51. All the soil data is allocated to be in accordance with the request of DSSAT simulation; the missing soil parameters for organic soils were adopted from FAO soil dataset.\n\nFirst maize yields across the world during the historical period 1986–2005 were simulated at the 0.5°×0.5° grid scale with two main production systems, including Spring maize and Summer maize. Historical national maize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from the gridded global dataset by combining two data products47. Second, genetic parameters of specifc cultivars of maize from previous works were adopted for the initial parameters; model parameters related to crop genotype characteristics were calibrated and tuned following the method in Xiong et al.52, in which the simulated yields from 1986–2005 were comparable to the statistical data. Tird, maize yields across the world were simulated under global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from gridded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, comparing maize yield average for 1986–2005.\n\n**Simulation of market price using GTAP.** Te yield changes for maize from the DSSAT models under 1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes in production, market price, and self-sufciency ratio of maize at national and global levels53,54. For this study, we use a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of the major food crops under current economic conditions. Utilizing current economic conditions has the advantage of minimizing assumptions and model uncertainties related to future economic conditions55,56.\n\nTe original GTAP database doesn't include maize as a separate sector, rather it is combined with other coarse grains to form an \"other coarse grain\" sector. For this study, we updated the GTAP database by splitting maize from the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the original database. Te detailed method is given as follows:\n\nFirst, we improved the database by splitting maize from the existing sector \"other coarse grain\", following similar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old fows of data both at national and trade levels are allocated between the new fows using weights. Te national weights include the division of each unsplit user's use of the original split commodity among the new commodities; the division of unsplit inputs to the original industry between the new industries; the splitting of new industry's use of each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\n\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of basic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. Te values for the national shares matrix were obtained from FAOSTAT. Te trade shares matrix was calculated based on the data from UN Comtrade Database.\n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors for maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of production and both livestock and households are major users of maize. For regional aggregation, we kept the details for all the main producing, consuming, and trading regions, for maize.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What would be the price increase resulting from maize production changes due to 1.5°C and 2°C global temperature increase ?", - "target_page": 10, - "target_passage": "In response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## **OPEN**\n\n# **The impact of 1.5 °C and 2.0 °C global warming on global maize production and trade**\n\n**Kuo Li1*****, Jie Pan1 , Wei Xiong2 , Wei Xie3 & TariqAli3**\n\n**Climate change is becoming more and more remarkable which has an obvious impact on crop yields all over the world. Future climate scenario data was simulated by 5 climate models recommended by ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C and 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the world under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at national and global levels were simulated. The results showed that, the risk of maize yield reduction under 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were separately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize production is obvious in the top fve countries and the main producing regions of the world, especially under the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under 1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all countries to pay enough attention to the risk of maize yield and take actions of mitigation and adaptation to climate change.**\n\nIn the past hundred years, the global climate has experienced great changes1–4 . According to the sixth assessment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and almost all regions in the world experienced surface warming5 . Due to global warming, the extreme climate events become more and more frequent, and the ecological environment problems caused by climate change are more and more serious, which restrict the sustainable development of human society and health6–10. Global warming has gradually changed from a scientifc issue to a major social issue of common concern to governments and people of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate change reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated that it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels and pursue eforts to limit the temperature increase to 1.5 °C above pre-industrial levels.\n\nFaced with climate change, agriculture is the most vulnerable sector, which will experience the largest negative impacts from climatic change and lead to more serious food security in the whole world15–20. Meanwhile, global production losses might lead to price shocks and trigger export restrictions21–24; an increasingly interconnected global food system25,26 and the projected fragility of the global food production system due to climatic change further exacerbate the threats to food security in the worldwide27–29. So, the impacts of climate changes on crop yields and prices have been of highly concerned. Numerous studies have revealed that the warming trend has negative impact on crop yields and global trade in most regions all over the world30–32. Tere are three main methods for impacts assessment of climate change on crops, including environment-controlled experiments, statistical regression analysis and model simulations17,33. Environment-controlled experiments are designed to observe the infuence of climate factors on crops, such as drought, food, heat stress, cold damage, elevated CO2 concentration, through which the impact mechanism of climate change on crops would be revealed and established23,34,35. Crop models and trade models are applied to simulate the response of crop yield and market price under climate change, based on process-based crop growth in daily time steps, either in selected feld sites or in selected regions36–39. Te statistical regression analysis usually explores the relationship between historical crop yields and meteorological records in diferent sites or counties to establish regression functions for crop responses predictions40–43. Tese researches have documented that crop yield and price would be threatened much more seriously by global warming, especially due to the increasing trend of frequency and intensity of climate extreme events in the future.\n\n1 Institute of Environment and Sustainable Development in Agriculture, Chinese Academy of Agricultural Sciences, Beijing 100081, China. 2 International Maize and Wheat Improvement Center, Texcoco, Mexico. 3 Peking University, Beijing, China. *email: hqlk2000@163.com", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 6.** Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n**Market price of maize in main countries.** In this study, we elaborate on the endogenous response of our economic models. Tis response can be theoretically elaborated as: due to the efect of climate change on yield reduction (improvement), the supply curve moves lefward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shifing to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. Tis also alters the self-sufciency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among diferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signifcantly under both scenarios, as their yields improve due to climate efects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-sufciency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive efects on yields and/or are relatively less dependent on imports, are positively (less negatively) afected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-sufciency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n#### **Discussion and conclusion**\n\n**Discussion.** Our analysis highlights the efects of climate change on global- and regional-specifc maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We fnd that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. Te limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 7.** Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\n\n**Figure 8.** Changes in Self-sufciency ratio of maize in main countries under global warming by 1.5 °C and 2.0 °C.\n\nmeantime, the huge diferences in yield changes in diferent regions provide a small chance for the world, especially under global warming by 1.5 °C. In the near future, if the global temperature can be efectively controlled under 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. All regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the potentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the yield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by 1.5 °C and 2.0 °C.\n\nMeanwhile, the risk of price fuctuations caused by global corn trade due to future climate change should be paid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, the population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, the supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify the contradiction between supply and demand, which would threaten the food security and sustainable development in the whole world.\n\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (Te Inter-Sectoral Impact Model Intercomparison Project); compared with other climate models, the fve models could more efectively support impact assessment in diferent sectors and provide more reliable results. Based on the simulation results", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "by 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, China and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% in Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would be increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield increasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 11.4% under global warming by 2.0 °C. By comparing the maize production in diferent countries, it can be found that the reduction trend of total maize production in the top fve countries is more obvious, especially under the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\n\nFrom the view of continents, there are diferent trends of maize yield changes in the 6 continents (except Antarctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under global warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, Europe and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 continents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight in Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are diferent in 2 continents, including Asia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the maize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively − 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in Africa the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming scenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual maize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under global warming by 2.0 °C than that under global warming by 1.5 °C. Tere would be an obvious crisis of food supply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make full preparation for adaptation to climate change in the whole world.\n\n<b>Figure 5. (continued)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "is 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of Northern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C.\n\nTere are apparent trends of humidifcation in most regions under global warming by 1.5 °C and 2.0 °C; but the drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is 73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; the area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the area is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere and the middle regions of Northern Hemisphere. Te distribution of precipitation under global warming by 2.0 °C is similar with the situation under global warming by 1.5 °C. Te drought-threatened area would increase by 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; the area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the extreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than those under global warming by 1.5 °C, which is what we should be pay more attention to.\n\n**Yield change of maize under global warming by 1.5 °C and 2.0 °C.** Maize production is afected by climate change apparently. According to the simulation results of CERES-maize, the yield of maize would decrease in the worldwide relative to 1986–2005 under global warming by 2.0 °C; it would increase little under global warming by 1.5 °C. Te distributions of maize yield loss under the two scenarios are similar to each other, mostly located in the middle and low latitude, which are the main regions for maize planting in the world. Te loss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of 1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize planting area in the world, in which the climate situation would become more proper for maize under global", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed9.pdf" - }, - { - "text": "that maize yield would decrease severely. For the whole world more mitigation and adaptation actions should be taken from now on. Food security would be a signifcant challenge in this century.\n\n**Yield change of maize in main countries.** Tere are huge diferences in impacts on maize yield under climate change, which would infuence the food crisis in diferent regions. Tere are 159 countries in the whole world which plant maize. Te gross yield of maize the top 20 countries accounts for more than 90% of the total yield in the 159 countries. So, the changes in the top 20 countries under future scenarios would infuence the food security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming by 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become 33.5%. Tere would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly increase. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which the mean yield loss rate is approximate to that under global warming by 1.5 °C. Tere would be 77 countries experiencing yield increase; however, the mean yield increase is apparently smaller than that under global warming by 1.5 °C. Generally, the global maize yield would decrease. Te results show that the adverse efect of warming up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to develop forward-looking adaptation measures to cope with future climate change.\n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. Te United States accounts for more than 32%; China accounts for about 24%; Brazil, Argentina and Mexico account for about 23%. Te fuctuation of maize production in these fve top countries will have a signifcant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, the maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss rate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. However, there would be increasing trends in the United States and Mexico; the change in the United States would not be signifcant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming\n\nVol:.(1234567890)", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 3.** Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL-CM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalearthdata.com.\n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the whole world under climate change. We should grasp the opportunities and expand the yield increasing potentials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the high-risk regions.\n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in the world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. Te area is 37.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low and middle latitude of South America and Asia, and the middle latitude of Africa and North America. Te area is 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located in the low latitude of South America and the middle latitude of Asia and Europe. Te area is 45.8% of the whole maize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and North America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under RCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative to 1986–2005. Tere are opposite trends of maize yield under global warming by 1.5 °C, which are simulated by diferent global climate models. However, the spatial distributions of maize yield change are similar to each other. Te diference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing are going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world would increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their best to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, gross maize production of the whole world would not be infuenced so much by climate change, but the food\n\nVol:.(1234567890)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 4.** Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: NorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalearthdata.com.\n\nsecurity of the whole world would still be attacked violently. Tere are huge diferences among the continents; South America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming by 1.5 °C. Te changes in maize yield in diferent regions would infuence the maize price and food trades. So, it should be cautious to cope with the maize changes under global warming by 1.5 °C.\n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in the world between 2060 and 2079 would decrease by 18.7% relative to 1986–2005. Te area is 41.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%. Te area is 15.6% of the whole maize planting regions, in which the yield loss would be more than 50%. Te area is 42.7% of the whole maize planting regions, in which the yield would increase. Te distribution of maize yield change is similar to that under global warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the gross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986–2005. Comparing to the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield increases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, the gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M model. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would decrease 10.8% relative to 1986–2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk of yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of global warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance become much bigger for all countries in the world, who will be facing the severe challenge of global temperature rise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed9.pdf" - }, - { - "text": "Firstly, the period of 1986–2005 is defned as the baseline, of which the simulated average value is recognized as 0.61 °C above pre-industrial (the period of 1850–1900) levels; the baseline is selected according to the accessibility and operability of data, which is used for the determination of the periods with global warming by 1.5 °C and 2.0 °C and the comparison of maize yield between diferent periods. Secondly, the simulated values of global mean temperature in the future years are subtracted from the simulated average value of 1986–2005; then the values should be plus with 0.61 °C, which are the global warming results above pre-industrial levels; then 20 years moving average of the above results are calculated. Tirdly, the climate data of global warming by 1.5 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 1.5–2.0 °C above pre-industrial levels at the end of the twenty-frst century; the climate data of global warming by 2.0 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 2.0–2.5 °C above pre-industrial levels at the end of the twenty-frst century and the period of global warming by 2.0 °C should not be earlier than 2050. Finally, the climate models, scenarios and periods of global warming by 1.5 °C and 2.0 °C are separately confrmed; the data of global warming by 1.5 °C, simulated by IPSL-CM5A-LR under RCP2.6 scenario during 2020–2039 and simulated by GFDL-ESM2M under RCP4.5 scenario during 2041–2060; the data of global warming by 2.0 °C, simulated by NorESM1-M under RCP4.5 scenario during 2060–2079 and simulated by GFDL-ESM2M under RCP6.0 scenario during 2065–2084.\n\n**Simulation of maize yield using DSSAT.** According to the data of global warming by 1.5 °C and 2.0 °C selected above, we simulated global maize yield changes compared with the average yield during 1986–2005 on grid level using CERES-Maize, which is part of DSSAT version 4.649.\n\nTe inputs for DSSAT simulation include daily weather data, soil parameters, crop calendar data and management information. All the inputs are formatted at a 0.5°×0.5° grid resolution which are computed by highperformance computers. Weather data is from the AgMERRA dataset, including maximum and minimum temperatures, precipitation, total radiation and humidity. Crop calendar data were from the Center for Sustainability and Global Environment (SAGE), in which the existing observations of crop planting and harvesting dates are gridded formatted at a resolution of 5 min50. For management information, fertilizer applications, irrigation and other management practices are required. A crop-specifc gridded dataset of nitrogen fertilizer application for the world was developed by integrating national and subnational fertilizer application data from a variety of sources, which is used to set up current fertilizer application rates for maize in each grid cell. Soil parameters are from the International Soil Profle Dataset (WISE), including soil texture, bulk density, pH, organic carbon content and fraction of calcium carbonate for each of fve 20 cm thick soil layers51. All the soil data is allocated to be in accordance with the request of DSSAT simulation; the missing soil parameters for organic soils were adopted from FAO soil dataset.\n\nFirst maize yields across the world during the historical period 1986–2005 were simulated at the 0.5°×0.5° grid scale with two main production systems, including Spring maize and Summer maize. Historical national maize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from the gridded global dataset by combining two data products47. Second, genetic parameters of specifc cultivars of maize from previous works were adopted for the initial parameters; model parameters related to crop genotype characteristics were calibrated and tuned following the method in Xiong et al.52, in which the simulated yields from 1986–2005 were comparable to the statistical data. Tird, maize yields across the world were simulated under global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from gridded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, comparing maize yield average for 1986–2005.\n\n**Simulation of market price using GTAP.** Te yield changes for maize from the DSSAT models under 1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes in production, market price, and self-sufciency ratio of maize at national and global levels53,54. For this study, we use a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of the major food crops under current economic conditions. Utilizing current economic conditions has the advantage of minimizing assumptions and model uncertainties related to future economic conditions55,56.\n\nTe original GTAP database doesn't include maize as a separate sector, rather it is combined with other coarse grains to form an \"other coarse grain\" sector. For this study, we updated the GTAP database by splitting maize from the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the original database. Te detailed method is given as follows:\n\nFirst, we improved the database by splitting maize from the existing sector \"other coarse grain\", following similar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old fows of data both at national and trade levels are allocated between the new fows using weights. Te national weights include the division of each unsplit user's use of the original split commodity among the new commodities; the division of unsplit inputs to the original industry between the new industries; the splitting of new industry's use of each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\n\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of basic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. Te values for the national shares matrix were obtained from FAOSTAT. Te trade shares matrix was calculated based on the data from UN Comtrade Database.\n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors for maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of production and both livestock and households are major users of maize. For regional aggregation, we kept the details for all the main producing, consuming, and trading regions, for maize.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Figure 2.** Distribution of temperature and precipitation changes under global warming by 1.5 °C and 2.0 °C (**a**) temperature, 1.5 °C; (**b**) temperature, 2.0 °C; (**c**) precipitation, 1.5 °C; (**d**) precipitation, 2.0 °C. Te fgure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https://naturalear thdata.com.\n\nTird, yield shocks for maize were incorporated into the GTAP model via changes in land efciency for the production of the respective in each region.\n\n### **Results**\n\n**Climate change under global warming by 1.5 °C and 2.0 °C.** Tere are apparent change trends of temperature and precipitation relative to the baseline (1986–2005) under global warming by 1.5 °C and 2.0 °C. Te most remarkable characteristics is the rising of mean temperature in the worldwide (Fig. 2a, b); meanwhile, the rainfall would increase in most regions of the world. Te distributions of temperature changes under global warming by 1.5 °C and 2.0 °C are similar (Fig. 2c, d). Tere are few regions in which the temperature would go down under the two scenarios; the temperature goes up more seriously in the Northern Hemisphere than the Southern regions; especially in the high-latitude area the temperature rises more quickly than the other regions. Under global warming by 1.5 °C the area is 54.4% in whole world in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 29.2% of the whole world in which the temperature would go up more than 1.5 °C, most located in the high latitude regions of Northern Hemisphere; the area is 16.4% of the whole world in which the temperature would go up between 0 and 1.0 °C , mostly located in the Southern Hemisphere and the low latitude regions of Northern Hemisphere. Under global warming by 2.0 °C the area is 12.3% in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 69.8% in which the temperature would go up between 1.5 and 3.0 °C than the baseline, located in the middle and high latitude regions; the area\n\nVol:.(1234567890)", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is a formal fallacy ?", - "target_page": 8, - "target_passage": "For formal fallacies, the source of the error is found in the form of the argument", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "burglar broke into the house last night, got hungry on the job, and had a midnight snack, would also explain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely explanation.[82][83]\n\n# **Fallacies**\n\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually referred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw with the reasoning leading to this conclusion.[84] So the argument \"it is sunny today; therefore spiders have eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill, give a more restrictive definition of fallacies by additionally requiring that they appear to be correct.[85] This way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness. This explains why people tend to commit fallacies: because they have an alluring element that seduces people into committing and accepting them.[86] However, this reference to appearances is controversial because it belongs to the field of psychology, not logic, and because appearances may be different for different people.[87]\n\nFallacies are usually divided into formal and informal fallacies.[38] For formal fallacies, the source of the error is found in the *form* of the argument. For example, denying the antecedent is one type of formal fallacy, as in \"if Othello is a bachelor, then he is male; Othello is not a bachelor; therefore Othello is not male\".[88] But most fallacies fall into the category of informal fallacies, of which a great variety is discussed in the academic literature. The source of their error is usually found in the *content* or the *context* of the argument.[89] Informal fallacies are sometimes categorized as fallacies of ambiguity, fallacies of presumption, or fallacies of relevance. For fallacies of ambiguity, the ambiguity and vagueness of natural language are\n\nYoung America's dilemma: Shall I be wise and great, or rich and powerful? (poster from 1901) This is an example of a false dilemma: an informal fallacy using a disjunctive premise that excludes viable alternatives.\n\nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot be dark\".[90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise.[91] In the case of fallacies of relevance, the premises do not support the conclusion because they are not relevant to it.[92]\n\n# **Definitory and strategic rules**\n\nThe main focus of most logicians is to study the criteria according to which an argument is correct or incorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known as *rules of inference*. [93] They are definitory rules, which determine whether an inference is correct or which inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which inferential moves are necessary to reach a given conclusion based on a set of premises. This distinction does not just apply to logic but also to games. In chess, for example, the definitory rules dictate that bishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia1.pdf" - }, - { - "text": "# **Logic**\n\n**Logic** is the study of correct reasoning. It includes both formal and informal logic. Formal logic is the study of deductively valid inferences or logical truths. It examines how conclusions follow from premises based on the structure of arguments alone, independent of their topic and content. Informal logic is associated with informal fallacies, critical thinking, and argumentation theory. Informal logic examines arguments expressed in natural language whereas formal logic uses formal language. When used as a countable noun, the term \"a logic\" refers to a specific logical formal system that articulates a proof system. Logic plays a central role in many fields, such as philosophy, mathematics, computer science, and linguistics.\n\nLogic studies valid forms of inference like *modus ponens*.\n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the argument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the conclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be true or false. An important feature of propositions is their internal structure. For example, complex propositions are made up of simpler propositions linked by logical vocabulary like (and) or (if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a proposition usually depends on the meanings of all of its parts. However, this is not the case for logically true propositions. They are true only because of their logical structure independent of the specific meanings of the individual parts.\n\nArguments can be either correct or incorrect. An argument is correct if its premises support its conclusion. Deductive arguments have the strongest form of support: if their premises are true then their conclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new information not found in the premises. Many arguments in everyday discourse and the sciences are ampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are statistical generalization—such as inferring that all ravens are black, based on many individual observations of black ravens.[2] Abductive arguments are inferences to the best explanation—for example, when a doctor concludes that a patient has a certain disease, as the best explanation for the symptoms that they are observed to suffer. [3] Arguments that fall short of the standards of correct reasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the correctness of arguments.\n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, and Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the main system of logic in the Western world until it was replaced by modern formal logic, which has its roots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly used system is classical logic. It consists of propositional logic and first-order logic. Propositional logic only considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). *Internet Encyclopedia of Philosophy*. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla cy/) from the original on 29 April 2010. Retrieved 19 March 2021.\n- van Eemeren, Frans H.; Garssen, Bart (2009). *Pondering on Problems of Argumentation: Twenty Essays on Theoretical Issues*. Springer Science & Business Media. p. 191. ISBN 978-1-4020-9165-0.\n- van Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. Francisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe r.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1). *Handbook of Argumentation Theory*. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7- 1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived (https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ 10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved 2 January 2022.\n- van Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, Charles A. (2013). *Fundamentals of Argumentation Theory: A Handbook of Historical Backgrounds and Contemporary Developments*. Routledge. p. 169. ISBN 978-1-136-68804- 1.\n- Emmanuel, Steven M. (2015). *A Companion to Buddhist Philosophy*. John Wiley & Sons. pp. 320–2. ISBN 978-1-119-14466-3.\n- Enderton, Herbert (2001). *A Mathematical Introduction to Logic*. Elsevier. ISBN 978-0-12- 238452-3.\n- Engel, S. Morris (1982). *With Good Reason an Introduction to Informal Fallacies* (https://phil papers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w eb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original on 1 March 2022. Retrieved 2 January 2022.\n- Evans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.). *The Cambridge Handbook of Thinking and Reasoning*. Cambridge University Press. p. 169. ISBN 978-0-521-82417-0.\n- Ewald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri es/logic-firstorder-emergence/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 12 March 2023.\n- Falguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http s://plato.stanford.edu/entries/abstract-objects/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 January 2021. Retrieved 7 January 2022.\n- Falikowski, Anthony; Mills, Susan (2022). *Experiencing Philosophy* (2nd ed.). Broadview Press. p. 98. ISBN 978-1-77048-841-0.\n- Fisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005). *Handbook of Temporal Reasoning in Artificial Intelligence*. Elsevier. p. 119. ISBN 978-0-08-053336-0.\n- Fitch, G. W. (18 December 2014). *Saul Kripke*. Routledge. p. 17. ISBN 978-1-317-48917-7.\n- Flotyński, Jakub (7 December 2020). *Knowledge-Based Explorable Extended Reality Environments*. Springer Nature. p. 39. ISBN 978-3-030-59965-2.\n- Font, Josep Maria; Jansana, Ramon (2017). *A General Algebraic Semantics for Sentential Logics*. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1.\n- Frede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). *Michigan Technological University*. Retrieved 1 November 2022.\n- Friend, Michele (2014). *Introducing Philosophy of Mathematics*. Routledge. p. 101. ISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid the principle of explosion: for them, it is not the case that anything follows from a contradiction.[139] They are often motivated by dialetheism, the view that contradictions are real or that reality itself is contradictory. Graham Priest is an influential contemporary proponent of this position and similar views have been ascribed to Georg Wilhelm Friedrich Hegel. [140]\n\n# **Informal**\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like investigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some frameworks of informal logic have also been presented that try to provide a systematic characterization of the correctness of arguments.[141]\n\nThe *pragmatic* or *dialogical approach* to informal logic sees arguments as speech acts and not merely as a set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a dialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas N. Walton understands a dialogue as a game between two players. The initial position of each player is characterized by the propositions to which they are committed and the conclusion they intend to prove. Dialogues are games of persuasion: each player has the goal of convincing the opponent of their own conclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They affect to which propositions the players are committed. A winning move is a successful argument that takes the opponent's commitments as premises and shows how one's own conclusion follows from them. This is usually not possible straight away. For this reason, it is normally necessary to formulate a sequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's intended conclusion. Besides these positive arguments leading one closer to victory, there are also negative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an argument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other hand, are violations of the standards of proper argumentative rules.[146] These standards also depend on the type of dialogue. For example, the standards governing the scientific discourse differ from the standards in business negotiations.[147]\n\nThe *epistemic approach* to informal logic, on the other hand, focuses on the epistemic role of arguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this by linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at expanding knowledge while fallacies are epistemic failures: they do not justify the belief in their conclusion.[150] For example, the fallacy of begging the question is a *fallacy* because it fails to provide independent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical normativity consists in epistemic success or rationality. [149] The Bayesian approach is one example of an epistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the degree to which they believe it, the so-called *credence*. Degrees of belief are seen as subjective probabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On this view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "new formal systems have been proposed. There are disagreements about what makes a formal system a logic.[22] For example, it has been suggested that only logically complete systems, like first-order logic, qualify as logics. For such reasons, some theorists deny that higher-order logics are logics in the strict sense.[23]\n\nFormal logic needs to translate natural language arguments into a formal language, like first-order logic, to assess whether they are valid. In this example, the letter \"c\" represents Carmen while the letters \"M\" and \"T\" stand for \"Mexican\" and \"teacher\". The symbol \"∧\" has the meaning of \"and\".\n\n# **Informal logic**\n\nWhen understood in a wide sense, logic\n\nencompasses both formal and informal logic.[24] Informal logic uses non-formal criteria and standards to analyze and assess the correctness of arguments. Its main focus is on everyday discourse.[25] Its development was prompted by difficulties in applying the insights of formal logic to natural language arguments.[26] In this regard, it considers problems that formal logic on its own is unable to address.[27] Both provide criteria for assessing the correctness of arguments and distinguishing them from fallacies.[28]\n\nMany characterizations of informal logic have been suggested but there is no general agreement on its precise definition.[29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the language used to express arguments. On this view, informal logic studies arguments that are in informal or natural language.[30] Formal logic can only examine them indirectly by translating them first into a formal language while informal logic investigates them in their original form.[31] On this view, the argument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is examined by informal logic. But the formal translation \"(1) ; (2) ; (3) \" is studied by formal logic.[32] The study of natural language arguments comes with various difficulties. For example, natural language expressions are often ambiguous, vague, and context-dependent.[33] Another approach defines informal logic in a wide sense as the normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes questions about the role of rationality, critical thinking, and the psychology of argumentation.[34]\n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, it contrasts with deductive reasoning examined by formal logic.[35] Non-deductive arguments make their conclusion probable but do not ensure that it is true. An example is the inductive argument from the empirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are black\".[36]\n\nA further approach is to define informal logic as the study of informal fallacies. [37] Informal fallacies are incorrect arguments in which errors are present in the content and the context of the argument.[38] A false dilemma, for example, involves an error of content by excluding viable options. This is the case in the fallacy \"you are either with us or against us; you are not with us; therefore, you are against us\".[39] Some theorists state that formal logic studies the general form of arguments while informal logic studies particular instances of arguments. Another approach is to hold that formal logic only considers the role of", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Vidyabhusana, Satis Chandra (1988). *A History of Indian Logic: Ancient, Mediaeval and Modern Schools*. Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1.\n- Vleet, Van Jacob E. (2010). \"Introduction\". *Informal Logical Fallacies: A Brief Guide* (https://p hilpapers.org/rec/VLEILF). Upa. pp. ix–x. ISBN 978-0-7618-5432-6. Archived (https://web.ar chive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28 February 2022. Retrieved 2 January 2022.\n- Väänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ entries/logic-higher-order/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ https://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. Retrieved 23 November 2021.\n- Walton, Douglas N. (1987). *Informal Fallacies: Towards a Theory of Argument Criticisms* (htt ps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http s://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the original on 2 March 2022. Retrieved 2 January 2022.\n- Warren, Jared (2020). *Shadows of Syntax: Revitalizing Logical and Mathematical Conventionalism* (https://global.oup.com/academic/product/shadows-of-syntax-9780190086 152). Oxford University Press. ISBN 978-0-19-008615-2.\n- Washell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r ec/WASLLA-3). *Journal of the History of Ideas*. **34** (3): 445–50. doi:10.2307/2708963 (http s://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963).\n- Wasilewska, Anita (2018). *Logics for Computer Science: Classical and Non-Classical*. Springer. pp. 145–6. ISBN 978-3-319-92591-2.\n- Weber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/). *Internet Encyclopedia of Philosophy*. Retrieved 12 December 2021.\n- Weddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". *Across the Lines of Disciplines* (https://www.degruyter.com/document/doi/10.1515/97831108 67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http s://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w eb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022.\n- Westerståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp apers.org/rec/WESASA). *Studia Logica*. **48** (4): 577–585. doi:10.1007/BF00370209 (https:// doi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu sID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o rg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022.\n- Wilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp ringer.com/article/10.1007/s10503-009-9131-5). *Argumentation*. **24** (1): 107–124. doi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). ISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap i.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Wilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum Logic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n- Wile, Bruce; Goss, John; Roesner, Wolfgang (2005). *Comprehensive Functional Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3.\n- Willman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat o.stanford.edu/entries/chinese-logic-language/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts as a premise of later arguments. For a complex argument to be successful, each link of the chain has to be successful.[43]\n\nArguments and inferences are either correct or incorrect. If they are correct then their premises support their conclusion. In the incorrect case, this support is missing. It can take different forms corresponding to the different types of reasoning. [62] The strongest form of support corresponds to deductive reasoning. But even arguments that are not deductively valid may still be good arguments because their premises offer nondeductive support to their conclusions. For such cases, the term *ampliative* or *inductive reasoning* is used.[63] Deductive arguments are associated with formal logic in contrast to the\n\nArgument terminology used in logic\n\nrelation between ampliative arguments and informal logic.[64]\n\n#### **Deductive**\n\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For instance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are frogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the conclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) therefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65]\n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) they are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a priori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that they hold by logical necessity for the given propositions, independent of any other circumstances.[66]\n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of inference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be structured for the inference to be valid. Arguments that do not follow any rule of inference are deductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"*p*; if *p*, then *q*; therefore *q*\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one can use modus ponens to deduce that the streets are wet ( ).[70]\n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is impossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often asserted that deductive inferences are uninformative since the conclusion cannot arrive at new information not already present in the premises.[72] But this point is not always accepted since it would mean, for example, that most of mathematics is uninformative. A different characterization distinguishes", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions behind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant logics, on the other hand, reject certain classical intuitions and provide alternative explanations of the basic laws of logic.\n\n# **Definition**\n\nThe word \"logic\" originates from the Greek word *logos*, which has a variety of translations, such as reason, discourse, or language. [4] Logic is traditionally defined as the study of the laws of thought or correct reasoning, [5] and is usually understood in terms of inferences or arguments. Reasoning is the activity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a set of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. whether their premises support the conclusion.[7] These general characterizations apply to logic in the widest sense, i.e., to both formal and informal logic since they are both concerned with assessing the correctness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict logic to formal logic.[9]\n\n# **Formal logic**\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal approach to study reasoning: it replaces concrete expressions with abstract symbols to examine the logical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is only concerned with the abstract structure of arguments and not with their concrete content.[10]\n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures the truth of their conclusion. This means that it is impossible for the premises to be true and the conclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion follows a pattern called a rule of inference. [12] For example, modus ponens is a rule of inference according to which all arguments of the form \"(1) *p*, (2) if *p* then *q*, (3) therefore *q*\" are valid, independent of what the terms *p* and *q* stand for. [13] In this sense, formal logic can be defined as the science of valid inferences. An alternative definition sees logic as the study of logical truths. [14] A proposition is logically true if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible worlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is not\".[15] These two definitions of formal logic are not identical, but they are closely related. For example, if the inference from *p* to *q* is deductively valid then the claim \"if *p* then *q*\" is a logical truth.[16]\n\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very limited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to construct sentences, so-called well-formed formulas. [18] This simplicity and exactness of formal logic make it capable of formulating precise rules of inference. They determine whether a given argument is valid.[19] Because of the reliance on formal language, natural language arguments cannot be studied directly. Instead, they need to be translated into formal language before their validity can be assessed.[20]\n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, *a logic* is a logical formal system. Distinct logics differ from each other concerning the rules of inference they accept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "logical constants for correct inferences while informal logic also takes the meaning of substantive concepts into account. Further approaches focus on the discussion of logical topics with or without formal devices and on the role of epistemology for the assessment of arguments.[40]\n\n# **Basic concepts**\n\n### **Premises, conclusions, and truth**\n\n#### **Premises and conclusions**\n\n*Premises* and *conclusions* are the basic parts of inferences or arguments and therefore play a central role in logic. In the case of a valid inference or a correct argument, the conclusion follows from the premises, or in other words, the premises support the conclusion.[41] For instance, the premises \"Mars is red\" and \"Mars is a planet\" support the conclusion \"Mars is a red planet\". For most types of logic, it is accepted that premises and conclusions have to be truth-bearers. [41][a] This means that they have a truth value: they are either true or false. Contemporary philosophy generally sees them either as *propositions* or as *sentences*. [43] Propositions are the denotations of sentences and are usually seen as abstract objects. [44] For example, the English sentence \"the tree is green\" is different from the German sentence \"der Baum ist grün\" but both express the same proposition.[45]\n\nPropositional theories of premises and conclusions are often criticized because they rely on abstract objects. For instance, philosophical naturalists usually reject the existence of abstract objects. Other arguments concern the challenges involved in specifying the identity criteria of propositions.[43] These objections are avoided by seeing premises and conclusions not as propositions but as sentences, i.e. as concrete linguistic objects like the symbols displayed on a page of a book. But this approach comes with new problems of its own: sentences are often context-dependent and ambiguous, meaning an argument's validity would not only depend on its parts but also on its context and on how it is interpreted.[46] Another approach is to understand premises and conclusions in psychological terms as thoughts or judgments. This position is known as psychologism. It was discussed at length around the turn of the 20th century but it is not widely accepted today. [47]\n\n#### **Internal structure**\n\nPremises and conclusions have an internal structure. As propositions or sentences, they can be either simple or complex.[48] A complex proposition has other propositions as its constituents, which are linked to each other through propositional connectives like \"and\" or \"if...then\". Simple propositions, on the other hand, do not have propositional parts. But they can also be conceived as having an internal structure: they are made up of subpropositional parts, like singular terms and predicates. [49][48] For example, the simple proposition \"Mars is red\" can be formed by applying the predicate \"red\" to the singular term \"Mars\". In contrast, the complex proposition \"Mars is red and Venus is white\" is made up of two simple propositions connected by the propositional connective \"and\".[49]\n\nWhether a proposition is true depends, at least in part, on its constituents. For complex propositions formed using truth-functional propositional connectives, their truth only depends on the truth values of their parts. [49][50] But this relation is more complicated in the case of simple propositions and their", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- 55. Gómez-Torrente 2019; Jago 2014, p. 41.\n- 56. Magnus 2005, pp. 35–38, 3. Truth tables; Angell 1964, p. 164; Hall & O'Donnell 2000, p. 48 (https://books.google.com/books?id=yP4MJ36C4ZgC&pg=PA48).\n- 57. Magnus 2005, pp. 35–45, 3. Truth tables; Angell 1964, p. 164.\n- 58. Tarski 1994, p. 40.\n- 59. Hintikka 2019, lead section, §Nature and varieties of logic; Audi 1999b, Philosophy of logic.\n- 60. Blackburn 2008, argument; Stairs 2017, p. 343.\n- 61. Copi, Cohen & Rodych 2019, p. 30 (https://books.google.com/books?id=38bADwAAQBAJ& pg=PA30).\n- 62. Hintikka & Sandu 2006, p. 20; Backmann 2019, pp. 235–255; IEP Staff.\n- 63. Hintikka & Sandu 2006, p. 16; Backmann 2019, pp. 235–255; IEP Staff.\n- 64. Groarke 2021, 1.1 Formal and Informal Logic; Weddle 2011, pp. 383–8, 36. Informal logic and the eductive-inductive distinction; van Eemeren & Garssen 2009, p. 191.\n- 65. Evans 2005, 8. Deductive Reasoning, p. 169 (https://books.google.com/books?id=znbkHaC 8QeMC&pg=PA169).\n- 66. McKeon.\n- 67. Hintikka & Sandu 2006, pp. 13–4.\n- 68. Hintikka & Sandu 2006, pp. 13–4; Blackburn 2016, rule of inference.\n- 69. Blackburn 2016, rule of inference.\n- 70. Dick & Müller 2017, p. 157.\n- 71. Hintikka & Sandu 2006, p. 13; Backmann 2019, pp. 235–255; Douven 2021.\n- 72. Hintikka & Sandu 2006, p. 14; D'Agostino & Floridi 2009, pp. 271–315.\n- 73. Hintikka & Sandu 2006, p. 14; Sagüillo 2014, pp. 75–88; Hintikka 1970, pp. 135–152.\n- 74. Hintikka & Sandu 2006, pp. 13–6; Backmann 2019, pp. 235–255; IEP Staff.\n- 75. Rocci 2017, p. 26; Hintikka & Sandu 2006, pp. 13, 16; Douven 2021.\n- 76. IEP Staff; Douven 2021; Hawthorne 2021.\n- 77. IEP Staff; Hawthorne 2021; Wilbanks 2010, pp. 107–124.\n- 78. Douven 2021.\n- 79. Groarke 2021, 4.1 AV Criteria; Possin 2016, pp. 563–593.\n- 80. Scott & Marshall 2009, analytic induction; Houde & Camacho 2003, Induction.\n- 81. Borchert 2006b, Induction.\n- 82. Douven 2021; Koslowski 2017, Abductive reasoning and explanation (https://www.taylorfran cis.com/locs/edit/10.4324/9781315725697-20/abductive-reasoning-explanation-barbara-kosl owski).\n- 83. Cummings 2010, Abduction, p. 1.\n- 84. Hansen 2020; Chatfield 2017, p. 194.\n- 85. Walton 1987, pp. 7, 1. A new model of argument; Hansen 2020.\n- 86. Hansen 2020.\n- 87. Hansen 2020; Walton 1987, pp. 63, 3. Logic of propositions.\n- 88. Sternberg; Stone 2012, pp. 327–356.\n- 89. Walton 1987, pp. 2–4, 1. A new model of argument; Dowden; Hansen 2020.\n- 90. Engel 1982, pp. 59–92, 2. The medium of language; Mackie 1967; Stump.\n- 91. Stump; Engel 1982, pp. 143–212, 4. Fallacies of presumption.\n- 92. Stump; Mackie 1967.\n- 93. Hintikka & Sandu 2006, p. 20.\n- 94. Hintikka & Sandu 2006, p. 20; Pedemonte 2018, pp. 1–17; Hintikka 2023.", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "In early Chinese philosophy, what were the major influences regarding the philosophy of logic ?", - "target_page": 18, - "target_passage": "In Chinese philosophy, the School of Names and Mohism were particularly influential", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of Names focused on the use of language and on paradoxes. For example, Gongsun Long proposed the white horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism also acknowledged the importance of language for logic and tried to relate the ideas in these fields to the realm of ethics.[197]\n\nIn India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It was not treated as a separate academic discipline and discussions of its topics usually happened in the context of epistemology and theories of dialogue or argumentation.[198] In Nyaya, inference is understood as a source of knowledge (pramāṇa). It follows the perception of an object and tries to arrive at conclusions, for example, about the cause of this object.[199] A similar emphasis on the relation to epistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the knowledge gained through other sources.[200] Some of the later theories of Nyaya, belonging to the Navya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense and reference and his definition of number. [201]\n\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when interest in the foundations of mathematics stimulated the development of modern symbolic logic.[202] Many see Gottlob Frege's *Begriffsschrift* as the birthplace of modern logic. Gottfried Wilhelm Leibniz's idea of a universal formal language is often considered a forerunner. Other pioneers were George Boole, who invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the logic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these insights in their work *Principia Mathematica*. Modern logic introduced novel concepts, such as functions, quantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language to precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on natural language.[203] Of particular influence was the development of first-order logic, which is usually treated as the standard system of modern logic.[204] Its analytical generality allowed the formalization of mathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model theory possible and provided the foundation of modern mathematical logic.[205]\n\n# **See also**\n\n*Philosophy portal*", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Rautenberg, Wolfgang (1 July 2010). *A Concise Introduction to Mathematical Logic*. Springer. p. 15. ISBN 978-1-4419-1221-3.\n- Rendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri es/logic-epistemic/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n- Restall, Greg; Standefer, Shawn (2023). *Logical Methods*. MIT Press. p. 91. ISBN 978-0- 262-54484-9.\n- Richardson, Alan W. (1998). *Carnap's Construction of the World: The Aufbau and the Emergence of Logical Empiricism*. Cambridge University Press. p. 15. ISBN 978-0-521- 43008-1.\n- Rini, Adriane (13 December 2010). *Aristotle's Modal Proofs: Prior Analytics A8-22 in Predicate Logic*. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5.\n- Ritola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d oi.org/10.22329%2Fil.v28i4.2856). *Informal Logic*. **28** (4): 335. doi:10.22329/il.v28i4.2856 (h ttps://doi.org/10.22329%2Fil.v28i4.2856).\n- Rocci, Andrea (8 March 2017). *Modality in Argumentation: A Semantic Investigation of the Role of Modalities in the Structure of Arguments with an Application to Italian Modal Expressions*. Springer. p. 26. ISBN 978-94-024-1063-1.\n- Rošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\". *Philosophy Compass*. **10** (5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222 6).\n- Runco, Mark A.; Pritzker, Steven R. (1999). *Encyclopedia of Creativity*. Academic Press. p. 155. ISBN 978-0-12-227075-8.\n- Rush, Penelope (2014). \"Introduction\". *The Metaphysics of Logic* (https://philpapers.org/rec/ RUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt ps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the original on 7 December 2021. Retrieved 8 January 2022.\n- Sadegh-Zadeh, Kazem (2015). *Handbook of Analytic Philosophy of Medicine*. Springer. p. 983. ISBN 978-94-017-9579-1.\n- Sagüillo, José M. (2014). \"Hintikka on Information and Deduction\". *Teorema: Revista Internacional de Filosofía*. **33** (2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/ 0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609).\n- Sarukkai, Sundar; Chakraborty, Mihir Kumar (2022). *Handbook of Logical Thought in India*. Springer Nature. pp. 117–8. ISBN 978-81-322-2577-5.\n- Schagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic). *Encyclopædia Britannica*. Retrieved 23 September 2022.\n- Schechter, Joshua. \"Epistemology of Logic Bibliography\" (https://philpapers.org/browse/ep istemology-of-logic). *PhilPapers*. Retrieved 11 September 2022.\n- Schlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001). *The Structure of Arguments*. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3.\n- Schreiner, Wolfgang (2021). *Thinking Programs: Logical Modeling and Reasoning About Languages, Data, Computations, and Executions*. Springer Nature. p. 22. ISBN 978-3-030- 80507-4.\n- Scott, John; Marshall, Gordon (2009). \"analytic induction\". *A Dictionary of Sociology* (https:// www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford University Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010 8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Shapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e ntries/logic-classical/#Sema). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023.", - "page_start": 34, - "page_end": 34, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Haack, Susan (1978). \"1. 'Philosophy of logics' \". *Philosophy of Logics* (https://philpapers.or g/rec/HAAPOL-2). London and New York: Cambridge University Press. pp. 1–10. ISBN 978- 0-521-29329-7. Archived (https://web.archive.org/web/20211207200551/https://philpapers.o rg/rec/HAAPOL-2) from the original on 7 December 2021. Retrieved 29 December 2021.\n- Haack, Susan (1996). *Deviant Logic, Fuzzy Logic: Beyond the Formalism*. University of Chicago Press. ISBN 978-0-226-31133-3.\n- Haaparanta, Leila (2009). \"1. Introduction\". *The Development of Modern Logic*. Oxford University Press. pp. 4–6. ISBN 978-0-19-513731-6.\n- Hansen, Hans (2020). \"Fallacies\" (https://plato.stanford.edu/entries/fallacies/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (http s://web.archive.org/web/20210329182946/https://plato.stanford.edu/entries/fallacies/) from the original on 29 March 2021. Retrieved 18 March 2021.\n- Hartmann, Stephan; Sprenger, Jan (2010). \"Bayesian Epistemology\". *The Routledge Companion to Epistemology* (https://philpapers.org/rec/BOVSIO). London: Routledge. pp. 609–620. ISBN 978-0-415-96219-3. Archived (https://web.archive.org/web/2021051609 5047/https://philpapers.org/rec/BOVSIO) from the original on 16 May 2021. Retrieved 4 January 2022.\n- Hasse, Dag Nikolaus (2008). \"Influence of Arabic and Islamic Philosophy on the Latin West\" (https://plato.stanford.edu/entries/arabic-islamic-influence/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023.\n- Hawthorne, James (2021). \"Inductive Logic\" (https://plato.stanford.edu/entries/logic-inductiv e/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20220121081805/https://plato.stanford.ed u/entries/logic-inductive/) from the original on 21 January 2022. Retrieved 6 January 2022.\n- Hintikka, Jaakko J. (2019). \"Philosophy of logic\" (https://www.britannica.com/topic/philosoph y-of-logic). *Encyclopædia Britannica*. Archived (https://web.archive.org/web/2015042810173 2/http://www.britannica.com/EBchecked/topic/346240/philosophy-of-logic) from the original on 28 April 2015. Retrieved 21 November 2021.\n- Hintikka, Jaakko J. (2023). \"Logical systems\" (https://www.britannica.com/topic/logic/Logical -systems). *Encyclopædia Britannica*. Archived (https://web.archive.org/web/2021120718465 6/https://www.britannica.com/topic/logic/Logical-systems) from the original on 7 December 2021. Retrieved 4 December 2021.\n- Hintikka, Jaakko (1970). \"Information, Deduction, and the A Priori\". *Noûs*. **4** (2): 135–152. doi:10.2307/2214318 (https://doi.org/10.2307%2F2214318). ISSN 0029-4624 (https://searc h.worldcat.org/issn/0029-4624). JSTOR 2214318 (https://www.jstor.org/stable/2214318).\n- Hintikka, Jaakko; Sandu, Gabriel (2006). \"What is Logic?\". In Jacquette, D. (ed.). *Philosophy of Logic* (https://philpapers.org/rec/JAAWIL). North Holland. pp. 13–39. ISBN 978-0-444-51541-4. Archived (https://web.archive.org/web/20211207235525/https://ph ilpapers.org/rec/JAAWIL) from the original on 7 December 2021. Retrieved 29 December 2021.\n- Hintikka, Jaakko J.; Spade, Paul Vincent. \"History of logic\" (https://www.britannica.com/topi c/history-of-logic). *Encyclopædia Britannica*. Retrieved 23 September 2022.\n- Honderich, Ted (2005). *The Oxford Companion to Philosophy* (https://philpapers.org/rec/HO NTOC-2). Oxford University Press. ISBN 978-0-19-926479-7. Archived (https://web.archive. org/web/20210129082636/https://philpapers.org/rec/HONTOC-2) from the original on 29 January 2021. Retrieved 2 January 2022.\n- Hurley, Patrick J. (2015). \"4. Categorical Syllogisms\". *Logic: The Essentials*. Wadsworth. pp. 189–237. ISBN 978-1-305-59041-0.\n- IEP Staff. \"Deductive and Inductive Arguments\" (https://iep.utm.edu/ded-ind/). Archived (http s://web.archive.org/web/20100528032124/https://iep.utm.edu/ded-ind/) from the original on 28 May 2010. Retrieved 6 January 2022.", - "page_start": 29, - "page_end": 29, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Ibn Sina (Avicenna) was the founder of Avicennian logic, which replaced Aristotelian logic as the dominant system of logic in the Islamic world. [189] It influenced Western medieval writers such as Albertus Magnus and William of Ockham. [190] Ibn Sina wrote on the hypothetical syllogism[191] and on the propositional calculus. [192] He developed an original \"temporally modalized\" syllogistic theory, involving temporal logic and modal logic.[193] He also made use of inductive logic, such as his methods of agreement, difference, and concomitant variation, which are critical to the scientific method. [191] Fakhr al-Din al-Razi was another influential Muslim logician. He criticized Aristotelian syllogistics and formulated an early system of inductive logic, foreshadowing the system of inductive logic developed by John Stuart Mill.[194]\n\nDuring the Middle Ages, many translations and interpretations of Aristotelian logic were made. The works of Boethius were particularly influential. Besides translating Aristotle's work into Latin, he also produced textbooks on logic.[195] Later, the works of Islamic philosophers such as Ibn Sina and Ibn Rushd (Averroes) were drawn on. This expanded the range of ancient works available to medieval Christian scholars since more Greek work was available to Muslim scholars that had been preserved in Latin commentaries. In 1323, William of Ockham's influential *Summa Logicae* was released. It is a comprehensive treatise on logic that discusses many basic concepts of logic and provides a systematic exposition of types of propositions and their truth conditions.[196]", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Marenbon, John (2021). \"Anicius Manlius Severinus Boethius\" (https://plato.stanford.edu/ent ries/boethius/). *The Stanford Encyclopedia of Philosophy*. 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The Epistemology of Logic; Gómez-Torrente 2019; Warren 2020, 1. What is Conventionalism.\n- 179. Chua 2017, pp. 631–636; Wilce 2021; Putnam 1969, pp. 216–241.\n- 180. Lagerlund 2018.\n- 181. Spade & Panaccio 2019.\n- 182. Haaparanta 2009, pp. 4–6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4), 1. Introduction; Hintikka & Spade, Modern logic, Logic since 1900.\n- 183. Kline 1972, \"A major achievement of Aristotle was the founding of the science of logic\", p. 53; Łukasiewicz 1957, p. 7; Liu & Guo 2023, p. 15.\n- 184. Lear 1980, p. 34.\n- 185. Knuuttila 1980, p. 71; Fisher, Gabbay & Vila 2005, p. 119.\n- 186. Berman 2009, p. 133.\n- 187. Frede; Groarke.\n- 188. Ewald 2019; Smith 2022.\n- 189. Hasse 2008; Lagerlund 2018.\n- 190. Washell 1973, pp. 445–50; Kneale & Kneale 1962, pp. 229, 266.\n- 191. Goodman 2003, p. 155.\n- 192. Goodman 1992, p. 188.\n- 193. Hintikka & Spade, Arabic Logic (https://www.britannica.com/topic/history-of-logic/Medieval-lo gic#ref65928).\n- 194. Iqbal 2013, pp. 99–115, The Spirit of Muslim Culture.\n- 195. Marenbon 2021, Introduction; 3. The Logical Text-Books; Hintikka & Spade.\n- 196. Hintikka & Spade; Hasse 2008; Spade & Panaccio 2019.\n- 197. Willman 2022; Rošker 2015, pp. 301–309.\n- 198. Sarukkai & Chakraborty 2022, pp. 117–8.\n- 199. Dasti, Lead section; 1b. Inference; Mills 2018, p. 121 (https://books.google.com/books?id=s GhqDwAAQBAJ&pg=PA121).\n- 200. Emmanuel 2015, pp. 320–2; Vidyabhusana 1988, p. 221.\n- 201. Chakrabarti 1976, pp. 554–563.\n- 202. Groarke; Haaparanta 2009, pp. 3–5 (https://books.google.com/books?id=0jXavKsArnIC&pg =PA3), 1. Introduction.\n- 203. Haaparanta 2009, pp. 4–6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4); Hintikka & Spade, Modern logic, Logic since 1900.\n- 204. Ewald 2019.\n- 205. Ewald 2019; Schreiner 2021, p. 22.", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Gamut, L.T.F. (1991). *Logic, Language and Meaning Vol 1: Introduction to Logic*. University of Chicago Press. 5.5. ISBN 978-0-226-28085-1.\n- Garson, James (2023). \"Modal Logic\" (https://plato.stanford.edu/entries/logic-modal/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n- Gensler, Harry J. (2006). *The A to Z of Logic*. Scarecrow Press. pp. xliii–xliv. ISBN 978-1- 4617-3182-5.\n- Goble, Lou (2001). \"Introduction\". *The Blackwell Guide to Philosophical Logic* (https://philpa pers.org/rec/GOBTBG-2). Wiley-Blackwell. pp. 1–8. ISBN 978-0-631-20692-7. Archived (htt ps://web.archive.org/web/20211207184959/https://philpapers.org/rec/GOBTBG-2) from the original on 7 December 2021. Retrieved 4 January 2022.\n- Goodman, Lenn Evan (1992). *Avicenna*. Routledge. p. 188. ISBN 978-0-415-01929-3.\n- Goodman, Lenn Evan (2003). *Islamic Humanism*. Oxford University Press. p. 155. ISBN 978-0-19-513580-0.\n- Groarke, Louis F. \"Aristotle: Logic\" (https://iep.utm.edu/aris-log/). *Internet Encyclopedia of Philosophy*. Archived (https://web.archive.org/web/20211229235433/https://iep.utm.edu/aris -log/) from the original on 29 December 2021. Retrieved 1 January 2022.\n- Groarke, Leo (2021). \"Informal Logic\" (https://plato.stanford.edu/entries/logic-informal/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20220112030519/https://plato.stanford.edu/entries/lo gic-informal/) from the original on 12 January 2022. Retrieved 31 December 2021.\n- Gómez-Torrente, Mario (2019). \"Logical Truth\" (https://plato.stanford.edu/entries/logical-trut h/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211002190110/https://plato.stanford.ed u/entries/logical-truth/) from the original on 2 October 2021. Retrieved 22 November 2021.\n- Gödel, Kurt (1984). \"Russell's mathematical logic\". In Benacerraf, Paul; Putnam, Hilary (eds.). *Philosophy of Mathematics: Selected Readings* (https://www.cambridge.org/core/boo ks/abs/philosophy-of-mathematics/russells-mathematical-logic/4D82F215FABFE06149D03 EF1EF5BE7E4) (2nd ed.). Cambridge University Press. pp. 447–469. ISBN 978-0-521- 29648-9. Archived (https://web.archive.org/web/20220111091740/https://www.cambridge.or g/core/books/abs/philosophy-of-mathematics/russells-mathematical-logic/4D82F215FABFE 06149D03EF1EF5BE7E4) from the original on 11 January 2022. Retrieved 9 January 2022.\n- Hájek, Petr (3 September 2006). \"Fuzzy Logic\" (https://plato.stanford.edu/Archives/Win201 2/entries/logic-fuzzy/). *Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023.\n- Hájek, Alan; Lin, Hanti (2017). \"A Tale of Two Epistemologies?\" (https://philpapers.org/rec/H JEATO). *Res Philosophica*. **94** (2): 207–232. doi:10.11612/resphil.1540 (https://doi.org/10.1 1612%2Fresphil.1540). S2CID 160029122 (https://api.semanticscholar.org/CorpusID:16002 9122). Archived (https://web.archive.org/web/20220104182746/https://philpapers.org/rec/HJ EATO) from the original on 4 January 2022. Retrieved 4 January 2022.\n- Hall, Cordelia; O'Donnell, John (2000). *Discrete Mathematics Using a Computer*. Springer Science & Business Media. p. 48. ISBN 978-1-85233-089-7.\n- Houde, R.; Camacho, L. (2003). \"Induction\". *New Catholic Encyclopedia* (https://www.encycl opedia.com/science-and-technology/computers-and-electrical-engineering/electrical-engine ering/induction). ISBN 978-0-7876-4004-0. Archived (https://web.archive.org/web/20220108 171720/https://www.encyclopedia.com/science-and-technology/computers-and-electrical-en gineering/electrical-engineering/induction) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Haack, Susan (1974). *Deviant Logic: Some Philosophical Issues*. CUP Archive. p. 51. ISBN 978-0-521-20500-9.", - "page_start": 28, - "page_end": 28, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Vidyabhusana, Satis Chandra (1988). *A History of Indian Logic: Ancient, Mediaeval and Modern Schools*. Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1.\n- Vleet, Van Jacob E. (2010). \"Introduction\". *Informal Logical Fallacies: A Brief Guide* (https://p hilpapers.org/rec/VLEILF). Upa. pp. ix–x. ISBN 978-0-7618-5432-6. Archived (https://web.ar chive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28 February 2022. Retrieved 2 January 2022.\n- Väänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ entries/logic-higher-order/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ https://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. Retrieved 23 November 2021.\n- Walton, Douglas N. (1987). *Informal Fallacies: Towards a Theory of Argument Criticisms* (htt ps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http s://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the original on 2 March 2022. Retrieved 2 January 2022.\n- Warren, Jared (2020). *Shadows of Syntax: Revitalizing Logical and Mathematical Conventionalism* (https://global.oup.com/academic/product/shadows-of-syntax-9780190086 152). Oxford University Press. ISBN 978-0-19-008615-2.\n- Washell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r ec/WASLLA-3). *Journal of the History of Ideas*. **34** (3): 445–50. doi:10.2307/2708963 (http s://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963).\n- Wasilewska, Anita (2018). *Logics for Computer Science: Classical and Non-Classical*. Springer. pp. 145–6. ISBN 978-3-319-92591-2.\n- Weber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/). *Internet Encyclopedia of Philosophy*. Retrieved 12 December 2021.\n- Weddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". *Across the Lines of Disciplines* (https://www.degruyter.com/document/doi/10.1515/97831108 67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http s://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w eb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022.\n- Westerståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp apers.org/rec/WESASA). *Studia Logica*. **48** (4): 577–585. doi:10.1007/BF00370209 (https:// doi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu sID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o rg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022.\n- Wilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp ringer.com/article/10.1007/s10503-009-9131-5). *Argumentation*. **24** (1): 107–124. doi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). ISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap i.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Wilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum Logic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n- Wile, Bruce; Goss, John; Roesner, Wolfgang (2005). *Comprehensive Functional Verification: The Complete Industry Cycle*. Elsevier. p. 447. ISBN 978-0-08-047664-3.\n- Willman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat o.stanford.edu/entries/chinese-logic-language/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions behind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant logics, on the other hand, reject certain classical intuitions and provide alternative explanations of the basic laws of logic.\n\n# **Definition**\n\nThe word \"logic\" originates from the Greek word *logos*, which has a variety of translations, such as reason, discourse, or language. [4] Logic is traditionally defined as the study of the laws of thought or correct reasoning, [5] and is usually understood in terms of inferences or arguments. Reasoning is the activity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a set of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. whether their premises support the conclusion.[7] These general characterizations apply to logic in the widest sense, i.e., to both formal and informal logic since they are both concerned with assessing the correctness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict logic to formal logic.[9]\n\n# **Formal logic**\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal approach to study reasoning: it replaces concrete expressions with abstract symbols to examine the logical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is only concerned with the abstract structure of arguments and not with their concrete content.[10]\n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures the truth of their conclusion. This means that it is impossible for the premises to be true and the conclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion follows a pattern called a rule of inference. [12] For example, modus ponens is a rule of inference according to which all arguments of the form \"(1) *p*, (2) if *p* then *q*, (3) therefore *q*\" are valid, independent of what the terms *p* and *q* stand for. [13] In this sense, formal logic can be defined as the science of valid inferences. An alternative definition sees logic as the study of logical truths. [14] A proposition is logically true if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible worlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is not\".[15] These two definitions of formal logic are not identical, but they are closely related. For example, if the inference from *p* to *q* is deductively valid then the claim \"if *p* then *q*\" is a logical truth.[16]\n\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very limited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to construct sentences, so-called well-formed formulas. [18] This simplicity and exactness of formal logic make it capable of formulating precise rules of inference. They determine whether a given argument is valid.[19] Because of the reliance on formal language, natural language arguments cannot be studied directly. Instead, they need to be translated into formal language before their validity can be assessed.[20]\n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, *a logic* is a logical formal system. Distinct logics differ from each other concerning the rules of inference they accept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "sentence would be true or false. One of its central methodological assumptions is the principle of compositionality. It states that the meaning of a complex expression is determined by the meanings of its parts and how they are combined. For example, the meaning of the verb phrase \"walk and sing\" depends on the meanings of the individual expressions \"walk\" and \"sing\". Many theories in formal semantics rely on model theory. This means that they employ set theory to construct a model and then interpret the meanings of expression in relation to the elements in this model. For example, the term \"walk\" may be interpreted as the set of all individuals in the model that share the property of walking. Early influential theorists in this field were Richard Montague and Barbara Partee, who focused their analysis on the English language.[173]\n\n#### **Epistemology of logic**\n\nThe epistemology of logic studies how one knows that an argument is valid or that a proposition is logically true.[174] This includes questions like how to justify that modus ponens is a valid rule of inference or that contradictions are false.[175] The traditionally dominant view is that this form of logical understanding belongs to knowledge a priori. [176] In this regard, it\n\nConjunction (AND) is one of the basic operations of Boolean logic. It can be electronically implemented in several ways, for example, by using two transistors.\n\nis often argued that the mind has a special faculty to examine relations between pure ideas and that this faculty is also responsible for apprehending logical truths.[177] A similar approach understands the rules of logic in terms of linguistic conventions. On this view, the laws of logic are trivial since they are true by definition: they just express the meanings of the logical vocabulary. [178]\n\nSome theorists, like Hilary Putnam and Penelope Maddy, object to the view that logic is knowable a priori. They hold instead that logical truths depend on the empirical world. This is usually combined with the claim that the laws of logic express universal regularities found in the structural features of the world. According to this view, they may be explored by studying general patterns of the fundamental sciences. For example, it has been argued that certain insights of quantum mechanics refute the principle of distributivity in classical logic, which states that the formula is equivalent to . This claim can be used as an empirical argument for the thesis that quantum logic is the correct logical system and should replace classical logic.[179]\n\n# **History**\n\nLogic was developed independently in several cultures during antiquity. One major early contributor was Aristotle, who developed *term logic* in his *Organon* and *Prior Analytics*. [183] He was responsible for the introduction of the hypothetical syllogism[184] and temporal modal logic.[185] Further innovations include inductive logic[186] as well as the discussion of new logical concepts such as terms, predicables, syllogisms, and propositions. Aristotelian logic was highly regarded in classical and medieval times, both in Europe and the Middle East. It remained in wide use in the West until the early 19th century. [187] It has now been superseded by later work, though many of its key insights are still present in modern systems of logic.[188]", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is considered a deductively valid argument regarding logic ?", - "target_page": 6, - "target_passage": "A deductively valid argument is one whose premises guarantee the truth of its conclusion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts as a premise of later arguments. For a complex argument to be successful, each link of the chain has to be successful.[43]\n\nArguments and inferences are either correct or incorrect. If they are correct then their premises support their conclusion. In the incorrect case, this support is missing. It can take different forms corresponding to the different types of reasoning. [62] The strongest form of support corresponds to deductive reasoning. But even arguments that are not deductively valid may still be good arguments because their premises offer nondeductive support to their conclusions. For such cases, the term *ampliative* or *inductive reasoning* is used.[63] Deductive arguments are associated with formal logic in contrast to the\n\nArgument terminology used in logic\n\nrelation between ampliative arguments and informal logic.[64]\n\n#### **Deductive**\n\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For instance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are frogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the conclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) therefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65]\n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) they are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a priori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that they hold by logical necessity for the given propositions, independent of any other circumstances.[66]\n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of inference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be structured for the inference to be valid. Arguments that do not follow any rule of inference are deductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"*p*; if *p*, then *q*; therefore *q*\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one can use modus ponens to deduce that the streets are wet ( ).[70]\n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is impossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often asserted that deductive inferences are uninformative since the conclusion cannot arrive at new information not already present in the premises.[72] But this point is not always accepted since it would mean, for example, that most of mathematics is uninformative. A different characterization distinguishes", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "# **Logic**\n\n**Logic** is the study of correct reasoning. It includes both formal and informal logic. Formal logic is the study of deductively valid inferences or logical truths. It examines how conclusions follow from premises based on the structure of arguments alone, independent of their topic and content. Informal logic is associated with informal fallacies, critical thinking, and argumentation theory. Informal logic examines arguments expressed in natural language whereas formal logic uses formal language. When used as a countable noun, the term \"a logic\" refers to a specific logical formal system that articulates a proof system. Logic plays a central role in many fields, such as philosophy, mathematics, computer science, and linguistics.\n\nLogic studies valid forms of inference like *modus ponens*.\n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the argument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the conclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be true or false. An important feature of propositions is their internal structure. For example, complex propositions are made up of simpler propositions linked by logical vocabulary like (and) or (if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a proposition usually depends on the meanings of all of its parts. However, this is not the case for logically true propositions. They are true only because of their logical structure independent of the specific meanings of the individual parts.\n\nArguments can be either correct or incorrect. An argument is correct if its premises support its conclusion. Deductive arguments have the strongest form of support: if their premises are true then their conclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new information not found in the premises. Many arguments in everyday discourse and the sciences are ampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are statistical generalization—such as inferring that all ravens are black, based on many individual observations of black ravens.[2] Abductive arguments are inferences to the best explanation—for example, when a doctor concludes that a patient has a certain disease, as the best explanation for the symptoms that they are observed to suffer. [3] Arguments that fall short of the standards of correct reasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the correctness of arguments.\n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, and Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the main system of logic in the Western world until it was replaced by modern formal logic, which has its roots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly used system is classical logic. It consists of propositional logic and first-order logic. Propositional logic only considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- 20. Hintikka & Sandu 2006, pp. 22–3; Magnus 2005, pp. 8–9, 1.4 Deductive validity; Johnson 1999, p. 267.\n- 21. Haack 1978, pp. 1–2, 4, Philosophy of logics; Hintikka & Sandu 2006, pp. 16–17; Jacquette 2006, Introduction: Philosophy of logic today, pp. 1–12.\n- 22. Haack 1978, pp. 1–2, 4, Philosophy of logics; Jacquette 2006, pp. 1–12, Introduction: Philosophy of logic today.\n- 23. Haack 1978, pp. 5–7, 9, Philosophy of logics; Hintikka & Sandu 2006, pp. 31–2; Haack 1996, pp. 229–30.\n- 24. Haack 1978, pp. 1–10, Philosophy of logics; Groarke 2021, lead section; 1.1 Formal and Informal Logic.\n- 25. Johnson 2014, pp. 228–9.\n- 26. Groarke 2021, lead section; 1. History; Audi 1999a, Informal logic; Johnson 1999, pp. 265– 274.\n- 27. Craig 1996, Formal and informal logic; Johnson 1999, p. 267.\n- 28. Blair & Johnson 2000, pp. 93–97; Craig 1996, Formal and informal logic.\n- 29. Johnson 1999, pp. 265–270; van Eemeren et al., pp. 1–45, Informal Logic.\n- 30. Groarke 2021, 1.1 Formal and Informal Logic; Audi 1999a, Informal logic; Honderich 2005, logic, informal.\n- 31. Blair & Johnson 2000, pp. 93–107; Groarke 2021, lead section; 1.1 Formal and Informal Logic; van Eemeren et al., p. 169.\n- 32. Oaksford & Chater 2007, p. 47.\n- 33. Craig 1996, Formal and informal logic; Walton 1987, pp. 2–3, 6–8, 1. A new model of argument; Engel 1982, pp. 59–92, 2. The medium of language.\n- 34. Blair & Johnson 1987, pp. 147–51.\n- 35. Falikowski & Mills 2022, p. 98; Weddle 2011, pp. 383–8, 36. Informal logic and the eductiveinductive distinction; Blair 2011, p. 47.\n- 36. Vickers 2022; Nunes 2011, pp. 2066–9, Logical Reasoning and Learning.\n- 37. Johnson 2014, p. 181; Johnson 1999, p. 267; Blair & Johnson 1987, pp. 147–51.\n- 38. Vleet 2010, pp. ix–x, Introduction; Dowden; Stump.\n- 39. Maltby, Day & Macaskill 2007, p. 564; Dowden.\n- 40. Craig 1996, Formal and informal logic; Johnson 1999, pp. 265–270.\n- 41. Audi 1999b, Philosophy of logic; Honderich 2005, philosophical logic.\n- 42. Haack 1974, p. 51.\n- 43. Audi 1999b, Philosophy of logic.\n- 44. Falguera, Martínez-Vidal & Rosen 2021; Tondl 2012, p. 111.\n- 45. Olkowski & Pirovolakis 2019, pp. 65–66 (https://books.google.com/books?id=FhaGDwAAQ BAJ&pg=PT65).\n- 46. Audi 1999b, Philosophy of logic; Pietroski 2021.\n- 47. Audi 1999b, Philosophy of logic; Kusch 2020; Rush 2014, pp. 1–10, 189–190.\n- 48. King 2019; Pickel 2020, pp. 2991–3006.\n- 49. Honderich 2005, philosophical logic.\n- 50. Pickel 2020, pp. 2991–3006.\n- 51. Honderich 2005, philosophical logic; Craig 1996, Philosophy of logic; Michaelson & Reimer 2019.\n- 52. Michaelson & Reimer 2019.\n- 53. Hintikka 2019, §Nature and varieties of logic; MacFarlane 2017.\n- 54. Gómez-Torrente 2019; MacFarlane 2017; Honderich 2005, philosophical logic.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions behind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant logics, on the other hand, reject certain classical intuitions and provide alternative explanations of the basic laws of logic.\n\n# **Definition**\n\nThe word \"logic\" originates from the Greek word *logos*, which has a variety of translations, such as reason, discourse, or language. [4] Logic is traditionally defined as the study of the laws of thought or correct reasoning, [5] and is usually understood in terms of inferences or arguments. Reasoning is the activity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a set of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. whether their premises support the conclusion.[7] These general characterizations apply to logic in the widest sense, i.e., to both formal and informal logic since they are both concerned with assessing the correctness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict logic to formal logic.[9]\n\n# **Formal logic**\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal approach to study reasoning: it replaces concrete expressions with abstract symbols to examine the logical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is only concerned with the abstract structure of arguments and not with their concrete content.[10]\n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures the truth of their conclusion. This means that it is impossible for the premises to be true and the conclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion follows a pattern called a rule of inference. [12] For example, modus ponens is a rule of inference according to which all arguments of the form \"(1) *p*, (2) if *p* then *q*, (3) therefore *q*\" are valid, independent of what the terms *p* and *q* stand for. [13] In this sense, formal logic can be defined as the science of valid inferences. An alternative definition sees logic as the study of logical truths. [14] A proposition is logically true if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible worlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is not\".[15] These two definitions of formal logic are not identical, but they are closely related. For example, if the inference from *p* to *q* is deductively valid then the claim \"if *p* then *q*\" is a logical truth.[16]\n\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very limited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to construct sentences, so-called well-formed formulas. [18] This simplicity and exactness of formal logic make it capable of formulating precise rules of inference. They determine whether a given argument is valid.[19] Because of the reliance on formal language, natural language arguments cannot be studied directly. Instead, they need to be translated into formal language before their validity can be assessed.[20]\n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, *a logic* is a logical formal system. Distinct logics differ from each other concerning the rules of inference they accept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "incoming information.[154] Correct reasoning and the arguments it is based on follow the laws of probability, for example, the principle of conditionalization. Bad or irrational reasoning, on the other hand, violates these laws.[155]\n\n# **Areas of research**\n\nLogic is studied in various fields. In many cases, this is done by applying its formal method to specific topics outside its scope, like to ethics or computer science.[156] In other cases, logic itself is made the subject of research in another discipline. This can happen in diverse ways. For instance, it can involve investigating the philosophical assumptions linked to the basic concepts used by logicians. Other ways include interpreting and analyzing logic through mathematical structures as well as studying and comparing abstract properties of formal logical systems.[157]\n\n# **Philosophy of logic and philosophical logic**\n\n*Philosophy of logic* is the philosophical discipline studying the scope and nature of logic.[59] It examines many presuppositions implicit in logic, like how to define its basic concepts or the metaphysical assumptions associated with them.[158] It is also concerned with how to classify logical systems and considers the ontological commitments they incur. [159] *Philosophical logic* is one of the areas within the philosophy of logic. It studies the application of logical methods to philosophical problems in fields like metaphysics, ethics, and epistemology. [160] This application usually happens in the form of extended or deviant logical systems. [161]\n\n# **Metalogic**\n\nMetalogic is the field of inquiry studying the properties of formal logical systems. For example, when a new formal system is developed, metalogicians may study it to determine which formulas can be proven in it. They may also study whether an algorithm could be developed to find a proof for each formula and whether every provable formula in it is a tautology. Finally, they may compare it to other logical systems to understand its distinctive features. A key issue in metalogic concerns the relation between syntax and semantics. The syntactic rules of a formal system determine how to deduce conclusions from premises, i.e. how to formulate proofs. The semantics of a formal system governs which sentences are true and which ones are false. This determines the validity of arguments since, for valid arguments, it is impossible for the premises to be true and the conclusion to be false. The relation between syntax and semantics concerns issues like whether every valid argument is provable and whether every provable argument is valid. Metalogicians also study whether logical systems are complete, sound, and consistent. They are interested in whether the systems are decidable and what expressive power they have. Metalogicians usually rely heavily on abstract mathematical reasoning when examining and formulating metalogical proofs. This way, they aim to arrive at precise and general conclusions on these topics.[162]\n\n# **Mathematical logic**\n\nThe term \"mathematical logic\" is sometimes used as a synonym of \"formal logic\". But in a more restricted sense, it refers to the study of logic within mathematics. Major subareas include model theory, proof theory, set theory, and computability theory. [164] Research in mathematical logic commonly addresses the mathematical properties of formal systems of logic. However, it can also include attempts", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid the principle of explosion: for them, it is not the case that anything follows from a contradiction.[139] They are often motivated by dialetheism, the view that contradictions are real or that reality itself is contradictory. Graham Priest is an influential contemporary proponent of this position and similar views have been ascribed to Georg Wilhelm Friedrich Hegel. [140]\n\n# **Informal**\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like investigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some frameworks of informal logic have also been presented that try to provide a systematic characterization of the correctness of arguments.[141]\n\nThe *pragmatic* or *dialogical approach* to informal logic sees arguments as speech acts and not merely as a set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a dialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas N. Walton understands a dialogue as a game between two players. The initial position of each player is characterized by the propositions to which they are committed and the conclusion they intend to prove. Dialogues are games of persuasion: each player has the goal of convincing the opponent of their own conclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They affect to which propositions the players are committed. A winning move is a successful argument that takes the opponent's commitments as premises and shows how one's own conclusion follows from them. This is usually not possible straight away. For this reason, it is normally necessary to formulate a sequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's intended conclusion. Besides these positive arguments leading one closer to victory, there are also negative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an argument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other hand, are violations of the standards of proper argumentative rules.[146] These standards also depend on the type of dialogue. For example, the standards governing the scientific discourse differ from the standards in business negotiations.[147]\n\nThe *epistemic approach* to informal logic, on the other hand, focuses on the epistemic role of arguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this by linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at expanding knowledge while fallacies are epistemic failures: they do not justify the belief in their conclusion.[150] For example, the fallacy of begging the question is a *fallacy* because it fails to provide independent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical normativity consists in epistemic success or rationality. [149] The Bayesian approach is one example of an epistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the degree to which they believe it, the so-called *credence*. Degrees of belief are seen as subjective probabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On this view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Rautenberg, Wolfgang (1 July 2010). *A Concise Introduction to Mathematical Logic*. Springer. p. 15. ISBN 978-1-4419-1221-3.\n- Rendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri es/logic-epistemic/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n- Restall, Greg; Standefer, Shawn (2023). *Logical Methods*. MIT Press. p. 91. ISBN 978-0- 262-54484-9.\n- Richardson, Alan W. (1998). *Carnap's Construction of the World: The Aufbau and the Emergence of Logical Empiricism*. Cambridge University Press. p. 15. ISBN 978-0-521- 43008-1.\n- Rini, Adriane (13 December 2010). *Aristotle's Modal Proofs: Prior Analytics A8-22 in Predicate Logic*. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5.\n- Ritola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d oi.org/10.22329%2Fil.v28i4.2856). *Informal Logic*. **28** (4): 335. doi:10.22329/il.v28i4.2856 (h ttps://doi.org/10.22329%2Fil.v28i4.2856).\n- Rocci, Andrea (8 March 2017). *Modality in Argumentation: A Semantic Investigation of the Role of Modalities in the Structure of Arguments with an Application to Italian Modal Expressions*. Springer. p. 26. ISBN 978-94-024-1063-1.\n- Rošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\". *Philosophy Compass*. **10** (5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222 6).\n- Runco, Mark A.; Pritzker, Steven R. (1999). *Encyclopedia of Creativity*. Academic Press. p. 155. ISBN 978-0-12-227075-8.\n- Rush, Penelope (2014). \"Introduction\". *The Metaphysics of Logic* (https://philpapers.org/rec/ RUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt ps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the original on 7 December 2021. Retrieved 8 January 2022.\n- Sadegh-Zadeh, Kazem (2015). *Handbook of Analytic Philosophy of Medicine*. Springer. p. 983. ISBN 978-94-017-9579-1.\n- Sagüillo, José M. (2014). \"Hintikka on Information and Deduction\". *Teorema: Revista Internacional de Filosofía*. **33** (2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/ 0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609).\n- Sarukkai, Sundar; Chakraborty, Mihir Kumar (2022). *Handbook of Logical Thought in India*. Springer Nature. pp. 117–8. ISBN 978-81-322-2577-5.\n- Schagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic). *Encyclopædia Britannica*. Retrieved 23 September 2022.\n- Schechter, Joshua. \"Epistemology of Logic Bibliography\" (https://philpapers.org/browse/ep istemology-of-logic). *PhilPapers*. Retrieved 11 September 2022.\n- Schlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001). *The Structure of Arguments*. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3.\n- Schreiner, Wolfgang (2021). *Thinking Programs: Logical Modeling and Reasoning About Languages, Data, Computations, and Executions*. Springer Nature. p. 22. ISBN 978-3-030- 80507-4.\n- Scott, John; Marshall, Gordon (2009). \"analytic induction\". *A Dictionary of Sociology* (https:// www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford University Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010 8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Shapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e ntries/logic-classical/#Sema). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023.", - "page_start": 34, - "page_end": 34, - "source_file": "wikipedia1.pdf" - }, - { - "text": "# **Bibliography**\n\n- Aloni, Maria; Dekker, Paul (7 July 2016). *The Cambridge Handbook of Formal Semantics*. Cambridge University Press. pp. 22–23. ISBN 978-1-316-55273-5.\n- Angell, Richard B. (1964). *Reasoning and Logic*. Ardent Media. p. 164. OCLC 375322 (http s://search.worldcat.org/oclc/375322).\n- Audi, Robert (1999a). \"Informal logic\". *The Cambridge Dictionary of Philosophy* (https://philp apers.org/rec/AUDTCD-2). Cambridge University Press. p. 435. ISBN 978-1-107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Audi, Robert (1999b). \"Philosophy of logic\". *The Cambridge Dictionary of Philosophy* (http s://philpapers.org/rec/AUDTCD-2). Cambridge University Press. pp. 679–681. ISBN 978-1- 107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/ rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Backmann, Marius (1 June 2019). \"Varieties of Justification—How (Not) to Solve the Problem of Induction\" (https://doi.org/10.1007%2Fs12136-018-0371-6). *Acta Analytica*. **34** (2): 235–255. doi:10.1007/s12136-018-0371-6 (https://doi.org/10.1007%2Fs12136-018-037 1-6). ISSN 1874-6349 (https://search.worldcat.org/issn/1874-6349). S2CID 125767384 (http s://api.semanticscholar.org/CorpusID:125767384).\n- Bagaria, Joan (2021). \"Set Theory\" (https://plato.stanford.edu/entries/set-theory/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 23 September 2022.\n- Barnes, Jonathan (25 January 2007). *Truth, etc.: Six Lectures on Ancient Logic*. Clarendon Press. p. 274. ISBN 978-0-19-151574-3.\n- Benthem, Johan van. \"Modal Logic: Contemporary View: 1. Modal Notions and Reasoning Patterns: a First Pass\" (https://iep.utm.edu/modal-lo/#H1). *Internet Encyclopedia of Philosophy*. Retrieved 11 March 2023.\n- Berlemann, Lars; Mangold, Stefan (10 July 2009). *Cognitive Radio and Dynamic Spectrum Access*. John Wiley & Sons. p. 194. ISBN 978-0-470-75443-6.\n- Berman, Harold J. (1 July 2009). *Law and Revolution, the Formation of the Western Legal Tradition*. Harvard University Press. ISBN 978-0-674-02085-6.\n- Bimbo, Katalin (2 April 2016). *J. Michael Dunn on Information Based Logics*. Springer. pp. 8–9. ISBN 978-3-319-29300-4.\n- Blackburn, Simon (1 January 2008). \"argument\". *The Oxford Dictionary of Philosophy* (http s://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194756/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blackburn, Simon (24 March 2016). \"rule of inference\". *The Oxford Dictionary of Philosophy* (https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194809/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blair, J. Anthony; Johnson, Ralph H. (1987). \"The Current State of Informal Logic\" (https://ph ilpapers.org/rec/BLATCS). *Informal Logic*. **9** (2): 147–51. doi:10.22329/il.v9i2.2671 (https://d oi.org/10.22329%2Fil.v9i2.2671). Archived (https://web.archive.org/web/20211230194638/ht tps://philpapers.org/rec/BLATCS) from the original on 30 December 2021. Retrieved 2 January 2022.", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia1.pdf" - }, - { - "text": "new formal systems have been proposed. There are disagreements about what makes a formal system a logic.[22] For example, it has been suggested that only logically complete systems, like first-order logic, qualify as logics. For such reasons, some theorists deny that higher-order logics are logics in the strict sense.[23]\n\nFormal logic needs to translate natural language arguments into a formal language, like first-order logic, to assess whether they are valid. In this example, the letter \"c\" represents Carmen while the letters \"M\" and \"T\" stand for \"Mexican\" and \"teacher\". The symbol \"∧\" has the meaning of \"and\".\n\n# **Informal logic**\n\nWhen understood in a wide sense, logic\n\nencompasses both formal and informal logic.[24] Informal logic uses non-formal criteria and standards to analyze and assess the correctness of arguments. Its main focus is on everyday discourse.[25] Its development was prompted by difficulties in applying the insights of formal logic to natural language arguments.[26] In this regard, it considers problems that formal logic on its own is unable to address.[27] Both provide criteria for assessing the correctness of arguments and distinguishing them from fallacies.[28]\n\nMany characterizations of informal logic have been suggested but there is no general agreement on its precise definition.[29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the language used to express arguments. On this view, informal logic studies arguments that are in informal or natural language.[30] Formal logic can only examine them indirectly by translating them first into a formal language while informal logic investigates them in their original form.[31] On this view, the argument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is examined by informal logic. But the formal translation \"(1) ; (2) ; (3) \" is studied by formal logic.[32] The study of natural language arguments comes with various difficulties. For example, natural language expressions are often ambiguous, vague, and context-dependent.[33] Another approach defines informal logic in a wide sense as the normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes questions about the role of rationality, critical thinking, and the psychology of argumentation.[34]\n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, it contrasts with deductive reasoning examined by formal logic.[35] Non-deductive arguments make their conclusion probable but do not ensure that it is true. An example is the inductive argument from the empirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are black\".[36]\n\nA further approach is to define informal logic as the study of informal fallacies. [37] Informal fallacies are incorrect arguments in which errors are present in the content and the context of the argument.[38] A false dilemma, for example, involves an error of content by excluding viable options. This is the case in the fallacy \"you are either with us or against us; you are not with us; therefore, you are against us\".[39] Some theorists state that formal logic studies the general form of arguments while informal logic studies particular instances of arguments. Another approach is to hold that formal logic only considers the role of", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia1.pdf" - }, - { - "text": "burglar broke into the house last night, got hungry on the job, and had a midnight snack, would also explain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely explanation.[82][83]\n\n# **Fallacies**\n\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually referred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw with the reasoning leading to this conclusion.[84] So the argument \"it is sunny today; therefore spiders have eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill, give a more restrictive definition of fallacies by additionally requiring that they appear to be correct.[85] This way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness. This explains why people tend to commit fallacies: because they have an alluring element that seduces people into committing and accepting them.[86] However, this reference to appearances is controversial because it belongs to the field of psychology, not logic, and because appearances may be different for different people.[87]\n\nFallacies are usually divided into formal and informal fallacies.[38] For formal fallacies, the source of the error is found in the *form* of the argument. For example, denying the antecedent is one type of formal fallacy, as in \"if Othello is a bachelor, then he is male; Othello is not a bachelor; therefore Othello is not male\".[88] But most fallacies fall into the category of informal fallacies, of which a great variety is discussed in the academic literature. The source of their error is usually found in the *content* or the *context* of the argument.[89] Informal fallacies are sometimes categorized as fallacies of ambiguity, fallacies of presumption, or fallacies of relevance. For fallacies of ambiguity, the ambiguity and vagueness of natural language are\n\nYoung America's dilemma: Shall I be wise and great, or rich and powerful? (poster from 1901) This is an example of a false dilemma: an informal fallacy using a disjunctive premise that excludes viable alternatives.\n\nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot be dark\".[90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise.[91] In the case of fallacies of relevance, the premises do not support the conclusion because they are not relevant to it.[92]\n\n# **Definitory and strategic rules**\n\nThe main focus of most logicians is to study the criteria according to which an argument is correct or incorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known as *rules of inference*. [93] They are definitory rules, which determine whether an inference is correct or which inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which inferential moves are necessary to reach a given conclusion based on a set of premises. This distinction does not just apply to logic but also to games. In chess, for example, the definitory rules dictate that bishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "What was the mean correctness score for LLM-generated handoff notes ?", - "target_page": 7, - "target_passage": "Correctness 4.52", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "# **Original Investigation | Emergency Medicine** Developing and Evaluating Large LanguageModel–Generated EmergencyMedicine Handoff Notes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n# **Abstract**\n\n**IMPORTANCE** An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\n**OBJECTIVE** To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\n**DESIGN, SETTING, AND PARTICIPANTS** This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\n**EXPOSURE** LLM-generated EM handoff notes.\n\n**MAIN OUTCOMES AND MEASURES** LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\n**RESULTS** In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\n**CONCLUSIONS AND RELEVANCE** In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n# **Key Points**\n\n**Question** Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\n**Findings** In this cohort study of 1600 EM patient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\n**Meaning** These findings suggest the value of a manual, patient safety– focused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n# **+ Invited Commentary**\n\n# **+ Supplemental content**\n\nAuthor affiliations and article information are listed at the end of this article.\n\n**Open Access.** This is an open access article distributed under the terms of the CC-BY License.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement.52 Data were analyzed from October 2023 to March 2024.\n\n## **Results**\n\n#### **Automated Tasks**\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In **Table 2**, ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n### **Clinical Evaluation Tasks**\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in **Table 3** and **Table 4**. The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\n| | Table 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Summary type | R-1a | R-2a | R-La | BERT-p | BERT-r | SCALE |\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |\n\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; SCALE, source chunking approach for large-scale inconsistency evaluation.\n\na R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 6/12", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen.42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n### **Models**\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n#### **Data Processing**\n\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n#### **Model Training and Inference**\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the **Figure**.\n\n| | Table 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda |\n| --- | --- |\n| Type of data | Description |\n| Descriptive | Date of birth, medical record number, encounter number, and total time of stay in ED |\n| Encounter | ED arrival date and time, IP admit date and time |\n| Laboratory tests | Examples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium, |\n| (all results available) | potassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate, |\n| | urinalysis, ketone, blood, nitrite, leucocytes, and red blood cells |\n| Laboratory tests | Examples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level, |\n| (only if abnormal) | salicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate |\n| Notes (in order of | EM clinician notes, consultation notes, EM progress notes, and EM procedure notes |\n| hierarchy) | |\n| Vitals | Height, weight, temperature, heart rate, blood pressure, and peripheral capillary |\n| | oxygen saturation |\n| Orders | Medications, consults, and radiology results |\n\nAbbreviations: EM, emergency medicine; IP, inpatient.\n\na Automated EM handoff notes are generated from the curation of the data through both rule-based and large language model–summarization approaches.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 4/12", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows.29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy.54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps),30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n### **Limitations**\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.\n\nWhile the dataset was smaller, we made significant efforts to reduce model variance and prevent overfitting by allocating more data to the training cohort and using k-fold cross validation. And while our ratio split choice implies the testing results will have slightly greater variance than expected, this is mitigated through the extensive manual clinical assessment that was performed. The study's multidimensional clinical evaluation was labor intensive, requiring more than 200 hours from expert informaticists and quality trained clinician experts to both curate the dataset of 1600\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 8/12", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## **Discussion**\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user–developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\n| | | | Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| | | | Likert rating 1-5, No. (%)a | | | | | | Likert rating 1-5, No. (%)a | | | |\n| Criteria | Mean score (SD) | 1 | 2 | 3 | 4 | 5 | Mean score (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.00 (0.88) | 0 | 12 (8) | 31 (20.7) | 69 (46) | 38 (25.3) | 4.16 (0.84) | 0 | 3 (2) | 31 (20.7) | 48 (32) | 68 (45.3) |\n| Curation | 4.24 (0.58) | 0 | 1 (0.7) | 13 (8.7) | 85 (56.7) | 51 (34) | 4.76 (0.48) | 0 | 0 | 6 (4) | 39 (26) | 105 (70) |\n| Readability | 4.00 (0.64) | 0 | 8 (5.3) | 17 (11.3) | 87 (58) | 38 (25.3) | 4.64 (0.49) | 0 | 0 | 5 (3.3) | 38 (25.3) | 107 (71.3) |\n| Correctness | 4.52 (0.64) | 0 | 0 | 13 (8.7) | 39 (26) | 98 (65.3) | 4.90 (0.39) | 0 | 0 | 2 (1.3) | 12 (8) | 136 (90.7) |\n| Usefulness | 4.04 (0.86) | 0 | 12 (8) | 30 (20) | 59 (39.3) | 49 (32.7) | 4.36 (0.71) | 0 | 5 (3.3) | 13 (8.7) | 53 (35.3) | 79 (52.7) |\n\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results.\n\n#### Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written\n\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | Likert score 1-5, No. (%)a | | | | | | Likert score 1-5, No. (%)a | | | |\n| Criteria | Mean (SD) | 1 | 2 | 3 | 4 | 5 | Mean (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.20 (0.93) | 0 | 13 (8.7) | 19 (12.7) | 58 (38.7) | 60 (40) | 4.50 (0.65) | 0 | 0 | 17 (11.3) | 43 (28.7) | 90 (60) |\n| Curation | 4.82 (0.32) | 0 | 1 (0.7) | 3 (2) | 21 (14) | 125 (83.3) | 4.90 (0.31) | 0 | 0 | 3 (2) | 8 (5.3) | 139 (92.7) |\n| Readability | 4.74 (0.37) | 0 | 1 (0.7) | 6 (4) | 23 (15.3) | 120 (80) | 4.94 (0.14) | 0 | 0 | 0 | 10 (6.7) | 140 (93.3) |\n| Correctness: hallucination | 4.96 (0.14) | 0 | 0 | 0 | 5 (3.3) | 145 (96.7) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Correctness: knowledge gap | 4.88 (0.48) | 0 | 3 (2) | 2 (1.3) | 6 (4) | 139 (92.7) | 4.90 (0.42) | 0 | 1 (0.7) | 5 (3.3) | 3 (2) | 141 (94) |\n| Correctness: faulty logic | 4.60 (0.75) | 0 | 11 (7.3) | 12 (8) | 13 (8.7) | 114 (76) | 4.94 (0.24) | 0 | 0 | 2 (1.3) | 2 (1.3) | 146 (97.3) |\n| Correctness: bias | 5.00 | 0 | 0 | 0 | 0 | 150 (100) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Overall safety risk | 4.06 (0.86) | 0 | 11 (7.3) | 27 (18) | 60 (40) | 52 (34.7) | 4.50 (0.56) | 0 | 1 (0.7) | 16 (10.7) | 41 (27.3) | 92 (61.3) |\n| | | | | | a Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or AI summaries in the 150 evaluation results. | | | | | | | |\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 7/12", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "| | | RSW | RMF | RCLS | RLLM |\n| --- | --- | --- | --- | --- | --- |\n| MT-Bench | Prefix | 100 ± 0 | 100 ± 0 | 100 ± 0 | 73 ± 5 |\n| | Suffix | 100 ± 0 | 100 ± 0 | 100 ± 0 | 84 ± 4 |\n| MMLU | Prefix | 90 ± 1 | 78 ± 4 | 100 ± 0 | 95 ± 1 |\n| | Suffix | 82 ± 2 | 63 ± 3 | 93 ± 1 | 93 ± 1 |\n| GSM8K | Prefix | 98 ± 0 | 100 ± 0 | 100 ± 0 | 100 ± 0 |\n| | Suffix | 94 ± 1 | 100 ± 0 | 100 ± 0 | 94 ± 3 |\n\nTable 12: Average upgrade rates for different ways of adding the gadget to queries, in the white-box setting. Results are similar in both methods, with a slight preference to the prefix approach.\n\n| | | RSW | RMF | RCLS | RLLM |\n| --- | --- | --- | --- | --- | --- |\n| MT-Bench | Uniform | 100 ± 0 | 100 ± 0 | 100 ± 0 | 73 ± 5 |\n| | Natural Prob. | 100 ± 0 | 97 ± 2 | 100 ± 0 | 70 ± 5 |\n| MMLU | Uniform | 90 ± 1 | 78 ± 4 | 100 ± 0 | 95 ± 1 |\n| | Natural Prob. | 77 ± 2 | 41 ± 3 | 96 ± 2 | 87 ± 4 |\n| GSM8K | Uniform | 98 ± 0 | 100 ± 0 | 100 ± 0 | 94 ± 3 |\n| | Natural Prob. | 88 ± 2 | 92 ± 3 | 100 ± 0 | 83 ± 9 |\n\nTable 13: Average upgrade rates for different ways of sampling candidate tokens during gadget generation, in the whitebox setting. Uniformly sampling the tokens yields better upgrade rates in most cases.\n\nAs mentioned in Section 5, to encourage the LLMs to follow the specific format in their responses (so they can be parsed and compared with the ground-truth answers), we add a short prefix to the MMLU and GSM8K queries that instructs the model how to respond. We phrase this instruction as follows: \"*Answer the question using the format: \"Answer: [A/B/C/D]. Explanation: [EXPLANATION]\"*\" for the multi-choice queries of the MMLU benchmark, and a similar version for GSM8K. We add this instruction after modifying the queries with the confounder gadget, i.e. the instruction is prepended to the gadget.\n\nAn alternative to insert the instruction after the gadget but before the query, however we observed this to slighly underperform its counterpart. In the white-box setting we observe a slight decrease in the average (across all four routers) upgrade rate from 91% to 89% for the MMLU benchmark, and from 98% to 91% for the GSM8K benchmark. In the black-box setting, the average upgrade rate on MMLU reduces from 57% to 49% and on GSM8K from 73% to 64%.\n\nToken sampling method. When generating the confounder gadget (see Section 4), we iteratively replace tokens with the goal of maximizing the routing algorithm's score for the gadget. Candidate replacement tokens are chosen uniformly at random. An alternative is to choose candidates based on their probability of appearing in natural text. To evaluate this method, we compute token probabilities by parsing and tokenizing the wikitext-103-raw-v1 dataset [44].\n\nTable 13 shows that in most cases uniform sampling of replacement tokens yields better upgrade rates. We conjecture that uniform sampling produces more unnatural text, confusing the router. For example, for the RSW routing algorithm, uniform sampling produces the following gadget: \"*legationbelongs967reglo'hui(DictionaryizedNameantal bidi.numberOf* \", whereas sampling according to natural probabilities produces \"*total occurred According number Letar final Bab named remainder*\".\n\nNumber of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the effect of using less (n = 5) or more (n = 20 or n = 50) tokens. We observed that 5 tokens were insufficient to make changes to the routing algorithm's score and thus we were not able to optimize the gadget in this setting. As for 20 tokens, we observe a a small improvement in the white-box setting, increase the average upgrade rate from 93.9% to 95.8%, and a bigger improvement in the black-box setting, increase the average upgrade rate from 70.2% to 81.3%. Using 50 tokens further increases the upgrade rates, to 98.2% in the white-box setting and 84.2% in the black box setting. The average convergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall this evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is important to be careful not to make them too long to the point that they might degrade the performance of the underlying LLM.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv1.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety.38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n# **Methods**\n\n### **Data Collection**\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n### **EM-to-IP Handoff Note Template**\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n### **Data Curation for Automated ED Note Generation**\n\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rulebased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail in eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in **Table 1**: EM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "will be evaluated with respect to this pair, which we refer to as LLM pair 1. We performed more limited experiments with the original strong, weak model pair (LLM pair 4) and had similar success in rerouting.\n\nWe additionally performed experiments with two further weaker models, in order to better evaluate the case where weak models produce much lower-quality responses for queries (compared to the strong model). In particular, we define LLM pair 2 as the strong model plus Mistral-7B-Instruct-v0.3 [38] and LLM pair 3 as the strong model plus Llama-2-7B-chathf [63]. The weaker models in pairs 2 and 3 were chosen to represent smaller (Mistral 7B) and older-generation (Llama-2) models: according to the Chatbot Arena LLM ranking leaderboard [1, 21], Llama-3.1-8B is ranked in the 58th place, Mixtral 8x7B at the 88th place, Mistral-7B at the 108th place, and Llama-2-7B at the 125th place.\n\nThe LLM strong-weak pairs with which we performed experiments are summarized in Figure 3.\n\nEvaluation datasets. We will evaluate our attacks using three standard LLM benchmarks as workloads: MT-Bench [71], a dataset of 160 open-ended questions, MMLU [35], a dataset of 14,042 multi-choice questions, and GSM8K [24], a dataset of 1,319 grade-school math problems. Note that Ong et al. [47] flagged that some data points are \"contaminated\", i.e., they are too similar to the ones used in their training of the routers. We use these datasets without these contaminated elements, resulting in 72 MT-bench queries, 14,037 MMLU queries, and 1,307 GSM8K queries.\n\nFor MMLU and GSM8K, we will require that the LLMs respond in a predefined format so we can parse and compare the responses to ground-truth answers. To facilitate this, we prepended formatting instructions to the query, inserted as a prefix before the gadget in the case of confounded queries. In other words, a confounded query ends up defined as xˆi = instr∥c∥xi for instruction template instr, confounder gadget c, and original query xi . Thus in this case we model a scenario where the adversary only controls a part of the prompt rather than the entire prompt. See Appendix B for formatting examples and ablations.\n\nRouter calibration. For each workload, we must calibrate each router by setting the threshold τ to achieve some target fraction ϵ of queries routed to the strong model. Note that the calibration process we use is agnostic to the underlying LLM pair. We therefore must define 12 distinct thresholds, one for each router, dataset pair. For our experiments here, we set ϵ = 0.5, meaning the goal is to have about half the queries routed to the strong model. This reflects an application developer that seeks to control for costs, even if it may mean sacrificing some performance for some workloads.\n\nTo calibrate for MT-bench, we use the Chatbot Arena [21] dataset as the calibration set, computing the threshold using the 55 K queries for which Ong et al. precomputed the scoring function outputs. To calibrate for MMLU and GSM8K, we select 1,000 queries uniformly at random and uses these to set thresholds. Looking ahead, we do not use these queries during evaluation of the attacks.\n\nNote that it important that the distribution of calibration queries be similar to the distribution of the target workload (and, in our experiments, the test queries). We observed that the Chatbot Arena-based threshold did not transfer well to MMLU and GSM8K, resulting in the majority of queries (≈ 98%) routed to the strong model.\n\n### 6 Rerouting Open-Source Routers\n\nWe now empirically evaluate our rerouting attack against the open-source routers described in the previous section. Unless otherwise specified, our evaluation focuses on the query-independent attack setting where the attacker first finds a fixed set of gadgets and then uses them to attack arbitrarily many queries. This is the conservative setting, and query-specific gadgets — which carry a higher computational cost — generally work better.\n\nIn Appendix C we evaluate optimization-free alternatives for generating our confounding gadgets, and show they significantly underperform our optimization-based approach.\n\nWhite-box confounder gadget generation. Following our attack framework described in Section 4, we construct a query-independent control-plane gadget designed to confuse each router. We start with the white-box setting, setting the batch size to B = 32 and the number of iterations to T = 100, ignoring thresholds. We generate four sets of n = 10 gadgets, i.e., ten for each router. Examples of generated gadgets can be found in Appendix A.\n\nWhen reporting scores below, we therefore report the average over the n gadgets used with all 72 MT-bench queries, 100 randomly selected MMLU queries, and 100 randomly selected GSM8K queries. None of these testing queries were used in the training of the routers or their calibration.\n\nRuntime and convergence. Figure 4 shows the convergence rates for 10 different gadgets, against different routing algorithms. The overall average number of iterations before convergence is 58. Generation against RSW converges the", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv1.pdf" - }, - { - "text": "**Additional Contributions:** We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and Cornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in helping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey, MD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with physician recruitment. None of them were compensated for their contributions.\n\n#### **REFERENCES**\n\n**1**. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an extensive review. Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480\n\n**2**. Donaldson MS, Corrigan JM, Kohn LT. To err is human: building a safer health system. National Academy Press; 2000.\n\n**3**. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement and Patient Safety. Improving Handoffs in the Emergency Department. Ann Emerg Med. 2010;55(2):171-180. doi:10. 1016/j.annemergmed.2009.07.016\n\n**4**. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners' guide. Association of American Medical Colleges. 2017. Accessed October 23, 2024. https://www.aamc.org/media/ 20196/download\n\n**5**. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among hospitalized children following implementation of a resident handoff bundle.JAMA. 2013;310(21):2262-2270. doi: 10.1001/jama.2013.281961\n\n**6**. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after implementation of a handoff program. N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556\n\n**7**. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating across boundaries. Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009\n\n**8**. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs. ED Manag. 2015;27(11): 128-131.\n\n**9**. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic and community settings. Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026\n\n**10**. Hoff TJ. How work context shapes physician approach to safety and error. Qual Manag Health Care. 2008;17 (2):140-153. doi:10.1097/01.QMH.0000316992.94415.34\n\n**11**. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey data and development of algorithm. West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004\n\n**12**. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care Task Force. Handoff practices in emergency medicine: are we making progress? Acad Emerg Med. 2016;23(2): 197-201. doi:10.1111/acem.12867\n\n**13**. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine. Am J Med Qual. 2014;29(5):408-414. doi:10.1177/1062860613503364\n\n**14**. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department: a survey of emergency medicine residency and pediatric emergency medicine fellowship program directors. Acad Emerg Med. 2007;14(2):192-196.\n\n**15**. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of failures during the transition from emergency department to inpatient care. Ann Emerg Med. 2009;53(6): 701-10.e4. doi:10.1016/j.annemergmed.2008.05.007\n\n**16**. Smith CJ, Britigan DH, Lyden E, Anderson N, Welniak TJ, Wadman MC. Interunit handoffs from emergency department to inpatient care: a cross-sectional survey of physicians at a university medical center.J Hosp Med. 2015;10(11):711-717. doi:10.1002/jhm.2431\n\n**17**. Kessler C, Shakeel F, Hern HG, et al. An algorithm for transition of care in the emergency department. Acad Emerg Med. 2013;20(6):605-610. doi:10.1111/acem.12153\n\n**18**. Apker J, Mallak LA, Gibson SC. Communicating in the \"gray zone\": perceptions about emergency physician hospitalist handoffs and patient safety. Acad Emerg Med. 2007;14(10):884-894.\n\n**19**. Sanchez LD, Chiu DT, Nathanson L, et al. A model for electronic handoff between the emergency department and inpatient units.J Emerg Med. 2017;53(1):142-150. doi:10.1016/j.jemermed.2017.03.027\n\n**20**. Gonzalo JD, Yang JJ, Stuckey HL, Fischer CM, Sanchez LD, Herzig SJ. Patient care transitions from the emergency department to the medicine ward: evaluation of a standardized electronic signout tool. Int J Qual Health Care. 2014;26(4):337-347. doi:10.1093/intqhc/mzu040\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 10/12", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed8.pdf" - }, - { - "text": "| | RSW | | | RMF | | RCLS | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Original | Confounded | Original | Confounded | Original | Confounded | Original | Confounded |\n| MT-Bench | 13.8 | 12.3 ± 0.2 | 12.6 | 12.3 ± 0.2 | 13.1 | 12.1 ± 0.2 | 12.7 | 12.7 ± 0.4 |\n| MMLU | 20.4 | 20.1 ± 0.1 | 20.0 | 20.3 ± 0.1 | 20.2 | 20.5 ± 0.1 | 21.0 | 19.6 ± 0.1 |\n| GSM8K | 17.1 | 15.1 ± 0.3 | 17.0 | 15.2 ± 0.3 | 17.0 | 15.0 ± 0.2 | 16.4 | 15.2 ± 0.3 |\n\nTable 2: Average perplexity of responses to the original and confounded queries, in the white-box setting for LLM pair 1. Response perplexity does not change significantly when adding the confounder gadget.\n\n| | RSW | | RMF | | RCLS | | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Original | Confounded | Original | Confounded | Original | Confounded | Original | Confounded |\n| MT-Bench | 8.4 | 8.3 ± 0.0 | 8.4 | 8.4 ± 0.0 | 8.4 | 8.3 ± 0.0 | 8.3 | 8.2 ± 0.1 |\n| MMLU | 61 | 66 ± 0 | 64 | 64 ± 1 | 63 | 65 ± 0 | 67 | 66 ± 0 |\n| GSM8K | 46 | 64 ± 1 | 50 | 67 ± 1 | 50 | 63 ± 1 | 44 | 64 ± 1 |\n\nTable 3: Average benchmark-specific scores of responses to the original and confounded queries, in the white-box setting for LLM pair 1. Rerouting to the strong model improves quality of responses as long as there is a significant gap between the benchmark performance of the weak and strong LLMs.\n\nAs a first measure of response quality, we compare the perplexity scores for unmodified responses and confounded query responses. Text perplexity [37] is a well-known method for approximating \"naturalness\" of text sequences. Perplexity can be computed using an LLM, we use GPT-2 [51] for this purpose as it is a standard choice [16, 69];1 Table 2 shows the results. As can be seen, adding the confounder gadget to queries does not significantly change response perplexity. To the extent that it does, it usually somewhat decreases response perplexity, i.e., makes it more \"natural\". That said, perplexity is a coarse measure of \"naturalness,\" and it does not measure whether the response is correct. In particular, responses of strong and weak LLMs tend to have similar perplexities. We further discuss this issue in Appendix D.\n\nWe thus also evaluate using the following benchmark-specific metrics to assess response quality:\n\n- MT-bench: We score the responses on a scale of 1–10 using an LLM-as-a-judge methodology [71]. We use GPT-4o [2] as the judge and ask it to provide a score given a pair of a query and a corresponding response.\n- MMLU: We parse the responses and compare the answer to the ground truth. In cases where the response did not fit any known multi-choice format, we marked the response as a mistake. We report accuracy as the percentage of responses that match the ground truth.\n- GSM8K: similar to MMLU except questions are math rather than multiple choice, thus we parse the answers according to the expected format.\n\nTable 3 shows that, according to these metrics, in most cases responses to the confounded queries are no worse, and in some cases even better, than responses to the original queries. We attribute the improvement on the GSM8K benchmark to the fact that the strong model performs significantly better than the weak model on this benchmark (57% vs. 33%). On the MT-bench and MMLU benchmarks, strong and weak models have comparable performance (8.5 vs. 7.6 for MT-bench and 66% vs. 64% for MMLU), thus routing does not degrade quality of responses and, consequently, the attack cannot improve it.\n\nTo further demonstrate that the attack improves the quality of responses when there is a significant gap between the weak and strong LLMs, we perform an additional evaluation with Mistral-7B-Instruct-v0.3 [38] and Llama-2-7B-chat-hf [63] as the weak LLMs (LLM pairs 2 and 3). Mistral-7B achieves 7.4, 57%, and 25% on MT-bench, MMLU, and GSM8K, respectively. Llama-2-7B achieves 6.4, 44%, and 21%. Table 4 shows that the rerouting attack improves quality of responses when either of these LLMs is the weak model, and in particular for the weaker Llama-2-7B model.\n\nLLM responses are sometimes affected by the confounder gadget. In some cases, the LLM responded with, for example, \"I can't answer that question as it appears to be a jumbled mix of characters\". Still, the response continued with \"However, I can help you with the actual question you're asking,\" followed by the actual answer. We observed very few cases where an LLM refused to answer due to the presence of the gadget. In most cases, the response did not mention anything\n\n1 Some responses had abnormally high perplexity values (> 100), which we found do not correlate with quality, but these variations disproportionately contribute to the average. We thus filter out such high-perplexity responses as outliers in both benign and attack settings. We provide examples of filtered responses in Appendix D.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What are the improvements made to possible to the HadGEM3 and CMIP5 climate change models by UKCP18 ?", - "target_page": 1, - "target_passage": "mprovements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "**4**\n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts—an atmosphereonly simulation requires considerably less computing time than a coupled ocean–atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.\n\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW** \n\n# What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme2.\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power3 for example.\n\n# What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n• Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback – user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information4.\n\n- Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM35 model and the CMIP56 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n• Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models7.\n\n• The increased quantity and range of observations available since 2009.\n\n• Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. **https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports**\n\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): **https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/** 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: **https://www.gov.uk/government/collections/climate-change-adaptationreporting-second-round-reports**\n\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n\n- 5 **http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n- 6 Coupled model intercomparison project phase 5, see **http://cmip-pcmdi.llnl.gov/cmip5/**\n\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25,\n\n5791–5806 (2012) **http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "# What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n# **OBSERVATIONS**\n\n### **Annual report: State of the UK Climate. Downloadable data.**\n\nThe \"State of the UK Climate\" report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence9. For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n# **MARINE PROJECTIONS**\n\n#### **Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a \"plausible but highly unlikely\" scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report10.\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These \"storminess\" projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n8 The latest update can be found at **http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n\n- 9 **http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10 **https://www.ipcc.ch/report/ar5/**", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 2.** Simulated changes in annual daily maximumtemperature relativeto1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 4.** Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven by differentsets of CMIP5sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2024 | 2035 |\n| | GFDL-ESM2M | 2036 | 2051 |\n| | HadGEM2-ES | 2019 | 2033 |\n| | IPSL-CM5A-MR | 2023 | 2036 |\n| | MIROC-ESM-CHEM | 2020 | 2032 |\n| ACCESS1-0 | | 2026 | 2040 |\n| | | | |\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.\n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase more in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global warming compared with present day, whereas in the mid-latitudes between 20% and 30% of days exceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).\n\nrsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "# **PROJECTIONS OVER LAND**\n\nThe land projections comprise three components:\n\n### **60KM GLOBAL PROJECTIONS**\n\n#### **20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## **25KM PROBABILISTIC PROJECTIONS**\n\n**Captures natural variability and climate change. Updated models and observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP0911. The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided12.\n\n### **DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n\n**Downscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX13.\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n\n12 30-year means can be created using the UKCP18 PDF data\n\n13 http://www.euro-cordex.net/", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 3.** Simulated changes in the percentage of days with daily temperature above the 90th percentile for 1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\nIndices based upon daily precipitation often show more spatial variability in changes than the temperature-based indices, and greater differences between ensemble members, but, nevertheless, some consistent pictures still emerge.\n\nThe number of consecutive dry days is projected to increase over some regions and decrease in others (figure 4). Southern Africa, the Mediterranean, Australia and northeast South America are projected to have increased dry spell lengths, while this is projected to decrease in central and eastern Asia. The general pattern of these projections is broadly consistent across the ensemble members. However, the global mean changes vary in sign (table 5), as a result of different magnitudes of regional changes dominating in different ensemble members.\n\nPerhaps more surprisingly, projected changes in maximum 5 day rainfall (Rx5day) also vary in sign both geographically and between models (figure 5). Extreme rainfall might simplistically be expected to increase in a warmer climate, and indeed the global mean change is a consistent increase in all ensemble members (table 5). Regional Rx5day is projected to increase over many regions including parts of southeast Asia, southern South America, northern Australia and the east coast of the USA. However, some regions (particularly, the central Amazon and the northern coast of South America) are projected to see a decrease in Rx5day.\n\nLarge increases in Rx5day are simulated in south and southeast Asia in all models, but with local details varying. Southeastern South America (broadly southern Brazil and northern Argentina) also see large increases in Rx5day in all models. All models show only small changes over central and north Africa, Europe and most of Asia. In northern South America, however, some models show increases in Rx5day but others show decreases. This suggests that the ensemble-mean result of a decrease in Rx5day in this area may be subject to large uncertainty. Inter-model variations in the sign of changes are seen in a few other local localized regions.\n\nThe average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline) generally increase over most of the land surface, although this increase was mostly by a day or less (figure 6). However, some *Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 2. Murphy JM *et al.* 2009 *UK climate projections science report: climate change projections*. Exeter, UK: Met Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n- 3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in Copenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference of the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ 11a01.pdf.\n- 4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, 30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of the Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ 10a01.pdf.\n- 5. Hewitson B *et al.* 2014 Regional context. In *Climate change 2014: impacts, adaptation, and vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment report of the Intergovernmental Panel on Climate Change* (eds VR Barros *et al.*), pp. 1133–1197. Cambridge, UK: Cambridge University Press.\n- 6. Dankers R *et al.* 2013 First look at changes in flood hazard in the inter-sectoral impact model intercomparison project ensemble. *Proc. Natl Acad. Sci. USA* **111**, 3257–3261. (doi:10.1073/ pnas.1302078110)\n- 7. IPCC. 2014 Summary for policymakers. In *Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change* (eds CB Field *et al.*), pp. 1–32. Cambridge, UK: Cambridge University Press.\n- 8. Schewe J *et al.* 2014 Multimodel assessment of water scarcity under climate change. *Proc. Natl Acad. Sci. USA* **111**, 3245–3250. (doi:10.1073/pnas.1222460110)\n- 9. Schleussner C-F *et al.* 2015 Differential climate impacts for policy-relevant limits to global warming: the case of 1.5°C and 2°C. *Earth Syst. Dynam. Discuss.* **6**, 2447–2505. (doi:10.5194/ esdd-6-2447-2015)\n- 10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-adegree difference: a review of methods for identifying regional climate responses to global warming targets. *WIREs Clim Change* **8**, e457. (doi:10.1002/wcc.457)\n- 11. Haarsma RJ *et al.* 2016 High resolution model intercomparison project (HighResMIP v1.0) for CMIP6. *Geosci. Model Dev.* **9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n- 12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke EC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation Met Office climate modelling system. *Geosci. Model Dev.* **4**, 223–253. (doi:10.5194/gmd-4- 223-2011).\n- 13. Martin GM *et al.* 2011 The HadGEM2 family of met office unified model climate configurations. *Geosci. Model Dev.* **4**, 723–757. (doi:10.5194/gmd-4-723-2011)\n- 14. Walters DN *et al.* 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and JULES global land 3.0/3.1 configurations. *Geosci. Model Dev.* **4**, 919–941. (doi:10.5194/gmd-4-919-2011)\n- 15. Williams KD *et al.* 2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. *Geosci. Model Dev.* **8**, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n- 16. Senior CA *et al.* 2016 Idealized climate change simulations with a high-resolution physical model: HadGEM3-GC2. *J. Adv. Model. Earth Syst.* **8**, 813–830. (doi:10.1002/2015MS000614)\n- 17. Wood N *et al.* 2014 An inherently mass-conserving semi-implicit semi-Lagrangian discretization of the deep-atmosphere global non-hydrostatic equations. *Q. J. R. Meteorol. Soc.* **140**, 1505–1520. (doi:10.1002/qj.2235)\n- 18. MacLachlan C *et al.* 2014 Global seasonal forecast system version 5 (GloSea5): a highresolution seasonal forecast system. *Q. J. R. Meteorol. Soc.* **141**, 1072–1084. (doi:10.1002/qj.2396)\n- 19. Knight J *et al.* 2014 Predictions of climate several years ahead using an improved decadal prediction system. *J. Clim.* **27**, 7550–7567. (doi:10.1175/JCLI-D-14-00069.1)\n- 20. Wyser K *et al.* 2016 Documentation of changes in climate variability and extremes simulated by the HELIX AGCMs at the 3 SWLs and comparison to changes in equivalent SST/SIC lowresolution CMIP5 projections. HELIX project deliverable 3.1.\n- 21. Alexander L, Yang H, Perkins S. 2018 ClimPACT—Indices and Software. User Manual. See http://www.wmo.int/pages/prog/wcp/ccl/opace/opace4/meetings/documents/ ETCRSCI_software_documentation_v2a.doc (accessed on 5 February 2018).", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Table 3.** Time of reaching GWLs of 1.5°C and 2°C in the raw output from the HadGEM3 climate simulations, driven by different sets of CMIP5sea-surface temperatures. The dates are the centre year of a 20-year period for which the climate data are applied to the calculation of the ClimPACT indices.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2015 | 2030 |\n| | GFDL-ESM2M | 2040 | 2055 |\n| | HadGEM2-ES | 2027 | 2039 |\n| | IPSL-CM5A-MR | 2020 | 2034 |\n| | MIROC-ESM-CHEM | 2023 | 2035 |\n| | ACCESS1–0 | 2034 | 2046 |\n\nup to present-day plus model-projected warming thereafter (table 4). While this does lead to inconsistent definitions of dates of the GWLs for applications of the climate model output with and without bias correction, the focus here is on the level of warming relative to pre-industrial rather than the timing of this warming. Therefore, priority is given to an accurate quantification of GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming levels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on the model and warming level. This inconsistency would have consequences if these results were applied to time-dependent impacts and adaptation assessments, but that is not the case here so this concern does not apply. However, one issue is that the time-dependent nature of the aerosol forcing means that the spatial pattern of regional climate responses varies over time, so this will lead to some degree of inconsistency between the analysis of the ClimPACT extremes and the HCVI and JULES impacts projections.\n\n## 3. Results\n\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the level of agreement between models for a particular projected change, and hence an indication of potential robustness of the projected changes for informing adaptation. We then make a comparison of impacts at global warming 1.5°C to investigate the level of impact that would be avoided by limiting global warming to different levels. Bearing in mind the uncertainty in regional climate outcomes, we address this in a number of ways. For individual realizations, we compare the impacts at different warming levels to see if they are systematically smaller at 1.5°C, even if the sign of the change is uncertain. We also compare the range of outcomes at different GWLs, to see if the regional-scale uncertainty itself increases with global warming.\n\n## (a) Climate-change impacts at 2°C global warming\n\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was above 2°C for most of the land surface, with the exception of the Indian subcontinent, most of Australia and Antarctica (figure 2). The increase was higher still in many regions; most of North America, much of China and north Asia, northwestern South America and all of Europe. In the northern and eastern USA and much of northern and western Europe, the annual daily maximum temperature increased by over 4°C for 2°C global warming. The global mean TXx increased by more than 2°C in all ensemble members (table 5), so the maximum temperature warming more than the global annual mean is a consistent result across all projections here, as found in previous studies with other models [9] (table 5).\n\nThe different ensemble members give somewhat different results at regional scales, although there is a strong consensus on the temperature extremes examined here becoming warmer. In the simulations driven by SSTs and SICs from the two IPSL CMIP5 models, most of the global", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 5.** Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "Which causes of the rise of sea level will be considered by UKCP18 ?", - "target_page": 2, - "target_passage": "Sea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n# **OBSERVATIONS**\n\n### **Annual report: State of the UK Climate. Downloadable data.**\n\nThe \"State of the UK Climate\" report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence9. For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n# **MARINE PROJECTIONS**\n\n#### **Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a \"plausible but highly unlikely\" scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report10.\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These \"storminess\" projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n8 The latest update can be found at **http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n\n- 9 **http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10 **https://www.ipcc.ch/report/ar5/**", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW** \n\n# What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme2.\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power3 for example.\n\n# What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n• Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback – user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information4.\n\n- Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM35 model and the CMIP56 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n• Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models7.\n\n• The increased quantity and range of observations available since 2009.\n\n• Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. **https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports**\n\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): **https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/** 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: **https://www.gov.uk/government/collections/climate-change-adaptationreporting-second-round-reports**\n\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n\n- 5 **http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n- 6 Coupled model intercomparison project phase 5, see **http://cmip-pcmdi.llnl.gov/cmip5/**\n\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25,\n\n5791–5806 (2012) **http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "### Summary of expected outputs\n\nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n\n| | | | | Land | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Observations (UK State of | Marine and coastal | Global | Probabilistic | High resolution projections | |\n| | | | projections | projections | | |\n| | the Climate) | projections | | | | |\n| Characteristics | Observed trends; long-term | Updated sea level on operational storm surge | Ensemble of ~20 spatially | Updated probability year and monthly time series based on | Downscaled projections over the UK for ~10 spatially coherent time | |\n| | | rise and surge | coherent time | density functions | | |\n| | | projections based | series of the Met | presented as 30- | | |\n| | climatologies; | | Office Hadley | | series. 2.2 km model provides | |\n| | weather | model (CS3) | Centre model | Met Office models | realistic information on heavy | |\n| | events for the | | and a similar | | rainfall events | |\n| | preceding year | using CMIP5, | number of | (HadCM3, ESPPE) and | | |\n| | | EURO-CORDEX‡ | CMIP5 models | CMIP5 | | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| resolution | | | | | | |\n| Period of data | bulk of 20th | | | | | 1981-2000 |\n| | century to | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 2021-2040 |\n| | present day | | | | | 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP8.5 | RCP8.5; additional | SRES A1B, RCP2.6, RCP6.0 | RCP8.5 | RCP8.5 |\n| | | RCP4.5, | lower scenario | RCP4.5, | | |\n| | | | (for Met Office | | | |\n| | | H++ | Hadley Centre | RCP8.5 | | |\n| | | | model only) | | | |\n| Variables available++ | Temperature, | | Temperature, | | Temperature, Temperature, | |\n| | | | precipitation, | Temperature, | precipitation, precipitation, | |\n| | precipitation | Sea level rise, | humidity, wind | precipitation, | humidity, wind humidity, wind | |\n| | (including snow), | storm surge | speed, wind | humidity, wind speed, | speed, wind speed, wind | |\n| | sunshine, wind | | direction, solar | solar radiation | direction, solar direction, solar | |\n| | | | radiation | | radiation radiation | |\n\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see **http://www.ntslf.org/ data/uk-network-real-time**).\n\n‡An ensemble of regional climate model results over Europe (see **http://www.euro-cordex.net**). +Now included due to user request and Peer Review Panel advice.\n\n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n# How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "# **PROJECTIONS OVER LAND**\n\nThe land projections comprise three components:\n\n### **60KM GLOBAL PROJECTIONS**\n\n#### **20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## **25KM PROBABILISTIC PROJECTIONS**\n\n**Captures natural variability and climate change. Updated models and observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP0911. The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided12.\n\n### **DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n\n**Downscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX13.\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n\n12 30-year means can be created using the UKCP18 PDF data\n\n13 http://www.euro-cordex.net/", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 2.** Simulated changes in annual daily maximumtemperature relativeto1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 4.** Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven by differentsets of CMIP5sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2024 | 2035 |\n| | GFDL-ESM2M | 2036 | 2051 |\n| | HadGEM2-ES | 2019 | 2033 |\n| | IPSL-CM5A-MR | 2023 | 2036 |\n| | MIROC-ESM-CHEM | 2020 | 2032 |\n| ACCESS1-0 | | 2026 | 2040 |\n| | | | |\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.\n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase more in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global warming compared with present day, whereas in the mid-latitudes between 20% and 30% of days exceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).\n\nrsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 2. Murphy JM *et al.* 2009 *UK climate projections science report: climate change projections*. Exeter, UK: Met Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n- 3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in Copenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference of the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ 11a01.pdf.\n- 4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, 30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of the Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ 10a01.pdf.\n- 5. Hewitson B *et al.* 2014 Regional context. In *Climate change 2014: impacts, adaptation, and vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment report of the Intergovernmental Panel on Climate Change* (eds VR Barros *et al.*), pp. 1133–1197. Cambridge, UK: Cambridge University Press.\n- 6. Dankers R *et al.* 2013 First look at changes in flood hazard in the inter-sectoral impact model intercomparison project ensemble. *Proc. Natl Acad. Sci. USA* **111**, 3257–3261. (doi:10.1073/ pnas.1302078110)\n- 7. IPCC. 2014 Summary for policymakers. In *Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change* (eds CB Field *et al.*), pp. 1–32. Cambridge, UK: Cambridge University Press.\n- 8. Schewe J *et al.* 2014 Multimodel assessment of water scarcity under climate change. *Proc. Natl Acad. Sci. USA* **111**, 3245–3250. (doi:10.1073/pnas.1222460110)\n- 9. Schleussner C-F *et al.* 2015 Differential climate impacts for policy-relevant limits to global warming: the case of 1.5°C and 2°C. *Earth Syst. Dynam. Discuss.* **6**, 2447–2505. (doi:10.5194/ esdd-6-2447-2015)\n- 10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-adegree difference: a review of methods for identifying regional climate responses to global warming targets. *WIREs Clim Change* **8**, e457. (doi:10.1002/wcc.457)\n- 11. Haarsma RJ *et al.* 2016 High resolution model intercomparison project (HighResMIP v1.0) for CMIP6. *Geosci. Model Dev.* **9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n- 12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke EC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation Met Office climate modelling system. *Geosci. Model Dev.* **4**, 223–253. (doi:10.5194/gmd-4- 223-2011).\n- 13. Martin GM *et al.* 2011 The HadGEM2 family of met office unified model climate configurations. *Geosci. Model Dev.* **4**, 723–757. (doi:10.5194/gmd-4-723-2011)\n- 14. Walters DN *et al.* 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and JULES global land 3.0/3.1 configurations. *Geosci. Model Dev.* **4**, 919–941. (doi:10.5194/gmd-4-919-2011)\n- 15. Williams KD *et al.* 2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. *Geosci. Model Dev.* **8**, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n- 16. Senior CA *et al.* 2016 Idealized climate change simulations with a high-resolution physical model: HadGEM3-GC2. *J. Adv. Model. Earth Syst.* **8**, 813–830. (doi:10.1002/2015MS000614)\n- 17. Wood N *et al.* 2014 An inherently mass-conserving semi-implicit semi-Lagrangian discretization of the deep-atmosphere global non-hydrostatic equations. *Q. J. R. Meteorol. Soc.* **140**, 1505–1520. (doi:10.1002/qj.2235)\n- 18. MacLachlan C *et al.* 2014 Global seasonal forecast system version 5 (GloSea5): a highresolution seasonal forecast system. *Q. J. R. Meteorol. Soc.* **141**, 1072–1084. (doi:10.1002/qj.2396)\n- 19. Knight J *et al.* 2014 Predictions of climate several years ahead using an improved decadal prediction system. *J. Clim.* **27**, 7550–7567. (doi:10.1175/JCLI-D-14-00069.1)\n- 20. Wyser K *et al.* 2016 Documentation of changes in climate variability and extremes simulated by the HELIX AGCMs at the 3 SWLs and comparison to changes in equivalent SST/SIC lowresolution CMIP5 projections. HELIX project deliverable 3.1.\n- 21. Alexander L, Yang H, Perkins S. 2018 ClimPACT—Indices and Software. User Manual. See http://www.wmo.int/pages/prog/wcp/ccl/opace/opace4/meetings/documents/ ETCRSCI_software_documentation_v2a.doc (accessed on 5 February 2018).", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Table 3.** Time of reaching GWLs of 1.5°C and 2°C in the raw output from the HadGEM3 climate simulations, driven by different sets of CMIP5sea-surface temperatures. The dates are the centre year of a 20-year period for which the climate data are applied to the calculation of the ClimPACT indices.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2015 | 2030 |\n| | GFDL-ESM2M | 2040 | 2055 |\n| | HadGEM2-ES | 2027 | 2039 |\n| | IPSL-CM5A-MR | 2020 | 2034 |\n| | MIROC-ESM-CHEM | 2023 | 2035 |\n| | ACCESS1–0 | 2034 | 2046 |\n\nup to present-day plus model-projected warming thereafter (table 4). While this does lead to inconsistent definitions of dates of the GWLs for applications of the climate model output with and without bias correction, the focus here is on the level of warming relative to pre-industrial rather than the timing of this warming. Therefore, priority is given to an accurate quantification of GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming levels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on the model and warming level. This inconsistency would have consequences if these results were applied to time-dependent impacts and adaptation assessments, but that is not the case here so this concern does not apply. However, one issue is that the time-dependent nature of the aerosol forcing means that the spatial pattern of regional climate responses varies over time, so this will lead to some degree of inconsistency between the analysis of the ClimPACT extremes and the HCVI and JULES impacts projections.\n\n## 3. Results\n\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the level of agreement between models for a particular projected change, and hence an indication of potential robustness of the projected changes for informing adaptation. We then make a comparison of impacts at global warming 1.5°C to investigate the level of impact that would be avoided by limiting global warming to different levels. Bearing in mind the uncertainty in regional climate outcomes, we address this in a number of ways. For individual realizations, we compare the impacts at different warming levels to see if they are systematically smaller at 1.5°C, even if the sign of the change is uncertain. We also compare the range of outcomes at different GWLs, to see if the regional-scale uncertainty itself increases with global warming.\n\n## (a) Climate-change impacts at 2°C global warming\n\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was above 2°C for most of the land surface, with the exception of the Indian subcontinent, most of Australia and Antarctica (figure 2). The increase was higher still in many regions; most of North America, much of China and north Asia, northwestern South America and all of Europe. In the northern and eastern USA and much of northern and western Europe, the annual daily maximum temperature increased by over 4°C for 2°C global warming. The global mean TXx increased by more than 2°C in all ensemble members (table 5), so the maximum temperature warming more than the global annual mean is a consistent result across all projections here, as found in previous studies with other models [9] (table 5).\n\nThe different ensemble members give somewhat different results at regional scales, although there is a strong consensus on the temperature extremes examined here becoming warmer. In the simulations driven by SSTs and SICs from the two IPSL CMIP5 models, most of the global", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "**4**\n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts—an atmosphereonly simulation requires considerably less computing time than a coupled ocean–atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.\n\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "but also a result of the different forcings influencing the atmosphere model at the time of passing each GWL, and the interaction with the climate sensitivity of HadGEM3. The radiative forcing of non-CO2 forcings has previously been highlighted as a potentially important influence on patterns of climate change at 1.5°C and 2°C global warming [39]. Furthermore, despite some differences in regional climate responses between ensemble members, there were also some remarkable consistencies especially in the changes that might be considered inconsistent with a warming climate, such as regions such as northern South America where heavy rainfall (Rx5day) decreases rather increasing as might be expected under a warming climate. Again, these consistencies point to some common forcing of all simulations.\n\nOne key factor is the different times of passing a particular GWL, because the net radiative forcing would be different even though the same emissions and concentration scenario was used in all simulations. A given GWL was reached at a different time in each ensemble member, so the CO2 and aerosol concentrations vary between ensemble members; in members reaching a GWL early, such as that driven by IPSL-CM5A-LR, the CO2 concentration is relatively lower than in other members, and the total aerosol concentration would be relatively higher (CO2 concentrations are projected to increase in RCP8.5, but aerosol concentrations are projected decline). The net radiative forcing is smaller, because in RCP8.5 the increase positive radiative forcing from CO2 is greater than the decrease in net negative radiative forcing from aerosols. Moreover, the physiological effect of CO2 is also smaller, meaning that the consequent reduction in transpiration and associated additional land surface warming influence would also be expected to be smaller.\n\nConversely, in members reaching the same GWL later, such as that driven by GFDL-ESM2M, CO2 concentration is relatively higher, and aerosol concentrations are lower. So, net radiative forcing, CO2 physiological effects and the regional-scale radiative forcings from individual aerosol types could, therefore, be quite different in the GFDL-driven HadGEM3 simulation when it reaches 2°C global warming 25 years later than the IPSL-CM5A-LR-driven simulation.\n\nThe spatial pattern of changes in the different ensemble members may also play a role in influencing the global mean changes, for example, with large changes in some regions due to faster snow-melt or changes in cloud cover in one ensemble member leading to particular changes in regional warming that are not seen in other ensemble members. Moreover, the individual forcings of the different aerosol components such as sulfate and black carbon differ in sign and spatial pattern, so the overall impact on local radiative forcing and hence regional temperature patterns is more complex. Therefore, the global mean changes may not necessarily be expected to relative to global mean forcings.\n\nA further complexity in identifying precise mechanisms for regional changes is the experimental design used here, with one atmospheric model and concentration/emissions scenario but six different SST and SIC patterns, means that the impact of spatial heterogeneity in radiative forcings is complex and involves a mix of effects in HadGEM3 and the original CMIP5 models. In the case of aerosols, for example, our HadGEM3 simulations are driven with RCP8.5 aerosol emissions and the aerosol concentrations are then calculated within the model itself. The spatial distributions of aerosol optical depth and radiative forcing can, therefore, be expected to be reasonably similar, because they arise from the same emissions scenario, although some differences may occur due to the different regional climate-change patterns. However, the impact of aerosols is also seen in the SST and SIC changes, because these will have responded to changes in regional aerosol radiative forcing in the original CMIP5 simulations. Therefore, these SST and SIC patterns will carry the 'memory' of aerosol changes in the original CMIP5 projections.\n\nOne example of an impact of changing aerosol radiative forcing could be the precipitation changes in northern South America including Amazonia. All ensemble members show a general drying in this region, as seen in RX5day and mean run-off results. The reduction in Rx5day is particularly notable, because the general expectation would be for an increase in heavy rainfall events in a warmer climate, as is seen in most other regions in these projections. This reduced rainfall in the Amazon region may be associated with the reducing net negative aerosol radiative forcing in the North Atlantic [40]. CO2 physiological forcing may also play a role here [41,42].", - "page_start": 23, - "page_end": 23, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What perdiod is covered by the 12 km resolution projection data of the UKCP18 ?", - "target_page": 4, - "target_passage": "1981-2080", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "# What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n# **OBSERVATIONS**\n\n### **Annual report: State of the UK Climate. Downloadable data.**\n\nThe \"State of the UK Climate\" report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence9. For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n# **MARINE PROJECTIONS**\n\n#### **Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a \"plausible but highly unlikely\" scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report10.\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These \"storminess\" projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n8 The latest update can be found at **http://www.metoffice.gov.uk/climate/uk/about/state-of-climate**\n\n- 9 **http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n10 **https://www.ipcc.ch/report/ar5/**", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "**UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW** \n\n# What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme2.\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power3 for example.\n\n# What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n• Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback – user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information4.\n\n- Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM35 model and the CMIP56 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n• Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models7.\n\n• The increased quantity and range of observations available since 2009.\n\n• Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n\n1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. **https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports**\n\n2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): **https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/** 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: **https://www.gov.uk/government/collections/climate-change-adaptationreporting-second-round-reports**\n\n4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n\n- 5 **http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3**\n- 6 Coupled model intercomparison project phase 5, see **http://cmip-pcmdi.llnl.gov/cmip5/**\n\n7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25,\n\n5791–5806 (2012) **http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1**", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "# **PROJECTIONS OVER LAND**\n\nThe land projections comprise three components:\n\n### **60KM GLOBAL PROJECTIONS**\n\n#### **20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.**\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## **25KM PROBABILISTIC PROJECTIONS**\n\n**Captures natural variability and climate change. Updated models and observations. Provides seasonal scale projections.**\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP0911. The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided12.\n\n### **DOWNSCALED HIGH RESOLUTION PROJECTIONS**\n\n**Downscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.**\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX13.\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n\n12 30-year means can be created using the UKCP18 PDF data\n\n13 http://www.euro-cordex.net/", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "### Summary of expected outputs\n\nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n\n| | | | | Land | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Observations (UK State of | Marine and coastal | Global | Probabilistic | High resolution projections | |\n| | | | projections | projections | | |\n| | the Climate) | projections | | | | |\n| Characteristics | Observed trends; long-term | Updated sea level on operational storm surge | Ensemble of ~20 spatially | Updated probability year and monthly time series based on | Downscaled projections over the UK for ~10 spatially coherent time | |\n| | | rise and surge | coherent time | density functions | | |\n| | | projections based | series of the Met | presented as 30- | | |\n| | climatologies; | | Office Hadley | | series. 2.2 km model provides | |\n| | weather | model (CS3) | Centre model | Met Office models | realistic information on heavy | |\n| | events for the | | and a similar | | rainfall events | |\n| | preceding year | using CMIP5, | number of | (HadCM3, ESPPE) and | | |\n| | | EURO-CORDEX‡ | CMIP5 models | CMIP5 | | |\n| Scale | UK | UK | Global | UK | UK | |\n| Spatial resolution* | To match land projections | UK Coastline† | 60km | 25km | 12km+ | 2.2km |\n| Highest temporal | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| resolution | | | | | | |\n| Period of data | bulk of 20th | | | | | 1981-2000 |\n| | century to | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 2021-2040 |\n| | present day | | | | | 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP8.5 | RCP8.5; additional | SRES A1B, RCP2.6, RCP6.0 | RCP8.5 | RCP8.5 |\n| | | RCP4.5, | lower scenario | RCP4.5, | | |\n| | | | (for Met Office | | | |\n| | | H++ | Hadley Centre | RCP8.5 | | |\n| | | | model only) | | | |\n| Variables available++ | Temperature, | | Temperature, | | Temperature, Temperature, | |\n| | | | precipitation, | Temperature, | precipitation, precipitation, | |\n| | precipitation | Sea level rise, | humidity, wind | precipitation, | humidity, wind humidity, wind | |\n| | (including snow), | storm surge | speed, wind | humidity, wind speed, | speed, wind speed, wind | |\n| | sunshine, wind | | direction, solar | solar radiation | direction, solar direction, solar | |\n| | | | radiation | | radiation radiation | |\n\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see **http://www.ntslf.org/ data/uk-network-real-time**).\n\n‡An ensemble of regional climate model results over Europe (see **http://www.euro-cordex.net**). +Now included due to user request and Peer Review Panel advice.\n\n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n# How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\n**http://ukclimateprojections.metoffice.gov.uk/24125**\n\n*UKCP Project Team*", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T(t) = exp[−µ(E)A(h)], where µ(E) is the mass attenuation coefficient of gamma rays at energy E in air and A(h) is the air mass along the line of sight at a given altitude h(t). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5σ after ∼ 490 days of observations, and one transient source.\n\n#### III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n#### A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBM CTIME data do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "**4**\n\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts—an atmosphereonly simulation requires considerably less computing time than a coupled ocean–atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.\n\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "#### SURFACE TUFT PHOTOGRAHS FOR A SWEPT, TAPERED WlNG 60° DELTA, AR=2.31, A=0\n\nFROM NACA TN 2674\n\nFigure 1.33. Std Patterns (sheet 8 018)", - "page_start": 102, - "page_end": 102, - "source_file": "00-80T-80.pdf" - }, - { - "text": "- 2. Murphy JM *et al.* 2009 *UK climate projections science report: climate change projections*. Exeter, UK: Met Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n- 3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in Copenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference of the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ 11a01.pdf.\n- 4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, 30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of the Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ 10a01.pdf.\n- 5. Hewitson B *et al.* 2014 Regional context. In *Climate change 2014: impacts, adaptation, and vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment report of the Intergovernmental Panel on Climate Change* (eds VR Barros *et al.*), pp. 1133–1197. Cambridge, UK: Cambridge University Press.\n- 6. Dankers R *et al.* 2013 First look at changes in flood hazard in the inter-sectoral impact model intercomparison project ensemble. *Proc. Natl Acad. Sci. USA* **111**, 3257–3261. (doi:10.1073/ pnas.1302078110)\n- 7. IPCC. 2014 Summary for policymakers. In *Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change* (eds CB Field *et al.*), pp. 1–32. Cambridge, UK: Cambridge University Press.\n- 8. Schewe J *et al.* 2014 Multimodel assessment of water scarcity under climate change. *Proc. Natl Acad. Sci. USA* **111**, 3245–3250. (doi:10.1073/pnas.1222460110)\n- 9. Schleussner C-F *et al.* 2015 Differential climate impacts for policy-relevant limits to global warming: the case of 1.5°C and 2°C. *Earth Syst. Dynam. Discuss.* **6**, 2447–2505. (doi:10.5194/ esdd-6-2447-2015)\n- 10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-adegree difference: a review of methods for identifying regional climate responses to global warming targets. *WIREs Clim Change* **8**, e457. (doi:10.1002/wcc.457)\n- 11. Haarsma RJ *et al.* 2016 High resolution model intercomparison project (HighResMIP v1.0) for CMIP6. *Geosci. Model Dev.* **9**, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n- 12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke EC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation Met Office climate modelling system. *Geosci. Model Dev.* **4**, 223–253. (doi:10.5194/gmd-4- 223-2011).\n- 13. Martin GM *et al.* 2011 The HadGEM2 family of met office unified model climate configurations. *Geosci. Model Dev.* **4**, 723–757. (doi:10.5194/gmd-4-723-2011)\n- 14. Walters DN *et al.* 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and JULES global land 3.0/3.1 configurations. *Geosci. Model Dev.* **4**, 919–941. (doi:10.5194/gmd-4-919-2011)\n- 15. Williams KD *et al.* 2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. *Geosci. Model Dev.* **8**, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n- 16. Senior CA *et al.* 2016 Idealized climate change simulations with a high-resolution physical model: HadGEM3-GC2. *J. Adv. Model. Earth Syst.* **8**, 813–830. (doi:10.1002/2015MS000614)\n- 17. Wood N *et al.* 2014 An inherently mass-conserving semi-implicit semi-Lagrangian discretization of the deep-atmosphere global non-hydrostatic equations. *Q. J. R. Meteorol. Soc.* **140**, 1505–1520. (doi:10.1002/qj.2235)\n- 18. MacLachlan C *et al.* 2014 Global seasonal forecast system version 5 (GloSea5): a highresolution seasonal forecast system. *Q. J. R. Meteorol. Soc.* **141**, 1072–1084. (doi:10.1002/qj.2396)\n- 19. Knight J *et al.* 2014 Predictions of climate several years ahead using an improved decadal prediction system. *J. Clim.* **27**, 7550–7567. (doi:10.1175/JCLI-D-14-00069.1)\n- 20. Wyser K *et al.* 2016 Documentation of changes in climate variability and extremes simulated by the HELIX AGCMs at the 3 SWLs and comparison to changes in equivalent SST/SIC lowresolution CMIP5 projections. HELIX project deliverable 3.1.\n- 21. Alexander L, Yang H, Perkins S. 2018 ClimPACT—Indices and Software. User Manual. See http://www.wmo.int/pages/prog/wcp/ccl/opace/opace4/meetings/documents/ ETCRSCI_software_documentation_v2a.doc (accessed on 5 February 2018).", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "# Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi\n\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\nA. Camero-Arranz\n\nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\nE. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\nM.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n### I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It consists of 12 NaI detectors 500 in diameter by 0.500 thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 500 in diameter by 500 thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140◦ , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ±35◦ slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26.5 ◦ , individual occultation steps last for ∼10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "How many articles compose the Syntec French collective bargaining agreement ?", - "target_page": 2, - "target_passage": "The Syntec French collective bargaining agree- ment comprises around 90 articles", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "| Document | |\n| --- | --- |\n| id article-14 | |\n| url https://www.syntec.fr/convention | |\n| collective/resiliation-du-contrat | |\n| de-travail/#article-14 | |\n| title Article 14 : Préavis pendant la péri | |\n| ode d'essai | |\n| section Résiliation du contrat de travail | |\n| content Modification | Avenant n° 7 du |\n| 5/07/1991 Au cours de cette péri | |\n| ode, les deux parties peuvent se sé | |\n| parer avec un préavis d'une journée | |\n| de travail pendant le premier mois. | |\n| Après le premier mois, le temps | |\n| de préavis réciproque sera d'une | |\n| semaine par mois complet passé | |\n| dans l'entreprise. | Après le pre |\n| mier mois, le temps de préavis ré | |\n| ciproque sera d'une semaine par | |\n| mois passé dans l'entreprise. | Le |\n| préavis donne droit au salarié de | |\n| s'absenter pour la recherche d'un | |\n| emploi dans les conditions fixées à | |\n| l'article 16. Le salarié sera payé au | |\n| prorata du temps passé pendant la | |\n| période d'essai. | |\n| Query | |\n\n| article | article-14 | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| question | Quel | est | le | préavis | en | période |\n| | d'essai ? | | | | | |\n\nFigure 5: Extracts of Syntec dataset.\n\n| hal_id | Domain | Title |\n| --- | --- | --- |\n| hal-02899209 | shs | La transformation |\n| | | digitale du manage |\n| | | ment des ressources |\n| | | humaines et de ses |\n| | | enjeux pour les |\n| | | entreprises |\n| tel-03993881 | math | Sur l'approximation |\n| | | numérique de |\n| | | quelques problèmes |\n| | | en mécanique des |\n| | | fluides |\n\nFigure 6: Extracts of HAL dataset.\n\nFigure 7: Distribution of the word count per title in HAL dataset, *mteb_eval* subset.\n\n| \"\"\" |\n| --- |\n| You will be given a couple of texts in |\n| English and their translation in French. |\n| Your task is to provide a 'rating' score on |\n| how well the system translated the |\n| English text into French. |\n| Give your answer as a float on a scale of 0 |\n| to 10, where 0 means that the |\n| system_translation is bad and does not |\n| represent what is being said in the |\n| original English text, and 10 means that |\n| the translation is good and represents |\n| the original English text. |\n| No need to mind the quality of the text as |\n| original English text may be of bad |\n| quality. |\n| Provide your feedback as follows: |\n| Feedback::: |\n| Total rating: (your rating, as a float |\n| between 0 and 10) |\n| Now here are the English and French texts. |\n| Original text in English: {english_text} |\n| Translation in French: {french_translation} |\n| Feedback::: |\n| Total rating: |\n| \"\"\" |\n\nFigure 8: Prompt used for LLM as-judge evaluation of SummEval dataset translation.", - "page_start": 14, - "page_end": 14, - "source_file": "arxiv4.pdf" - }, - { - "text": "| Dataset | Syntec | HAL | SummEvalFr |\n| --- | --- | --- | --- |\n| Samples | 100 queries | 26233 samples | 100 texts |\n| | 90 documents | 10 classes | 1100 human summaries |\n| | | | 1600 machine summaries |\n| Creation process | Scraping of Syntec col | Scraping of HAL arti | Translation from English |\n| | lective bargaining agree | cles with id, title and do | to French with Deepl of |\n| | ment with articles as doc | main. Further cleaning | the SummEval dataset. |\n| | uments. Writing queries | with deduplication, lan | |\n| | corresponding to articles. | guage filtering and class | |\n| | | subsampling. | |\n| Annotation process | 4 annotators divided into | Annotations provided by | Detailed annotation pro |\n| | 2 groups. Each group was | authors when submitting | cess provided in Fabbri |\n| | given half of the articles | their paper. They choose | et al. (2021). |\n| | and asked to choose an ar | the domain between exist | |\n| | ticle and ask a question | ing academic fields. | |\n| | about it. Each annotator | | |\n| | wrote 25 questions. | | |\n| Quality checks | Human verification of an | Baseline models for clas | Correlation between |\n| | notations. | sification and topic model | BLEU and ROUGE |\n| | | ing. | scores of the French |\n| | | | and the original English |\n| | | | datasets. LLM as-a-judge |\n| | | | translation rating and |\n| | | | human verification. |\n\nTable 1: New datasets details with the number of samples, the creation process, the annotation process and the quality checks. All datasets are test splits.\n\n- Samples belonging to *domain* classes with less than 500 samples were removed, which leads us to keep only 10 classes.\n- Subsampling was performed on 2 classes containing more than 10k samples each to lower the number of samples and mitigate the unbalance of the dataset.\n\nMore details about this process are provided in the appendix A.2 along with some extracts in Figure 6. We make the dataset publicly available in both their raw and clean versions. We use this dataset in a clustering setup to cluster publications by their title and use the domain as ground truth. To ensure the quality of this dataset, we run 3 baseline models for classification: *TF-IDF + SVM*, a fine-tuned *Camembert* (Martin et al., 2019) and *GPT-4* leveraging In-Context Learning (ICL). Furthermore, we run one baseline model for topic modeling: Latent Dirichlet Allocation (LDA) (Blei et al., 2003) and report scores in the appendix A.2.\n\n#### 3.1.3 SummEvalFr (Summarization)\n\nThe original SummEval dataset (Fabbri et al., 2021) consists of 100 news articles from the CNN/Dai-\n\nlyMail dataset. Each article has 11 human-written summaries and 16 machine-generated summaries annotated by 8 people with a score for coherence, consistency, fluency, and relevance. We translated it from English to French using DeepL API6 . Since MTEB evaluation is based on the embedding similarity between machine-generated and humangenerated summaries, we propose to compute the ROUGE (Lin, 2004) and BLEU (Papineni et al., 2002) metrics between machine and human summaries for both French and English version. In Table 2, we report the average of the scores as well as their correlations between the two languages. The correlation is high (above 0.7), showing that the word and n-gram overlap between human and machine summaries is highly preserved in the French version. One may argue that computing the metric on fully translated texts (human and machine summaries are both translated from English) may introduce biases and not assess the quality of the translations. For this purpose, we ensure the French human summaries are correctly translated from English. We use an LLM as-a-judge (Zheng et al.,\n\n6 https://www.deepl.com", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv4.pdf" - }, - { - "text": "| | SyntecReranking | AlloprofReranking | SyntecRetrieval | BSARDRetrieval | AlloprofRetrieval |\n| --- | --- | --- | --- | --- | --- |\n| | | Reranking | | Retrieval | |\n| bge-m3 distilbert-base-25lang-cased | 0.88 0.39 | 0.74 0.29 | 0.85 0.18 | 0.60 0.11 | 0.49 0.01 |\n| distilbert-base-en-fr-cased | 0.39 | 0.29 | 0.18 | 0.11 | 0.01 |\n| distilbert-base-fr-cased | 0.39 | 0.29 | 0.18 | 0.11 | 0.01 |\n| sentence-camembert-large | 0.82 | 0.63 | 0.79 | 0.56 | 0.33 |\n| sentence-flaubert-base | 0.81 | 0.48 | 0.69 | 0.42 | 0.18 |\n| Solon-embeddings-base-0.1 | 0.85 | 0.71 | 0.81 | 0.00 | 0.41 |\n| Solon-embeddings-large-0.1 | 0.87 | 0.72 | 0.85 | 0.58 | 0.47 |\n| sentence-croissant-llm-base | 0.78 | 0.57 | 0.74 | 0.52 | 0.30 |\n| bert-base-multilingual-cased | 0.43 | 0.32 | 0.19 | 0.10 | 0.02 |\n| bert-base-multilingual-uncased | 0.59 | 0.33 | 0.35 | 0.16 | 0.06 |\n| camembert-base | 0.36 | 0.26 | 0.06 | 0.00 | 0.00 |\n| camembert-large | 0.36 | 0.33 | 0.18 | 0.01 | 0.02 |\n| sentence-camembert-base | 0.74 | 0.58 | 0.69 | 0.39 | 0.22 |\n| embed-multilingual-light-v3.0 | 0.82 | 0.70 | 0.77 | 0.52 | 0.35 |\n| embed-multilingual-v3.0 | 0.84 | 0.74 | 0.79 | 0.44 | 0.38 |\n| flaubert_base_cased | 0.43 | 0.29 | 0.21 | 0.02 | 0.02 |\n| flaubert_base_uncased | 0.49 | 0.30 | 0.22 | 0.03 | 0.02 |\n| flaubert_large_cased | 0.32 | 0.29 | 0.02 | 0.00 | 0.01 |\n| e5-mistral-7b-instruct | 0.90 | 0.74 | 0.83 | 0.64 | 0.45 |\n| multilingual-e5-base | 0.83 | 0.67 | 0.80 | 0.53 | 0.36 |\n| multilingual-e5-large | 0.83 | 0.69 | 0.81 | 0.59 | 0.38 |\n| multilingual-e5-small | 0.82 | 0.65 | 0.76 | 0.52 | 0.27 |\n| udever-bloom-1b1 | 0.48 | 0.39 | 0.41 | 0.32 | 0.12 |\n| udever-bloom-560m | 0.47 | 0.31 | 0.24 | 0.06 | 0.02 |\n| laser2 | 0.49 | 0.39 | 0.29 | 0.08 | 0.03 |\n| bge-m3-custom-fr | 0.85 | 0.74 | 0.79 | 0.53 | 0.45 |\n| sentence_croissant_alpha_v0.2 | 0.82 | 0.72 | 0.79 | 0.60 | 0.45 |\n| sentence_croissant_alpha_v0.3 | 0.82 | 0.74 | 0.80 | 0.66 | 0.49 |\n| mistral-embed | 0.81 | 0.78 | 0.79 | 0.68 | 0.57 |\n| LaBSE | 0.68 | 0.55 | 0.55 | 0.23 | 0.20 |\n| all-MiniLM-L12-v2 | 0.69 | 0.67 | 0.61 | 0.34 | 0.33 |\n| all-MiniLM-L6-v2 | 0.67 | 0.63 | 0.60 | 0.27 | 0.28 |\n| distiluse-base-multilingual-cased-v2 | 0.75 | 0.62 | 0.65 | 0.29 | 0.27 |\n| multi-qa-MiniLM-L6-cos-v1 | 0.65 | 0.63 | 0.58 | 0.30 | 0.30 |\n| paraphrase-multilingual-MiniLM-L12-v2 | 0.73 | 0.62 | 0.66 | 0.38 | 0.27 |\n| paraphrase-multilingual-mpnet-base-v2 | 0.81 | 0.67 | 0.76 | 0.43 | 0.31 |\n| sentence-t5-base | 0.76 | 0.63 | 0.67 | 0.40 | 0.28 |\n| sentence-t5-large | 0.78 | 0.68 | 0.71 | 0.47 | 0.35 |\n| sentence-t5-xl | 0.81 | 0.71 | 0.74 | 0.50 | 0.40 |\n| sentence-t5-xxl | 0.82 | 0.75 | 0.79 | 0.56 | 0.46 |\n| text2vec-base-multilingual | 0.63 | 0.56 | 0.50 | 0.26 | 0.19 |\n| text-embedding-3-large | 0.92 | 0.80 | 0.87 | 0.73 | 0.60 |\n| text-embedding-3-small | 0.89 | 0.74 | 0.87 | 0.66 | 0.52 |\n| text-embedding-ada-002 | 0.89 | 0.76 | 0.86 | 0.64 | 0.52 |\n| voyage-code-2 | 0.87 | 0.76 | 0.83 | 0.68 | 0.53 |\n| universal-sentence-encoder-multilingual-3 | 0.74 | 0.62 | 0.70 | 0.00 | 0.35 |\n| universal-sentence-encoder-multilingual-large-3 | 0.69 | 0.64 | 0.64 | 0.00 | 0.34 |\n| xlm-roberta-base | 0.32 | 0.28 | 0.03 | 0.00 | 0.00 |\n| xlm-roberta-large | 0.39 | 0.31 | 0.07 | 0.01 | 0.01 |\n\nTable 11: Performance of each model for Retrieval and Reranking.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv4.pdf" - }, - { - "text": "- 74. Home page (https://web.archive.org/web/20060512161815/http://membres.lycos.fr/adlcj/). *Association Pour le Developpement de la Langue et de la Culture Japonaises*. Retrieved on 12 May 2006.\n- 75. \"Bus 47 Meyzieu ZI Aéroport St Exupéry St-Laurent de Maréchal Juin | TCL\" (https://www.tcl.fr/lignes/bus-47). *www.tcl.fr*. Retrieved 10 March 2020.\n- 76. Zeilinger, Stefan (July 2003). \"On the Fast Track: French Railway Modernization and the Origins of the TGV, 1944-1983 (review)\" (https://muse.jhu.edu/article/46124). *Technology and Culture*. **44** (3): 613–614. doi:10.1353/tech.2003.0143 (https://doi.org/10.1353%2Ftech.2003.0143). ISSN 1097-3729 (https://search.wo rldcat.org/issn/1097-3729). S2CID 109613366 (https://api.semanticscholar.org/CorpusID:109613366).\n- 77. \"Eurolines Lyon Tourist Office\" (https://en.visiterlyon.com/stay/access-come-and-move-in-lyon/transport-andtransfers/eurolines). *en.visiterlyon.com*. Retrieved 28 January 2024.\n- 78. \"Le réseau TCL | TCL\" (https://www.tcl.fr/a-propos-de-tcl/le-reseau-tcl). *www.tcl.fr*. Retrieved 28 January 2024.\n- 79. \"Plan interactif Carte de Lyon et ses environs | TCL\" (https://www.tcl.fr/se-deplacer/plan-interactif). *www.tcl.fr*. Retrieved 28 January 2024.\n- 80. \"Discover the service | Rhônexpress\" (https://www.rhonexpress.fr/en_GB/discover-the-service). *www.rhonexpress.fr*. Retrieved 28 January 2024.\n- 81. \"RhônExpress\" (https://www.railway-technology.com/projects/rhonexpress/). *Railway Technology*. Retrieved 28 January 2024.\n- 82. \"Lyon Public Transportation Statistics\" (https://moovitapp.com/insights/en/Moovit_Insights_Public_Transit_Ind ex_France_Lyon-3483). Global Public Transit Index by Moovit. Retrieved 19 June 2017. Material was copied from this source, which is available under a Creative Commons Attribution 4.0 International License (ht tps://creativecommons.org/licenses/by/4.0/).\n- 83. Council of Europe (2011). \"Intercultural city: Lyon, France\" (http://www.coe.int/t/dg4/cultureheritage/culture/Citi es/lyon_en.asp). *coe.int*. Retrieved 22 May 2011.\n- 84. \"Jumelage\" (http://www.economie.grandlyon.com/tous-les-partenariats-internationaux-villes.html). *economie.grandlyon.com* (in French). Grand Lyon économie. Retrieved 14 November 2019.\n- 85. \"World Trade Center Saint Louis\" (https://worldtradecenter-stl.com/st-louis-sister-cities-program/lyon-france/). *worldtradecenter-stl.com*. World Trade Center Saint Louis. Retrieved 18 May 2020.\n\n# **External links**\n\n- Official website (http://www.lyon.fr)(in French)\n- Visit Lyon, the official website for tourism in France (https://en.visiterlyon.com/)\n- Lyon's English Language News and Information (https://thisislyon.fr/)\n- Rues de Lyon (https://www.ruesdelyon.net/) Streets, Places, Monuments (in French)\n\t- Old maps of Lyon (http://historic-cities.huji.ac.il/france/lyon/lyon.html) Archived (https://web.archive.org/we b/20210116220537/http://historic-cities.huji.ac.il/france/lyon/lyon.html) 16 January 2021 at the Wayback Machine, Historic cities site (http://historic-cities.huji.ac.il/historic_cities.html) Archived (https://web.archive. org/web/20220325051637/http://historic-cities.huji.ac.il/historic_cities.html) 25 March 2022 at the Wayback Machine, The National Library of Israel\n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Lyon&oldid=1267625203\"", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Table of Content 3 |\n| --- |\n| I. Special Conditions 5 |\n| I.1. Order of priority of provisions 5 |\n| I.2. Subject matter 5 |\n| I.3. Entry into force and duration of the FWC 5 |\n| I.4. Appointment of the contractor and implementation of the FWC 5 |\n| I.5. Prices 6 |\n| I.6. Payment arrangements 7 |\n| I.7. Bank account 8 |\n| I.8. Communication details 8 |\n| I.9. Data controller 9 |\n| I.10. Exploitation of the results of the FWC 9 |\n| I.11. Termination by either party 11 |\n| I.12. Applicable law and settlement of disputes 11 |\n| I.13. Interinstitutional FWC 11 |\n| I.14. Service provided on the premises of the contracting authority 11 |\n| I.15. Other special conditions 11 |\n| II. GENERAL CONDITIONS FOR THE FRAMEWORK CONTRACT FOR SERVICES . 13 |\n| II.1. Definitions 13 |\n| II.2. Roles and responsibilities in the event of a joint tender 15 |\n| II.3. Severability 15 |\n| II.4. Provision of services 15 |\n| II.5. Communication between the parties 16 |\n| II.6. Liability 18 |\n| II.7. Conflict of interest and professional conflicting interests 19 |\n| II.8. Confidentiality 20 |\n| II.9. Processing of personal data 20 |\n| II.10. Subcontracting 22 |\n| II.11. Amendments 23 |\n| II.12. Assignment 23 |\n| II.13. Intellectual property rights 23 |\n| II.14. Force majeure 27 |\n| II.15. Liquidated damages 28 |\n| II.16. Reduction in price 29 |\n| II.17. Suspension of the implementation of the FWC 29 |\n| II.18. Termination of the FWC 30 |\n| II.19. Invoices, value added tax and e-invoicing 32 |\n| II.20. Price revision 33 |\n| II.21. Payments and guarantees 33 |", - "page_start": 2, - "page_end": 2, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "476 E European Agency for Safety and Health at Work,2013: European Risk Observatory, Analysis of the determinants of workplace occupational safety and health practice in a selection of EU Member States, https://osha.europa.eu/en/publications/reports/analysis-determinants-workplace-OSH-in-EU\n\n477 European Agency for Safety and Health at Work, 2019: The value of OSH and the societal costs of workrelated injuries and disease, Luxembourg;\n\n478 E European Agency for Safety and Health at Work, 2021: Improving compliance with occupational safety and health regulations: an overarching review\n\n479 Walters D, Johnstone R, Bluff E, Limborg HJ, Gensby U.: Improving compliance with occupational safety and health regulations: an overarching review EU-OSHA, 2021. Improving compliance with occupational safety and health regulations\n\n480 ILO and integration of OSH Into decent work https://www.ilo.org/global/topics/dw4sd/themes/osh/lang- en/index.htm\n\n481 Dijk, F., Yohama Caraballo-Arias, Y.: Where to Find Evidence-Based Information on Occupational Safety and Health? https://www.annalsofglobalhealth.org/articles/10.5334/aogh.3131/\n\nTrade union position, one example: Vogel L (2014), The point of view of the European trade unions: It is urgent to revitalise the EU occupational health and safety policy, http://www.osha.mddsz.gov.si/.../Laurent_VOGEL_EN.pdf Employer position, one example: Safer and healthier work for all - Modernisation of the EU occupational safety and health legislation and policy,\n\n482 Eurofound; Labour market change New forms of employment: 2020 update\n\n483 Eurofound, 2020: Working conditions in sectors, Publications Office of the European Union, Luxembourg, doi:10.2806/024695, p. 41\n\n484 Norway, STAMI: https://noa.stami.no/ National monitoring of work environment (National overvåkning af arbeidmiljø)\n\n485 Detailed Action Plan for the 4 Main Strategies to Create Safe Workplaces (update from 2020) https://kosha.or.kr/english/publications/Resources.do?mode=view&articleNo=277001&article.offset=0&articleLi mit=10\n\n486 Sakurai, H.: Occupational Safety and Health in Japan: Current Situations and the Future https://www.jstage.jst.go.jp/article/indhealth/50/4/50_MS1375/_pdf/-char/ja\n\n487 Occupational Safety and Health Administration Ministry of Labor, Republic of China (Taiwan): National Occupational Safety and Health Profile of Taiwan, 2014, Chapter 8 National Occupational Safety and Health Profile of Taiwan\n\n488 See: https://www.mom.gov.sg/workplace-safety-and-health/wsh-reports-and-statistics\n\n489 E.g.: National Academies of Sciences, Engineering, and Medicine. 2018. A Smarter National Surveillance System for Occupational Safety and Health in the 21st Century. Washington, DC: The National Academies Press. https://doi.org/10.17226/24835, 2018\n\n490 E.g.: Publications from the Association of Workers' Compensation Boards of Canada, https://awcbc.org/en/ 491 Australian Safety and Compensation Council, Report on indicators for occupational disease*,* Australian Government, 2006, p1-45\n\n492 E.g.: https://data.worksafe.govt.nz/\n\n493 International Labour Organisation ILO (no publishing date available). Decent work: Measuring decent work. http://www.ilo.org/integration/themes/mdw/lang--en/index.htm\n\n494 Country profiles on Occupational Safety and Health, https://www.ilo.org/safework/countries/lang- en/index.htm\n\n495 Work Health Organisation WHO (2011). Global Health Observatory: WHO indicator registry., from: http://www.who.int/gho/indicator_registry/en/index.html\n\n496 United Nations: Sustainable Development Goals, https://sustainingdevelopment.com/sdg8-indicators/ 497 UNECE, 2010: Measuring Quality of Employment, https://unece.org/statistics/publications/measuring-qualityemployment\n\n498https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment/database\n\n499 Eurostat overview on their data related to quality of employment https://ec.europa.eu/eurostat/web/labourmarket/quality-of-employment\n\n500 Andersen, J. H., et al., 2019: Systematic literature review on the effects of occupational safety and health (OSH) interventions at the workplace. Scandinavian Journal of Work Environment and Health, 45(2): 103-113\n\nElsler D. et al: A review of case studies evaluating economic incentives to promote occupational safety and health. Scand J Work Environ Health 2010; 36: 289–298", - "page_start": 159, - "page_end": 159, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### Contents\n\n| Consolidated Five-Year Summary | 70 |\n| --- | --- |\n| Business and Other Risks | 71 |\n| Consolidated Balance Sheets | 72 |\n| Consolidated Statements of Income | 74 |\n| Consolidated Statements of Shareholders' Equity | 75 |\n| Consolidated Statements of Cash Flows | 76 |\n| Notes to Consolidated Financial Statements | 77 |\n| Report of Independent Auditors | 104 |\n| Non-consolidated Five-Year Summary | 105 |", - "page_start": 70, - "page_end": 70, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **6 OSH legislation and OSH infrastructure in the EU**\n\n### **6.1 Foundation, legislation, compliance and supervision**\n\nThe **ethical and economic importance of safe and healthy working conditions** led to an integration of this target in international conventions and agreements; it is also embedded in the treaties of the EU.\n\n**UN** has included **'Safe and secure work environment'** as an indicator for **Goal 8** of their 17 global **'Sustainable Development Goals**' for 2030. Goal 8 aims to *'Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all'*.334 It requests in its target 8.8 to *'Protect labour rights and promote safe and secure working environments for all workers, including migrant workers, in particular women migrants, and those in precarious employment.'*\n\nThe **Preamble to the Constitution**335 **of the ILO** includes as an objective *'*… *the protection of the worker against sickness, disease and injury arising out of his employment ...'*. In 2022, the objective of a safe and healthy working environment became part of the 'Declaration on Fundamental Principles and Rights at Work', adding OSH to the existing four basic principles, that is, 1) freedom of association and right to collective bargaining, 2) the elimination of all forms of forced or compulsory labour, 3) the effective abolition of child labour, and 4) the elimination of discrimination. Between the year of the foundation in 1919 and today, the ILO agreed on more than 40 conventions and recommendations addressing OSH, be it either general provisions or provisions for specific groups and sectors or specific risks.336\n\nThe **EU and its predecessors** have enshrined health and safety of workers in their **founding treaties**. Already in 1951, it was stated in Article 3 of the European Coal and Steel Community (ECSC) Treaty that *'The institutions of the Community shall, within the limits of their respective powers, in the common interest … promote improved working conditions and an improved standard of living for the workers in each of the industries for which it is responsible …'*. 337 During the development of the European institutions and the EU from those years until today, references to working conditions and safety and health were always part of the treaties, and also in the latest Treaty of Lisbon from 2009.338\n\nIn **Article 151 of the Lisbon Treaty,** it is stated that *'The Union and the Member States, shall have as their objectives the promotion of employment, improved living and working conditions …'*. The areas of such promotion are set out in **Article 153**, where two bullet points refer to OSH: (a) *improvement in particular of the working environment to protect workers' health and safety; (b) working conditions.* In 2017, the European Commission launched an initiative to agree on the **'European Pilar of Social Rights'** (EPSR), comprising 20 key principles guiding the EU in the field of social policy.339 These pillars were agreed by the Member States; **Principle 10 refers to a** '**Healthy, safe and well-adapted work environment** and data protection.'\n\nThese European and international agreements and treaties regard **safety and health** as essential for human development, a **basic human right**. The main reasoning is to eliminate or reduce as much as possible suffering, sickness, disability and death of workers. Often the reasoning refers to intertwined objectives, that is, to economic growth (UN), or to reduce the economic burden of incomplete health and safety at work, be it the burden for enterprises or the society as a whole, that is, by *'Promotion of employment'* (Lisbon Treaty) or by *'Prolongation of the participation in the labour market'* (EPSR) or *'Data protection'* (EPSR).\n\nThe EU treaties form the legal background for the development of specific EU legislation, related to working conditions in general and OSH in particular. In 1989, the EU agreed on the **Framework Directive**, a major step regarding OSH.340 This directive introduced a distinguished preventive approach, based on a comprehensive risk assessment, as a dominant legal standard across all Member States. Its legal obligations prescribe several basic principles:\n\n- the **responsibility of employers** for OSH, that is, *'the employer shall take the measures necessary for the safety and health protection of workers, including prevention of occupational risks and provision of information and training',*341 and the **obligation of workers** '*to take care as far as possible of his own safety and health and that of other persons affected …'*;342\n- the obligation to **evaluate all risks** (risk assessment);\n- the preference of the **risk elimination at source** (combating the risk at source), a hierarchy of prevention measures, replacing the dangerous by the non- or the less dangerous;", - "page_start": 117, - "page_end": 117, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "# **TABLE OF CONTENTS**\n\n| PART I | | |\n| --- | --- | --- |\n| Item 1. | Business. | 4 |\n| Item 1A. | Risk Factors. | 6 |\n| Item 1B. | Unresolved Staff Comments. | 10 |\n| Item 2. | Properties. | 10 |\n| Item 3. | Legal Proceedings. | 12 |\n| Item 4. | Mine Safety Disclosures. | 12 |\n| PART II | | |\n| Item 5. | Market for Registrant's Common Equity, Related Shareholder Matters and Issuer Purchases of Equity Securities. | 13 |\n| Item 6. | Selected Financial Data. | 15 |\n\n| Item 7. | Management's Discussion and Analysis of Financial Condition and Results of Operations. | 16 |\n| --- | --- | --- |\n| Item 7A. | Quantitative and Qualitative Disclosures About Market Risk. | 35 |\n| Item 8. | Financial Statements and Supplementary Data. | 36 |\n| Item 9. | Changes in and Disagreements With Accountants on Accounting and Financial Disclosure. | 66 |\n| Item 9A. | Controls and Procedures. | 66 |\n| Item 9B. | Other Information. | 68 |\n\n#### **PART III**\n\n**Exhibit Index**\n\n| Item 10. | Directors, Executive Officers and Corporate Governance. | 68 |\n| --- | --- | --- |\n| Item 11. | Executive Compensation. | 68 |\n| Item 12. | Security Ownership of Certain Beneficial Owners and Management and Related Shareholder Matters. | 68 |\n| Item 13. | Certain Relationships and Related Transactions, and Director Independence. | 68 |\n| Item 14. | Principal Accounting Fees and Services. | 68 |\n| PART IV | | |\n| Item 15. | Exhibits and Financial Statement Schedules. | 69 |\n| Signatures | | 70 |\n| Consent of Independent Registered Public Accounting Firm | | 71 |\n\n72\n\n**Page**", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "- 6. 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Retrieved 20 December 2017.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "In the context of research publication, what is HAL ?", - "target_page": 3, - "target_passage": "Hyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Dataset | Syntec | HAL | SummEvalFr |\n| --- | --- | --- | --- |\n| Samples | 100 queries | 26233 samples | 100 texts |\n| | 90 documents | 10 classes | 1100 human summaries |\n| | | | 1600 machine summaries |\n| Creation process | Scraping of Syntec col | Scraping of HAL arti | Translation from English |\n| | lective bargaining agree | cles with id, title and do | to French with Deepl of |\n| | ment with articles as doc | main. Further cleaning | the SummEval dataset. |\n| | uments. Writing queries | with deduplication, lan | |\n| | corresponding to articles. | guage filtering and class | |\n| | | subsampling. | |\n| Annotation process | 4 annotators divided into | Annotations provided by | Detailed annotation pro |\n| | 2 groups. Each group was | authors when submitting | cess provided in Fabbri |\n| | given half of the articles | their paper. They choose | et al. (2021). |\n| | and asked to choose an ar | the domain between exist | |\n| | ticle and ask a question | ing academic fields. | |\n| | about it. Each annotator | | |\n| | wrote 25 questions. | | |\n| Quality checks | Human verification of an | Baseline models for clas | Correlation between |\n| | notations. | sification and topic model | BLEU and ROUGE |\n| | | ing. | scores of the French |\n| | | | and the original English |\n| | | | datasets. LLM as-a-judge |\n| | | | translation rating and |\n| | | | human verification. |\n\nTable 1: New datasets details with the number of samples, the creation process, the annotation process and the quality checks. All datasets are test splits.\n\n- Samples belonging to *domain* classes with less than 500 samples were removed, which leads us to keep only 10 classes.\n- Subsampling was performed on 2 classes containing more than 10k samples each to lower the number of samples and mitigate the unbalance of the dataset.\n\nMore details about this process are provided in the appendix A.2 along with some extracts in Figure 6. We make the dataset publicly available in both their raw and clean versions. We use this dataset in a clustering setup to cluster publications by their title and use the domain as ground truth. To ensure the quality of this dataset, we run 3 baseline models for classification: *TF-IDF + SVM*, a fine-tuned *Camembert* (Martin et al., 2019) and *GPT-4* leveraging In-Context Learning (ICL). Furthermore, we run one baseline model for topic modeling: Latent Dirichlet Allocation (LDA) (Blei et al., 2003) and report scores in the appendix A.2.\n\n#### 3.1.3 SummEvalFr (Summarization)\n\nThe original SummEval dataset (Fabbri et al., 2021) consists of 100 news articles from the CNN/Dai-\n\nlyMail dataset. Each article has 11 human-written summaries and 16 machine-generated summaries annotated by 8 people with a score for coherence, consistency, fluency, and relevance. We translated it from English to French using DeepL API6 . Since MTEB evaluation is based on the embedding similarity between machine-generated and humangenerated summaries, we propose to compute the ROUGE (Lin, 2004) and BLEU (Papineni et al., 2002) metrics between machine and human summaries for both French and English version. In Table 2, we report the average of the scores as well as their correlations between the two languages. The correlation is high (above 0.7), showing that the word and n-gram overlap between human and machine summaries is highly preserved in the French version. One may argue that computing the metric on fully translated texts (human and machine summaries are both translated from English) may introduce biases and not assess the quality of the translations. For this purpose, we ensure the French human summaries are correctly translated from English. We use an LLM as-a-judge (Zheng et al.,\n\n6 https://www.deepl.com", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv4.pdf" - }, - { - "text": "- Paulson, Lawrence C. (February 2018). \"Computational Logic: Its Origins and Applications\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832843). *Proceedings of the Royal Society A: Mathematical, Physical and Engineering Sciences*. **474** (2210): 1–14. arXiv:1712.04375 (https://arxiv.org/abs/1712.04375). Bibcode:2018RSPSA.47470872P (https://ui.adsabs.harv ard.edu/abs/2018RSPSA.47470872P). doi:10.1098/rspa.2017.0872 (https://doi.org/10.109 8%2Frspa.2017.0872). PMC 5832843 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832 843). PMID 29507522 (https://pubmed.ncbi.nlm.nih.gov/29507522). 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Retrieved 4 March 2023.", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia1.pdf" - }, - { - "text": "found on the web, and this additional information can help contextualize the provenance and veracity of information.\n\n- **Breadth, Diversity, and Mitigating Bias:** Books can serve a critical role in ensuring AI models are inclusive of a broad range of topics and categories that may be underrepresented in other content. For all that the Internet has generated an explosion in human creativity and information sharing, it generally represents only a few decades of information and a small portion of the world's creative population. A books dataset, by comparison, is capable of representing centuries of human knowledge. As a result such a dataset can help ensure AI systems behavior is based on centuries of historical information from modern books. It can help ensure broad geographic and linguistic diversity. What's more, the greater breadth and diversity of high-quality content help mitigate challenges around bias and misinformation. Using a more diverse pool of training data can help support the production of a model and outputs of the model that are more representative of that diversity. Books can be useful in evaluation datasets to test existing models for memorization capabilities, which can help prevent unintended reproduction of existing works. Of course, this is all contingent on actual composition of the corpus; in order to have the benefits described, the books would need to be curated and included with characteristics like time, geographic and linguistic diversity.\n- **Other Modalities:** Finally, books do not just contain text, they often contain images and captions of those images. As such, they can be an important training source for multi-modal LLMs, which can receive and generate data in media other than text.\n\n#### **Lowering Barriers to Entry & Facilitating Competition**\n\nBroad access to books for AI training is critical to ensure powerful AI models are not concentrated in the hands of only a few companies. Access to training data, in general, has been cited as a potential competitive concern11 in the AI field because of the performance benefits to be gained by training on larger and larger datasets. But this competitive wedge is even more acute when we look specifically at access to book datasets.\n\nThe largest technology companies building commercial AI models have the resources and capacity to mass digitize books for AI training. Google has scanned 40 million books, many of which came from digitization partnerships they formed with libraries. They may already use some or all of these books to train their AI systems. It's unclear to what extent other 12 companies already have acquired books for AI training (for instance, whether Amazon's existing licenses with publishers or self-published authors may permit such uses);\n\nSee e.g. Trendacosta, Katherine and Doctorow, Cory. \"AI Art Generators and the Online Image Market.\" 11 *Electronic Frontier Foundation*, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-andonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. \"An Antimonopoly Approach to Governing Artificial Intelligence.\" *SSRN Electronic Journal*, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/ uploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/ ssrn.4597080. Accessed 25 Feb. 2024.\n\nSee white paper for Google's Gemini models https://arxiv.org/pdf/2312.11805.pdf — \"Gemini models 12 are trained on a dataset that is both multimodal and multilingual. 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Retrieved 28 January 2024.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# *Acknowledgements*\n\nAuthored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello (Proteus Strategies) in collaboration with Creative Commons.\n\nWe are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; Jonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet Archive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/ NYU Engelberg Center, Nicholas P. Garcia, Public Knowledge; Sayeed Choudhury; Erik Stallman, UC Berkeley School of Law. The paper represents the views of the authors, however, and should not be attributed to the workshop as a whole. All mistakes or errors are the authors'.\n\nThis report is published under the terms of the Creative Commons Attribution License.", - "page_start": 21, - "page_end": 21, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "- McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for the Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w eb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). Archived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. html) on 26 August 2007. 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ISBN 978-1-4614-6940-7.\n- Minsky, Marvin (1967), *Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: Prentice-Hall\n- Moravec, Hans (1988). *Mind Children* (https://archive.org/details/mindchildrenfutu00mora). Harvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 July 2020. Retrieved 18 November 2019.\n- Morgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new s/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a nd-anxiety). *The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// www.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une mployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved 13 January 2018.\n- Müller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among Experts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF). *AI Matters*. **1** (1): 9–11. doi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). S2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. archive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) from the original on 15 January 2016.\n- Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". *Image and Vision Computing*. **26** (1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi. org/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co rpusID:10767011).\n\nNilsson, Nils (1995), \"Eyes on the Prize\", *AI Magazine*, vol. 16, pp. 9–17", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# *7. Conclusion*\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of existing work. The concept of mass digitization of books, including to support text and data mining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its transformative use makes questions about how we digitize, preserve, and make accessible knowledge and cultural heritage salient in a distinct way.\n\nAs such, efforts to build a books data commons need not start from scratch; there is much to glean from studying and engaging existing and previous efforts. Those learnings might inform substantive decisions about how to build a books data commons for AI training. For instance, looking at the design decisions of HathiTrust may inform how the technical infrastructure and data management practices for AI training might be designed, as well as how to address challenges to building a comprehensive, diverse, and useful corpus. In addition, learnings might inform the process by which we get to a books data commons for example, illustrating ways to attend to the interests of those likely to be impacted by the dataset's development.41\n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or paths) to extend access to books for AI training is critical. In the status quo, large swaths of knowledge contained in books are effectively locked up and inaccessible to most everyone. Google is an exception — it can reap the benefits of their 40 million books dataset for research, development, and deployment of AI models. Large, well-resourced entities could theoretically try to replicate Google's digitization efforts, although it would be incredibly expensive, impractical, and largely duplicative for each entity to individually pursue their own efforts. Even then, it isn't clear how everyone else — independent researchers, entrepreneurs, and smaller entities — will have access. The controversy around the Books3 dataset discussed at the outset should not, then, be an argument in favor of preserving the status quo. Instead, it should highlight the urgency of building a books data commons to support an AI ecosystem that provides broad benefits beyond the privileged few.\n\nFor other existing and past examples, one might look to the work of Europeana, https:// 41 www.europeana.eu/en, as well as the mountain of commentary on the failed class action settlement between Google, the Authors Guild, and the Association of American Publishers — see e.g. the excellent collection of court filings created by James Grimmelmann and colleagues (now archived at the Internet Archive) — https://web.archive.org/web/20140425012526/http://thepublicindex.org/. The Settlement expressly would have set up a \"Research Corpus\" for non-consumptive research. HathiTrust created a Research Center, with the intention of becoming one of the hosts for the \"Research Corpus.\" The Settlement was criticized and was ultimately rejected by the district court for both substantive reasons (that is, what the settlement would specifically do) and procedural (in the sense of violating class-action law, but also in a broader sense of representing a \"backroom deal\" without sufficient participation from impacted interests). The Research Corpus was not a core locus of critique, though it did receive concern in terms of providing too much control to Google, for example. Our purpose in mentioning this is not to relitigate the issue, but rather to call out that design decisions of this sort have been considered in the past.", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# **The Value of Using Unique Identifiers for Researchers**\n\n#### **Researchers are mobile!**\n\n#### **30% OF THE SCIENTISTS WHO GOT THEIR PhD IN THE UNITED KINGDOM NOW LIVE ELSEWHERE** Source: Science Magazine\n\nResearch institutions and organizations therefore find it hard to\n\n- **Benchmark their organization against others**\n**Identify, track, and report on researchers' aliations and contributions (publications, peer reviews, grants, and more)** \n\n#### **Institutions Face a Rising Tide of Research**\n\n**Institutions must increasingly recognize and demonstrate the impact of all types of research contributions** \n\n# **Tackling Information Overload**\n\nORCID is a non-profit organization, which provides a fully open and interoperable identifier to reliably connect researchers with their research contributions. The ORCID iD is a 16-digit identifier that researchers can register for and use for free.\n\n### **How ORCID Works**\n\n- **It's a registry of unique persistent identifiers for researchers**\n- **It's a hub that connects researchers with their professional activities and contributions**\n- **It's a global community that enables researchers to share their data with other individuals, organizations, and systems**\n\n### **Why Connect with ORCID?**\n\n**Hundreds of members and systems use ORCID globally**\n\n# **5.5 MILLION+**\n\n**live ORCID iDs registered since its 2012 launch**\n\n## **Evidence of Institutional Value**\n\nExamples of time/sta savings achieved by implementing ORCID from around the world\n\n**UK:** 0.2 – 0.4 FTEs per institution1 **Portugal:** 100,000 researcher hours per year2 **Australia:** 15-30 minutes per grant application3 **1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015 2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017 3. Australian Research Council governance meeting, September 2018**\n\n\"Having ORCID iDs for most of our researchers has helped in providing authoritative accounts in our various databases, ensuring accuracy in reviewer identities, and helping editors find reviewers and check expertise.\"\n\n**—Brooks Hanson, Executive Vice President, Science, American Geophysical Union**\n\n#### **How Organizations and Researchers Benefit**\n\n#### **INSTITUTIONS RESEARCHERS**\n\n- Save time and reduce errors with automated information-sharing and cross-system interoperability\n- Manage your organization name and your researchers' connections with it\n\t-\n- Maintain links with your researchers - past, present, and future\n\n- Improve recognition and discoverability of their research\n- Spend more time doing research, less time managing it\n- Control and manage a trusted and easily shareable record of their research activities and aliations – for free\n- **Three Ways to Get Involved**\n\t- **1. Encourage and support your researchers in getting, sharing, and using their ORCID iD**\n\t- **2. Invest in integrating ORCID into your systems**\n\t- **3. Connect data to and from your researchers' ORCID records to support information use and reuse across organizations**\n\nSponsored by ORCID\n\n**To learn more go to https://orcid.org**\n\nAll IDC research is © 2018 by IDC. All rights reserved. All IDC materials are licensed with IDC's permission and in no way does the use or publication of IDC research indicate IDC's endorsement of ORCID's products/or strategies.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A \"books data commons\" needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use \"commons\" here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach.5\n\nIn this way, we do not use \"commons\" in the narrow sense of permissively licensed. What's more, this 4 resource could also be governed as more of a data \"trust,\" and, indeed, we discuss extensively the work of HathiTrust as a relevant project in this domain. However, our use of the word \"commons\" is not meant to preclude this or other arrangements.\n\nThere are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5 e.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy of further analysis.", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "What is the effect of embedding dimension on embedding representation quality ?", - "target_page": 6, - "target_passage": "we observe a performance correla- tion with the embedding dimension and the model’s number of parameters, which are often correlated themselves", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "correlated (see Figure 12). We preferred to propose datasets even if they could introduce biases rather than not address the task in the benchmark. Note that each task type can be considered individually. We hope additional resources will be developed in the French-speaking community to enrich our comparison.\n\nBenchmark validity over time As with all benchmarks, their reliability over time can be discussed as the field evolves fast. The models selected for the analysis conducted in this paper are those available at this time, new outperforming models will be created and shall be evaluated. Our work extends MTEB and thus simplifies the addition of new datasets for evaluation and allows running new models. With this effort, we hope this will simplify the evaluation of new models proposed by the community to keep our work up to date.\n\nData contamination issues Bias may exist for models that use the training sets of the provided evaluation datasets for their training. It considerably improves their performance on the benchmark, favouring them over other models. This is particularly worrying for models that do not communicate about the datasets used during training, such as proprietary models. Generally speaking, it would be interesting to calculate the similarity between the datasets used to train the models and those used to test them to check that they are far enough apart to draw general conclusions.\n\nFocus on sentence embeddings Finally, like the original version of MTEB, the comparison focuses mainly on sentence embeddings. Other tasks could be added to cover word embeddings and, therefore, more NLP tasks.\n\n#### Acknowledgements\n\nWe would like to thank Wikit11 and Esker12 for providing compute and funding this research.\n\n### References\n\n- David Ifeoluwa Adelani, Marek Masiak, Israel Abebe Azime, Jesujoba Oluwadara Alabi, Atnafu Lambebo Tonja, Christine Mwase, Odunayo Ogundepo, Bonaventure F. P. Dossou, Akintunde Oladipo, Doreen Nixdorf, Chris C. Emezue,\nSana Al-Azzawi, Blessing K. Sibanda, Davis David, Lolwethu Ndolela, Jonathan Mukiibi, Tunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian Odhiambo, Abraham Toluwase Owodunni, Nnaemeka Obiefuna, Shamsuddeen Hassan Muhammad, Saheed Salahudeen Abdullahi, Mesay Gemeda Yigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmumin, Mahlet Taye Bame, Oluwabusayo Olufunke Awoyomi, Iyanuoluwa Shode, Tolulope Anu Adelani, Habiba Abdulganiy Kailani, Abdul-Hakeem Omotayo, Adetola Adeeko, Afolabi Abeeb, Anuoluwapo Aremu, Olanrewaju Samuel, Clemencia Siro, Wangari Kimotho, Onyekachi Raphael Ogbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chukwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. Awosan, Tadesse Kebede Guge, Sakayo Toadoum Sari, Pamela Nyatsine, Freedmore Sidume, Oreen Yousuf, Mardiyyah Oduwole, Ussen Kimanuka, Kanda Patrick Tshinu, Thina Diko, Siyanda Nxakama, Abdulmejid Tuni Johar, Sinodos Gebre, Muhidin A. Mohamed, Shafie Abdi Mohamed, Fuad Mire Hassan, Moges Ahmed Mehamed, Evrard Ngabire, and Pontus Stenetorp. 2023. Masakhanews: News topic classification for african languages. In *International Joint Conference on Natural Language Processing*.\n\n- Eneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, Aitor Gonzalez-Agirre, Rada Mihalcea, German Rigau, and Janyce Wiebe. 2016. SemEval-2016 task 1: Semantic textual similarity, monolingual and cross-lingual evaluation. In *Proceedings of the 10th International Workshop on Semantic Evaluation (SemEval-2016)*, pages 497–511, San Diego, California. Association for Computational Linguistics.\n- Arthur Barbosa, Máverick Ferreira, Rafael Ferreira Mello, Rafael Dueire Lins, and Dragan Gasevic. 2021. The impact of automatic text translation on classification of online discussions for social and cognitive presences. In *LAK21: 11th International Learning Analytics and Knowledge Conference*, LAK21, page 77–87, New York, NY, USA. Association for Computing Machinery.\n- Rachel Bawden, Eric Bilinski, Thomas Lavergne, and Sophie Rosset. 2021. Diabla: A corpus of bilingual spontaneous written dialogues for machine translation. *Language Resources and Evaluation*, 55:635– 660.\n- David M Blei, Andrew Y Ng, and Michael I Jordan. 2003. Latent dirichlet allocation. *Journal of machine Learning research*, 3(Jan):993–1022.\n- Jianlv Chen, Shitao Xiao, Peitian Zhang, Kun Luo, Defu Lian, and Zheng Liu. 2024. Bge m3-embedding: Multi-lingual, multi-functionality, multi-granularity text embeddings through self-knowledge distillation.\n- Xi Chen, Ali Zeynali, Chico Camargo, Fabian Flöck, Devin Gaffney, Przemyslaw Grabowicz, Scott Hale, David Jurgens, and Mattia Samory. 2022. SemEval-2022 task 8: Multilingual news article similarity. In *Proceedings of the 16th International Workshop on*\n\n11https://www.wikit.ai/\n\n12https://www.esker.com/", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "Feature Prediction versus Pixel Reconstruction. Approaches that predict in pixel space must dedicate significant model capacity and compute to capture all the low-level detail in the visual input. By contrast, approaches that predict in latent space have the flexibility to eliminate irrelevant or unpredictable pixel-level details from the target representation (Vondrick et al., 2016). Predicting in representation space has been shown to lead to versatile representations that perform well across many downstream tasks through linear probing or lowshot adaptation (Assran et al., 2023; Oquab et al., 2023; Assran et al., 2022), while demonstrating an efficiency gain during pretraining compared to pixel level reconstruction (Assran et al., 2023; Baevski et al., 2022b,a). The works of Baevski et al. (2022a,b) additionally show that predicting in representation space results in competitive end-to-end fine-tuning performance in the image, audio and text domains. In this work, we extend these findings to the video modality.\n\n# 3 Methodology: Video-JEPA\n\nFigure 2 Joint-Embedding Predictive Architectures are trained to predict the representation of an input y from the representation of another input x. The additional variable z provides the predictor with information about the transformation that computes y from x.\n\nOur goal is to explore the effectiveness of feature prediction as a stand-alone objective for learning visual representations from video. To that end, we use a joint-embedding predictive architecture (JEPA) (LeCun, 2022); see Figure 2. The main idea behind a JEPA is to learn by predicting the representation of an input y from the representation of another input x. The basic architecture is made up of an encoder, Eθ(·), which computes the representation of the inputs, and a predictor, Pϕ(·), which predicts the representation of y from the representation of x, conditioned on a variable z indicating the transformation (or corruption) between x and y. Conditioning on z enables the generation of distinct predictions for various transformations of x.\n\n### 3.1 Training Objective\n\nWe train our visual encoder Eθ(·) to satisfy the constraint that representations computed from one part of the video, y, should be predictable from representations\n\ncomputed from another part of the video, x. The predictor network Pϕ(·), which maps the representation of x to the representation of y, is trained simultaneously with the encoder, and is provided specification of the spatio-temporal positions of y through the conditioning variable z ← ∆y.\n\nNaively implementing the objective using the regression\n\n$$\\begin{array}{r l}{{\\mathrm{minimize}_{\\theta,\\phi}}}&{{}\\|P_{\\phi}(E_{\\theta}(x),\\Delta_{y})-E_{\\theta}(y)\\|_{1},}\\end{array}$$\n\nwould admit a trivial solution, where the encoder outputs a constant representation, regardless of its input. In practice, we use the following modified objective to prevent representation collapse,\n\nminimize${}_{\\theta,\\phi}\\quad||P_{\\phi}(E_{\\theta}(x),\\Delta_{y})-\\mbox{sg}(\\overline{E}_{\\theta}(y))||_{1},$ (1)\n\nwhere sg(·) denotes a stop-gradient operation, which does not backpropagate through its argument, and Eθ(·) is an exponential moving average of the network Eθ(·). The use of an exponential-moving average feature extractor along with a stop-gradient and a predictor has been used as a collapse prevention strategy for image pretraining (Grill et al., 2020), and studied empirically (Xie et al., 2021) and theoretically (Tian et al., 2021). In fact, the objective in equation (1) is similar to the loss of Assran et al. (2023) used for image pretraining, but we modify it to use an ℓ1 regression, which we found to be more stable.\n\nTheoretical motivation. A theoretical motivation for the effectiveness of this collapse prevention strategy was proposed in Grill et al. (2020) for the BYOL method. We provide a simple adaptation of their analysis for our ℓ1 loss. For ease of exposition, we will disregard the effect of the conditioning variable z and consider one dimensional representations. Denote the representation Eθ(y) by a random variable Y . The optimal predictor under equation (1) is thus given by the following functional expression,\n\n$P^{\\star}(E_{\\theta}(x))=\\text{argmin}_{P}\\|P(E_{\\theta}(x))-Y\\|_{1}$ \n \n$=\\text{median}(Y|E_{\\theta}(x))$. \n \n\nSubstituting this expression for the optimal predictor into the loss function and evaluating the expected gradient of the encoder gives\n\n$$\\nabla_{\\theta}\\mathbb{E}\\|P^{\\star}(E_{\\theta}(x))-Y\\|_{1}=\\nabla_{\\theta}\\mathrm{MAD}(Y|E_{\\theta}(x)),$$\n\nwhere MAD(· |Eθ(x)) is the median absolute deviation of a random variable conditioned on Eθ(x). Thus, in the case where the predictor is optimal, the encoder must learn to capture as much information about the video as possible to minimize the deviation of the target. The hypothesis is that incorporating an exponential moving average to compute the representation of y ensures that the predictor evolves faster than the encoder and remains close to optimal, thereby preventing collapse.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "tation and, in practical applications, the underlying storage and compute costs. We selected models with embedding dimensions ranging from 384 to 4096.\n\n- *Sequence length:* Being the number of tokens that a model can consider as input, the sequence length is important as it impacts the unit that can be encoded (sentence, paragraph, document). However, encoding overly long sequences requires efficiently storing the relevant information into a single vector. Among the selected methods, this criterion varies from 128 tokens to 32768.\n- *Model parameters:* Often correlated with the two first characteristics, parameter count is important for practical applications as it affects usability on resource-efficient machines. The selected models have a number of parameters ranging from 20 million (∼100Mb in float32) to 7 billion (∼28Gb).\n- *Language:* This is a major feature of language models. Some are monolingual, and others are multilingual. Language is usually acquired during pre-training, but sometimes, models familiarize themselves with new languages at tuning. For the benchmark, we selected French models, as well as bilingual or multilingual models. We also included a few ones that claimed to be English (e.g. *all-MiniLM-L12-v2*9 ).\n- *Model types:* There are several strategies to generate text embeddings such as aggregating (e.g. with average pooling) token-level embeddings from raw pre-trained models, or adding an extra contrastive learning step on a sentence similarity task with, optionally, additional transformation layers. We included models of all types in our benchmark, summarizing the model type information under two relevant criteria: finetuned vs pretrained, and trained for sentence similarity or not.\n\nThe selected models are visible in Figure 1, and all of their characteristics are summarized in appendix Table 7. Overall, the selection includes the best models from the sentence transformers framework (Reimers and Gurevych, 2019), the most popular French NLP models (Le et al., 2020; Martin\n\net al., 2019), their variants optimized for semantic similarity (Reimers and Gurevych, 2019), numerous multilingual models performing at the top on MTEB (e.g *E5* and *T5*), *Bloom* variants (Zhang et al., 2023), models based on very recent powerful LLMs (Wang et al., 2023; Faysse et al., 2024) and finally the proprietary models of OpenAI, Cohere and Voyage. Certain models were selected in multiple sizes to isolate the dimensionality effect effectively. We provide information on the models' licenses as reported in the Hugging Face hub10 . However, we encourage readers to conduct further research before utilizing a model.\n\n#### 3.3 Evaluation\n\nFor the sake of homogeneity, models are evaluated using the same metrics per task as in MTEB (Muennighoff et al., 2022): Classification (Accuracy), Bitext mining (F1 score), Pair classification (AP), Clustering (V measure), Reranking (MAP), Retrieval (NDCG@10), Summarization and STS (Spearman correlation based on cosine similarity). BitextMining tasks are excluded from the average performance scores and therefore the figures, as this task evaluates 2 languages instead of one, and this benchmark focuses only on one language (French). We present the results for both *DiaBlaBitextMining* and *FloresBitextMining* in Table 12.\n\nUsing the overall benchmark results, our goal will be to answer the following research questions: Q1: Is a model outstanding on all tasks?\n\nAs we are trying to find out whether one embedding model is statistically better than the others for French, the objective will also be to analyze the performance of the models by tasks to facilitate model choice for specific applications.\n\nQ2: Are there any links between the model characteristics and performance?\n\nIn section 3.2, we undertook the substantial task of gathering the characteristics of all evaluated models. The goal here will be to analyze their impact on performance and draw conclusions about, for example, the relationship between embedding dimension and model ranking on the benchmark.\n\nQ3: Do monolingual models have multilingual capabilities?\n\nWe interrogate the ability of a model trained exclusively in one language to perform well in another language.\n\nQ4: Are there any correlations between datasets\n\n9 https://huggingface.co./sentence-transformers/ all-MiniLM-L12-v2\n\n10https://huggingface.co./models", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.\n\n| | | | Frozen Evaluation | | Fine-Tuning |\n| --- | --- | --- | --- | --- | --- |\n| | | K400 | SSv2 | IN1K | K400-ft |\n| Target | Arch. | (16×1×1) | (16×1×1) | | (16×5×3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\nTable 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | | | Frozen Evaluation SSv2 | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Arch. | Data | #Samples | K400 (16×1×1) | (16×1×1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics-400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n# 4 What Matters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction\n\nversus pixel prediction objective, b) the construction of the pretraining data distribution, c) the feature pooling strategy for leveraging the model's representations in downstream tasks, and d) the masking strategy, towards identifying: what to predict from what?\n\n### 4.1 Predicting Representations versus Pixels\n\nWe first ablate the effect of computing the prediction loss in representation space. We train a pair of ViT-L/16 models using either a V-JEPA feature prediction loss, or a mean-squared error loss with the normalized pixel values, as in masked autoencoders (He et al., 2021), and perform a sweep over the learning rate and weight decay schedules for both approaches. All models are pretrained on VideoMix2M for 90K iterations with a batch size of 3072 using multi-block masking. We examine performance on Kinetics-400 (K400), Something-Something-v2 (SSv2), and ImageNet-1K (IN1K), using a frozen backbone with an attentive probe, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on Kinetics-400.\n\nResults of this comparison are reported in Table 1 and indicate that predicting in feature space provides a consistent performance improvement over pixel space prediction in both frozen evaluation of the video backbone, as well as end-to-end fine-tuning.\n\n### 4.2 Pretraining Data Distribution\n\nNext we study the impact of the pretraining data distribution in Table 2. Leveraging large scale datasets", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for sentence embeddings have been developed by the open-source community2 , by fine-tuning models like *CamemBERT*(Martin et al., 2019) or *CroissantLLM*(Faysse et al., 2024).\n\nBenchmarks Embedding models are generally compared on specific tasks, such as information retrieval, STS or reranking (Thakur et al., 2021; Agirre et al., 2016; Wang et al., 2021). Other works evaluate embedding models on multiple tasks (Wang et al., 2018; et al., 2022; Conneau and Kiela, 2018) or compare meta-embeddings (García-Ferrero et al., 2021). The most comprehensive benchmark to date is MTEB (Muennighoff et al., 2022). MTEB still has a critical limit: it mainly focuses on English. Some initiatives already extended this benchmark to other languages, such as Chinese (Xiao et al., 2024) and German (Wehrli et al., 2024). Our work comes with the same ambition for French. It relies on the MTEB structure that provides a solid basis for analysis and extends it to a new language.\n\n#### 3 MTEB for French\n\nIn this section, we describe the datasets and the models that we propose for the French extension of MTEB. We also list the research questions we want to discuss with the results.\n\n#### 3.1 New Datasets\n\nWe identified 7 datasets relevant to French in the existing MTEB, which we assume are of good quality. We complemented these with 8 external relevant datasets proposed in the literature, such as BSARD (Louis and Spanakis, 2022) and Alloprof (Lefebvre-Brossard et al., 2023), which are proven to be good quality. We created 3 new ones presented in Table 1 and assessed their quality with various procedures and metrics. In addition to all performed checks, we run multiple models on these datasets and provide results to show that they are neither trivial nor impossible to solve (see Tables 10, 11, 12 and 13).\n\nTherefore, as of today, our French MTEB runs on 18 datasets. Some datasets are framed differently according to the task category they are used with. For example, MasakhaNEWS dataset (Adelani et al., 2023) is used for both Classification (*MasakhaNEWSClassification*) and Clustering (*MasakhaNEWSClusteringS2S* and *MasakhaNEWSClusteringP2P*). Table 3 shows details of each task data used for running the benchmark.\n\nThis section describes the 3 new datasets we introduce, quality checks performed and an analysis of the semantic similarities between datasets.\n\n#### 3.1.1 Syntec (Retrieval)\n\nThe Syntec French collective bargaining agreement3 comprises around 90 articles. Despite its topic, the language used does not feature the specificity of the legal vocabulary, making the data suitable for benchmarking general-purpose models. The articles have been scraped for use as documents. Four annotators were divided into two groups. Each group was given half of the articles and asked to choose an article and write a question about it. Each annotator wrote 25 questions. Thus, a hundred questions have been manually created and paired with the articles containing the answer4 . Examples of the dataset are available in the appendix Figure 5. This dataset could also be used for text classification, clustering or topic modeling. Regarding quality checks, every article's integrity has been reviewed while manually creating questions. We also manually checked that the questions could only be answered using the annotated article.\n\n#### 3.1.2 HAL (Clustering)\n\n*Hyper Articles en Ligne* (HAL) is a French open archive of scholarly documents from all academic fields. Scrapping this resource, we fetched 85,000 publications in French5 . We extracted IDs, titles and the author's choice among domain labels. The last 2 are provided by authors when submitting their papers to HAL. Since domain annotations are provided, the dataset can be used for many tasks, such as topic modeling or text classification. To ensure the dataset quality is suitable for a benchmark, further data cleaning has been performed:\n\n- Duplicates are eliminated, retaining unique publications for each field.\n- Irrelevant titles (due to API indexing mistakes) or titles in languages other than French have been manually removed.\n\n2Models on the HuggingFace hub: *sentence-camebert*, *sentence_croissant_alpha_v0.3*, *Solon-embeddings-large-0.1*.\n\n3 https://www.syntec.fr/convention-collective/ 4 https://huggingface.co./datasets/lyon-nlp/ mteb-fr-retrieval-syntec-s2p\n\n5 https://huggingface.co./datasets/lyon-nlp/ clustering-hal-s2s", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "with respect to model ranking?\n\nTo go further than the correlation analysis among datasets regarding their topics (see section 3.1.5), subsequent analysis will be conducted regarding how they rank models. Additionally, complementary insights will be derived from examining correlations of models relative to their strengths and weaknesses across different datasets.\n\n### 4 Results and discussion\n\nIn this section, we present the results through the prism of our research questions.\n\n### Q1: Is there a model that outstands on all tasks?\n\nModels performances for each task are presented in appendix Tables 9, 10, 11, 12 and 13. Figure 1 shows the critical difference diagram of average score ranks.\n\nAs in MTEB (Muennighoff et al., 2022), no model claims state-of-the-art in all tasks even if the *text-embedding-3-large* model is in first place on average on all tasks (see Table 9). It ranks first for the classification and reranking tasks. For the clustering task, *text-embedding-ada-002* is the best model. The models *voyage-code-2*, *textembedding-3-small* and *mistral-embed* share the top positions in the retrieval task ranking. For the pair classification task, *laser2* is ahead of its competitors. Finally, *sentence-camembert-large* leads on the STS task and *multilingual-e5-small* has the best results for summarization.\n\nFigure 1 shows a global model comparison across all datasets. The models are arranged horizontally according to their performance, with the best models on the left. The black bars represent the statistical equivalence between the models' performances. The statistically equivalent top performers for this benchmark are OpenAI's models *text-embedding-3-large*, *text-embedding-3 small* and *text-embedding-ada-002*. Interestingly, many models do not show a significant performance gap between their base and large flavours. Some French models stand out among the multilingual models, such as *Solon-embeddings-large-0.1*, *sentence_croissant_alpha_v0.3* and *sentencecamembert-large*.\n\n### Q2: Are there any links between model characteristics and performance?\n\nThe Spearman correlations between the average rank of the models and their characteristics are the following:\n\n- *Tuned for sentence similarity*: 0.727\n- *Finetuned vs pretrained*: 0.544\n- *Model number of parameters*: 0.49\n- *Embedding dimension*: 0.452\n- *Closed source*: 0.449\n- *Max sequence length*: 0.336\n- *Multilingual*: 0.103\n- *English*: 0.025\n- *English but tuned on other languages*: -0.025\n- *French*: -0.134\n- *Bilingual*: -0.135\n\nAdditionally, all cross-correlations between characteristics are reported in appendix Figure 10.\n\nAs expected, the score most strongly correlates with whether the evaluated models were trained on a sentence similarity task. Of course, this criterion is connected to the more general *Finetuned* one. The only top-performing models solely pre-trained are from the *E5* family, where the pre-training is, in fact, contrastive and optimized for similarity. Conversely, models pre-trained on token-level tasks and generating embeddings via pooling appear less well-suited for the benchmark tasks.\n\nFurthermore, we observe a performance correlation with the embedding dimension and the model's number of parameters, which are often correlated themselves. This appears very clearly on the relative ranking of *E5* and *T5* models (see Figure 1). However, some small models perform very well on the benchmark, such as the standard version of the multilingual universal sentence encoder or *Solon-embeddings-base-1.0*. Notably, the maximum sequence length, while an important criterion for generative tasks with LLMs, is less correlated with performance than the other dimensions. This can be explained by many datasets containing relatively small texts (see appendix Table 3 showing that 14 datasets have less than 50 tokens).\n\nRegarding language, it is surprising that good performance is not particularly correlated with French models in particular. In reality, the other aspects of the models, such as being fine-tuned", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv4.pdf" - }, - { - "text": "Figure 3 V-JEPA. Training operates on a video clip of T frames with spatial resolution H × W, flattened into a sequence of L tokens. (Left to right): We first obtain the input of the x-encoder by dropping tokens from the video clip. The x-encoder then processes the masked video sequence, and outputs an embedding vector for each input token. Next, the outputs of the x-encoder are concatenated with a set of learnable mask tokens containing positional embeddings of the masked spatio-temporal patches. The predictor network processes the combined token sequence, and outputs an embedding vector for each mask token. The outputs of the predictor are then regressed to the prediction targets using an L1 loss. The prediction targets correspond to the output of the y-encoder.\n\n### 3.2 Prediction Task: Predicting y from x\n\nThe feature prediction task is based on a masked modeling formulation (He et al., 2021; Tong et al., 2022); i.e., regions x and y from the video are sampled using masking. To sample y from a video, we sample several (possibly overlapping) spatially continuous blocks with various aspect ratios and repeat the spatial blocks across the entire temporal dimension of the video; x is taken to be the complement. Masking a large continuous block that covers the full temporal dimension limits information leakage due to the spatial and temporal redundancy of videos, and results in a harder prediction task (Tong et al., 2022).\n\nWe leverage two types of masks: short-range masks, where we take the union of 8 randomly sampled target blocks covering 15% of each frame, and long-range masks, where we take the union of 2 randomly sampled target blocks covering 70% of each frame. In both cases, the aspect ratio for all sampled blocks is randomly chosen in the range (0.75, 1.5). Given that both short-range and long-range masks are produced by sampling many blocks and taking their union, the result is an average masking ratio of ∼ 90%. We refer to our masking strategy as multi-block, and compare it to other possible masking strategies in Section 4.\n\n### 3.3 Network Parameterization\n\nWe use a Vision Transformer (ViT) (Dosovitskiy et al., 2020; Arnab et al., 2021) as our video backbone. To process a video with a transformer network, we split the video clip into a 3D grid of L spatio-temporal patches, where a patch consists of a 16 × 16 pixel block spanning 2 consecutive frames; we refer to these spatio-temporal patches as tokens. This sequence of tokens is then directly processed by the stack of transformer blocks. In-\n\nputs x and y correspond to masked regions of a video, we apply the video masks by simply dropping a subset of the tokens. We apply masking at the input of the x-encoder, and at the output of the y-encoder to construct contextualized targets (Baevski et al., 2022b). The encoder is parameterized using standard ViT networks, while the predictor is a narrow transformer implemented using 12 blocks with an embedding dimension of 384. Taking inspiration from masked autoencoders (He et al., 2021), our predictor takes as input the sequence of embeddings produced by the x-encoder as well as a sequence of learnable mask tokens with positional embeddings indicating the spatio-temporal positions of the y tokens. The output of the predictor is an embedding vector for each mask token; see Figure 3 and refer to Appendix B for more details.\n\n### 3.4 Pretraining Data and Evaluation Setup\n\nPretraining. We combine several public datasets to construct an unsupervised video pretraining dataset, which we refer to as VideoMix2M. Specifically, we combine the videos from HowTo100M (HT) (Miech et al., 2019), Kinetics-400/600/700 (K710) (Kay et al., 2017), and Something-Something-v2 (SSv2) (Goyal et al., 2017), and remove any overlap with the validation sets of Kinetics-400/600/700 and Something-Something-v2, resulting in approximately 2 million videos. We train a ViT-L/16, a ViT-H/16, and a ViT-H/16384 transformer model on VideoMix2M. We use a batch size of 3072 for the ViT-L/16 and ViT-H/16 models, and a batch size of 2400 for the ViT-H/16384 model. Each model takes as input a video clip of 16 frames sampled with a frameskip of 4, corresponding to roughly 3 second clips on average. The ViT-L/16 and ViT-H/16 process the video at a spatial resolution of 224, while the ViT-H/16384 uses an input resolution of 384; cf. Appendix C.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv3.pdf" - }, - { - "text": "- Tomas Mikolov, Kai Chen, Gregory S. Corrado, and Jeffrey Dean. 2013. Efficient estimation of word representations in vector space. In *International Conference on Learning Representations*.\n- Niklas Muennighoff. 2022. Sgpt: Gpt sentence embeddings for semantic search. *arXiv preprint arXiv:2202.08904*.\n- Niklas Muennighoff, Nouamane Tazi, Loic Magne, and Nils Reimers. 2022. Mteb: Massive text embedding benchmark. In *Conference of the European Chapter of the Association for Computational Linguistics*.\n- Usman Naseem, Imran Razzak, Shah Khalid Khan, and Mukesh Prasad. 2021. A comprehensive survey on word representation models: From classical to state-of-the-art word representation language models. *Transactions on Asian and Low-Resource Language Information Processing*, 20(5):1–35.\n- Arvind Neelakantan, Tao Xu, Raul Puri, Alec Radford, Jesse Michael Han, Jerry Tworek, Qiming Yuan, Nikolas Tezak, Jong Wook Kim, Chris Hallacy, et al. 2022. Text and code embeddings by contrastive pretraining. *arXiv preprint arXiv:2201.10005*.\n- Jianmo Ni, Gustavo Hernández Ábrego, Noah Constant, Ji Ma, Keith B. Hall, Daniel Cer, and Yinfei Yang. 2021. Sentence-t5: Scalable sentence encoders from pre-trained text-to-text models.\n- Kishore Papineni, Salim Roukos, Todd Ward, and Wei-Jing Zhu. 2002. Bleu: a method for automatic evaluation of machine translation. In *Proceedings of the 40th Annual Meeting of the Association for Computational Linguistics*, pages 311–318, Philadelphia, Pennsylvania, USA. Association for Computational Linguistics.\n- Nils Reimers and Iryna Gurevych. 2019. Sentence-bert: Sentence embeddings using siamese bert-networks. In *Conference on Empirical Methods in Natural Language Processing*.\n- Stephen E. Robertson and Karen Spärck Jones. 1976. Relevance weighting of search terms. *J. Am. Soc. Inf. Sci.*, 27:129–146.\n- Thomas Scialom, Paul-Alexis Dray, Sylvain Lamprier, Benjamin Piwowarski, and Jacopo Staiano. 2020. MLSUM: The multilingual summarization corpus. In *Proceedings of the 2020 Conference on Empirical Methods in Natural Language Processing (EMNLP)*, pages 8051–8067, Online. Association for Computational Linguistics.\n- Nandan Thakur, Nils Reimers, Andreas Rücklé, Abhishek Srivastava, and Iryna Gurevych. 2021. BEIR: A heterogenous benchmark for zero-shot evaluation of information retrieval models. *CoRR*, abs/2104.08663.\n- Ashish Vaswani, Noam M. Shazeer, Niki Parmar, Jakob Uszkoreit, Llion Jones, Aidan N. Gomez, Lukasz Kaiser, and Illia Polosukhin. 2017. Attention is all you need. In *Neural Information Processing Systems*.\n- Alex Wang, Amanpreet Singh, Julian Michael, Felix Hill, Omer Levy, and Samuel R. Bowman. 2018. Glue: A multi-task benchmark and analysis platform for natural language understanding. In *BlackboxNLP@EMNLP*.\n- Kexin Wang, Nils Reimers, and Iryna Gurevych. 2021. TSDAE: Using transformer-based sequential denoising auto-encoderfor unsupervised sentence embedding learning. In *Findings of the Association for Computational Linguistics: EMNLP 2021*, pages 671–688, Punta Cana, Dominican Republic. Association for Computational Linguistics.\n- Liang Wang, Nan Yang, Xiaolong Huang, Binxing Jiao, Linjun Yang, Daxin Jiang, Rangan Majumder, and Furu Wei. 2022. Text embeddings by weaklysupervised contrastive pre-training. *arXiv preprint arXiv:2212.03533*.\n- Liang Wang, Nan Yang, Xiaolong Huang, Linjun Yang, Rangan Majumder, and Furu Wei. 2023. Improving text embeddings with large language models. *arXiv preprint arXiv:2401.00368*.\n- Silvan Wehrli, Bert Arnrich, and Christopher Irrgang. 2024. German text embedding clustering benchmark.\n- Shitao Xiao, Zheng Liu, Peitian Zhang, Niklas Muennighoff, Defu Lian, and Jian-Yun Nie. 2024. C-pack: Packaged resources to advance general chinese embedding.\n- Yinfei Yang, Yuan Zhang, Chris Tar, and Jason Baldridge. 2019. PAWS-X: A cross-lingual adversarial dataset for paraphrase identification. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 3687–3692, Hong Kong, China. Association for Computational Linguistics.\n- Xin Zhang, Zehan Li, Yanzhao Zhang, Dingkun Long, Pengjun Xie, Meishan Zhang, and Min Zhang. 2023. Language models are universal embedders. *ArXiv*, abs/2310.08232.\n- Lianmin Zheng, Wei-Lin Chiang, Ying Sheng, Siyuan Zhuang, Zhanghao Wu, Yonghao Zhuang, Zi Lin, Zhuohan Li, Dacheng Li, Eric P. Xing, Hao Zhang, Joseph E. Gonzalez, and Ion Stoica. 2023. Judging llm-as-a-judge with mt-bench and chatbot arena.", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv4.pdf" - }, - { - "text": "Figure 1: Critical difference diagram representing the significant rank gaps between models. The axis represents the normalized average rank of the models (lower is better). The black bars indicate that the difference in models' rank is not statistically significant, i.e. lower than the critical difference.\n\nfor similarity, prevail. Nevertheless, we can highlight the excellent performance of a few French models such as *sentence-camembert* and *sentencecroissant* and *Solon-embeddings*.\n\nLastly, we emphasize that closed-source models perform well on this benchmark (*text-embeddings*, *mistral-embed* and *voyage*), but we lack information about their characteristics. As more opensource well-performing models get added in the future, we could expect this correlation to decrease. Note that the correlation between sequence length and performance could be dragged by closedsource models that have generally larger sequence lengths.\n\n### Q3: Do monolingual models have multilingual capabilities?\n\nFigure 2: Model performance depending on the language of the data they have been trained on.\n\nWe also studied the capabilities of models on the French language when the language of the training data varies. It is surprising to note the absence of a clear correlation between the language the model is trained on and its performance on French, as shown by the large standard deviation in Figure 2. Furthermore, monolingual models trained exclusively on English such as *voyage-code-2* show very good results on French datasets compared to models trained exclusively on French such as *flaubert* derivatives and *distilbert-base-fr-cased* (see Table D.1).\n\nThis is explained by the fact that a large part of the selected French models generate embeddings using a pooling strategy. Only a few are sentence transformer models, for which the pooled representation is part of the model and trained with it, leading to higher-quality embeddings. This is endorsed by the excellent results of *sentence-camembert-large*, a sentence transformer model trained on French corpus and confirms the recent findings in terms of model architecture (Gao et al., 2021).\n\nFinally, it should be noted that a significant portion of the French data used to train the selected French models actually comes from English datasets that have been machine translated (May, 2021). Despite the tremendous progress of machine translation, it is well known that the generated data may be unrepresentative of the language used by native speakers and cause a reduced final performance (Barbosa et al., 2021).", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv4.pdf" - }, - { - "text": "Figure 3: Attention patterns in BERT (Kovaleva et al., 2019)\n\nies) insufficient (Warstadt et al., 2019). A given method might also favor one model over another, e.g., RoBERTa trails BERT with one tree extraction method, but leads with another (Htut et al., 2019). The choice of linguistic formalism also matters (Kuznetsov and Gurevych, 2020).\n\nIn view of all that, the alternative is to focus on identifying what BERT actually relies on at inference time. This direction is currently pursued both at the level of architecture blocks (to be discussed in detail in subsection 6.3), and at the level of information encoded in model weights. Amnesic probing (Elazar et al., 2020) aims to specifically remove certain information from the model and see how it changes performance, finding, for example, that language modeling does rely on part-of-speech information.\n\nAnother direction is information-theoretic probing. Pimentel et al. (2020) operationalize probing as estimating mutual information between the learned representation and a given linguistic property, which highlights that the focus should be not on the amount of information contained in a representation, but rather on how easily it can be extracted from it. Voita and Titov (2020) quantify the amount of effort needed to extract information from a given representation as minimum description length needed to communicate both the probe size and the amount of data required for it to do well on a task.\n\n### 4 Localizing linguistic knowledge\n\n#### 4.1 BERT embeddings\n\nIn studies of BERT, the term \"embedding\" refers to the output of a Transformer layer (typically, the final one). Both conventional static embeddings (Mikolov et al., 2013) and BERT-style embeddings can be viewed in terms of mutual information maximization (Kong et al., 2019), but the latter are contextualized. Every token is represented by a vector dependent on the particular context of occurrence, and contains at least some information about that context (Miaschi and Dell'Orletta, 2020).\n\nSeveral studies reported that distilled contextualized embeddings better encode lexical semantic information (i.e. they are better at traditional word-level tasks such as word similarity). The methods to distill a contextualized representation into static include aggregating the information across multiple contexts (Akbik et al., 2019; Bommasani et al., 2020), encoding \"semantically bleached\" sentences that rely almost exclusively on the meaning of a given word (e.g. \"This is <>\") (May et al., 2019), and even using contextualized embeddings to train static embeddings (Wang et al., 2020d).\n\nBut this is not to say that there is no room for improvement. Ethayarajh (2019) measure how similar the embeddings for identical words are in every layer, reporting that later BERT layers produce more context-specific representations3 . They also find that BERT embeddings occupy a narrow cone in the vector space, and this effect increases from the earlier to later layers. That is, two random words will on average have a much higher cosine similarity than expected if embeddings were directionally uniform (isotropic). Since isotropy was shown to be beneficial for static word embeddings (Mu and Viswanath, 2018), this might be a fruitful direction to explore for BERT.\n\nSince BERT embeddings are contextualized, an interesting question is to what extent they capture phenomena like polysemy and homonymy. There is indeed evidence that BERT's contextualized embeddings form distinct clusters corresponding to word senses (Wiedemann et al., 2019; Schmidt and Hofmann, 2020), making BERT successful at word sense disambiguation task. However, Mickus et al. (2019) note that the representations of the same word depend on the position of the sentence in which it occurs, likely due to the NSP objective. This is not desirable from the linguistic point of view, and could be a promising\n\n3Voita et al. (2019a) look at the evolution of token embeddings, showing that in the earlier Transformer layers, MLM forces the acquisition of contextual information at the expense of the token identity, which gets recreated in later layers.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "What is the maximum amount covered by the FWC of the europeean chemical agency ?", - "target_page": 6, - "target_passage": "The maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is EUR 1 000 000 (one million)", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "# HAVE AGREED\n\n- **I.1.1.1.1.** Article 1 Subject matter\n- **1.1** This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [*complete date*]*.*\n- **1.2** In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [*complete*]*.*]\n- **I.1.1.1.2.** Article 2 Entry into force and duration\n- **2.1** This specific contract enters into force on the date on which the last party signs it.\n- **2.2** The provision of the services starts from the date of entry into force of this specific contract.\n- **2.3** The provision of the services must not exceed [*complete*] **[**days] [months**]**. The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n- **I.1.1.1.3.** Article 3 Price\n- **3.1** The price payable under this specific contract excluding reimbursement of expenses is EUR [*amount in figures and in words*].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [*amount in figures and in words*].]\n\n- **3.2** [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [*amount in figures and in words*] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n***\n\n**I.1.1.1.4.** Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [*complete*]]\n\n[Unit [*complete*]]\n\n[*Postcode and city*]\n\nE-mail: [*insert functional mailbox*]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **SPECIFIC CONTRACT**\n\n# **No [***complete***]**\n\n# **implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [*forename, surname, function, department of authorising officer*],\n\nand\n\n2. [*Full official name*]\n\n[*Official legal form*]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[*repeat these data as many times as there are contractors in case of joint tender and continue numbering*]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [*forename, surname and function of legal representative*,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (a) travel, subsistence, accommodation and shipment expenses; and\n- (b) any other expenses provided for in the tender specifications.\n\nThe daily subsistence allowance referred to in Article II.22.4 (d) and the accommodation flat-rate ceiling referred to in Article II.22.4(e) are listed in Annex IV\n\n#### **I.6. Payment arrangements**\n\n#### **I.6.1. Pre-financing**\n\nPre-financing is not applicable to this FWC.\n\n#### **I.6.2. Interim payments**\n\nInterim payment is not applicable to this FWC, unless it is provided for under a specific contract.\n\nIf provided for, the contractor (or leader in the case of a joint tender) may claim the interim payment equal to the amount specified in the relevant specific contract in accordance with Article II.21.6.\n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format or via *e-PRIOR* for the interim payment as provided for in the tender specifications, accompanied by the following:\n\n- a list of all *pre-existing rights* to the *results* or parts of the *results* or a declaration stating that there are no such *pre-existing rights*, as provided for in Article II.13.4;\n- the relevant progress report or deliverable accepted by ECHA\n- statements of reimbursable expenses in accordance with Article II.22.\n\nThe contracting authority must approve the submitted documents or deliverables and pay within 30 days from receipt of the invoice.\n\n# **I.6.3. Payment of the balance**\n\n1. The contractor (or leader in the case of a joint tender) may claim the payment of the balance in accordance with Article II.21.6.\n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format or via *e-PRIOR* for payment of the balance due under a specific contract, as provided for in the tender specifications and accompanied by the following:\n\n- a list of all *pre-existing rights* to the *results* or parts of the *results* or a declaration stating that there are no such *pre-existing rights*, as provided for in Article II.13.4;\n- document of acceptance by ECHA of the deliverables as defined in the *tender specifications or specific contract*\n- statements of reimbursable expenses in accordance with Article II.22.\n\n2. The contracting authority must approve the submitted documents and pay within 30 days from receipt of the invoice.", - "page_start": 6, - "page_end": 6, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **I. Special Conditions**\n\n# **I.1. Order of priority of provisions**\n\nIf there is any conflict between different provisions in this FWC, the following rules must be applied:\n\n- (a) The provisions set out in the special conditions take precedence over those in the other parts of the FWC.\n- (b) The provisions set out in the general conditions take precedence over those in the *order form* and specific contract (Annex III)\n- (c) The provisions set out in the *order form* and specific contract (Annex III) take precedence over those in the other annexes.\n- (d) The provisions set out in the tender specifications (Annex I) take precedence over those in the tender (Annex II).\n- (e) The provisions set out in the FWC take precedence over those in the specific contracts.\n- (f) The provisions set out in the specific contracts take precedence over those in the requests for services.\n\nAny reference to specific contracts applies also to order forms.\n\n# **I.2. Subject matter**\n\nThe subject matter of the FWC is scientific support to ECHA for work on restrictions, dose-response functions, Annex XIV, POPs and dossier evaluation.\n\n# **I.3. Entry into force and duration of the FWC**\n\n- **I.3.1** The FWC enters into force on the date on which the last party signs it.\n- **I.3.2** The *implementation of the FWC* cannot start before its entry into force.\n- **I.3.3** The FWC is concluded for a period of 24 months with effect from the date of its entry into force.\n- **I.3.4** The parties must sign any specific contract before the FWC expires.\n\nThe FWC continues to apply to such specific contracts after its expiry. The services relating to such specific contracts must be performed no later than six months after the expiry of the FWC.\n\n#### **I.3.5** Renewal of the FWC\n\nThe FWC is renewed automatically 2 times for 12 months each, unless one of the parties receives *formal notification* to the contrary at least three months before the end of the ongoing duration. Renewal does not change or postpone any existing obligations.\n\n# **I.4. Appointment of the contractor and implementation of the FWC**\n\n- I.4.1. Appointment of the contractor\nThe contracting authority appoints the contractor for a multiple FWC in cascade in [*complete*] position.", - "page_start": 4, - "page_end": 4, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "3. The contracting authority may suspend the time limit for payment specified in point 2 in accordance with Article II.21.7. Once the suspension is lifted, the contracting authority shall give its approval and pay within the remainder of the time-limit indicated in point 2 unless it rejects partially or fully the submitted documents.\n\n# **I.6.4. Performance guarantee**\n\nPerformance guarantee is not applicable to this FWC.\n\n# **I.6.5. Retention money guarantee**\n\nRetention money guarantee is not applicable to this FWC.\n\n# **I.7. Bank account**\n\nPayments must be made to the contractor's (or leader's in the case of a joint tender) bank account denominated in euro, identified as follows:\n\nName of bank:\n\nFull address of branch:\n\nExact denomination of account holder:\n\nFull account number including bank codes:\n\n[IBAN1 code:]\n\n# **I.8. Communication details**\n\nFor the purpose of this FWC, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency Directorate and Unit D3, Risk Management I Telakkakatu 6 00150 Helsinki Finland E-mail: [insert functional mailbox]\n\nContractor (or leader in the case of a joint tender):\n\n[*Full name*] [*Function*] [*Company name*] [*Full official address*] E-mail: [*complete*]\n\nBy derogation from this Article, different contact details for the contracting authority or the contractor may be provided in specific contracts.\n\n1 BIC or SWIFT code for countries with no IBAN code", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n# **NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [*forename, surname, function, directorate of authorising officer*],\n\nof the one part and\n\n2. [*Full official name*]\n\n[*Official legal form* ]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[*For joint tenders,* r*epeat these data as many times as there are contractors and continue numbering*]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [*forename, surname, function of legal representative and name of company in the case of a joint tender*],\n\non the other part,\n\n#### HAVE AGREED\n\nto the **special conditions,** the **general conditions for framework contracts** for services and the following annexes:\n\n- **Annex I –** Tender specifications (reference No [*complete*] of [*insert date*])\n- **Annex II** Contractor's tender (reference No [*complete*] of [*insert date*])\n- **Annex III –** [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Commission and published on the website indicated below, applicable on the day when it issues the payment order.\n\nThe contractor makes any conversion between the euro and another currency at the monthly accounting exchange rate, established by the Commission and published on the website indicated below, applicable on the date of the invoice.\n\nhttp://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/inforeuro_en.cfm\n\n# **II.21.4. Costs of transfer**\n\nThe costs of the transfer are borne as follows:\n\n- (a) the contracting authority bears the costs of dispatch charged by its bank;\n- (b) the contractor bears the costs of receipt charged by its bank;\n- (c) the party causing repetition of the transfer bears the costs for repeated transfer.\n\nII.21.5. Pre-financing, performance and money retention guarantees\n\nIf, as provided for in Article I.6*,* a financial guarantee is required for the payment of prefinancing, as performance guarantee or as retention money guarantee, it must fulfil the following conditions:\n\n- (a) the financial guarantee is provided by a bank or a financial institution approved by the contracting authority or, at the request of the contractor and with the agreement of the contracting authority, by a third party; and\n- (b) the guarantee shall have the effect of making the bank or financial institution or the third party provide irrevocable collateral security, or stand as first-call guarantor of the contractor's obligations without requiring that the contracting authority has recourse against the principal debtor (the contractor).\n\nThe contractor bears the cost of providing such guarantee.\n\nPre-financing guarantees must remain in force until the pre-financing is cleared against interim payments or payment of the balance. Where the payment of the balance takes the form of a debit note, the pre-financing guarantee must remain in force for three months after the debit note is sent to the contractor. The contracting authority must release the guarantee within the following month.\n\nPerformance guarantees cover compliance with substantial contractual obligations until the contracting authority has given its final approval for the service. The performance guarantee must not exceed 10 % of the total price of the specific contract. The contracting authority must release the guarantee fully after final approval of the service, as provided for in the specific contract.\n\nRetention money guarantees cover full delivery of the service in accordance with the specific contract including during the contract liability period and until its final approval by the contracting authority. The retention money guarantee must not exceed 10 % of the total price of the specific contract. The contracting authority must release the guarantee after the expiry of the contract liability period as provided for in the specific contract.\n\nThe contracting authority must not request a retention money guarantee for a specific contract where it has requested a performance guarantee.", - "page_start": 33, - "page_end": 33, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- I.4.2. Period of provision of the services\nThe period for the provision of the services starts to run from the date on which the specific contract is signed by the last party.\n\n- I.4.3. Implementation of FWC in cascade\nThe FWC is implemented as follows: the contracting authority orders services by sending a request for offer for a specific contract to the contractor who is ranked first in the cascade.\n\nWithin 5 working days (unless otherwise stated in the request for offer), the contractor must either:\n\n- (a) send the specific tender back to the contracting authority; or\n- (b) send an explanation of why it cannot accept the order.\n\nIf the contractor does not accept the order or fails to observe the deadline or to submit an acceptable offer for the Agency, or if it is in a situation of conflicting interests that may negatively affect the *performance of the specific contract* (see Article II.7), the contracting authority may place the order with the next contractor on the cascade.\n\nIf the contractor repeatedly refuses to accept requests for offer or repeatedly fails to send them back on time, the contractor may be considered in breach of its obligations under this FWC as set out in Article II.18.1 (c).\n\nWithin a maximum of 5 working days of a specific contract or order form being sent by the Agency to the contractor, the Agency shall receive it back, duly signed and dated. The period allowed for the execution of the tasks shall start to run on the date of signature of the specific contract or order form by both parties.\n\n# **I.5. Prices**\n\n# **I.5.1. Maximum amount of the FWC and maximum prices**\n\nThe maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is **EUR 1 000 000** (one million). However, this does not bind the contracting authority to purchase for the maximum amount.\n\nThe maximum unit prices of the services are:\n\n| Senior experts: | [ | ] EUR per man-day |\n| --- | --- | --- |\n| Experts: | [ | ] EUR per man-day |\n\n# **I.5.2. Price revision index**\n\nPrice revision is determined by the formula set out in Article II.20 and using the trend in the harmonised indices of consumer prices (HICP) 'Euro area (19 countries)' published at http://ec.europa.eu/eurostat/web/hicp/data/database under HICP (2015 = 100) - monthly data (index) (prc_hicp_midx).]\n\n# **I.5.3. Reimbursement of expenses**\n\nIn addition to the maximum price specified in each specific contract, if applicable, the contracting authority shall reimburse the following in accordance with Article II.22:", - "page_start": 5, - "page_end": 5, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "quality or continuity of the services. The parties may agree to draw up a transition plan detailing the contractor's assistance unless such plan is already detailed in other contractual documents or in the tender specifications. The contractor must provide such assistance at no additional cost, except if it can demonstrate that it requires substantial additional resources or means, in which case it must provide an estimate of the costs involved and the parties will negotiate an arrangement in good faith.\n\n#### **II.18.4. Effects of termination**\n\nThe contractor is liable for damage incurred by the contracting authority as a result of the termination of the FWC or a specific contract, including the additional cost of appointing and contracting another contractor to provide or complete the services, except if the damage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article II.18.2. The contracting authority may claim compensation for such damage.\n\nThe contractor is not entitled to compensation for any loss resulting from the termination of the FWC or a specific contract, including loss of anticipated profits, unless the loss was caused by the situation specified in Article II.18.2.\n\nThe contractor must take all appropriate measures to minimise costs, prevent damage and cancel or reduce its commitments.\n\nWithin 60 days of the date of termination, the contractor must submit any report, deliverable or *result* and any invoice required for services that were provided before the date of termination.\n\nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific contract with each member of the group separately on the basis of points (d), (e) or (g) of Article II.18.1, under the conditions set out in Article II.11.2\n\n# **II.19. Invoices, value added tax and e-invoicing**\n\n#### **II.19.1. Invoices and value added tax**\n\nInvoices must contain the contractor's (or leader's in the case of a joint tender) identification data, the amount, the currency and the date, as well as the FWC reference and reference to the specific contract.\n\nInvoices must indicate the place of taxation of the contractor (or leader in the case of a joint tender) for value added tax (VAT) purposes and must specify separately amounts not including VAT and amounts including VAT.\n\nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance with Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European Union on the privileges and immunities of the European Union.\n\nThe contractor (or leader in the case of a joint tender) must complete the necessary formalities with the relevant authorities to ensure that the supplies and services required for *implementation of the FWC* are exempt from taxes and duties, including VAT.\n\n#### **II.19.2. E-invoicing**\n\nIf provided for in the special conditions, the contractor (or leader in the case of a joint tender) submits invoices in electronic format if the conditions regarding electronic signature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "OLAF's own staff or by any outside body authorised to do so on its behalf.\n\nSuch checks and audits may be initiated at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC\n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent by the contracting authority. Audits are carried out on a confidential basis.\n\n- **II.24.2** The contractor must keep all original documents stored on any appropriate medium, including digitised originals if authorised under national law, for a period of five years starting from the payment of the balance of the last specific contract issued under this FWC.\n- **II.24.3** The contractor must grant the contracting authority's staff and outside personnel authorised by the contracting authority the appropriate right of access to sites and premises where the FWC is implemented and to all the information, including information in electronic format, needed to conduct such checks and audits. The contractor must ensure that the information is readily available at the moment of the check or audit and, if so requested, that information is handed over in an appropriate format.\n- **II.24.4** On the basis of the findings made during the audit, a provisional report is drawn up. The contracting authority or its authorised representative must send it to the contractor, who has 30 days following the date of receipt to submit observations. The contractor must receive the final report within 60 days following the expiry of the deadline to submit observations.\n\nOn the basis of the final audit findings, the contracting authority may recover all or part of the payments made in accordance with Article II.23 and may take any other measures which it considers necessary.\n\n- **II.24.5** In accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspection carried out by the Commission in order to protect the European Communities' financial interests against *fraud* and other *irregularities* and Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office, the European Anti-Fraud Office may carry out investigations, including on the spot checks and inspections, to establish whether there has been *fraud*, corruption or any other illegal activity under the contract affecting the financial interests of the Union. Findings arising from an investigation may lead to criminal prosecution under national law.\nThe investigations may be carried out at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC.\n\n- **II.24.6** The Court of Auditors, the European Public Prosecutor's Office established by Council Regulation (EU) 2017/193977 ('the EPPO') and, for the processing of personal data, the European Data Protection Supervisor have the same rights as the contracting authority, particularly right of access, for the purpose of checks,\n7 Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor's Office", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "How can I get compensation if the european chemical agency terminates a contract we have ?", - "target_page": 11, - "target_passage": "If the FWC or a specific contract is terminated: a) neither party is entitled to compensation", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **SPECIFIC CONTRACT**\n\n# **No [***complete***]**\n\n# **implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [*forename, surname, function, department of authorising officer*],\n\nand\n\n2. [*Full official name*]\n\n[*Official legal form*]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[*repeat these data as many times as there are contractors in case of joint tender and continue numbering*]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [*forename, surname and function of legal representative*,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n# **NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [*forename, surname, function, directorate of authorising officer*],\n\nof the one part and\n\n2. [*Full official name*]\n\n[*Official legal form* ]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[*For joint tenders,* r*epeat these data as many times as there are contractors and continue numbering*]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [*forename, surname, function of legal representative and name of company in the case of a joint tender*],\n\non the other part,\n\n#### HAVE AGREED\n\nto the **special conditions,** the **general conditions for framework contracts** for services and the following annexes:\n\n- **Annex I –** Tender specifications (reference No [*complete*] of [*insert date*])\n- **Annex II** Contractor's tender (reference No [*complete*] of [*insert date*])\n- **Annex III –** [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (g) if the contractor does not comply with applicable obligations under environmental, social and labour law established by Union law, national law, collective agreements or by the international environmental, social and labour law provisions listed in Annex X to Directive 2014/24/EU;\n- (h) if the contractor is in a situation that could constitute a *conflict of interest* or a *professional conflicting interest* as referred to in Article II.7;\n- (i) if a change to the contractor's legal, financial, technical, organisational or ownership situation is likely to substantially affect the *implementation of the FWC* or substantially modify the conditions under which the FWC was initially awarded;\n- (j) in the event of *force majeure*, where either resuming implementation is impossible or the necessary ensuing amendments to the FWC or a specific contract would mean that the tender specifications are no longer fulfilled or result in unequal treatment of tenderers or contractors;\n- (k) if the needs of the contracting authority change and it no longer requires new services under the FWC; in such cases ongoing specific contracts remain unaffected;\n- (l) if the termination of the FWC with one or more of the contractors means that the multiple FWC with reopening of competition no longer has the minimum required level of competition;\n- (m) if the contractor is in breach of the data protection obligations resulting from Article II.9.2;\n- (n) if the contractor does not comply with the applicable data protection obligations resulting from Regulation (EU) 2016/679.\n\n# **II.18.2. Grounds for termination by the contractor**\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting authority fails to comply with its obligations, in particular the obligation to provide the information needed for the contractor to implement the FWC or to perform a specific contract as provided for in the tender specifications.\n\n# **II.18.3. Procedure for termination**\n\nA party must *formally notify* the other party of its intention to terminate the FWC or a specific contract and the grounds for termination.\n\nThe other party has 30 days following the date of receipt to submit observations, including the measures it has taken or will take to continue fulfilling its contractual obligations. Failing that, the decision to terminate becomes enforceable the day after the time limit for submitting observations has elapsed.\n\nIf the other party submits observations, the party intending to terminate must *formally notify* it either of the withdrawal of its intention to terminate or of its final decision to terminate.\n\nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in Article II.18.2, the date on which the termination takes effect must be specified in the *formal notification*.\n\nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes effect on the day following the date on which the contractor receives *notification* of termination.\n\nIn addition, at the request of the contracting authority and regardless of the grounds for termination, the contractor must provide all necessary assistance, including information, documents and files, to allow the contracting authority to complete, continue or transfer the services to a new contractor or internally, without interruption or adverse effect on the", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# HAVE AGREED\n\n- **I.1.1.1.1.** Article 1 Subject matter\n- **1.1** This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [*complete date*]*.*\n- **1.2** In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [*complete*]*.*]\n- **I.1.1.1.2.** Article 2 Entry into force and duration\n- **2.1** This specific contract enters into force on the date on which the last party signs it.\n- **2.2** The provision of the services starts from the date of entry into force of this specific contract.\n- **2.3** The provision of the services must not exceed [*complete*] **[**days] [months**]**. The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n- **I.1.1.1.3.** Article 3 Price\n- **3.1** The price payable under this specific contract excluding reimbursement of expenses is EUR [*amount in figures and in words*].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [*amount in figures and in words*].]\n\n- **3.2** [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [*amount in figures and in words*] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n***\n\n**I.1.1.1.4.** Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [*complete*]]\n\n[Unit [*complete*]]\n\n[*Postcode and city*]\n\nE-mail: [*insert functional mailbox*]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "*a specific contract* or any part of it:\n\n- (a) if the procedure for awarding the FWC or a specific contract or the *implementation of the FWC* proves to have been subject to *irregularities, fraud or breach of obligations*;\n- (b) in order to verify whether the presumed *irregularities, fraud* or *breach of obligations* have actually occurred.\n\nThe contracting authority must *formally notify* the contractor of the suspension and the reasons for it. Suspension takes effect on the date of *formal notification*, or at a later date if the *formal notification* so provides.\n\nThe contracting authority must *notify* the contractor as soon as the verification is completed whether:\n\n- (a) it is lifting the suspension; or\n- (b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or (j).\n\nThe contractor is not entitled to compensation for suspension of any part of the FWC or a specific contract.\n\nThe contracting authority may in addition suspend the time allowed for payments in accordance with Article II.21.7.\n\n# **II.18. Termination of the FWC**\n\n#### **II.18.1. Grounds for termination by the contracting authority**\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the following circumstances:\n\n- (a) if provision of the services under an on-going specific contract has not actually started within 15 days of the scheduled date and the contracting authority considers that the new date proposed, if any, is unacceptable, taking into account Article II.11.2;\n- (b) if the contractor is unable, through its own fault, to obtain any permit or licence required for *implementation of the FWC*;\n- (c) if the contractor does not implement the FWC or perform the specific contract in accordance with the tender specifications or *request for service* or is in breach of another substantial contractual obligation or repeatedly refuses to sign specific contracts. Termination of three or more specific contracts in these circumstances also constitutes grounds for termination of the FWC;\n- (d) if the contractor or any person that assumes unlimited liability for the debts of the contractor is in one of the situations provided for in points (a) and (b) of Article 136(1) of the Financial Regulation6;\n- (e) if the contractor or any *related person* is in one of the situations provided for in points (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation;\n- (f) if the procedure for awarding the FWC or the *implementation of the FWC* prove to have been subject to *irregularities*, *fraud* or *breach of obligations*;\n\n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012, OJ L 193 of 30.7.2018, p.1 https://eur-lex.europa.eu/legalcontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "quality or continuity of the services. The parties may agree to draw up a transition plan detailing the contractor's assistance unless such plan is already detailed in other contractual documents or in the tender specifications. The contractor must provide such assistance at no additional cost, except if it can demonstrate that it requires substantial additional resources or means, in which case it must provide an estimate of the costs involved and the parties will negotiate an arrangement in good faith.\n\n#### **II.18.4. Effects of termination**\n\nThe contractor is liable for damage incurred by the contracting authority as a result of the termination of the FWC or a specific contract, including the additional cost of appointing and contracting another contractor to provide or complete the services, except if the damage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article II.18.2. The contracting authority may claim compensation for such damage.\n\nThe contractor is not entitled to compensation for any loss resulting from the termination of the FWC or a specific contract, including loss of anticipated profits, unless the loss was caused by the situation specified in Article II.18.2.\n\nThe contractor must take all appropriate measures to minimise costs, prevent damage and cancel or reduce its commitments.\n\nWithin 60 days of the date of termination, the contractor must submit any report, deliverable or *result* and any invoice required for services that were provided before the date of termination.\n\nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific contract with each member of the group separately on the basis of points (d), (e) or (g) of Article II.18.1, under the conditions set out in Article II.11.2\n\n# **II.19. Invoices, value added tax and e-invoicing**\n\n#### **II.19.1. Invoices and value added tax**\n\nInvoices must contain the contractor's (or leader's in the case of a joint tender) identification data, the amount, the currency and the date, as well as the FWC reference and reference to the specific contract.\n\nInvoices must indicate the place of taxation of the contractor (or leader in the case of a joint tender) for value added tax (VAT) purposes and must specify separately amounts not including VAT and amounts including VAT.\n\nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance with Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European Union on the privileges and immunities of the European Union.\n\nThe contractor (or leader in the case of a joint tender) must complete the necessary formalities with the relevant authorities to ensure that the supplies and services required for *implementation of the FWC* are exempt from taxes and duties, including VAT.\n\n#### **II.19.2. E-invoicing**\n\nIf provided for in the special conditions, the contractor (or leader in the case of a joint tender) submits invoices in electronic format if the conditions regarding electronic signature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "3. The contracting authority may suspend the time limit for payment specified in point 2 in accordance with Article II.21.7. Once the suspension is lifted, the contracting authority shall give its approval and pay within the remainder of the time-limit indicated in point 2 unless it rejects partially or fully the submitted documents.\n\n# **I.6.4. Performance guarantee**\n\nPerformance guarantee is not applicable to this FWC.\n\n# **I.6.5. Retention money guarantee**\n\nRetention money guarantee is not applicable to this FWC.\n\n# **I.7. Bank account**\n\nPayments must be made to the contractor's (or leader's in the case of a joint tender) bank account denominated in euro, identified as follows:\n\nName of bank:\n\nFull address of branch:\n\nExact denomination of account holder:\n\nFull account number including bank codes:\n\n[IBAN1 code:]\n\n# **I.8. Communication details**\n\nFor the purpose of this FWC, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency Directorate and Unit D3, Risk Management I Telakkakatu 6 00150 Helsinki Finland E-mail: [insert functional mailbox]\n\nContractor (or leader in the case of a joint tender):\n\n[*Full name*] [*Function*] [*Company name*] [*Full official address*] E-mail: [*complete*]\n\nBy derogation from this Article, different contact details for the contracting authority or the contractor may be provided in specific contracts.\n\n1 BIC or SWIFT code for countries with no IBAN code", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **II.16. Reduction in price**\n\n# **II.16.1. Quality standards**\n\nIf the contractor fails to provide the service in accordance with the FWC or a specific contract ('unperformed obligations') or if it fails to provide the service in accordance with the expected quality levels specified in the tender specifications ('low quality delivery'), the contracting authority may reduce or recover payments proportionally to the seriousness of the unperformed obligations or low quality delivery. This includes in particular cases where the contracting authority cannot approve a *result*, report or deliverable as defined in Article I.6 after the contractor has submitted the required additional information, correction or new version.\n\nA reduction in price may be imposed together with liquidated damages under the conditions of Article II.15.\n\n# **II.16.2. Procedure**\n\nThe contracting authority must *formally notify* the contractor of its intention to reduce payment and the corresponding calculated amount.\n\nThe contractor has 30 days following the date of receipt to submit observations. Failing that, the decision becomes enforceable the day after the time limit for submitting observations has elapsed.\n\nIf the contractor submits observations, the contracting authority, taking into account the relevant observations, must *notify* the contractor:\n\n(a) of the withdrawal of its intention to reduce payment; or\n\n(b) of its final decision to reduce payment and the corresponding amount,.\n\n# **II.16.3. Claims and liability**\n\nAny reduction in price does not affect the contractor's actual or potential liability or the contracting authority's rights under Article II.18.\n\n# **II.17. Suspension of the implementation of the FWC**\n\n# **II.17.1. Suspension by the contractor**\n\nIf the contractor is affected by *force majeure*, it may suspend the provision of the services under a specific contract.\n\nThe contractor must immediately *notify* the contracting authority of the suspension. The *notification* must include a description of the *force majeure* and state when the contractor expects to resume the provision of services.\n\nThe contractor must *notify* the contracting authority as soon as it is able to resume *performance of the specific contract*, unless the contracting authority has already terminated the FWC or the specific contract.\n\n# **II.17.2. Suspension by the contracting authority**\n\nThe contracting authority may suspend the *implementation of the FWC* or *performance of*", - "page_start": 28, - "page_end": 28, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **II.21.6. Interim payments and payment of the balance**\n\nThe contractor (or leader in the case of a joint tender) must send an invoice for interim payment, as provided for in Article I.6 or in the tender specifications or in the specific contract.\n\nThe contractor (or leader in the case of a joint tender) must send an invoice for payment of the balance within 60 days of the end of the period of provision of the services, as provided for in Article I.6, in the tender specifications or in the specific contract.\n\nPayment of the invoice and approval of documents does not imply recognition of the regularity, authenticity, completeness and correctness of the declarations and information they contain.\n\nPayment of the balance may take the form of recovery.\n\n# **II.21.7. Suspension of the time allowed for payment**\n\nThe contracting authority may suspend the payment periods specified in Article I.6 at any time by *notifying* the contractor (or leader in the case of a joint tender) that its invoice cannot be processed. The reasons the contracting authority may cite for not being able to process an invoice are:\n\n- (a) because it does not comply with the FWC;\n- (b) because the contractor has not produced the appropriate documents or deliverables; or\n- (c) because the contracting authority has observations on the documents or deliverables submitted with the invoice.\n\nThe contracting authority must *notify* the contractor (or leader in the case of joint tender) as soon as possible of any such suspension, giving the reasons for it. In cases b) and c) referred above, the contracting authority shall notify the contractor (or leader in case of a joint tender) the time limits to submit additional information or corrections or a new version of the documents or deliverables if the contracting authority requires it.\n\nSuspension takes effect on the date the contracting authority sends the *notification*. The remaining payment period resumes from the date on which the requested information or revised documents are received or the necessary further verification, including on-the-spot checks, is carried out. Where the suspension period exceeds two months, the contractor (or leader in the case of a joint tender) may request the contracting authority to justify the continued suspension.\n\nWhere the payment periods have been suspended following rejection of a document referred to in the first paragraph of this Article and the new document produced is also rejected, the contracting authority reserves the right to terminate the specific contract in accordance with Article II.18.1(c)*.*\n\n# **II.21.8. Interest on late payment**\n\nOn expiry of the payment periods specified in Article I.6, the contractor (or leader in the case of a joint tender) is entitled to interest on late payment at the rate applied by the European Central Bank for its main refinancing operations in euros (the reference rate) plus eight points. The reference rate is the rate in force, as published in the C series of the *Official Journal of the European Union,* on the first day of the month in which the payment period ends.", - "page_start": 34, - "page_end": 34, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "I am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] concerning intellectual property rights and exploitation of the results and I confirm that I transferred all the relevant rights to [*insert name of contractor or other intermediary right holder*].\n\nI declare that [I have received full remuneration] [I agreed to receive remuneration by [*insert date*]].\n\n[As creator, I also confirm that I do not object to the following:\n\n- (a) that my name be mentioned or not mentioned when the results are presented to the public;\n- (b) that the results be divulged or not after they have been delivered in their final version to the contracting authority;\n- (c) that the results be adapted, provided that this is done in a manner which is not prejudicial to my honour or reputation.]\n\nDate, place, signature", - "page_start": 48, - "page_end": 48, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "According to the european chemical agency contracts, what is considers a grave professional misconduct ?", - "target_page": 14, - "target_passage": "'Grave professional misconduct': a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "# **SPECIFIC CONTRACT**\n\n# **No [***complete***]**\n\n# **implementing framework contract No ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [*forename, surname, function, department of authorising officer*],\n\nand\n\n2. [*Full official name*]\n\n[*Official legal form*]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[*repeat these data as many times as there are contractors in case of joint tender and continue numbering*]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [*forename, surname and function of legal representative*,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# **DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n# **NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [*forename, surname, function, directorate of authorising officer*],\n\nof the one part and\n\n2. [*Full official name*]\n\n[*Official legal form* ]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[*For joint tenders,* r*epeat these data as many times as there are contractors and continue numbering*]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [*forename, surname, function of legal representative and name of company in the case of a joint tender*],\n\non the other part,\n\n#### HAVE AGREED\n\nto the **special conditions,** the **general conditions for framework contracts** for services and the following annexes:\n\n- **Annex I –** Tender specifications (reference No [*complete*] of [*insert date*])\n- **Annex II** Contractor's tender (reference No [*complete*] of [*insert date*])\n- **Annex III –** [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Union budget, ii) the non-disclosure of information in violation of a specific obligation, with the same effect or iii) the misapplication of such funds or assets for purposes other than those for which they were originally granted, which damages the Union's financial interests;\n\n**'Grave professional misconduct':** a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.\n\n**'Implementation of the FWC'**: the purchase of services envisaged in the FWC through the signature and *performance of specific contracts*;\n\n**'Interface control document'**: the guideline document which lays down the technical specifications, message standards, security standards, checks of syntax and semantics, etc. to facilitate machine-to-machine connection. This document is updated on a regular basis;\n\n**'Irregularity'**: any infringement of a provision of Union law resulting from an act or omission by an economic operator, which has, or would have, the effect of prejudicing the Union's budget.\n\n**'Notification'** (or 'notify'): form of communication between the parties made in writing including by electronic means;\n\n**'Order form'**: a simplified form of specific contract by which the contracting authority orders services under this FWC;\n\n**'Performance of a specific contract'**: the execution of tasks and delivery of the purchased services by the contractor to the contracting authority;\n\n**'Personnel'**: persons employed directly or indirectly or contracted by the contractor to implement the FWC;\n\n**'Pre-existing material'**: any material, document, technology or know-how which exists prior to the contractor using it for the production of a *result* in the *implementation of the FWC*;\n\n**'Pre-existing right'**: any industrial and intellectual property right on *pre-existing material*; it may consist in a right of ownership, a licence right and/or right of use belonging to the contractor, the *creator*, the contracting authority as well as to any other third parties;\n\n**'Professional conflicting interest'**: a situation in which the contractor's previous or ongoing professional activities affect its capacity to implement the FWC or to perform a specific contract to an appropriate quality standard.\n\n**'Related person'**: any natural or legal person who is a member of the administrative, management or supervisory body of the contractor, or who has powers of representation, decision or control with regard to the contractor;\n\n**'Request for services'**: a document from the contracting authority requesting that the contractors in a multiple FWC with re-opening of competition provide a specific tender for services whose terms are not entirely defined under the FWC;", - "page_start": 13, - "page_end": 13, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# HAVE AGREED\n\n- **I.1.1.1.1.** Article 1 Subject matter\n- **1.1** This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [*complete date*]*.*\n- **1.2** In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [*complete*]*.*]\n- **I.1.1.1.2.** Article 2 Entry into force and duration\n- **2.1** This specific contract enters into force on the date on which the last party signs it.\n- **2.2** The provision of the services starts from the date of entry into force of this specific contract.\n- **2.3** The provision of the services must not exceed [*complete*] **[**days] [months**]**. The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n- **I.1.1.1.3.** Article 3 Price\n- **3.1** The price payable under this specific contract excluding reimbursement of expenses is EUR [*amount in figures and in words*].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [*amount in figures and in words*].]\n\n- **3.2** [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [*amount in figures and in words*] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n***\n\n**I.1.1.1.4.** Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [*complete*]]\n\n[Unit [*complete*]]\n\n[*Postcode and city*]\n\nE-mail: [*insert functional mailbox*]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "OLAF's own staff or by any outside body authorised to do so on its behalf.\n\nSuch checks and audits may be initiated at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC\n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent by the contracting authority. Audits are carried out on a confidential basis.\n\n- **II.24.2** The contractor must keep all original documents stored on any appropriate medium, including digitised originals if authorised under national law, for a period of five years starting from the payment of the balance of the last specific contract issued under this FWC.\n- **II.24.3** The contractor must grant the contracting authority's staff and outside personnel authorised by the contracting authority the appropriate right of access to sites and premises where the FWC is implemented and to all the information, including information in electronic format, needed to conduct such checks and audits. The contractor must ensure that the information is readily available at the moment of the check or audit and, if so requested, that information is handed over in an appropriate format.\n- **II.24.4** On the basis of the findings made during the audit, a provisional report is drawn up. The contracting authority or its authorised representative must send it to the contractor, who has 30 days following the date of receipt to submit observations. The contractor must receive the final report within 60 days following the expiry of the deadline to submit observations.\n\nOn the basis of the final audit findings, the contracting authority may recover all or part of the payments made in accordance with Article II.23 and may take any other measures which it considers necessary.\n\n- **II.24.5** In accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspection carried out by the Commission in order to protect the European Communities' financial interests against *fraud* and other *irregularities* and Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office, the European Anti-Fraud Office may carry out investigations, including on the spot checks and inspections, to establish whether there has been *fraud*, corruption or any other illegal activity under the contract affecting the financial interests of the Union. Findings arising from an investigation may lead to criminal prosecution under national law.\nThe investigations may be carried out at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC.\n\n- **II.24.6** The Court of Auditors, the European Public Prosecutor's Office established by Council Regulation (EU) 2017/193977 ('the EPPO') and, for the processing of personal data, the European Data Protection Supervisor have the same rights as the contracting authority, particularly right of access, for the purpose of checks,\n7 Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the establishment of the European Public Prosecutor's Office", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "*a specific contract* or any part of it:\n\n- (a) if the procedure for awarding the FWC or a specific contract or the *implementation of the FWC* proves to have been subject to *irregularities, fraud or breach of obligations*;\n- (b) in order to verify whether the presumed *irregularities, fraud* or *breach of obligations* have actually occurred.\n\nThe contracting authority must *formally notify* the contractor of the suspension and the reasons for it. Suspension takes effect on the date of *formal notification*, or at a later date if the *formal notification* so provides.\n\nThe contracting authority must *notify* the contractor as soon as the verification is completed whether:\n\n- (a) it is lifting the suspension; or\n- (b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or (j).\n\nThe contractor is not entitled to compensation for suspension of any part of the FWC or a specific contract.\n\nThe contracting authority may in addition suspend the time allowed for payments in accordance with Article II.21.7.\n\n# **II.18. Termination of the FWC**\n\n#### **II.18.1. Grounds for termination by the contracting authority**\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the following circumstances:\n\n- (a) if provision of the services under an on-going specific contract has not actually started within 15 days of the scheduled date and the contracting authority considers that the new date proposed, if any, is unacceptable, taking into account Article II.11.2;\n- (b) if the contractor is unable, through its own fault, to obtain any permit or licence required for *implementation of the FWC*;\n- (c) if the contractor does not implement the FWC or perform the specific contract in accordance with the tender specifications or *request for service* or is in breach of another substantial contractual obligation or repeatedly refuses to sign specific contracts. Termination of three or more specific contracts in these circumstances also constitutes grounds for termination of the FWC;\n- (d) if the contractor or any person that assumes unlimited liability for the debts of the contractor is in one of the situations provided for in points (a) and (b) of Article 136(1) of the Financial Regulation6;\n- (e) if the contractor or any *related person* is in one of the situations provided for in points (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation;\n- (f) if the procedure for awarding the FWC or the *implementation of the FWC* prove to have been subject to *irregularities*, *fraud* or *breach of obligations*;\n\n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012, OJ L 193 of 30.7.2018, p.1 https://eur-lex.europa.eu/legalcontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (g) if the contractor does not comply with applicable obligations under environmental, social and labour law established by Union law, national law, collective agreements or by the international environmental, social and labour law provisions listed in Annex X to Directive 2014/24/EU;\n- (h) if the contractor is in a situation that could constitute a *conflict of interest* or a *professional conflicting interest* as referred to in Article II.7;\n- (i) if a change to the contractor's legal, financial, technical, organisational or ownership situation is likely to substantially affect the *implementation of the FWC* or substantially modify the conditions under which the FWC was initially awarded;\n- (j) in the event of *force majeure*, where either resuming implementation is impossible or the necessary ensuing amendments to the FWC or a specific contract would mean that the tender specifications are no longer fulfilled or result in unequal treatment of tenderers or contractors;\n- (k) if the needs of the contracting authority change and it no longer requires new services under the FWC; in such cases ongoing specific contracts remain unaffected;\n- (l) if the termination of the FWC with one or more of the contractors means that the multiple FWC with reopening of competition no longer has the minimum required level of competition;\n- (m) if the contractor is in breach of the data protection obligations resulting from Article II.9.2;\n- (n) if the contractor does not comply with the applicable data protection obligations resulting from Regulation (EU) 2016/679.\n\n# **II.18.2. Grounds for termination by the contractor**\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting authority fails to comply with its obligations, in particular the obligation to provide the information needed for the contractor to implement the FWC or to perform a specific contract as provided for in the tender specifications.\n\n# **II.18.3. Procedure for termination**\n\nA party must *formally notify* the other party of its intention to terminate the FWC or a specific contract and the grounds for termination.\n\nThe other party has 30 days following the date of receipt to submit observations, including the measures it has taken or will take to continue fulfilling its contractual obligations. Failing that, the decision to terminate becomes enforceable the day after the time limit for submitting observations has elapsed.\n\nIf the other party submits observations, the party intending to terminate must *formally notify* it either of the withdrawal of its intention to terminate or of its final decision to terminate.\n\nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in Article II.18.2, the date on which the termination takes effect must be specified in the *formal notification*.\n\nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes effect on the day following the date on which the contractor receives *notification* of termination.\n\nIn addition, at the request of the contracting authority and regardless of the grounds for termination, the contractor must provide all necessary assistance, including information, documents and files, to allow the contracting authority to complete, continue or transfer the services to a new contractor or internally, without interruption or adverse effect on the", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Neither the European Agency for Safety and Health at Work nor any person acting on behalf of the agency is responsible for the use that might be made of the following information.\n\nLuxembourg: Publications Office of the European Union, 2023\n\nPrint ISBN 978-92-9479-934-0 doi: 10.2802/26873 PDF ISBN 978-92-9479-935-7 doi: 10.2802/56459\n\n© European Agency for Safety and Health at Work, 2023\n\nReproduction is authorised provided the source is acknowledged.\n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and Health at Work, permission must be sought directly from the copyright holders.\n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or compliance with legislative requirements.\n\nFor one-click access to websites and references please consult the online version of this publication https://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", - "page_start": 1, - "page_end": 1, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "The contractor shall assist the controller for the fulfilment of its obligations pursuant to Article 33 to 41 under Regulation (EU) 2018/1725 to:\n\n(a) ensure compliance with its data protection obligations regarding the security of the processing, and the confidentiality of electronic communications and directories of users; (b) notify a personal data breach to the European Data Protection Supervisor; (c) communicate a personal data breach without undue delay to the data subject, where applicable; (d) carry out data protection impact assessments and prior consultations as necessary.\n\nThe contractor shall maintain a record of all data processing operations carried on behalf of the controller, transfers of personal data, security breaches, responses to requests for exercising rights of people whose personal data is processed and requests for access to personal data by third parties.\n\nThe contracting authority is subject to Protocol 7 of the Treaty on the Functioning of the European Union on the privileges and immunities of the European Union, particularly as regards the inviolability of archives (including the physical location of data and services as set out in Article I.9.2) and data security, which includes personal data held on behalf of the contracting authority in the premises of the contractor or subcontractor.\n\nThe contractor shall notify the contracting authority without delay of any legally binding request for disclosure of the personal data processed on behalf of the contracting authority made by any national public authority, including an authority from a third country. The contractor may not give such access without the prior written authorisation of the contracting authority.\n\nThe duration of processing of personal data by the contractor will not exceed the period referred to in Article II.24.2. Upon expiry of this period, the contractor shall, at the choice of the controller, return, without any undue delay in a commonly agreed format, all personal data processed on behalf of the controller and the copies thereof or shall effectively delete all personal data unless Union or national law requires a longer storage of personal data.\n\nFor the purpose of Article II.10, if part or all of the processing of personal data is subcontracted to a third party, the contractor shall pass on the obligations referred to in Articles I.9.2 and II.9.2 in writing to those parties, including subcontractors. At the request of the contracting authority, the contractor shall provide a document providing evidence of this commitment.\n\n# **II.10. Subcontracting**\n\n- **II.10.1** The contractor must not subcontract and have the FWC implemented by third parties beyond the third parties already mentioned in its tender without prior written authorisation from the contracting authority.\n- **II.10.2** Even if the contracting authority authorises subcontracting, the contractor remains bound by its contractual obligations and is solely responsible for the *implementation of the FWC*.\n- **II.10.3** The contractor must ensure that the subcontract does not affect the rights of the contracting authority under this FWC, particularly those under Articles II.8, II.13 and II.24.\n- **II.10.4** The contracting authority may request the contractor to replace a subcontractor", - "page_start": 21, - "page_end": 21, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Obviously, **most informal, and** — in particular — **irregular and illegal types of work do not respect** legal OSH obligations — and at the same time legal monitoring obligations also fail. The EU Fundamental Rights Agency (FRA) published several case studies and examples in a series called 'Severe labour exploitation reports; 359 these studies provide an insight into most irregular working conditions.\n\n**Undeclared work** is defined as paid and lawful (not criminal) activity but undeclared to public authorities. ('paid activities that are lawful as regards their nature but not declared to public authorities, taking into account the differences in the regulatory systems of Member States'.)\n\nIn 2018, the European Commission estimated the scale of **undeclared work** in the EU. According to this estimate, on average, 11.6% of total labour input in the private sector is undeclared, and undeclared work constitutes on average 16.4% of gross value added. The main sectors according to the Special Flash Eurobarometer from 2019360 are personal services (childcare/elderly care/cleaning) followed by construction and hospitality services.361 The 'European Platform tackling undeclared work' provides fact sheets about the type and quantity of undeclared work in all EU Member States.362\n\nThe compliance of enterprises with OSH regulations is **supervised by state institutions, mainly the Labour Inspectorates**.363 At EU level, the SLIC developed common principles for their work. These common principles aim at harmonising their work and facilitate collaboration; they include planning and monitoring, inspectors' competencies and independence, prevention, protection, and assistance and guidance for inspectors, and internal and external communication.364\n\nPractically all labour inspections in the EU Member States worked in the past two decades on **organisational and strategic measures to achieve an effective and broad impact**, and also to better adapt to new and emerging risks.365 To enhance the level of implementation in terms of coverage and quality, many labour inspections developed **smart enforcement** and **supervision concepts**.366\n\nOn average, two million visits per year were made by labour inspectorates, in approximately 22 million businesses in the EU, in the decade 2010-2020, with a steady decline over the years.367 .368 Many enterprises that are regarded as low-risk establishments have never been inspected by a labour inspectorate. Often more than one inspection is done in large enterprises, for example, as a follow-up inspection; there might also be more than one annual inspection in enterprises with high risks. The labour inspection is also tasked to supervise enterprises with many separated sites or establishments, for example, construction companies and shops of supermarket chains. The visit of one headquarter or one shop cannot be regarded as a visit of a representative selection of enterprises' locations, which possibly show different levels of safety and health.\n\nIn the decade between 2000 and 2010, the development of the resources of labour inspections show a mixed picture, **some countries extended the capacities of labour inspections, others cut resources**. 369 For the period between 2010 and 2020, the European Trade Union Institute (ETUI) counted a decrease of labour inspectors and inspections in 20 of 27 Member States, a drop of 7% for inspectors and of 18% for inspections.370 Again, the picture between Member States differs but, in general, budget or staff cuts dominate. ESENER findings show that there was a significant decline between 2014 and 2019 regarding the number of visits by Labour Inspectorates.371\n\nAlthough labour inspections are at the core of supervision of working conditions, **other state authorities have similar or related tasks**, for example, regarding the control of undeclared work, checking minimum wages and social insurance contributions, and performing control of environmental or hygiene standards, of fire safety, or technical control of particularly dangerous production sites or equipment.\n\nThe **shift in working conditions towards psychosocial risks** generates new challenges for state supervision. SLIC recommends in its labour inspectors' guide for assessing the quality of risk assessments and risk management measures with regard to prevention of psychosocial risks:372\n\n*'When striving to prevent psychosocial risks, labour inspectors should take into account the fact that there is no single, across-the-board solution, and should recommend expert advice, for example, external OSH services, if needed for unusual or serious problems. A holistic approach is necessary in order to address psychosocial risks.'*\n\nPsychosocial risks at work were a topic in campaigns (EU-OSHA,373 European Commission,374 ILO,375 WHO, 376) in many national OSH strategies (see OSH Barometer 377), or in guiding regulations, for", - "page_start": 122, - "page_end": 122, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "What or Corning's corporate values ?", - "target_page": 12, - "target_passage": "Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## THE INTEGRATION OF OUR BELIEFS, WISDOM, CURIOSITY, & KNOWLEDGE PROVIDES BALANCE & STABILITY.\n\ni\n\n#### C O R P O R AT E VA L U E S :\n\nCorning's Values provide an unchanging moral and ethical compass that guides the actions of everyone in the company. The corporate values are: Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual.\n\n#### T OTAL Q UALITY :\n\nIn alignment with the quality policy of the corporation, our policy is to achieve Total Quality performance. Total Quality performance means understanding who the customer is, what the requirements are, and meeting those requirements better than anyone else, without error, on time, every time.\n\n# quality integrity the individual performance leadership innovation independence i i i i i i", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "#### S CIENCE & T ECHNOLOGY\n\nCorning's long history of extraordinary innovation continues in the context of managing the sensitive balance between the near-term alignment of R&D and business objectives, and longer-range discovery research and new opportunity creation.\n\nOver the past year, we adjusted our R&D spending to align with business conditions. At the same time, we carefully preserved our core technology capabilities to ensure our capacity to lead our markets and create life-changing innovations.\n\nWe have tightened our focus on high-impact projects and have streamlined our processes to develop and commercialize promising opportunities more quickly and efficiently. We have emphasized our patent processes to ensure strong competitive positions from the critical intellectual assets of our scientific organization.\n\nOur R&D organization is aligned with our operating goals and plays a critical role in meeting them. Our scientists and engineers are closely linked to our operations and are focused not only on new product development, but also new process development. They are discovering new ways to manufacture innovative products with lowered cost and increased quality performance.\n\nInnovation is one of Corning's core Values. It is the everyday language and mindset of the company. Even in the face of difficult economic conditions, we will pursue our tradition of developing breakthrough technologies for the markets we serve — from telecommunications to environmental — and will capitalize on the creation of new market opportunities made possible by our strong commitment to research and development.\n\nC RITICAL T ECHNOLOGIES : C H E M I C A L VA P O R D E P O S I T I O N\n\n#### M ATERIALS R ESEARCH : OPTICAL PROPERTIES", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "#### T O O U R S HAREHOLDERS :\n\nJ AMES R. H OUGHTON\n\nC HAIRMAN AND C HIEF E XECUTIVE O FFICER\n\nWe will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated's long history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors, I returned to the company as Chairman and Chief Executive Officer.\n\nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and filled with opportunity.\n\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in revenue. You, our shareholders—along with our employees and our friends in the communities we serve—felt the pain. We all watched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder what bad news would be next as our stock value continued its seemingly relentless decline.\n\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep up the costly infrastructure of facilities and staff we had in place. Put simply, we couldn't spend more than we were making.\n\nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a telecommunications company. Rather, we are a technology company, with the materials and process expertise to create life-changing products. That's what we've been for all of our 152 years; that's what we'll continue to be.\n\nAnd we knew something else … that our Values, the historic strength of our company, were alive and well. Quality, Integrity, Performance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us apart from other companies— especially those caught in the accounting scandals that marred the business world this past year.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\n\nPRESIDENT AND CHIEF OPERATING OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring — following restructuring efforts we launched in 2001—we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals … but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.\n\nVICE CHAIRMAN AND CHIEF FINANCIAL OFFICER\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched — and don't plan to. We also continue to pay down debt each quarter. This, combined with our plan to return to profitability in 2003, gives us a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment a volatile one. Still, we have greatly improved our ability to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses — especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of course our return to profitability will be key to building back Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003 — and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "#### I NVESTOR I NFORMATION :\n\n#### A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on\n\nThursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n#### A DDITIONAL I NFORMATION\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\n#### I NVESTOR I NFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n#### C OMMON S TOCK\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is \"GLW.\"\n\n#### TRANSFER AGENT AND REGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nCHANGE OF ADDRESS Report change of address to Computershare Investor Services at the above address.\n\n#### I NDEPENDENT A CCOUNTANTS\n\nPricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\n#### **Corning Incorporated**\n\nOne Riverfront Plaza Corning, NY 14831-0001 607 974 9000 www.corning.com\n\n02BR24601EN\n\n\"Safe Harbor\" Statement under the Private Securities Litigation Reform Act of 1995 The statements in this annual report that are not historical facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n- global economic and political conditions,\n- currency fluctuations,\n- product demand and industry capacity,\n- competitive products and pricing,\n- sufficiency of manufacturing capacity and efficiencies,\n- cost reductions,\n- availability and costs of critical materials,\n- new product development and commercialization,\n- attracting and retaining key personnel,\n- order activity and demand from major customers,\n- fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n- financial condition of customers,\n- changes in the mix of sales between premium and non-premium products,\n- facility expansions and new plant start-up costs,\n- adverse litigation or regulatory developments, including future or pending tax legislation,\n- adequacy and availability of insurance,\n- capital resource and cash flow activities,\n- capital spending,\n- equity company activities,\n- interest costs,\n- acquisition and divestiture activity,\n- the rate of technology change,\n- the ability to enforce patents,\n- product performance issues,\n- stock price fluctuations, and\n- other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any offering of securities or for the purpose of promoting or influencing the sale of securities.\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "Corning's historical success stems from its foundation as an innovative technology company. Our diverse portfolio of businesses spans a wide range of markets, and this is one of the main reasons we are weathering the downturn in the telecommunications sector. The businesses we classify as Corning Technologies — led by our liquid-crystal display (LCD) glass, environmental, and semiconductor optics operations — were strong and profitable in 2002, with aggressive plans for significant growth during 2003.\n\nOur LCD glass business has been a star performer, posting year-over-year volume gains of more than 45 percent. We are the leading producer in this market. Our sales of glass for desktop monitors have doubled over the past year alone — and there's still plenty of room for more growth, since only about a quarter of desktop displays sold in 2002 were LCD. And, LCD TVs are just beginning to gain popularity — we consider this one of our next big opportunities, as the number of LCD TVs sold annually more than doubled in 2002. Our EAGLE 2000™ glass substrates and other product and process innovations are enabling manufacturers to produce lighter, larger, thinner and higher-resolution displays more affordably — exactly what the market is demanding.\n\nDESKTOP MONITORS AND LAPTOPS", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "The ongoing malaise of the telecommunications industry led Corning to initiate significant restructurings during 2002. Optical fiber plant closings and workforce reductions were evidence of our comprehensive plan to align expenses with dramatically lowered revenues in our telecommunications businesses. Despite industry weakness, we remain the global leader in the manufacturing and sale of optical communications products. Our position will serve us well when the inevitable growth of this dynamic market returns.\n\nFor the near-term,we are focused on maintaining our leading position across our markets and with our customers. Through our many generations of manufacturing technology development, we are restoring our businesses to profitability despite continued pricing pressure and low-volume growth expectations.\n\nLooking further ahead, we remain committed to creating innovative optical communications products that meet even tighter quality, capability and cost requirements for our customers. We are emphasizing metro and access segments of the market as our major opportunities. And we are watching carefully for signs of market recovery. When that time comes, we will be poised for growth once again.\n\nC ORNING C ABLE S YSTEMS : CABLE AND HARDWARE\n\n#### O PTICAL N ETWORKS : METRO , LOCAL , LAST MILE", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "# \"We promise that our dedication to you will not waver as we continue to focus on the importance of value and values.\"\n\n**Dear Shareholders:** The theme of this year's annual report is Value and Values. We firmly believe that values do drive value. We want to provide value to our shareholders through ownership of our stock, and value to our customers through banking products and services. We do this by adhering to the principles that have guided this organization since the establishment of First National Bank of Abilene in 1890. In particular, we are committed to doing business professionally and ethically and to making sure our financial information is presented fairly.\n\nLast year, shareholders saw the value of their stock rise as we achieved higher earnings for the 16th year in a row. Net income reached $34.0 million, a gain of 15.7% from 2001's $29.4 million. Basic earnings per share totaled $2.75, up from $2.38 in 2001. Over the past 10 years, earnings have grown at a compounded annual rate of 11.9%. The primary factors contributing to 2002's higher earnings were an increase in average earning assets and an improved net interest margin (the percentage difference between interest earned and interest paid). Also contributing was the elimination of goodwill amortization under a change in generally accepted accounting principles; this change produced an increase of $.10 in basic earnings per share.\n\nKey profitability ratios also improved in 2002. Our return on average assets increased to 1.78% from 1.62% in 2001. This result was well above the average of 1.19% achieved by our peer group (bank holding companies of similar size). Return on average equity improved to 15.13% from 14.35% in 2001. Our operating efficiency ratio (the share of revenues consumed by operating expenses) improved to 51.96% in 2002 from 53.82% in 2001. Again, our ratio compared favorably to our peer group's average of 59.17%. Consolidated assets at year-end 2002 totaled $1.993 billion, up 3.3% from $1.930 billion in 2001. Loans increased modestly, by 2.5%, to $964.0 million. The book value of our trust assets increased by 2.8%, reaching $986.2 million at December 31, 2002. Deposits grew by 1.6%, to $1.712 billion.\n\nFirst Financial's balance sheet at year-end was again marked by strong asset quality and capital strength. Classified loans (those at risk to some degree) increased to 3.7% of total loans from 2.7% a year earlier. However, total nonperforming assets decreased to .44% of total loans from .51% at the end of 2001; by comparison, the peer group average was .75%. Shareholders' equity grew to $238.8 million at the end of 2002, yielding an equity-toassets ratio of 11.98%.\n\nBased on our earnings performance and strong capital position, in April 2002 the Board of Directors approved a 16.7% increase in the quarterly cash dividend, to $.35 per share from $.30 per share. The total cash dividend for 2002 was $1.35 per share. The market price of our common stock at year-end was $38.00 per share, up 26.2% from $30.10 at the end of 2001. The combination of share price appreciation and dividend paid produced a total return to shareholders of 31% for 2002.\n\nOn January 2, 2002, First Financial Bank, N. A., Southlake, opened a new branch in Keller. We are encouraged by the growth of this branch, and are looking for additional opportunities in the same northeast Tarrant County area. On October 15, 2002, First National Bank, Sweetwater, acquired the Trent branch of State National Bank of West Texas. This branch, with total assets of $6.5 million, is a", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## O U R V I S I O N\n\nWe, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to exceeding our customers' expectations, and to making our company a great place to work. We will always treat each other, as well as customers, suppliers, shareholders, and our communities, with fairness and respect.\n\nOur success depends upon business simplification, rapid continuous improvement, and innovation in everything we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs:\n\n#### **W E W I L L B E P R O F I T A B L E .**\n\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an adequate profit can the other elements of this Vision be realized.\n\n#### **W E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .**\n\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and pursuing profitable growth opportunities. We will safeguard our shareholders' equity by maintaining a strong balance sheet to allow flexibility in responding to a continuously changing market and business environment.\n\n#### **W E W I L L P U R S U E P R O F I T A B L E G R O W T H .**\n\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and financial success for all stakeholders.\n\n#### **W E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .**\n\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services exceed our customers' expectations and enable our distributors and our company to make a fair profit.\n\n#### **W E W I L L B E A G R E A T P L A C E T O W O R K .**\n\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active involvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that attracts and retains the most capable people who work safely, are motivated, and are devoted to making our company and our members successful.\n\n#### **W E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .**\n\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which we live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and provides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, and governmental affairs of our society.\n\n#### **T O O U R S T A K E H O L D E R S :**\n\nWhen our company is appreciated by its *members,* favored by its *customers,* supported by its *suppliers,* respected by *the public,* and admired by its *shareholders,* this Vision is fulfilled.\n\n> **H O N I N D U S T R I E S I n c . ( H N I ) 414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071 www.honi.com**", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "As a Corning's investor, how can I get a summary of the annual meeting of shareholders ?", - "target_page": 11, - "target_passage": "A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### I NVESTOR I NFORMATION :\n\n#### A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on\n\nThursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n#### A DDITIONAL I NFORMATION\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\n#### I NVESTOR I NFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n#### C OMMON S TOCK\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is \"GLW.\"\n\n#### TRANSFER AGENT AND REGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nCHANGE OF ADDRESS Report change of address to Computershare Investor Services at the above address.\n\n#### I NDEPENDENT A CCOUNTANTS\n\nPricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\n#### **Corning Incorporated**\n\nOne Riverfront Plaza Corning, NY 14831-0001 607 974 9000 www.corning.com\n\n02BR24601EN\n\n\"Safe Harbor\" Statement under the Private Securities Litigation Reform Act of 1995 The statements in this annual report that are not historical facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n- global economic and political conditions,\n- currency fluctuations,\n- product demand and industry capacity,\n- competitive products and pricing,\n- sufficiency of manufacturing capacity and efficiencies,\n- cost reductions,\n- availability and costs of critical materials,\n- new product development and commercialization,\n- attracting and retaining key personnel,\n- order activity and demand from major customers,\n- fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n- financial condition of customers,\n- changes in the mix of sales between premium and non-premium products,\n- facility expansions and new plant start-up costs,\n- adverse litigation or regulatory developments, including future or pending tax legislation,\n- adequacy and availability of insurance,\n- capital resource and cash flow activities,\n- capital spending,\n- equity company activities,\n- interest costs,\n- acquisition and divestiture activity,\n- the rate of technology change,\n- the ability to enforce patents,\n- product performance issues,\n- stock price fluctuations, and\n- other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any offering of securities or for the purpose of promoting or influencing the sale of securities.\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "### Investor Information 69\n\n### **INVESTOR INFORMATION**\n\nThe following table represents the high and low trading prices of the Company's common stock:\n\n| For the years ended December 31, | 2004 | | 2003 | |\n| --- | --- | --- | --- | --- |\n| High | | Low | High | Low |\n| First Quarter $ 46.18 | | $ 36.71 | $ 34.45 | $ 24.09 |\n| Second Quarter | 49.79 | 40.99 | 35.50 | 26.40 |\n| Third Quarter | 50.14 | 39.61 | 38.59 | 32.03 |\n| Fourth Quarter | 73.50 | 49.15 | 38.20 | 34.05 |\n\nThe Company's common stock is listed on the New York Stock Exchange. The symbol is MGG.\n\n#### **Forward-Looking Statements**\n\nThis Annual Report contains some forward-looking statements which are subject to change. Actual results may differ materially from those described in any forwardlooking statement. Additional information concerning potential factors that could affect our future results is included under the caption \"Factors that May Affect Our Future Results\" in Item 1 of our Annual Report on Form 10-K for the year ended December 31, 2004. This statement is provided as permitted by the Private Securities Litigation Reform Act of 1995.\n\n| Transfer Agent and | Independent Public |\n| --- | --- |\n| Registrar For Common Stock | Accountants |\n| Mellon Investor Services LLC | Deloitte & Touche LLP |\n| 85 Challenger Road | 3773 Howard Hughes Parkway |\n| Ridgefield Park, NJ 07660 | Suite 490, North Tower |\n| www.melloninvestor.com | Las Vegas, NV 89109 |\n| 1-800-358-2066 | |\n\n#### **Form 10-K**\n\nA copy of the Company's annual report on Form 10-K, as filed with the Securities and Exchange Commission, will be furnished without charge to any stockholder upon written request to:\n\n#### **Mr. Bryan L. Wright**\n\nSenior Vice President, Assistant General Counsel and Assistant Secretary MGM MIRAGE 3600 Las Vegas Blvd. South Las Vegas, NV 89109", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## **CORPORATE AND SHAREHOLDER INFORMATION**\n\n#### **CORPORATE OFFICES**\n\nRogers Communications Inc. 333 Bloor Street East, 10th Floor Toronto, ON M4W 1G9 416-935-7777\n\n#### **CUSTOMER SERVICE AND PRODUCT INFORMATION**\n\n888-764-3771 or rogers.com\n\n#### **SHAREHOLDER SERVICES**\n\nIf you are a registered shareholder and have inquiries regarding your account, wish to change your name or address, or have questions about lost stock certificates, share transfers, estate settlements or dividends, please contact our transfer agent and registrar:\n\n#### CST Trust Company\n\nP.O. Box 700, Postal Station B Montreal, QC H3B 3K3, Canada 416-682-3860 or 800-387-0825 inquiries@canstockta.com\n\n#### **Duplicate Mailings**\n\nIf you receive duplicate shareholder mailings from Rogers Communications, please contact CST Trust Company as detailed above to consolidate your accounts.\n\n#### **INVESTOR RELATIONS**\n\nInstitutional investors, securities analysts and others requiring additional financial information can visit rogers.com/investors or contact us at:\n\n#### 1-855-300-7922 or\n\n416-935-3551 *(outside North America)* or investor.relations@rci.rogers.com\n\nMedia inquiries: 416-935-7777\n\n#### **CORPORATE PHILANTHROPY**\n\nFor information relating to Rogers various philanthropic endeavours, refer to the \"About Rogers\" section of rogers.com\n\n#### **SUSTAINABILITY**\n\nRogers is committed to continuing to grow responsibly and we focus our social and environmental sustainability efforts where we can make the most meaningful impacts on both. To learn more, please visit rogers.com/csr\n\n#### **SCAN THIS TO LEARN MORE**\n\n**rogers.com/investors** Stay up-to-date with the latest Rogers investor information\n\n#### **STOCK EXCHANGE LISTINGS**\n\n**Toronto Stock Exchange (TSX): RCI.b** – Class B Non-Voting shares (CUSIP # 775109200) **RCI.a** – Class A Voting shares (CUSIP # 775109101)\n\n**New York Stock Exchange (NYSE):**\n\n**RCI** – Class B Non-Voting shares (CUSIP # 775109200)\n\n#### **Equity Index Inclusions:**\n\nDow Jones Canada Titans 60 Index Dow Jones Telecom Titans 30 Index FTSE Global Telecoms Index FTSE All-World Index Series FTSE4Good Global Index Jantzi Social Index S&P/TSX 60 Index S&P/TSX Composite Dividend Index S&P/TSX Composite Index S&P/TSX Telecom Services Index\n\n#### **DEBT SECURITIES**\n\nFor details of the public debt securities of the Rogers companies, please refer to the \"Debt Securities\" section under rogers.com/investors\n\n**INDEPENDENT AUDITORS** KPMG LLP\n\n#### **ON-LINE INFORMATION**\n\nRogers is committed to open and full financial disclosure and best practices in corporate governance. We invite you to visit the Investor Relations section of rogers.com/investors where you will find additional information about our business, including events and presentations, news releases, regulatory filings, governance practices, corporate social responsibility and our continuous disclosure materials, including quarterly financial releases, annual information forms and management information circulars. You may also subscribe to our news by e-mail or RSS feeds to automatically receive Rogers news releases electronically.\n\n#### **FOLLOW ROGERS THROUGH THESE SOCIAL MEDIA LINKS**\n\nTWITTER **twitter.com/rogersbuzz**\n\nGOOGLE + **google.com/+Rogers**\n\n#### **COMMON STOCK TRADING AND DIVIDEND INFORMATION**\n\n| Dividends | | | |\n| --- | --- | --- | --- |\n| Closing Price RCI.b on TSX | | | Declared |\n| 2013 | High Low | Close | per Share |\n| First Quarter $51.89 $44.37 $51.89 $0.435 | | | |\n| Second Quarter $52.35 $40.35 $41.20 $0.435 | | | |\n| Third Quarter $45.36 $40.35 $44.29 $0.435 | | | |\n| Fourth Quarter $48.59 $43.66 $48.07 $0.435 | | | |\n\n#### **Shares Outstanding at December 31, 2013** Class A 112,462,000 Class B 402,281,178\n\n#### **2014 Expected Dividend Dates**\n\n| Record Date*: | Payment Date*: |\n| --- | --- |\n| March 14, 2014 | April 4, 2014 |\n| June 13, 2014 | July 4, 2014 |\n| September 12, 2014 | October 3, 2014 |\n| December 11, 2014 | January 2, 2015 |\n| * Subject to Board approval | |\n\nUnless indicated otherwise, all dividends paid by Rogers Communications are designated as \"eligible\" dividends for the purposes of the Income Tax Act (Canada) and any similar provincial legislation.\n\n#### **DIRECT DEPOSIT SERVICE**\n\nShareholders may have dividends deposited directly into accounts held at financial institutions. To arrange direct deposit service, please contact CST Trust Company as detailed earlier on this page.\n\n#### **DIVIDEND REINVESTMENT PLAN (DRIP)**\n\nRogers offers a convenient dividend reinvestment program for eligible shareholders to purchase additional Rogers Communications shares by reinvesting their cash dividends without incurring brokerage fees or administration fees. For plan information and enrolment materials or to learn more about Rogers DRIP, please visit www. canstockta.com/en/InvestorServices/Dividend_ Reinvestment_Plans or contact CST Trust Company as detailed earlier on this page.\n\n#### **ELECTRONIC DELIVERY OF SHAREHOLDER MATERIALS**\n\nRegistered shareholders can receive electronic notice of financial reports and proxy materials and utilize the Internet to submit proxies on-line by registering at www.canstockta.com/ en/InvestorServices/Delivery_of_Investor_ Materials/Electronic_Consent. This approach gets information to shareholders more quickly than conventional mail and helps Rogers protect the environment and reduce printing and postage costs.\n\n#### **GLOSSARY OF TERMS**\n\nFor a comprehensive glossary of industry and technology terms, go to rogers.com/glossary\n\n#### CAUTION REGARDING FORWARD-LOOKING INFORMATION AND OTHER RISKS\n\nThis annual report includes forward-looking statements about the financial condition and prospects of Rogers Communications that involve significant risks and uncertainties that are detailed in the \"Risks and Uncertainties That Could Affect our Businesses\" and \"Caution Regarding Forward-Looking Statements, Risks and Assumptions\" sections of the MD&A contained herein, which should be read in conjunction with all sections of this annual report.\n\n© 2014 Rogers Communications Inc. Other registered trademarks that appear are the property of the respective owners.\n\nDesign: **Interbrand** Printed in Canada", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### **Corporate Information**\n\n**Corporate Headquarters** The Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\n#### **Internet Address**\n\nhttp://www.thehartford.com\n\n#### **Annual Meeting**\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n#### **Form 10-K and Other Information**\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n#### **Transfer Agent/Shareholder Records**\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department–11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department–11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\n#### **Investor Relations**\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations 860-547-2537\n\n#### **Media Inquiries**\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n**Common Stock and Dividend Information**\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol \"HIG.\" The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | | Dividends |\n| --- | --- | --- | --- |\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "# **Item 9B. Other Information.**\n\nNone.\n\n# **PART III**\n\n# **Item 10. Directors, Executive Officers and Corporate Governance.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nExecutive Officers Director Elections Board Committees and Charters Director Nominating Process Website Access to Corporate Governance Documents Section 16(a) Beneficial Ownership Reporting Compliance Corporate Governance\n\nThe certifications of our President and Chief Financial Officer required pursuant to Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 are included as exhibits to this Annual Report on Form 10-K and were included as exhibits to each of our quarterly reports on Form 10-Q. Our President certified to the New York Stock Exchange (\"NYSE\") on May 15, 2014 pursuant to Section 303A.12(a) of the NYSE's listing standards, that he was not aware of any violation by the Company of the NYSE's corporate governance listing standards as of that date.\n\n# **Item 11. Executive Compensation.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nCompensation of Executive Officers Compensation Discussion and Analysis Director Compensation Compensation Committee Interlocks and Insider Participation\n\n# **Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Shareholder Matters.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nSecurity Ownership of Certain Beneficial Owners and Management Equity Compensation Plans\n\n# **Item 13. Certain Relationships and Related Transactions, and Director Independence.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nElection of Directors Certain Relationships and Related Transactions\n\n# **Item 14. Principal Accounting Fees and Services.**\n\nThe information required under this item is included in the following section of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the section of which is incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nRatification of the Appointment of Independent Registered Public Accounting Firm", - "page_start": 79, - "page_end": 79, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### T O O U R S HAREHOLDERS :\n\nJ AMES R. H OUGHTON\n\nC HAIRMAN AND C HIEF E XECUTIVE O FFICER\n\nWe will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated's long history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors, I returned to the company as Chairman and Chief Executive Officer.\n\nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and filled with opportunity.\n\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in revenue. You, our shareholders—along with our employees and our friends in the communities we serve—felt the pain. We all watched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder what bad news would be next as our stock value continued its seemingly relentless decline.\n\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep up the costly infrastructure of facilities and staff we had in place. Put simply, we couldn't spend more than we were making.\n\nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a telecommunications company. Rather, we are a technology company, with the materials and process expertise to create life-changing products. That's what we've been for all of our 152 years; that's what we'll continue to be.\n\nAnd we knew something else … that our Values, the historic strength of our company, were alive and well. Quality, Integrity, Performance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us apart from other companies— especially those caught in the accounting scandals that marred the business world this past year.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## **Five-Year Summary**(1)\n\n*In thousands (except per share data)*\n\n| Statement of Income Information | 2013 | 2012 | 2011 | 2010 | 2009 |\n| --- | --- | --- | --- | --- | --- |\n| Net operating income | $83,040 | $80,444 | $76,352 | $70,460 | $62,606 |\n| Income from home sales | $323 | $469 | $486 | $403 | $234 |\n| Equity income | $1,296 | $758 | $13 | $ - | $ |\n| Corporate income | $746 | $962 | $94 | $547 | $424 |\n| Financing costs | ($35,231) | ($34,633) | ($34,891) | ($31,610) | ($30,699) |\n| Administration | ($7,878) | ($8,832) | ($7,672) | ($7,765) | ($7,045) |\n| Gain on debt settlement | $ - | $ - | $ - | $ - | $638 |\n| Depreciation and amortization | ($2,232) | ($2,145) | ($1,711) | ($2,114) | ($28,831) |\n| Fair value gains | $13,070 | $37,726 | $52,070 | $39,098 | $ |\n| Loss on disposition | ($1,401) | ($1,286) | $ - | $ - | $ |\n| Future tax recovery | $ - | $ - | $ - | $ - | $830 |\n| Current tax expense | ($1,451) | $ - | $ - | $ - | $ |\n| Deferred tax expense | ($9,350) | ($19,234) | ($17,920) | ($14,611) | $ |\n| Net income (loss) | $40,932 | $54,229 | $66,821 | $54,408 | ($1,843) |\n| Net income (loss) attributable to common shareholders | $39,779 | $51,727 | $65,965 | $53,786 | ($1,843) |\n| Net income (loss) per share - basic | $0.74 | $1.03 | $1.45 | $1.24 | ($0.05) |\n| Net income (loss) per share - diluted | $0.69 | $0.97 | $1.34 | $1.19 | ($0.05) |\n| Funds From Operations (FFO) (2) | | | | | |\n| FFO | $38,770 | $36,096 | $31,757 | $29,036 | $24,283 |\n| FFO per share | $0.72 | $0.72 | $0.70 | $0.67 | $0.67 |\n| Balance Sheet Information | | | | | |\n| Total assets | $1,532,431 | $1,443,128 | $1,329,531 | $1,116,333 | $739,373 |\n| Total liabilities | $928,371 | $854,692 | $816,988 | $689,292 | $562,171 |\n| Total equity | $604,060 | $588,436 | $512,543 | $427,041 | $177,202 |\n| Statement of Cash Flow Information | | | | | |\n| Cash provided by operating activities | $39,080 | $46,027 | $39,291 | $34,280 | $26,226 |\n| Cash provided by (used in) financing activities | $49,238 | $43,878 | $92,813 | $68,855 | ($300) |\n| Cash used in investing activities | ($117,366) | ($76,527) | ($105,673) | ($97,887) | ($19,299) |\n| Share Information | | | | | |\n| Weighted average number of shares - basic | 54,143 | 50,227 | 45,523 | 43,393 | 36,247 |\n| Weighted average number of shares - fully diluted | 64,378 | 58,239 | 52,090 | 47,201 | 36,341 |\n| Shares outstanding at December 31 | 54,459 | 53,802 | 49,291 | 44,972 | 38,519 |\n| Share price at December 31 | $10.48 | $12.49 | $11.57 | $10.45 | $8.80 |\n\n(1) Financial results for 2010 to 2013 are based on IFRS. Results for 2009 are based on previous Canadian GAAP.\n\n(2) Killam changed its definition of FFO with the adoption of IFRS in 2011. FFO and FFO per share for 2009 and 2010 have been adjusted to reflect this definition.", - "page_start": 95, - "page_end": 95, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "#### DIRECTORS' MEETINGS\n\nThe following table sets out the number of directors' meetings held during the Financial Year and the number of meetings attended by each director whilst they were a director of the Company. During the Financial Year, 12 board meetings were held. The only board committee, the audit committee, met twice during the Financial Year.\n\n| Directors | | Board Meetings | | Audit Committee Meetings |\n| --- | --- | --- | --- | --- |\n| | Held | Attended | Held | Attended |\n| A G Birchmore | 12 | 12 | 2 | 2 |\n| J H Carver | 12 | 9 | - | - |\n| D A Dillon | 12 | 12 | - | - |\n| J A S Mews | 12 | 9 | 2 | 2 |\n\nAs at the date of this report, directors' interests in shares and options of the Company are as follows: DIRECTORS' SHAREHOLDINGS\n\n| Directors | Shares | | Share Options | Total |\n| --- | --- | --- | --- | --- |\n| | Direct | Indirect | Indirect | |\n| A G Birchmore | - | 13,679,300 | 47,000 | 13,906,300 |\n| M F Bradley | - | - | - | - |\n| J H Carver | 13,631,300 | - | 20,000 | 13,651,300 |\n| D A Dillon | - | 1,510,000 | - | 1,510,000 |\n| J A S Mews | - | 1,500,000 | - | 1,500,000 |\n| R M Reid | - | - | - | - |\n\nThe Board reviews the remuneration packages of all directors and executive officers on an annual basis. Remuneration packages may contain as key elements: DIRECTORS' REMUNERATION\n\n- a. Salary;\nb. Benefits - including the provision of motor vehicle and superannuation; and\n\nc. Incentive Schemes - including share options under the Employee Option Plan.\n\nThe table immediately below sets out the total remuneration of directors of the Company. No options have been issued to directors pursuant to the Employee Option Plan.\n\n| Name | Office | Salary | Other (i) | Total |\n| --- | --- | --- | --- | --- |\n| | | $ | $ | $ |\n| A G Birchmore | Chairman | 144,231 | 4,846 | 149,077 |\n| J H Carver | Executive Director | 184,615 | 21,484 | 206,099 |\n| D A Dillon | Executive Director | 149,999 | 12,201 | 162,200 |\n| J A S Mews | Non-Executive Director | 28,846 | 2,019 | 30,865 |\n\n(i) 'Other' includes superannuation, provision of motor vehicles and related fringe benefits tax", - "page_start": 35, - "page_end": 35, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "- compliance with debt covenants, availability and cost of credit, changes in interest rates, and trends in debt repayment patterns, personal bankruptcies and bad debt write-offs, and\n- the timing and amounts of share repurchases by the company, if any, or any share issuances by the company, including issuances associated with option exercises or other matters.\n\nThese and other factors, including those factors described in Item 1A: Risk Factors, could affect our financial results and cause actual results to differ materially from any forward-looking information we may provide. We undertake no obligation to update or revise any forward-looking statements to reflect subsequent events, new information or future circumstances.\n\n#### **SEC FILINGS**\n\nWe file annual, quarterly and current reports, proxy statements and other documents with the Securities and Exchange Commission (\"SEC\"). All material we file with the SEC is publicly available at the SEC's Public Reference Room at 100 F Street NE, Washington, DC 20549. You may obtain information on the operation of the Public Reference Room by calling the SEC at 1-800-SEC-0330. In addition, the SEC maintains a website at www.sec.gov that contains reports, proxy and information statements and other information regarding issuers that file electronically with the SEC.\n\n#### **WEBSITE ACCESS**\n\nOur website address is Nordstrom.com. Our annual and quarterly reports on Form 10-K and Form 10-Q (including related filings in eXtensible Business Reporting Language (\"XBRL\") format), current reports on Form 8-K, proxy statements, our executives' statements of changes in beneficial ownership of securities on Form 4 and amendments to those reports filed or furnished pursuant to Section 13(a) or 15 (d) of the Securities Exchange Act of 1934, as amended (the \"Exchange Act\") are available for free on or through our website as soon as reasonably practicable after we electronically file the report with or furnish it to the SEC. Interested parties may also access a webcast of quarterly earnings conference calls and other financial events through our website.\n\n#### **CORPORATE GOVERNANCE**\n\nWe have a long-standing commitment to upholding a high level of ethical standards. In addition, as the listing standards of the New York Stock Exchange (\"NYSE\") and the rules of the SEC require, we have adopted Codes of Business Conduct and Ethics for our employees, officers and directors (\"Codes of Ethics\") and Corporate Governance Guidelines. Our Codes of Ethics, Corporate Governance Guidelines and Committee Charters for the Audit, Compensation, Corporate Governance and Nominating, Finance and Technology Committees are posted on our website. Any amendments to these documents, or waivers of the requirements they contain, will also be available on our website.\n\nFor printed versions of these items or any other inquiries, please contact:\n\nNordstrom Investor Relations PO Box 2737 Seattle, Washington 98111 (206) 303-3200 invrelations@nordstrom.com\n\n# **Item 1A. Risk Factors.**\n\nOur business faces many risks. We believe the risks described below outline the items of most concern to us.\n\n#### **RISKS DUE TO STRATEGIC AND OPERATIONAL FACTORS**\n\n#### **Our customer strategy focuses on providing a seamless, cohesive and high-quality experience across all Nordstrom channels and failure to successfully execute our plans could negatively impact our current business and future profitability.**\n\nWe are enhancing our customer shopping experience in our stores, online, and in mobile and social channels by pursuing a heightened focus on technology and ecommerce to fuel our growth. With the accelerated pace of change in the retail environment, we may not be able to meet our customers' changing expectations in how they shop in stores or through ecommerce. If we target the wrong opportunities, fail to make investments at the right time or pace, fail to make the best investments in the right channels or make an investment commitment significantly above or below our needs, it may result in the loss of our competitive position. If these technologies and investments do not perform as expected or are not seamlessly integrated, our profitability and growth could be adversely affected. In addition, if we do not maintain our current systems, we may see interruptions to our business and increased costs in order to bring our systems up to date.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\n\nPRESIDENT AND CHIEF OPERATING OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring — following restructuring efforts we launched in 2001—we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals … but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.\n\nVICE CHAIRMAN AND CHIEF FINANCIAL OFFICER\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched — and don't plan to. We also continue to pay down debt each quarter. This, combined with our plan to return to profitability in 2003, gives us a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment a volatile one. Still, we have greatly improved our ability to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses — especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of course our return to profitability will be key to building back Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003 — and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "How many employees did Corning company count at the end of 2002 ?", - "target_page": 5, - "target_passage": "We are continuing to invest in our people — all 23,200 of them", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\n\nPRESIDENT AND CHIEF OPERATING OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring — following restructuring efforts we launched in 2001—we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals … but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.\n\nVICE CHAIRMAN AND CHIEF FINANCIAL OFFICER\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched — and don't plan to. We also continue to pay down debt each quarter. This, combined with our plan to return to profitability in 2003, gives us a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment a volatile one. Still, we have greatly improved our ability to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses — especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of course our return to profitability will be key to building back Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003 — and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "#### T O O U R S HAREHOLDERS :\n\nJ AMES R. H OUGHTON\n\nC HAIRMAN AND C HIEF E XECUTIVE O FFICER\n\nWe will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated's long history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors, I returned to the company as Chairman and Chief Executive Officer.\n\nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and filled with opportunity.\n\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in revenue. You, our shareholders—along with our employees and our friends in the communities we serve—felt the pain. We all watched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder what bad news would be next as our stock value continued its seemingly relentless decline.\n\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep up the costly infrastructure of facilities and staff we had in place. Put simply, we couldn't spend more than we were making.\n\nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a telecommunications company. Rather, we are a technology company, with the materials and process expertise to create life-changing products. That's what we've been for all of our 152 years; that's what we'll continue to be.\n\nAnd we knew something else … that our Values, the historic strength of our company, were alive and well. Quality, Integrity, Performance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us apart from other companies— especially those caught in the accounting scandals that marred the business world this past year.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "Corning's historical success stems from its foundation as an innovative technology company. Our diverse portfolio of businesses spans a wide range of markets, and this is one of the main reasons we are weathering the downturn in the telecommunications sector. The businesses we classify as Corning Technologies — led by our liquid-crystal display (LCD) glass, environmental, and semiconductor optics operations — were strong and profitable in 2002, with aggressive plans for significant growth during 2003.\n\nOur LCD glass business has been a star performer, posting year-over-year volume gains of more than 45 percent. We are the leading producer in this market. Our sales of glass for desktop monitors have doubled over the past year alone — and there's still plenty of room for more growth, since only about a quarter of desktop displays sold in 2002 were LCD. And, LCD TVs are just beginning to gain popularity — we consider this one of our next big opportunities, as the number of LCD TVs sold annually more than doubled in 2002. Our EAGLE 2000™ glass substrates and other product and process innovations are enabling manufacturers to produce lighter, larger, thinner and higher-resolution displays more affordably — exactly what the market is demanding.\n\nDESKTOP MONITORS AND LAPTOPS", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "The ongoing malaise of the telecommunications industry led Corning to initiate significant restructurings during 2002. Optical fiber plant closings and workforce reductions were evidence of our comprehensive plan to align expenses with dramatically lowered revenues in our telecommunications businesses. Despite industry weakness, we remain the global leader in the manufacturing and sale of optical communications products. Our position will serve us well when the inevitable growth of this dynamic market returns.\n\nFor the near-term,we are focused on maintaining our leading position across our markets and with our customers. Through our many generations of manufacturing technology development, we are restoring our businesses to profitability despite continued pricing pressure and low-volume growth expectations.\n\nLooking further ahead, we remain committed to creating innovative optical communications products that meet even tighter quality, capability and cost requirements for our customers. We are emphasizing metro and access segments of the market as our major opportunities. And we are watching carefully for signs of market recovery. When that time comes, we will be poised for growth once again.\n\nC ORNING C ABLE S YSTEMS : CABLE AND HARDWARE\n\n#### O PTICAL N ETWORKS : METRO , LOCAL , LAST MILE", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### I NVESTOR I NFORMATION :\n\n#### A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on\n\nThursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n#### A DDITIONAL I NFORMATION\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\n#### I NVESTOR I NFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n#### C OMMON S TOCK\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is \"GLW.\"\n\n#### TRANSFER AGENT AND REGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nCHANGE OF ADDRESS Report change of address to Computershare Investor Services at the above address.\n\n#### I NDEPENDENT A CCOUNTANTS\n\nPricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\n#### **Corning Incorporated**\n\nOne Riverfront Plaza Corning, NY 14831-0001 607 974 9000 www.corning.com\n\n02BR24601EN\n\n\"Safe Harbor\" Statement under the Private Securities Litigation Reform Act of 1995 The statements in this annual report that are not historical facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n- global economic and political conditions,\n- currency fluctuations,\n- product demand and industry capacity,\n- competitive products and pricing,\n- sufficiency of manufacturing capacity and efficiencies,\n- cost reductions,\n- availability and costs of critical materials,\n- new product development and commercialization,\n- attracting and retaining key personnel,\n- order activity and demand from major customers,\n- fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n- financial condition of customers,\n- changes in the mix of sales between premium and non-premium products,\n- facility expansions and new plant start-up costs,\n- adverse litigation or regulatory developments, including future or pending tax legislation,\n- adequacy and availability of insurance,\n- capital resource and cash flow activities,\n- capital spending,\n- equity company activities,\n- interest costs,\n- acquisition and divestiture activity,\n- the rate of technology change,\n- the ability to enforce patents,\n- product performance issues,\n- stock price fluctuations, and\n- other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any offering of securities or for the purpose of promoting or influencing the sale of securities.\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "For the Year Ended December 31, 2002 (In thousands)\n\n| | | Guarantor | Non-Guarantor | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Parent | Subsidiaries | Subsidiaries | | Elimination | Consolidated |\n| Statement of Operations | | | | | | |\n| Net revenues $ | — | $ 3,353,772 | $ 403,156 | $ | — | $ 3,756,928 |\n| Equity in subsidiaries earnings | 671,076 | 108,361 | — | | (779,437) | — |\n| Expenses: | | | | | | |\n| Casino and hotel operations | — | 1,828,744 | 187,950 | | — | 2,016,694 |\n| Provision for doubtful accounts | — | 27,317 | 358 | | — | 27,675 |\n| General and administrative | — | 515,682 | 45,227 | | — | 560,909 |\n| Corporate expense | 3,268 | 40,588 | — | | — | 43,856 |\n| Preopening and start-up expenses | 403 | 13,738 | — | | — | 14,141 |\n| Restructuring costs (credit) | — | (17,021) | — | | — | (17,021) |\n| Property transactions, net | — | 9,958 | 4,754 | | — | 14,712 |\n| Depreciation and amortization | 2,683 | 352,910 | 23,134 | | 3,058 | 381,785 |\n| | 6,354 | 2,771,916 | 261,423 | | 3,058 | 3,042,751 |\n| Income from unconsolidated affiliates | — | 32,361 | — | | — | 32,361 |\n| Operating income | 664,722 | 722,578 | 141,733 | | (782,495) | 746,538 |\n| Interest expense, net | (237,666) | (26,347) | (15,652) | | — | (279,665) |\n| Other, net | — | (10,370) | (1,634) | | 3,058 | (8,946) |\n| Income from continuing operations before income taxes | 427,056 | 685,861 | 124,447 | | (779,437) | 457,927 |\n| Provision for income taxes | (133,423) | (31,022) | (4,006) | | — | (168,451) |\n| Income from continuing operations | 293,633 | 654,839 | 120,441 | | (779,437) | 289,476 |\n| Discontinued operations | (1,198) | (2,765) | 6,922 | | — | 2,959 |\n| Net income $ | 292,435 | $ 652,074 | $ 127,363 | $ (779,437) | | $ 292,435 |\n| Statement of Cash Flows | | | | | | |\n| Net cash provided by (used in) operating activities $ 1,206,670 | | $ (512,364) | $ 151,443 | $ | 797 | $ 846,546 |\n| Net cash provided by (used in) investing activities | (3,588) | (339,380) | (27,179) | | (1,063) | (371,210) |\n| Net cash provided by (used in) financing activities | (1,212,536) | 896,900 | (139,114) | | 265 | (454,485) |\n\n#### **NOTE 17 — SELECTED QUARTERLY FINANCIAL RESULTS (UNAUDITED)**\n\n| (In thousands, except per share amounts) | | | | 2004 | | | | | | | | | | 2003 | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Quarter | First | Second | | Third | | Fourth | | Total | | First | | Second | | Third | | Fourth | | Total |\n| Net revenues | $ 1,066,436 | $ 1,072,525 | | $1,036,396 | | $ 1,062,747 | | $ 4,238,104 | $ | 951,874 | $ | 974,117 | $ | 976,842 | $ | 959,910 | | $ 3,862,743 |\n| Operating income | 254,666 | 260,597 | | 222,357 | | 213,240 | | 950,860 | | 159,485 | | 171,560 | | 158,542 | | 210,142 | | 699,729 |\n| Income from continuing operations | 97,140 | 101,663 | | 76,167 | | 74,886 | | 349,856 | | 48,776 | | 54,456 | | 41,375 | | 85,666 | | 230,273 |\n| Net income | 105,848 | 104,717 | | 126,881 | | 74,886 | | 412,332 | | 51,003 | | 53,750 | | 47,209 | | 91,735 | | 243,697 |\n| Basic income per share: | | | | | | | | | | | | | | | | | | |\n| Income from continuing operations | $ 0.68 $ | 0.73 | $ | 0.55 | $ | 0.54 | $ | 2.51 | $ | 0.32 | $ | 0.36 | $ | 0.28 | $ | 0.60 | $ | 1.55 |\n| Net income | 0.74 | 0.75 | | 0.92 | | 0.54 | | 2.95 | | 0.34 | | 0.36 | | 0.32 | | 0.64 | | 1.64 |\n| Diluted income per share: | | | | | | | | | | | | | | | | | | |\n| Income from continuing operations | $ 0.66 $ | 0.70 | $ | 0.54 | $ | 0.52 | $ | 2.42 | $ | 0.32 | $ | 0.36 | $ | 0.27 | $ | 0.58 | $ | 1.52 |\n| Net income | 0.72 | 0.72 | | 0.89 | | 0.52 | | 2.85 | | 0.33 | | 0.35 | | 0.31 | | 0.62 | | 1.61 |\n\nResults for the fourth quarter of 2004 include a reduction of Borgata's state tax expense, our share of which is recorded as \"non-operating items from unconsolidated affiliates\". Borgata received a notice of refund of certain state tax credits and recorded a benefit for amounts earned in 2003 and 2004. Our share of the adjustment was $12 million, or $0.05 per share, net of tax.\n\nBecause income per share amounts are calculated using the weighted average number of common and dilutive common equivalent shares outstanding during each quarter, the sum of the per share amounts for the four quarters may not equal the total income per share amounts for the year.", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| For the year ended December 31, | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Revenues from continuing operations | $ | 62,803,000 | $ | 59,533,000 |\n| Operating income | | 6,923,000 | | 5,782,000 |\n| Income from continuing operations | | 4,892,000 | | 4,065,000 |\n| Earnings per diluted share from continuing operations | $ | 2.66 | $ | 2.18 |\n| Weighted average diluted shares outstanding | | 1,839,000 | | 1,863,000 |\n| As of December 31, | | 2003 | | 2002 |\n| Total assets | $ | 60,050,000 | $ | 60,807,000 |\n| Working capital | | 13,803,000 | | 14,787,000 |\n| Long-term debt | | 4,287,000 | | 10,337,000 |\n| Stockholders' equity | $ | 44,604,000 | $ | 41,691,000 |", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "### **42** | EMPLOYEES\n\nKenneth Gentry Chris George Jerry George II Brian Gibbs John Gibbs III Lane Gibbs Chris Gibson Hayley Gibson J.D. Giddens Tricia Giffin Matt Gilbert Larry Gillespie Jr. Matthew Gilliam Charles Gillis Tracy Givens David Gladwin James Glass Christina Glaviano Davis Gleason Ronnie Glenewinkel Henry Glenn Jeff S. Glenn Sally Glenn Scott Glenn Wilbert Glover III Spencer Goad Allison Gocke Ryan Goddard Jon Godsy Dana Goe Josh Goforth Kandy Golden Derrick Goldston Dustin Goldston Mario Gomez George Gonzales Sam Gonzales David Gonzalez Fabian Gonzalez Jose Gonzalez Ray Good II Pat Goodman Daniel Goodwin Andrew Gooshaw Bryan Gordon Daniel Gordon David Gore Ronnie Gore Nick Goree Thomas Goslin Travis Gosnell Adam Gospodarek Steven Gosvener Brandy Gottschall Richard Gowan Jr. JC Goza Evelyn Grace Carlos Gracian Alicia Graham Dana Grant Dusy Grant David Grapusa Jr. Dusty Graves Jon Graves Joseph Graves Gavin Gray Jim Gray Jon Gray Eric Greathouse John Greathouse Geoff Green Jeff Green John Green Justin Green Lucas Green Michael Green Randy Green Ronald Green II Silas Green Jane Greene Mike Greenough Jennifer Green-Pongrattanaman Jason Greer Kyle Gregor Regina Gregory Chris Grewell Mark Gribbin Ryan Griffin Janelle Griffis\n\nMike Griffith Anthony Grillett Jeff Grim Jeff Grindstaff Chad Grinnell Clay Grissom Tara Gross Vertis Grummert John Gryder Jose Guajardo Jr. G G Guerra Homero Guerra Jr. Matt Guerrero Miguel Guerrero Roy Guerrero Arnaud Guillemard Agustin Guillen Daniel Guinane Michael Gulikers Brenda Gumm Barbara Guskin Carly Gustafson Galen Gustavus Jimmy Gustavus Steven Gustavus Joseph Guthrie Thomas Guthrie Joe Gutierrez Jose L. Gutierrez Leopoldo Gutierrez Jamey Guzak John Haag Matthew Habuda Tim Hackenberg Josh Hack Richard Hackney John Hadlock Jessica Haer Joshua Haile Robert Hajdas Kyle Hakes Todd Hakes Alicia Haley Alex Hall Billy Hall Brock Hall Derek Hall Gabriel Hall Gerad Hall Richard B. Hall Ryan Hall Calwin Halpin Ricky Hamilton Russell Hamilton William Hamilton Brian Hamiter Billy Hamm Stuart Hamman Todd Hammer Augusta Hammergren Brian Hammerschmidt Melissa Hammontree David Hancock John Haner Jr. Jeremy Hanes Regan Hankins Jr. Joel Hanks Angie Hardey Richard Harding Keith Hardman Graigery Harer Dayne Hargrove Bradley Harkness Rick Harless Colby Harlow Jessica Harmon Lane Harmon Lewis Harper Mike Harper James Harris III Robert R. Harris Sara Harris Tim Harris Timothy Harris Jr. Rodney Harrist Gary Harshey Denise C. Hart James Hart Margaret Hart Pat Hartley\n\nPaul Hartman Brett Harvey Keith Harvey Rick Harvey Christopher Harville Kenneth Haskey Jr. Nathan Hassinger Kelly Hastings Matt Hastings Cody Hasty Timothy Hatesaul Alan Hatter Franklin Hawes Jr. James Hay Jeff Hayden Daniel Hayes Kevin Hayes Ryan Hayes Drew Haymaker Rowdy Haynes Steve Heard Ben Hearnsberger Roxanne Heath Lee Hebert IV Trey Hebert Jeremy Heck Kyle Hedrick Lynn Heidebrecht Clay Heller Jonathan Hemsley Bob Hendricks Allison Hendrix Joseph Hendrix Edward Henke Tyler Henning Angela Henry Garrett Henry Jed Henry Patrick Henry David Hensley Laura Hensley Austin Henson Christian Hernandez Juan Hernandez Jake Herod Shelley Herod Tacha Heron Fernando Herrera Gerardo Herrera Brent Herring Matthew Herring Christi Herrington Kimberly Hesse Charles Hester Dennis Hester Erin Hettman David Hewitt Clark Hickman Alston Hicks Jaime Hicks Jordan Hicks Scott Hicks Tracy Hicks Destery Hidlebaugh Ryan Hidlebaugh Jimmy Higginbotham Michael Higginbottom Amy Higgins James Higgins Tiffany Hight Arrin Hill Elgie Hill Geno Hill Jr. Jaron Hill Jeanette Hill Mike Hill Stephen Hill Kristen Hillis Geoffrey Himmelreich Tommy Hinchman Jr. Freddie Hines Scott Hinman Daniel Hinton Kevin Hlatky Steve Hoaglund Damieon Hodges Sarah Hoffman Russell L. Hogue II Clarissa Hollander Dustin Hollen\n\nAlayne Hollis Brett Holloway Steve Holloway William Holloway Allison Holman James Holman Lincoln Holman Cori Holmes Eric Holmes Nick Holmes Chad Holst Kerra Holsted Eric Holsten Kevin Holt Conrad Holub Ragen Homesley Matt Hood William Hood Jr. Hudson Hoosier Joe Hoover Jon Hoover Joshua Hoover Jaime Hopkins Jason Hopkins Karen Hoppe Tami Horn Tanner Horn Michael Horner William Horner Christopher Hornsby Mike Hornsby Aaron Horton Chaz Horton Amanda Horvath Robert Horvath Eric Hottenstein Kevin Hough Mike Houlihan James Houser Liz Houser Jared Howard Shaun Howard Charles Howdershelt Dustin Howell Sandra Howerton Dagoberto Huante Denny Hubbard Shane Hubbard Courtney Hubert Rita Huckle Andrew Hudacko IV John Huddleston Jessica Hudgens John Hudson Alan Hudspeth Helene Huff Alexander Huggett Eric Huggins Chris Hughes Cody Hughes Jim Hughes John Hughes Jon Hughes Walter M. Hughes Lois Hugo David Hugus II Forrest Humphrey Kyle Humphreys Joseph Humphries Hannah Huneryager Bill Hunt Bobby Hunt Jr. Greg Hunt Stuart Hunt Lloyd Hunter Amy Huntsman Robert Hurlocker Justun Huston Chelsey Hutches Jason Hutchinson Robert Hutchinson Chris Hutchison Luke Hux Bryan Huyck Ashley Hyde Sean Iago Kristin Ikard Jeff Iliff Clinton Imig Earl Ince\n\nJames Iness Jr. Chris Infante Jr. Todd Ingalls Tai Ingerick Jeff Ingerson Paul Ingram Nicholas Inthirath Brian Irving Brian Irwin Jennifer Isaac Richard Isbell Ryan Iseman Jason Ives Troy Ivey Al Jackson Benjamin Jackson Brandi Jackson David Jackson Greg Jackson James Jackson Jason Jackson Jeff Jackson Jeffrey Jackson Joe D. Jackson Josh Jackson Michelle Jackson Nathan Jackson Randy L. Jackson Thomas Jackson Toby Jackson David Jacobi George Jacobs Justin Jahansouz Chris James Lanie James Mark James Artemio Jameson Jr. Rance Jameson Steve Jameson II Jackie Janicek Timothy Janis Paul Jankowsky Brad Janssen David Jarrell Jr. Caleb Jarvis Robert A. Jarvis Robert B. Jarvis Catlin Jefferson Amanda Jenkins Corey Jenkins Ralph Jenkins Matt Jenlink Richard Jennen Blu Jernigan Robert Jessup Herbert Jewett Casey Jobe Bobby Johnson Chris Johnson Darryl Johnson Deanna Johnson Doug K. Johnson Jr. Eric Johnson Jared Johnson Jennifer Johnson Jimmy L. Johnson John Johnson Kelly Johnson Lauren Johnson Matthew Johnson Max Johnson Michael R. Johnson Peter Johnson Rob Johnson Tera Johnson Troy Johnson Wayne Johnson Will Johnson III Damon Johnston Greg Johnston Holly Johnston Ron Johnston Kristen Jondahl Carie Jones Casey Jones Deana Jones Eric Jones Garett Jones Jeff A. Jones Kevin Jones\n\nMarty Jones Marvin Jones Jr. Mike Jones Missy Jones Rustin Jones Stefanie Jones Tim J. Jones Wreginald Jones Chalain Jordan Jonathon Jordan Kenneth Jordan Jr. Javier Joslin Trace Joyce III Alejandro Juarez Claudio Juarez John Jukes Matt Julias Kevin Justin Shipman Kahanu Jr. Tanner Kancilia Josh Kapchinske Christopher Kapelczak Jacob Kapson Mark Karickhoff Rachel Karker Kris Karnes Shawn Karr Stan Kaszupski Kyle Kauk Nick Kauk Dustin Keefer Dustin Keel Jake Keen Klint Keevert Greg Kegin Brad Kellam Amy Kelley Keri Kelley Todd Kelley Nicholas Kellogg Adam Kelly Billy Kelly Chrissy Kelly Keith Kennedy Jr. Lonnie Kennedy David Kennelly Jr. Shelby Keown Meghan Kershner Megan Kidd Sean Kidd Matthew Kidwell Meredith Kiesel Chari Kiger Theodore Kimball Lindsay Kimber Debbie Kimbrell Danielle Kimbro Greg Kindsfather Ashley King Bill King III David King Jr. Jason King Kevin King Luke King Pamela King Lori Kinney Darrell Kinsey Scott Kinter David Kio Jeff Kirk Jennifer Kirk Tia Kishketon Austin Klavan Tommy Klein Chris Klingman Seth Knapp Sandra Knarr Wade Knickerbocker Daniel Knight Kevin Knight Nicholas Knight Virgil Knotts Jr. Megan Knowles Candace Knox Jacob Knuckols Sarah Knudson Jeremy Knutson Keri Kobs Richard Koch Seyi Kolajo\n\nChristopher Kolb Josh Koon Tom Koontz Jon Kopec William Kosik Ken Kostecky Derek Kreischer Cody Kroll Brett Kronick James Kropp Nic Kruckeberg Scott Krueger Bryan Krusemark David Kuntz Ted Kuschel Andy Kuykendall Chelsea Kyger Tony Kyle Mac Laas Frank Labor Gibran Lacey Craig Lacher Seth Lady Brian Lageman Scott Lair Stephanie Lamb Harry Lammy Wessley Lamoreaux Evan Landers Jason Landis Larry Landreth Chelsea Landrum Beau Landry Trey Landry Kathleen Lane Richard S. Lane Karl Langer Ronnie Langford Johnny Langley Darrel Lankford Randall Lantz Louis Lara Eddie Large Jr. Neil Larsen III Edwin Larson Greg Larson Kurtis Lasater Ahmed Latoni Daniel Lavigne Dennis Lawrence Josh Lawrence Randy Lawson Whitney Lawson Jacob Lawyer Vickie Laydera-Collins James Layman Dearl Laymon Corey LaCombe Chad LaCross Michelle LaFluer Doug LaHaye Jennifer Le Mary Le LaGayle Leake Arnulfo Leal Rocky Leatherwood Laura Lechtenberg Brian Lee Chris B. Lee Daniel Lee Jason Lee Kevin Lee Marcus Lee Jr. Rickey Lee Jr. Roy Lee Scott Lee Larry Legg Amanda Leigh Jason Leigh Marty Leischer Brooke Lemley Bryan Lemmerman Thomas Lemmons Nick Lemon Jake Lempges Christopher Lentz Brett Leonard Stacey Leone Charles Lewis II Dennis Lewis\n\nJustin Lewis Kasey Lewis Lawrence Lewis Jr. Micheal Lewis Paul LeBlond Joshua LeGrande Gabriel Lichtenberger Mitch Lied Kasey Lilley Chad Limberg Travis Lindenfelser Jason Lindsey Jeremy Lindsey Kyle Lindsey Mike Linse Linwood Lirette Jr. Randy Little Jacob Littlefield Melinda Littlefield Whitney Lively Thomas Lloyd John Loesel VI Shana Lofaso Sara Loftin Keenan Lohrding Wesley Long Jr. James Loomis Alex Lopez Alfredo Lopez Jr. Gerardo Lopez Josh Lopez Rudy Lopez Jr. Margaret Lorden Joshua Losinger Nicholas Lott Steven Love Melissa Loveland Clinton Lovell Lance Lovell Timothy Lovell Doc Lovett David Lowther Gerardo Lozano Andres Lucas Kyle Lucas Michael D. Lucas Michael D. Lucas Hector Lucio Varela John Ludwig Nickolas Luedecke Steve Luera Greg Lukeman Jared Luman Michael Lumley Michelle Lunceford Michael Lunde Stewart Lundquist Rockey Lynch Jacob Lynn Reggie Lyons Kha Mach Jaime Machuca Jr. Greg Mack Jessica Mack Alison Mackie Kevin MacDonald Thomas Madden Trent Magers Jon Mahan Justin Mahan Jeffery Majors Stephanie Mak Jose Maldonado Jr. Lindsay Malinoski Mark Malone Stacey Maloney David Manchas Stephen Manning Timothy Manning John Mantooth Jr. Jon Mantooth Shannon Mantooth Mary Katherine Maraschick Randolph Brett Marchbanks Aaron Marcovy Michael Marek Nicole Marion Nathan Marks Sonny Marmet", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "What is the shortcut to mute myself in MS teams ?", - "target_page": 3, - "target_passage": "Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "By default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\n# **Chat Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "**1**\n\n**2**\n\n**3**\n\n**4**\n\n**5**\n\n**6**\n\n**7**\n\n**8**\n\n# **Getting around**\n\nNavigate Teams using the menu along the left side and the top bar of your Teams desktop app.\n\n## **Activity**\n\n**1**\n\n**2**\n\n**3**\n\n**4**\n\n**5**\n\nFind notifications for all recent actions to stay on top of things. You can manage your notifications according to your preferences.\n\n## **Chat**\n\nMessage someone or a group of people. This tab brings up the list of all your chats.\n\n## **Teams**\n\nCreate teams and channels to gather people together in focused spaces with conversations and files. This tab brings up a list of all the teams you are a part of.\n\n## **Calendar**\n\nBring up your calendar to view, create, and respond to meetings.\n\n## **Calls**\n\nStart video and audio calls by dialing a phone number or placing a call over the internet. View your call history and voicemail.\n\n### **Files 6**\n\n**9 10**\n\nFiles shared in chats, meetings, or channels are consolidated under this tab. Files will appear in a list view and can be sorted by type, name, date, or location.\n\n### **Apps**\n\n**7**\n\n**8**\n\n**9**\n\n**10**\n\nSearch for, choose, and integrate apps to optimize how you work in Teams. Apps can appear in chat, channels, or meetings.\n\n### **Help**\n\nLearn more about Teams with articles and training content. Stay up to date with the latest features, and report problems when things aren't working out.\n\n### **Search**\n\nSearch for people, files, meetings, or conversations in Teams, then filter results to find just what you need.\n\n**Profile**\n\nSelecting your profile picture shows you a menu where you can customize your profile, find saved messages, or set your status and a message people can see when they try to reach you.", - "page_start": 1, - "page_end": 1, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help you get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team.\n\n**Download** the app for desktop and mobile to access Teams with the best performance anywhere you go.\n\n**Hit the ground running now!** Build confidence by trying things on your own. Go to the meet now button (at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Connect through messages**\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n# **Compose**\n\n- **Format** your messages, add bullet points, charts or hyperlinks.\n- **Mark as important** to call attention to specific messages.\n- **Attach files** to share with your teammates.\n- **Include gifs**, emojis, stickers to bring lightness to your conversations.\n\n# **Respond**\n\n- **Tag a teammate** in a message by typing the **@ symbol** followed by their name. They will receive a special notification calling for their attention. **@**\n- React to individual messages or **quote** them in a response.\n\n**Tip** Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\n**Tip** If you want to revisit an important message later, hover on that message, select the three d , then choose \"Save.\" Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Meeting essentials**\n\n### **Create meetings**\n\n- Select **+ New meeting** or double-click on a time in your calendar to create a new meeting. 1.\n- 2. Add people, a location and any notes.\n- 3. Send your invite.\n\n### **Join meetings**\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n### **Present in meetings**\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n# **Meeting controls**\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\nClick to see who has been invited to the meeting, or to add new people.\n\nUse chat to share files, ideas, and notes.\n\nStay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak.\n\nMute and unmute your microphone when you want to speak.\n\nTurn your camera on or off. You can also select the … button near the camera to access audio and video settings.\n\nUse this to share your screen with others.\n\n**Tip** Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Use caution when you set the inactivity timeout. Choose the correct amount of time when you specify this setting. For example, assume that you set the inactivity timeout to 10. You log on to Content Manager OnDemand to add an application group. Creating the application group might take you 15 minutes to complete. After you enter all of the information about the application group, you click **OK** to create the application group. Content Manager OnDemand issues a message that a timeout occurred. You must log off the server, and you cannot save the information that you entered about the application group.\n\n# **System Logging**\n\nThis setting specifies the messages that Content Manager OnDemand saves in the system log. Content Manager OnDemand provides the system log to help you track activity and monitor the system. Content Manager OnDemand saves messages that are generated by the various programs, such as the **ARSLOAD** program. Content Manager OnDemand can save a message in the system log when the following events occur:\n\n- -A user logs on to the system.\n- -A user logs off the system.\n- -A user logon fails.\n- -Application group data is queried, retrieved, loaded, updated, deleted, or maintained.\n\n# **System Log Comments**\n\nThis setting specifies whether the Administrator Client displays the System Log Comments window when you perform an add, update, or delete operation.\n\nYou can enable comments and also specify whether the comments are required. If the comments are required, the user must enter one or more characters in the Comments field.\n\n# **User Login Inactivity**\n\nThis setting specifies whether you want to disable users who do not log in after the specified number of days. Users must contact the system administrator to enable their user IDs.\n\n# **Query Restriction**\n\nThis setting specifies the restriction to access to folders and application groups based on index values. This setting is specified on the Permissions tab of the Update an Application Group window, as shown in Figure 6-9 on page 144. You can set a restriction with the internal Content Manager OnDemand security. The access restriction for an application group is controlled through internal or external permissions (for example, RACF).", - "page_start": 166, - "page_end": 166, - "source_file": "sg246915.pdf" - }, - { - "text": "Use the management GUI to manage and service your system. Select **Monitoring** → **Events** to list events that should be addressed and maintenance procedures that walk you through the process of correcting problems. Information in the Events window can be filtered in three ways:\n\n- -Recommended Actions\nShows only the alerts that require attention. Alerts are listed in priority order and should be resolved sequentially by using the available fix procedures. For each problem that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- View the properties\n- -Unfixed Messages and Alerts\n\nDisplays only the alerts and messages that are not fixed. For each entry that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- Mark an event as fixed\n- Filter the entries to show them by specific minutes, hours, or dates\n- Reset the date filter\n- View the properties\n- -Show All\n\nDisplays all event types whether they are fixed or unfixed. For each entry that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- Mark an event as fixed\n- Filter the entries to show them by specific minutes, hours, or dates\n- Reset the date filter\n- View the properties\n\nSome events require a certain number of occurrences in 25 hours before they are displayed as unfixed. If they do not reach this threshold in 25 hours, they are flagged as *expired*. Monitoring events are below the coalesce threshold, and are usually transient.\n\n**Important:** The management GUI is the primary tool that is used to *operate* and *service* your system. Real-time *monitoring* should be established by using SNMP traps, email notifications, or syslog messaging on an automatic manner.\n\n# **13.6.1 Managing event log**\n\nRegularly check the status of the system using the management GUI. If you suspect a problem, first use the management GUI to diagnose and resolve the problem.\n\nUse the views that are available in the management GUI to verify the status of the system, the hardware devices, the physical storage, and the available volumes by completing the following steps:\n\n- 1. Click **Monitoring** → **Events** to see all problems that exist on the system (see Figure 13-34 on page 704).", - "page_start": 724, - "page_end": 724, - "source_file": "sg247938.pdf" - }, - { - "text": "Log on to the Content Manager OnDemand Administrator Client and configure tracing by completing the following steps:\n\n- 1. Right-click the server name and select **Trace Parameters**, as shown in Figure 18-16.\n\n| | OnDemand Administrator | |\n| --- | --- | --- |\n| File | Edit View Options Help | |\n| | 籍 图图 > 图图图 a al | ﻟﻴﻨﻴﺎ 用 |\n| | | Contents of 'RedBk' |\n| | OnDemand Servers | Name |\n| | Explore | ഷ Users |\n| | | Groups |\n| | Logon | Applications |\n| | | Application Groups |\n| | Logon As ... | Storage Sets |\n| | Logoff | Folders |\n| | | 급 Cabinets |\n| | System Parameters | Printers |\n| | Trace Parameters | |\n| | | Holds OnDemand Distribution Facility |\n| | Setup | |\n| | Delete | |\n| | Properties | |\n| | OD | |\n| | | ADMIN - RedBk (9.0.0.1) 10 object(s) |\n\nFigure 18-16 Configure trace parameters\n\n- 2. In the System Trace Setting window (Figure 18-17), complete the following steps:\n\t- a. Select the **Activate System Trace** check box to turn on tracing for the whole system.\n\t- b. Enter information in the Trace Parameters entry field. The trace parameters can be name=value pairs that are separated by commas to define the trace level. These name=value pairs are provided by IBM Support. For an example, see Figure 18-17.\n\n| System Trace Settings | | |\n| --- | --- | --- |\n| Activate System Trace | | |\n| Trace Parameters | | |\n| ALL=3 | | |\n| Update | Cancel | Help |\n\nFigure 18-17 System trace settings\n\n- c. Click **Update**. You do not need to restart Content Manager OnDemand.\nAfter the trace is collected, you can send the trace file to IBM Support.\n\n**Note:** You can stop or start the runtime trace from the Content Manager OnDemand Administrator Client anytime without restarting **arssockd**.\n\n**Important:** Use trace only with the help of IBM Support because activating trace might severely affect the performance of the Content Manager OnDemand system.", - "page_start": 424, - "page_end": 424, - "source_file": "sg246915.pdf" - }, - { - "text": "After the confirmation, click **Turn LED Off** (see Figure 5-32).\n\n| Front View | |\n| --- | --- |\n| | Turn Identify Off |\n| Fix | |\n| Drive | Dependent Volumes |\n| Rear View | Properties |\n\n*Figure 5-32 Turning the Identify LED off*\n\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the following commands in this sequence:\n\n- 1. Enter **svctask chenclosure -identify yes 1** (or enter **chenclosure -identify yes 1**).\n- 2. Enter **svctask chenclosure -identify no 1** (or enter **chenclosure -identify no 1**).\n\nTo view internal components (components that cannot be seen from the outside), review the bottom of the GUI underneath where the list of external components is displayed. You can select any of these components and details show in the right pane, as with the external components.\n\n| Node Canister | Adapter | Fibre Channel Port |\n| --- | --- | --- |\n| iSCSI Port | Technician Port | SAS Port |\n| USB Port | Power Supply Unit | |\n| Internal Components | | |\n| SAS Port | Battery Module | Fan Module |\n\n*Figure 5-33 Viewing internal components*", - "page_start": 171, - "page_end": 171, - "source_file": "sg247938.pdf" - }, - { - "text": "You can also press the **Ctrl** key while you select several host ports to delete (see Figure 8-61).\n\n| Host Filter | B | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Add Host | Actions V | | | | | | | |\n| ITSO-VMHOST-02 | | | | ITSO-VMHOST-01 | | | | | I/O Group: io_grp0, io_grp1 | |\n| 圈则图 2 ports | | | 3 ports | Host Type: Generic | | | | | | |\n| ITSO-VMHOST-01 | | ල Add ▼ Delete Port | E | | Default | > | Contains V | Filter | | ર |\n| 圈四号 3 ports | 물 | Name 个 | | | Type | Status | | # Nodes Logged In | | Ili |\n| | | 2100000E1E30E597 | | | FC (SCSI) | Inactive | | | 2 | |\n| | | 2100000E1E30E5E8 | | | FC (SCSI) | Inactive | | | 2 | |\n| | | iqn.2003-01.com.vmware:00.fc ... | | | ISCSI (SCSI) | Offline | | | 0 | |\n| | | Showing 3 host ports Selecting 2 host ports | | | | | | | | |\n\n*Figure 8-61 Delete several host ports*\n\n- 2. Click **Delete** and confirm the number of host ports that you want to remove by entering that number in the **Verify** field (see Figure 8-62).\n\n| Delete Ports |\n| --- |\n| You selected 2 ports to delete. Verify the following list of ports to delete. |\n| 2100000E1E30E5E8, iqn.2003-01.com.vmware:00.fcd0ab21.vmhost01 |\n| Verify the number of ports to delete: |\n| 2 . |\n| Cancel Delete |\n\n*Figure 8-62 Enter the number of host ports to delete*\n\n- 3. Click **Delete** to apply the changes and then, click **Close**.\n**Note:** Deleting FC (including NVMe) and iSCSI ports is done the same way.", - "page_start": 391, - "page_end": 391, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I make a channel visible to an invited member ?", - "target_page": 4, - "target_passage": "Channels can be: • Shared (visible to invited team members and external members of your organization who are not on the team)", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **Meeting essentials**\n\n### **Create meetings**\n\n- Select **+ New meeting** or double-click on a time in your calendar to create a new meeting. 1.\n- 2. Add people, a location and any notes.\n- 3. Send your invite.\n\n### **Join meetings**\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n### **Present in meetings**\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n# **Meeting controls**\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\nClick to see who has been invited to the meeting, or to add new people.\n\nUse chat to share files, ideas, and notes.\n\nStay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak.\n\nMute and unmute your microphone when you want to speak.\n\nTurn your camera on or off. You can also select the … button near the camera to access audio and video settings.\n\nUse this to share your screen with others.\n\n**Tip** Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "By default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\n# **Chat Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Creating Fibre Channel hosts**\n\nTo create Fibre Channel hosts, complete the following steps:\n\n- 1. Select **Fibre Channel**. The Fibre Channel configuration window opens (see Figure 8-4).\n\n| Add Host | | | | × |\n| --- | --- | --- | --- | --- |\n| Required Fields | | | | |\n| Name: | Windows-Host-01 | | | |\n| Host connections: | Fibre Channel (SCSI) | | | |\n| Host port (WWPN): | | C | ન ન | |\n| Optional Fields | | | | |\n| Host type: | Generic | D | | |\n| I/O groups: | All | ▼ | | |\n| Host cluster: | No Host Cluster Selected | ▼ | | |\n| | | Cancel | Add | |\n\n*Figure 8-4 Fibre Channel host configuration*", - "page_start": 350, - "page_end": 350, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Connect through messages**\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n# **Compose**\n\n- **Format** your messages, add bullet points, charts or hyperlinks.\n- **Mark as important** to call attention to specific messages.\n- **Attach files** to share with your teammates.\n- **Include gifs**, emojis, stickers to bring lightness to your conversations.\n\n# **Respond**\n\n- **Tag a teammate** in a message by typing the **@ symbol** followed by their name. They will receive a special notification calling for their attention. **@**\n- React to individual messages or **quote** them in a response.\n\n**Tip** Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\n**Tip** If you want to revisit an important message later, hover on that message, select the three d , then choose \"Save.\" Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "#### **Creating Fibre Channel hosts**\n\nTo create a Fibre Channel host, complete the following steps:\n\n- 1. Rescan the SAN on Storwize V7000 by using the **detectmdisk** command (see Example 8-14).\n*Example 8-14 Rescanning the SAN* \n\nIBM_Storwize:ITSO-V7000:superuser>**detectmdisk**\n\n**Note:** The **detectmdisk** command does not return any response.\n\nIf the zoning was implemented correctly, any new WWPNs are discovered by the Storwize V7000 system after running the **detectmdisk** command.\n\n- 2. List the candidate WWPNs and identify the WWPNs belonging to the new host, as shown in Example 8-15.\n*Example 8-15 Available WWPNs*\n\n```\nIBM_Storwize:ITSO-V7000:superuser>lsfcportcandidate\nfc_WWPN \n2100000E1E09E3E9 \n2100000E1E30E5E8 \n2100000E1E30E60F \n2100000E1EC2E5A2 \n2100000E1E30E597 \n2100000E1E30E5EC\n```\n- 3. Run the **mkhost** command with the required parameters, as shown in Example 8-16.\n*Example 8-16 Host creation*\n\n```\nIBM_Storwize:ITSO-V7000:superuser>mkhost -name ITSO-VMHOST-03 -fcwwpn \n2100000E1E30E597:2100000E1E30E5EC\nHost, id [3], successfully created\nIBM_Storwize:ITSO-V7000:superuser>\n```\n#### **Creating iSCSI hosts**\n\nBefore you create an iSCSI host in Storwize V7000, the iSCSI qualified name (IQN) address of the host must be known. See your host operating system-specific documentation to find the IQN of the host.\n\nCreate a host by completing the following steps:\n\n- 1. Create the iSCSI host by using the **mkhost** command (see Example 8-17).\n*Example 8-17 Creating an iSCSI host by using the mkhost command*\n\n```\nIBM_Storwize:ITSO-V7000:superuser>mkhost -iscsiname \niqn.1994-05.com.redhat:e6ff477b58 -name RHEL-Host-06\nHost, id [4], successfully created\nIBM_Storwize:ITSO-V7000:superuser>\n```\n- 2. The iSCSI host can be verified by using the **lshost** command, as shown in Example 8-18.\n*Example 8-18 Verifying the iSCSI host by using the lshost command*\n\n```\nIBM_Storwize:ITSO-V7000:superuser>lshost 4\n```", - "page_start": 395, - "page_end": 395, - "source_file": "sg247938.pdf" - }, - { - "text": "- 2. A list of all the hosts is displayed. The function icons indicate whether the host is Fibre Channel, iSCSI, or SAS attached. The port details of the selected host are shown to the right. You can add a new host object by clicking **Add Host**. If you click **Actions** (see Figure 8-51), the tasks that are described in \"Modifying Volume Mappings\" on page 346 can be selected.\n\n| Host Filter | D | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Add Host | Actions ▼ | | | | |\n| ITSO-VMHOST-01 圈则图 2 ports | 물 | | ITSO-VMHOST-01 2 ports Host Type: Generic | | | | |\n| Rhel-Host-08 | | ④ Add ▼ | Delete Port ﻟﻰ | | Filter | | ど |\n| ■ 则号 2 ports | | Name | 个 Type | Status | # Nodes Logged In | | Ili |\n| | | 2100000E1E30E597 | FC (SCSI) | 8 Offline | | 0 | |\n| iscsihost | | 2100000E1E30E5E8 | FC (SCSI) | 3 Offline | | 0 | |\n| 国四号 1 port | | | | | | | |\n| | | Showing 2 host ports Selecting 0 host ports | | | | | |\n\n*Figure 8-51 Ports by Host actions*\n\n# **Adding a Fibre Channel or iSCSI host port**\n\nTo add a host port, complete the following steps:\n\n- 1. Select the host.\n- 2. Click **Add** (see Figure 8-52) and select one of the following options:\n\t- a. **Fibre Channel Port** (see \"Adding a Fibre Channel port\" on page 363)\n\t- b. **iSCSI Port** (see \"Adding an iSCSI host port\" on page 366)\n\n| Host Filter | D | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Add Host | Actions ▼ | | | | | |\n| ITSO-VMHOST-02 | | | | ITSO-VMHOST-02 | | | | |\n| 圈四号 2 ports | | 88 | 2 ports Host Type: Generic | | | | | I/O Group: io_grp0, io_grp1 |\n| ITSO-VMHOST-01 | | # Add - | 肩 Delete Port | Default | V | Contains V | Filter | pt |\n| 圈四号 2 ports | 물 | iSCSI (SCSI) Port | ← | Type | Status | | # Nodes Logged In | 115 |\n| | | Fibre Channel (SCSI) Port | | | | | | |\n| | | 2100000E1E09E3E9 | | FC (SCSI) | Inactive | | | 2 |\n| | | 2100000E1E30E60F | | FC (SCSI) | Inactive | | | 2 |\n\n*Figure 8-52 Add host ports*", - "page_start": 383, - "page_end": 383, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Adding a Fibre Channel port**\n\nTo add a Fibre Channel port, complete the following steps:\n\n- 1. Click **Fibre Channel Port** (see Figure 8-52 on page 362). The Add Fibre Channel Ports window opens (see Figure 8-53).\n\n| Add Fibre Channel (SCSI) Ports |\n| --- |\n| Host Name: |\n| ITSO- |\n| VMHOST-02 |\n| Fibre Channel (SCSI) Ports |\n| Add Port to List Rescan . |\n| Port Definitions |\n| You have not added any WWPNs yet. |\n| Cancel Add Ports to Host |\n\n*Figure 8-53 Add Fibre Channel Ports window*\n\n- 2. Click the drop-down menu to display a list of all discovered Fibre Channel WWPNs. If the WWPN of your host is not available in the menu, enter it manually or check the SAN zoning to ensure that connectivity is configured. Then, rescan storage from the host.", - "page_start": 384, - "page_end": 384, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Fibre Channel information**\n\nAs shown in Figure 5-60, you can use the Fibre Channel Connectivity pane to display the FC connectivity between nodes and other storage systems and hosts that attach through the FC network. You can filter by selecting one of the following fields:\n\n- -All nodes, storage systems, and hosts\n- -Systems\n- -Nodes\n- -Storage systems\n- -Hosts\n\nView the Fibre Channel Connectivity, as shown in Figure 5-60.\n\n| | :三 Actions ▼ | ﺍ | | | Default | > Contains V | Filter | | ్రక |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Ethernet Ports | Name | ← | System Name | Remote WWPN | Remote ... | localWwpn | Local Port | Local NP ... !! | |\n| ISCSI | | | | 21000024FF2D0C19 | 011100 | 500507680B337611 | 3 | 010E00 | < |\n| | | | | 500507680B337610 | 010A00 | 500507680B387611 | 4 | 010C01 | |\n| Fibre Channel Connectivity | | | | 21000024FF2D0C18 | 011000 | 500507680B327610 | 2 | 010D00 | |\n| | | | | 500507680B377610 | 010A01 | 500507680B347611 | ਪ | 010C00 | |\n\n*Figure 5-60 Fibre Channel connections*\n\nIn the Fibre Channel Ports pane, you can use this view to display how the Fibre Channel port is configured across all control node canisters in the system. This view helps, for example, to determine which other clusters and hosts the port is allowed to communicate with, and which ports are virtualized. \"No\" indicates that this port cannot be online on any node other than the owning node (see Figure 5-61).\n\n| Service IPs | Fibre Channel Ports | Each port is allowed to communicate with hosts and storage systems. | Each port is configured identically across all nodes in the system. The connection determines with which systems the port is allowed to communicate. | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Ethernet Connectivity | 三 Actions ▼ | | | Default > | Contains V | Filter | ズ |\n| | ID | System Connection | Owning Node | WWPN | | Host IO Permitted | Virtu II! |\n| Ethernet Ports | V1 | Any | | | | | |\n| ISCSI | 1 | Any | 1(Left) | 500507680B357610 | | Yes | © Ye |\n| | 1 | Anv | 1(Left) | 500507680B317610 | | No | ● Nc |\n| Fibre Channel Connectivity | 1 | Anv | 2(Right) | 500507680B357611 | | Yes | © Ye |\n| Fibre Channel Ports | 1 | Any | 2(Right) | 500507680B317611 | | No | O Nc |\n| | V2 | Any | | | | | |\n| | 2 | Anv | 1(Left) | 500507680B367610 | | Yes | 9 Ye |\n\n*Figure 5-61 Viewing Fibre Channel Port properties*\n\n# **5.10.3 Security menu**\n\nUse the Security option from the Settings menu (as shown in Figure 5-62 on page 170) to view and change security settings, authenticate users, and manage secure connections.", - "page_start": 190, - "page_end": 190, - "source_file": "sg247938.pdf" - }, - { - "text": "| Add Host | | | | × |\n| --- | --- | --- | --- | --- |\n| Name: | Windows-Host-01 | | | |\n| Host connections: | Fibre Channel (SCSI) | | | |\n| Host port (WWPN): | 2100000E1E09E3E9 | | +) (-) | |\n| | 2100000E1E30E60F | C - | (ન) ૯ | |\n| Optional Fields | | | | |\n| Host type: | Generic | | | |\n| I/O groups: | | | | |\n| Host cluster: | HP/UX | | | |\n| | OpenVMS | | | |\n| | TPGS | | | |\n| | VVOL | | Add | |\n\n*Figure 8-6 Host type selection*\n\n- 6. Click **Add** to create the host object.\n- 7. Click **Close** to return to the host window. Repeat these steps for all of your Fibre Channel hosts. Figure 8-7 shows the **All Hosts** window after creating a second host.\n\n| + Add Host | 三 Actions ▼ | > | | | Default | > Contains | Filter |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Name | | Status | Host Type | # of Ports | Host Mappings | Host Cluster ID | Host Cluster Nam ₪ |\n| Windows-Host-01 | | V Online | Generic | 2 | No | | |\n\n*Figure 8-7 Hosts view after creating a host*\n\nAfter you complete the adding of Fibre Channel hosts, see Chapter 7, \"Volumes\" on page 241 to create volumes and map them to the created hosts.\n\n# **Creating iSCSI hosts**\n\nWhen creating an iSCSI attached host, consider the following points:\n\n- iSCSI IP addresses can fail over to the partner node in the I/O Group if a node fails. This design reduces the need for multipathing support in the iSCSI host.\n- - The IQN of the host is added to a Storwize V7000 host object in the same way that you add FC WWPNs.\n- -Host objects can have WWPNs and IQNs.", - "page_start": 352, - "page_end": 352, - "source_file": "sg247938.pdf" - }, - { - "text": "#### **3.1.4 How to subscribe to the EDP Newsletter**\n\nOn the Portal Home Page:\n\n- ‐ **Either Click on the \"Newsletter\" item in the page header:**\nThen, on the \"Newsletter subscriptions\" page:\n\n- **Enter your E-Mail address**\n- **Click on the button \"Subscribe\"**\n\nThe system will display a notification message after successful subscription.\n\n| EUROPEAN | | Newsletter | FAQ Search Contact Cookies Legal notice Login | English (en | ▶ |\n| --- | --- | --- | --- | --- | --- |\n| DATA PORTAL | | | | Search site content ... | Q |\n| European Data Portal | | | | | |\n| What we do- | Data- | | Using Data - Providing Data- | Resources - | |\n| Search Datasets | | | | | |\n| Enter keywords ... | | Search Q | | | |\n| SPARQL Search | | | | | |\n\nOr\n\n- ‐ **Enter your email address directly in the footer and click on the \"Subscribe\" button.**\n\n| | | Newsletter | Follow us on | |\n| --- | --- | --- | --- | --- |\n| Funded by the | European Union | Stay informed on our latest news! | | in |\n| | | name@example.com | Subscribe | |\n| | | ... Help us improve | | |\n| | | | Your feedback will help us to improve the overall user experience. Any suggestions? | |\n| Last update: 14/10/2019 Version: 4.3 | | | | Newsletter FAQ Search Contact Cookies Legal notice |\n\nThe system will display a notification message after successful subscription.", - "page_start": 18, - "page_end": 18, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I notify a collegue mentionned in a chat message in Teams ?", - "target_page": 5, - "target_passage": "Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "By default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\n# **Chat Teams and channels**\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Connect through messages**\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n# **Compose**\n\n- **Format** your messages, add bullet points, charts or hyperlinks.\n- **Mark as important** to call attention to specific messages.\n- **Attach files** to share with your teammates.\n- **Include gifs**, emojis, stickers to bring lightness to your conversations.\n\n# **Respond**\n\n- **Tag a teammate** in a message by typing the **@ symbol** followed by their name. They will receive a special notification calling for their attention. **@**\n- React to individual messages or **quote** them in a response.\n\n**Tip** Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\n**Tip** If you want to revisit an important message later, hover on that message, select the three d , then choose \"Save.\" Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "**1**\n\n**2**\n\n**3**\n\n**4**\n\n**5**\n\n**6**\n\n**7**\n\n**8**\n\n# **Getting around**\n\nNavigate Teams using the menu along the left side and the top bar of your Teams desktop app.\n\n## **Activity**\n\n**1**\n\n**2**\n\n**3**\n\n**4**\n\n**5**\n\nFind notifications for all recent actions to stay on top of things. You can manage your notifications according to your preferences.\n\n## **Chat**\n\nMessage someone or a group of people. This tab brings up the list of all your chats.\n\n## **Teams**\n\nCreate teams and channels to gather people together in focused spaces with conversations and files. This tab brings up a list of all the teams you are a part of.\n\n## **Calendar**\n\nBring up your calendar to view, create, and respond to meetings.\n\n## **Calls**\n\nStart video and audio calls by dialing a phone number or placing a call over the internet. View your call history and voicemail.\n\n### **Files 6**\n\n**9 10**\n\nFiles shared in chats, meetings, or channels are consolidated under this tab. Files will appear in a list view and can be sorted by type, name, date, or location.\n\n### **Apps**\n\n**7**\n\n**8**\n\n**9**\n\n**10**\n\nSearch for, choose, and integrate apps to optimize how you work in Teams. Apps can appear in chat, channels, or meetings.\n\n### **Help**\n\nLearn more about Teams with articles and training content. Stay up to date with the latest features, and report problems when things aren't working out.\n\n### **Search**\n\nSearch for people, files, meetings, or conversations in Teams, then filter results to find just what you need.\n\n**Profile**\n\nSelecting your profile picture shows you a menu where you can customize your profile, find saved messages, or set your status and a message people can see when they try to reach you.", - "page_start": 1, - "page_end": 1, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "### HERE ARE A FEW GUIDELINES TO KEEP IN MIND WHEN SENDING E-MAILS TO YOUR COLLEAGUES:\n\n#### • Always use a relevant and descriptive subject line.\n\nE-mails with blank subject lines may be marked as spam by the recipient's e-mail client, and e-mails with non-descriptive subject lines such as \"Hello\" or \"Meeting\" may be ignored.\n\n#### • Write your e-mail in clear and simple language.\n\nDon't try to sound too formal, and don't use complicated words when simple ones would work just fine. As far as possible, write in the active voice.\n\n- Structure your message clearly, and include only the necessary information.\nTake care not to confuse the message by including too many topics in one e-mail. Respect your colleagues' time, and try to keep your messages as short as possible.\n\n#### • Don't type your e-mail in ALL CAPS.\n\nThis is regarded as the online equivalent of shouting.\n\n- Always proofread your e-mail before you hit 'send'. Grammar and spelling errors come across as unprofessional.\n- If you include a link in your e-mail, make sure that you provide some context.\n\nYour recipients are unlikely to click on a link if they don't have any idea as to what they are going to see when they open it.\n\n- Only mark an e-mail as 'urgent' when it really does require immediate attention.\nWhat's urgent to you may not always be urgent to your recipients.\n\n- Don't use the CC' or Reply All' functions unnecessarily. Only send your e-mails to the people who really need to see them.", - "page_start": 52, - "page_end": 52, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- -Access\n- -Settings\n\n# **5.2.3 Notification icons and help**\n\nTwo notification icons are in the top navigation area of the GUI (see Figure 5-11). The left icon indicates warning and error alerts that were recorded in the event log. The middle icon shows running jobs and suggested tasks. The third most right icon offers a help menu with content associated with the current tasks and the currently opened GUI menu.\n\n|\n| |\n\n*Figure 5-11 Notification area*\n\n# **Alerts indication**\n\nThe left icon in the notification area informs administrators about important alerts in the systems. Click the icon to list warning messages in yellow and errors in red (see Figure 5-12).\n\n| | | | superuser (Se |\n| --- | --- | --- | --- |\n| Events by Priority | | 게 | View All Events |\n| × | Canister fault type 2 | 10/3/2017, 4:14:00 PM | Details |\n| × | Insufficient redundancy in | 10/4/2017, 1:23:00 PM | Details |\n| disk controller connectivity | | | |\n| Unable to connect to the | | 10/5/2017, 2:43:17 PM | Details |\n| SMTP (e-mail) server | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 10/5/2017, 2:43:17 PM | Details |\n| e-mail servers | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 10/3/2017, 4:16:15 PM | Details |\n| e-mail servers | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 9/27/2017, 11:00:33 AM | Details |\n| e-mail servers | | | |\n| Technician port cable | | 3 hours ago | |\n| detected | | | Details |\n\n*Figure 5-12 System alerts*", - "page_start": 160, - "page_end": 160, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help you get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team.\n\n**Download** the app for desktop and mobile to access Teams with the best performance anywhere you go.\n\n**Hit the ground running now!** Build confidence by trying things on your own. Go to the meet now button (at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "This view provides the following useful information about email notification and Call Home information (among others(, as shown in Figure 5-77:\n\n- IP of the email server (SMTP Server) and Port\n- Call Home email address\n- Email of one or more users set to receive one or more email notifications\n- Contact information of the person in the organization responsible for the system\n\n| Call Home | Call Home | |\n| --- | --- | --- |\n| Support Assistance | | The support user receives call home events. Local users also receive event notifications. |\n| | Edit Disable Notifications | |\n| Support Package | Transmission Settings | |\n| | Send data using Call Home cloud service | |\n| | Send data with email notifications | |\n| | Call Home with cloud services | |\n| | Connection: | |\n| | Last Connection: | Failure at 19/10/2018 10:41:33 |\n| | Email Contact | |\n| | * Contact Name | * Email Reply Address |\n| | * Telephone (Primary) | Telephone (Alternate) |\n| | * Required | |\n| | System Location | |\n| | * Company Name | * Street Address |\n| | * City | * State or Province * Postal Code ? |\n| | | XX |\n| | * Machine Location | * Country or Region |\n| | | Afghanistan > |\n| | * Required | |\n| | Additional Settings | |\n| | Configuration Reporting | |\n| | Off O On | |\n| | i | The inventory email Includes configuration fields like object names and IP addresses. It is recommended that these fields are not used to store sensitive information. However, if that is not possible, selecting this option removes object names, IP addresses, and other information from the inventory email. |\n| | | When you enable this option, any automated health checking provides object identifiers only, rather than names, which can be less helpful for error |\n| | resolution. | |\n| | Remove content that identifies system objects | |\n\n*Figure 5-77 Call Home Settings*\n\n- -Support assistance\nThis option enables support personnel to access the system to complete troubleshooting and maintenance tasks. You can configure e local support assistance, where support personnel visit your site to fix problems with the system, or remote support assistance. Both local and remote support assistance use secure connections to protect data exchange between the support center and system. More access controls can be added by the system administrator.\n\n- -Support Package\nIf support assistance is configured on your systems, you can automatically or manually upload new support packages to the support center to help analyze and resolve errors on the system.", - "page_start": 201, - "page_end": 201, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Meeting essentials**\n\n### **Create meetings**\n\n- Select **+ New meeting** or double-click on a time in your calendar to create a new meeting. 1.\n- 2. Add people, a location and any notes.\n- 3. Send your invite.\n\n### **Join meetings**\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n### **Present in meetings**\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n# **Meeting controls**\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\nClick to see who has been invited to the meeting, or to add new people.\n\nUse chat to share files, ideas, and notes.\n\nStay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak.\n\nMute and unmute your microphone when you want to speak.\n\nTurn your camera on or off. You can also select the … button near the camera to access audio and video settings.\n\nUse this to share your screen with others.\n\n**Tip** Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "- 2. Select **Call Home** and then, click **Enable Notifications** (see Figure 13-45). For more information, see IBM Knowledge Center.\nFor the correct functionality of email notifications, ask your network administrator if Simple Mail Transfer Protocol (SMTP) is enabled on the management network and is not, for example, blocked by firewalls. Be sure to test the accessibility to the SMTP server by using the **telnet** command (port 25 for a non-secured connection, port 465 for Secure Sockets Layer (SSL)-encrypted communication) using any server in the same network segment.\n\n| Call Home | |\n| --- | --- |\n| | Call Home |\n| Support Assistance | The support user receives call home events. Local users also receive event notifications. |\n| | Enable Notifications |\n| Support Package | |\n\n*Figure 13-45 Configuration of Call Home notifications*\n\nFigure 13-46 shows the option to enable Cloud Call Home.\n\n| Call Home | | | × |\n| --- | --- | --- | --- |\n| O Welcome | ▶ | | |\n| System Location | Call Home connects your system to service representatives who can monitor issues and respond to problems efficiently and quickly to keep your system up and running. | | |\n| Contact | · Decreases the amount of time to address technical issues by 50%. | | |\n| Inventory Settings | · Immediately notifies you and the support center of detected issues. | | |\n| | · Can dispatch a service representative within 2 hours. | | |\n| | · Provides the support center with diagnostic data, beginning the problem determination process. | | |\n| Email Servers | · Enables ability to set up support assistance. | | |\n| | · Provides important data to IBM Storage Insights. | | HI |\n| Summary | | | |\n| | In order to function correctly, Call Home needs the following information: | | |\n| | · The location of the system. | | |\n| | · Contact information. | | |\n| | Transmission Settings | | |\n| V | Send data using Call Home cloud service | | |\n| V | Send data with email notifications | | |\n| | | | 4 |\n| Cancel | | 1 Back Next ▶ | |\n\n*Figure 13-46 Cloud Home service*\n\n- 3. After clicking **Next** on the Welcome window, enter the information about the location of the system (see Figure 13-47 on page 713) and contact information of IBM Storwize V7000 administrator (see Figure 13-48 on page 713) to be contactable by IBM Support. *Always* keep this information current.", - "page_start": 733, - "page_end": 733, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Next Steps**\n\nYou will **get the most out of Teams** when you get to truly connect with your team and collaborate together. Keep practicing until each step of your workflow feels natural.\n\n| Test meetings | | |\n| --- | --- | --- |\n| 1. | Use the Meet now button in the | Calendar tab |\n| Then select \"Start meeting\" | 2. | |\n| 3. | And then \"Join now\" | |\n| Here you can try to share your screen, | start a whiteboard or even record | |\n| yourself while you are practicing a | presentation. This is your safe space | |\n| to test everything out! | | |\n\n# **Share knowledge**\n\nTeamwork is all about collaboration! **Share with your team best practices** you learn along the way, tips and tricks for how you can best organize your workflows and ask for their own advice to define how you can best use Teams together.\n\n# **Keep learning**\n\nNo matter how you like to learn and practice, we've got resources to support and inspire you:\n\n- Virtual classes: We have instructors to answer your questions and walk you through all the details. •\n- Training series: Complete the beginner series of videos at your own pace.\n- Support articles and step-by-step guides: To get answers to your most common questions.\n- Feature overviews, tutorials, and announcements: Our YouTube channel has carefully curated content to get you excited and show how you can use Teams effortlessly.", - "page_start": 5, - "page_end": 5, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are the 3 prerequisites to be elligible as president of Botswana ?", - "target_page": 18, - "target_passage": "A person shall be qualified for election as President if, and shall not be qualified unless, he or she- (a) is a citizen of Botswana by birth or descent; (b) has attained the age of 30 years; and (c) is qualified to be elected as a Member of the National Assembly", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "- (d) if he or she is elected as Speaker;\n- (e) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members of the Assembly; or\n- (f) when the Assembly first sits after any dissolution of Parliament.\n\n# **61. Qualifications for election to National Assembly**\n\nSubject to the provisions of section 62 of this Constitution, a person shall be qualified to be elected as a Member of the National Assembly if, and shall not be qualified to be so elected unless-\n\n- (a) he or she is a citizen of Botswana;\n- (b) he or she has attained the age of 18 years;\n- (c) he or she is qualified for registration as a voter for the purposes of the election of the Elected Members of the National Assembly and is so registered; and\n- (d) he or she is able to speak, and, unless incapacitated by blindness or other physical cause, to read English well enough to take an active part in the proceedings of the Assembly.\n\n# **62. Disqualifications for membership of National Assembly**\n\n(1) No person shall be qualified to be elected as a Member of the National Assembly who-\n\n- (a) is, by virtue of his or her own act, under any acknowledgement of allegiance, obedience or adherence to a foreign power or state;\n- (b) has been declared insolvent or adjudged or otherwise declared bankrupt under any law for the time being in force in Botswana and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full;\n- (c) is certified to be insane or otherwise adjudged or declared to be of unsound mind under any law for the time being in force in Botswana;\n- (d) is a Member of the Ntlo ya Dikgosi;\n- (e) subject to such exceptions as may be prescribed by Parliament, holds any public office, or is acting in any public office by virtue of a contract of service expressed to continue for a period exceeding six months;\n- (f) is under sentence of death imposed on him or her by a court in any part of the Commonwealth, or is under a sentence of imprisonment (by whatever name called) exceeding six months imposed on him or her by such a court or substituted by competent authority for some other sentence imposed on him or her by such a court;\n- (g) holds, or is acting in, any office the functions of which involve any responsibility for, or in connection with, the conduct of any elections to the Assembly or the compilation or revision of any electoral register for the purposes of such elections.\n\n(2) Parliament may provide that a person shall not be qualified for election to the National Assembly for such period (not exceeding five years) as may be prescribed if he or she is convicted of any such offence connected with elections to the Assembly as may be prescribed.\n\n(3) For the purposes of this section two or more terms of imprisonment that are required to be served consecutively shall be regarded as a single term of imprisonment for the aggregate period of those terms, and no account shall be taken of a sentence of imprisonment imposed as an alternative to or in default of the payment of a fine.\n\n# **63. Constituencies**\n\nBotswana shall be divided into as many constituencies as there are Elected Members of the National Assembly and each of those constituencies shall return one Member to the National Assembly.", - "page_start": 27, - "page_end": 27, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "# **57. Parliament**\n\nThere shall be a Parliament of Botswana which shall consist of the President and a National Assembly.\n\n# **58. Composition of National Assembly**\n\n(1) The President shall be ex-officio a member of the National Assembly, and shall be entitled to speak and to vote in all proceedings of the National Assembly.\n\n- (2) In addition to the President the National Assembly shall consist of-\n- (a) 57 Elected Members who shall be elected in accordance with the provisions of this Constitution and subject thereto in accordance with the provisions of any Act of Parliament; and\n- (b) four Specially Elected Members who shall be elected in accordance with the First Schedule to this Constitution and subject thereto in accordance with the provisions of any Act of Parliament.\n\n(3) If a person who is not a member of the National Assembly is elected to the office of Speaker of the National Assembly, that person shall, by virtue of holding that office, be a member of the Assembly in addition to the members referred to in subsections (1) and (2) of this section.\n\n## **59. Speaker**\n\n(1) There shall be a Speaker of the National Assembly who shall be elected by the Members of the Assembly from among persons who are Members of the Assembly or from among persons who are not Members of the Assembly.\n\n(2) The President, the Vice-President, a Minister, an Assistant Minister or a public officer shall not be qualified to be elected as Speaker.\n\n(3) The Speaker shall vacate his or her office-\n\n- (a) if, having been elected from among the Members of the National Assembly, he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament or if he or she is required by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;\n- (b) if any circumstances arise that, if he or she were not Speaker, would disqualify him for election as such;\n- (c) when the Assembly first sits after any dissolution of Parliament; or\n- (d) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members thereof.\n\n(4) No business shall be transacted in the National Assembly (other than an election to the office of Speaker) at any time when the office of Speaker is vacant.\n\n## **60. Deputy Speaker**\n\n(1) There shall be a Deputy Speaker of the National Assembly who shall be elected from among the persons who are Members of the Assembly other than the President, the Vice-President, Ministers or Assistant Ministers.\n\n(2) The Members of the National Assembly shall elect a person to the office of Deputy Speaker when the Assembly first sits after any dissolution and, if the office becomes vacant otherwise than by reason of the dissolution of the Assembly, at the first sitting of the Assembly after the office becomes vacant.\n\n(3) The Deputy Speaker shall vacate his or her office-\n\n- (a) if he or she ceases to be a Member of the National Assembly, otherwise than by reason of a dissolution of Parliament;\n- (b) if any circumstances arise that, if he or she were not Deputy Speaker, would disqualify him or her for election as such;\n- (c) if he or she is required, by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "# **32. Election of President after dissolution of Parliament**\n\n(1) Whenever Parliament is dissolved an election shall be held to the office of President in such manner as is prescribed by this section and, subject thereto, by or under an Act of Parliament.\n\n(2) Nominations in the election of a President shall be delivered to the returning officer on such day and at such time as may be prescribed by or under any law for the time being in force in Botswana; the nomination of a candidate in an election of a President shall not be valid unless it is supported, in such manner as may be prescribed by or under an Act of Parliament, by not less than 1000 persons registered as voters for the purpose of elections to the Assembly.\n\n(3) The following provisions shall then apply-\n\n- (a) a person nominated as a Parliamentary candidate may, at the time of his or her nomination and subject to the provisions of paragraph (b), declare in such manner as may be prescribed by or under an Act of Parliament which of the candidates in the election of President he or she supports, but the nomination of a Parliamentary candidate shall be valid notwithstanding that the nomination paper does not contain such a declaration;\n- (b) such a declaration shall not be made in relation to any Presidential candidate unless that candidate has signified, in such manner as may be prescribed by or under an Act of Parliament, his or her consent to the making of a declaration in his or her favour by that Parliamentary candidate;\n- (c) where the Parliamentary election is contested in any constituency a poll shall be taken in that constituency at which the votes shall be given by ballot, and for the purposes of that poll any Parliamentary candidate who declared support in accordance with paragraph (a) for a particular Presidential candidate shall use the same voting colour and symbol, if any, as may have been allocated under any law for the time being in force in Botswana to that Presidential candidate for the purposes of the Presidential election;\n- (d) the returning officer shall declare to be elected as President any candidate for whom support has been declared in accordance with paragraph (a) above by not less than such number of persons elected as Members of the National Assembly in the Parliamentary election as corresponds to more than half the total number of seats for Elected Members in the Assembly, and if there is no such person the returning officer shall declare that no candidate has been elected.\n\n(4) Parliament may make provision whereby the time for nominating Presidential candidates may be extended in the event of there being no qualified candidate nominated at the expiration of the time for the delivery of such nominations.\n\n(5) Where, at the expiration of the time for the delivery of nominations in the election of a President, more than one qualified candidate is validly nominated and any of those candidates dies before the commencement of the poll in the Parliamentary election, the poll in the Parliamentary election shall be countermanded, fresh nominations of Parliamentary candidates shall take place in every constituency and a fresh election of a President shall be held in accordance with the foregoing provisions of this section.\n\n(6) Where-\n\n- (a) any candidate in an election of a President dies during the period commencing with the taking of the poll in the Parliamentary election and ending when the result of the election has been ascertained and that candidate would, but for his or her death, have been entitled to have been declared elected as President under subsection (3) of this section; or", - "page_start": 16, - "page_end": 16, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "for local government; and\n\n- (c) select a Member to the Ntlo ya Dikgosi for that region by election or in such other manner as the Regional Electoral College may agree.\n(5) Notwithstanding the provisions of section 77(1)(a) and subsections (2) and (4)(c) of this section, the areas of Ghanzi and Kgalagadi shall each have the option of either selecting one Member under subsection (2) of this section or of each selecting two regional Members under subsection (4)(c) of this section, but may not select Members under both subsections.\n\n# **79. Qualifications for membership of Ntlo ya Dikgosi**\n\n(1) A person shall be qualified to be appointed under section 77(1)(b) as a Member of the Ntlo ya Dikgosi if he or sheó\n\n- (a) is a citizen of Botswana; and\n- (b) has attained the age of 21 years.\n\n(2) No person shall be qualified to be appointed, selected or designated as a Member of the Ntlo ya Dikgosi if he or sheó\n\n- (a) is, by virtue of his or her own act, under any acknowledgement of allegiance, obedience or adherence to a foreign power or state;\n- (b) has been declared insolvent or adjudged or otherwise declared bankrupt under any law in force in any part of the Commonwealth or any country with a comparable legal system and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full;\n- (c) is certified insane or otherwise adjudged or declared to be of unsound mind under any law for the time being in force in Botswana;\n- (d) subject to such exceptions as may be prescribed by Parliament, holds any public office, or is acting in any public office by virtue of a contract of service expressed to continue for a period exceeding six months;\n- (e) is under sentence of death imposed on him or her by a court in any part of the Commonwealth or any country with a comparable legal system, or is under a sentence of imprisonment (by whatever name called) exceeding six months imposed on him or her by such a court or substituted by a competent authority for some other sentence imposed on him or her by such a court;\n- (f) holds, or is acting in,anyoffice the functions ofwhichinvolveany responsibility for, or in connection with, the conduct of any elections to the National Assembly or the compilation or revision of any electoral register for the purposes of such elections; or\n- (g) is disqualified for election to the National Assembly by virtue of provision made in pursuance of section 62 (2) of this Constitution.\n\n(3) For the purposes of this section, two or more terms of imprisonment that are required to be served consecutively shall be regarded as a single term of imprisonment for the aggregate period of those terms, and no account shall be taken of a sentence of imprisonment imposed as an alternative to or in default of the payment of a fine.\n\n(4) A Member of the Ntlo ya Dikgosi shall not, while he or she is such a Member, participate in party politics, but active participation in politics prior to being a Member of the Ntlo ya Dikgosi shall not bar any person from being such a Member.\n\n# **80. Oath of allegiance**\n\nEvery Member of the Ntlo ya Dikgosi shall, before taking his or her seat therein, take and subscribe before the Ntlo ya Dikgosi the oath of allegiance.\n\n# **81. Secretary to Ntlo ya Dikgosi**\n\nThere shall be a Secretary to the Ntlo ya Dikgosi whose office shall be an office in the public service.\n\n**82. Tenure of office of Members of Ntlo ya Dikgosi** (1) A Member of the Ntlo ya", - "page_start": 35, - "page_end": 35, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## **CONSTITUTION OF BOTSWANA**\n\n### ARRANGEMENT OF SECTIONS CHAPTER I\n\nThe Republic\n\n- 1. Declaration of Republic\n- 2. Public Seal\n\n### CHAPTER II\n\nProtection of Fundamental Rights and Freedoms of the Individual\n\n- 3. Fundamental rights and freedoms of the individual\nid1364512 pdfMachine by Broadgun Software - a great PDF writer! - a great PDF creator! - http://www.pdfmachine.com http://www.broadgun.com\n\n- 4. Protection of right to life\n- 5. Protection of right to personal liberty\n- 6. Protection from slavery and forced labour\n- 7. Protection from inhuman treatment\n- 8. Protection from deprivation of property\n- 9. Protection for privacy of home and other property\n- 10. Provisions to secure protection of law\n- 11. Protection of freedom of conscience\n- 12. Protection of freedom of expression\n- 13. Protection of freedom of assembly and association\n- 14. Protection of freedom of movement\n- 15. Protection from discrimination on the grounds of race, etc.\n- 16. Derogation from fundamental rights and freedoms\n- 17. Declarations relating to emergencies\n- 18. Enforcement of protective provisions\n- 19. Interpretation and savings\n\n### CHAPTER III\n\n### Citizenship\n\n20 to 29.......\n\n### CHAPTER IV The Executive\n\n# PART I\n\n### The President and the Vice-President\n\n- 30. Office of President\n- 31. First President\n- 32. Election of President after dissolution of Parliament\n- 33. Qualification for election as President\n- 34. Tenure of office of President\n- 35. Vacancy in office of President\n- 36. Discharge of functions of President during absence, illness, etc.\n- 37. Oath of President\n- 38. Returning officer at elections of President\n- 39. Vice-President\n- 40. Salary and allowances of President\n- 41. Protection of President in respect of legal proceedings\n\n### PART II\n\n### The Cabinet\n\n- 42. Ministers and Assistant Ministers\n- 43. Tenure of office of Ministers and Assistant Ministers\n- 44. Cabinet\n- 45. Oaths to be taken by Ministers and Assistant Ministers\n- 46. Secretary to the Cabinet", - "page_start": 0, - "page_end": 0, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "### own procedure.\n\n(14) Except as may be otherwise provided in its rules or procedure, the Commission may act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n\n(15) Any decision of the Commission shall require the concurrence of a majority of all the members thereof.\n\n(16) A member of the Commission shall not, during the tenure of his or her office or during the three years immediately following such tenure, be eligible for appointment to any public office other than that of Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organization.\n\n### **110. Appointment, etc., of public officers**\n\n(1) Subject to the provisions of this section and of sections 111, 113 and 114 of this Constitution, power to appoint persons to hold or to act in any office in the public service, to exercise disciplinary control over persons holding or acting in such offices and to remove from such offices shall vest in such person or persons as may be prescribed by Act of Parliament.\n\n(2) The provisions of this section shall not apply in relation to the following offices, that is to say-\n\n- (a) the office of judge of the Court of Appeal or of the High Court;\n- (b) any office to which section 104 or 112 of the Constitution applies.\n\n(3) Before any person or persons as may have been prescribed under the provisions of subsection (1) exercise power to appoint to or to act in any public office any person who holds or is acting in any office the power to make appointments to which is vested by this Constitution in the President acting in accordance with the advice of the Judicial Service Commission such person shall consult with the Judicial Service Commission.\n\n### **111. Appeals to President**\n\n(1) Any person other than a member of the Botswana Police Force or the Prison Service who has been removed from office or subjected to any other punishment by the exercise of any powers conferred on any person under the provisions of section 110 of this Constitution may appeal to the Public Service Commission who may dismiss such appeal or allow it wholly or in part.\n\n(2) Subject to the provisions of subsection (3) every decision of the Public Service Commission under the provisions of this section shall be final.\n\n(3) Notwithstanding anything contained in subsection (2) if the Public Service Commission dismisses an appeal or allows it in part only the person who appealed may appeal to the President.\n\n(4) If any person appeals to the President in accordance with the provisions of subsection (3) of this section the President shall either dismiss the appeal or shall order that it be heard by a tribunal appointed by the President, the Chairman of which shall be a person who holds or has held high judicial office or is qualified to be appointed as a judge of the High Court.\n\n(5) If the President appoints a tribunal to hear an appeal in accordance with subsection (4) of this section the tribunal shall hear the appeal and shall advise the President whether or not the appeal should be allowed either wholly or in part, and the President shall act in accordance with that advice.\n\n### **112. Powers of President in relation to certain public offices**\n\n(1) The power to appoint a person to hold or act in offices to which this section applies and to remove from office and to exercise disciplinary control over persons", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "citizenship in force at that time, shall be regarded as a citizen by descent.\n\n# **34. Tenure of office of President**\n\n(1) The President shall, subject to the provisions of this section, hold office for an aggregate period not exceeding 10 years beginning from the date of his or her first assumption of office of President after the commencement of this Act.\n\n(2) The President shall cease to hold the office of President if at any time during his or her tenure of office any circumstances arise that would, if he or she were not a member of the National Assembly, cause him or her to be disqualified for election\n\nthereto.(3) The President shall cease to hold office of President at the expiry of the period prescribed under subsection (1) of this section, or when the person elected at the next election of President following a dissolution of Parliament assumes office.\n\n# **35. Vacancy in office of President**\n\n(1) Whenever the President dies, resigns or ceases to hold office, the Vice- President shall assume office as President with effect from the date of the death, resignation or ceasing to be President.\n\n(2) If the office of President-\n\n- (a) becomes vacant in circumstances in which there is no Vice-President; or\n- (b) is vacant whilst the Vice-President is absent from Botswana or is, by reason of physical or mental infirmity unable to perform the functions of his or her office,\n\nthe functions of the office of President shall, until such time as a new President assumes office in accordance with this section or section 32 of this Constitution, be performed by such Minister as the Cabinet shall appoint. For the purposes of this subsection, a certificate of the Chief Justice that the Vice-President is by reason of physical or mental infirmity unable to discharge the functions of his or her office, shall, in respect of any period for which it is in force, be conclusive and shall not be questioned in any court.\n\n(3) Any person performing the functions of the office of President by virtue of subsection (1) or (2) of this section shall not exercise the power of the President to revoke the appointment of Vice-President or to dissolve Parliament.\n\n(4) If the office of President becomes vacant, the National Assembly shall, unless Parliament is dissolved, and notwithstanding that it may be prorogued, meet on the seventh day after the office of President becomes vacant, or on such earlier day as may be appointed by the Speaker, and shall elect a person to the office in such manner as is prescribed by the next following subsection and, subject thereto, by or under an Act of Parliament.\n\n- (5) In an election of a President under this section-\n- (a) the Speaker shall preside at the meeting and conduct the election;\n- (b) a person may be a candidate if and shall not be a candidate unless he or she has been nominated as a candidate with his or her consent prior to the sitting of the National Assembly at which the election takes place, by not less than 10 Members of the National Assembly entitled to vote in that election;\n- (c) at the election every Member of the Assembly except the Speaker shall be entitled to vote;\n- (d) the votes of the Members of the Assembly who are entitled to vote shall be given by ballot in such manner as not to disclose how any particular Member voted, and any person who receives the votes of more than one half of the total number of persons entitled to vote shall be declared elected as President;\n- (e) a person elected as President under this section shall assume the office of President on the day upon which he or she is declared to be elected;\n- (f) not more than three ballots shall be taken unless in the opinion of the Speaker the holding of further ballots is likely to result in the election of a President, in", - "page_start": 18, - "page_end": 18, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "has more than one residence in Botswana in the constituency in which he or she has his or her principal residence; or\n\n- (b) in the case of a person who does not have a residence in Botswana but is able to register in person, in the constituency in which he or she last resided, or in which he or she was born; or\n- (c) in the case of a person who is not resident in Botswana and is unable to register in person, at such place as may be prescribed by Parliament and registration at such place shall be treated as registration in the constituency in which he or she last resided, or in which he or she was born in Botswana.\n\t- (4) A person shall be entitled to be registered as a voter in one constituency only.\n\n(5) Every person who is registered in any constituency as a voter for the purposes of elections of the Elected Members of the National Assembly shall, unless he or she is disqualified by Parliament from voting in such elections on the grounds of his or her having been convicted of an offence in connection with the elections or on the grounds of his or her having been reported guilty of such an offence by the court trying an election petition or on the grounds of his or her being in lawful custody at the date of the election, be entitled so to vote in that constituency in accordance with the provisions made by or under a law in that behalf; and no other person may so vote.\n\n## **68. Tenure of office of Members**\n\n(1) The seat of an Elected Member or a Specially Elected Member of the National Assembly shall become vacant-\n\n- (a) upon the dissolution of Parliament;\n- (b) if he or she is absent from the sittings of the Assembly for such period and in such circumstances as may be prescribed in the rules of procedure of the Assembly;\n- (c) subject to the provisions of subsections (2) to (3) of this section, if any circumstances arise that, if he or she were not a Member of the Assembly, would cause him or her to be disqualified for election thereto.\n\n(2) If circumstances such as are referred to in paragraph (c) of the preceding subsection arise in relation to a Member of the Assembly by virtue of the fact that he or she is declared insolvent, adjudged to be of unsound mind, sentenced to death or imprisonment, or convicted of an election offence and it is open to the Member to appeal against the decision (either with the leave of the court or other authority or without such leave), he or she shall forthwith cease to perform his or her functions as a Member of the Assembly but, subject to the next following subsection, he or she shall not vacate his or her seat until the expiration of a period of 30 days thereafter:\n\nProvided that the Speaker may, at the request of the Member, from time to time extend that period for further periods of 30 days to enable the Member to pursue an appeal against the decision, so, however, that extensions of time exceeding in the aggregate 150 days shall not be given without the approval of the Assembly signified by resolution.\n\n(3) If, on the determination of any appeal, such circumstances continue to exist and no further appeal is open to the Member of the Assembly, or if, by reason of the expiration of any period for entering an appeal or notice thereof or the refusal of leave to appeal or for any other reason, it ceases to be open to the Member to appeal, he or she shall forthwith vacate his or her seat.\n\n(4) If at any time before the Member of the Assembly vacates his or her seat such circumstances as aforesaid cease to exist, his or her seat shall not become vacant by reason of those circumstances, and he or she may resume the performance of his or her functions as a Member of the Assembly.\n\n**69. Determination of questions as to membership of National Assembly**", - "page_start": 32, - "page_end": 32, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "description of the boundaries of those constituencies.\n\n(2) The boundaries of each constituency shall be such that the number of inhabitants thereof is as nearly equal to the population quota as is reasonably practicable:\n\nProvided that the number of inhabitants of a constituency may be greater or less than the population quota in order to take account of natural community of interest, means of communication, geographical features, density of population, and the boundaries of Tribal Territories and administrative districts.\n\n(3) In this section \"population quota\" means the number obtained by dividing the number of inhabitants of Botswana (as ascertained by reference to the latest comprehensive national population census in Botswana) by the number of constituencies into which Botswana is divided under section 63 of this Constitution.\n\n(4) The President shall as soon as practicable after the submission of the report of the Delimitation Commission, by Proclamation published in the Gazette, declare the boundaries of the constituencies as delimited by the Commission.\n\n(5) A Proclamation made under subsection (4) of this section shall come into force at the next dissolution of the National Assembly after it is made.\n\n(6) The Commission may by regulation or otherwise regulate its own procedure and may, subject to its rules of procedure, act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings:\n\nProvided that any decision of the Commission shall require the concurrence of a majority of all its members.\n\n(7) In the exercise of its functions under this section the Delimitation Commission shall not be subject to the direction or control of any other person or authority.\n\n(8) A Delimitation Commission shall stand dissolved upon the date on which its report is delivered to the President.\n\n## **65A. Appointment of Independent Electoral Commission**\n\n(1) There shall be an Independent Electoral Commission which shall consist of-\n\n- (a) a Chairman who shall be a judge of the High Court appointed by the Judicial Service Commission;\n- (b) a legal practitioner appointed by the Judicial Service Commission; and\n- (c) five other persons who are fit, proper and impartial, appointed by the Judicial Service Commission from a list of persons recommended by the All Party Conference.\n\n(2) Where the All Party Conference fail to agree on all or any number of persons referred to in subsection (1)(c) of this section up to dissolution of Parliament, the Judicial Service Commission shall appoint such person or persons as are necessary to fill any\n\nvacancy.(3) For the purposes of this section, \"All Party Conference\" means a meeting of all registered political parties convened from time to time by the Minister.\n\n(4) The first appointments of the Chairman and the Members of the Commission shall be made not later than 31st January, 1999, and thereafter subsequent appointments shall be made at the last dissolution of every two successive lives of Parliament.\n\n(5) The Chairman and the members of the Commission shall hold office for a period of two successive lives of Parliament.\n\n(6) A person shall not be qualified to be appointed as a member of the Independent Electoral Commission if-\n\n(a) he or she has been declared insolvent or adjudged or otherwise declared", - "page_start": 29, - "page_end": 29, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "person or authority.\n\n(3) Nothing in this section shall prevent Parliament from conferring functions on persons or authorities other than the President.\n\n# **48. Command of armed forces**\n\n(1) The supreme command of the armed forces of the Republic shall vest in the President and he or she shall hold the office of Commander in Chief.\n\n(2) The powers conferred on the President by subsection (1) of this section shall include-\n\n- (a) the power to determine the operational use of the armed forces;\n- (b) the power to appoint members of the armed forces, to make appointments on promotion to any office in the armed forces and to dismiss any member of the armed forces.\n\n(3) The President may, by directions in writing and subject to such conditions as he or she may think fit, delegate to any member of the armed forces any of the powers mentioned in subsection (2) of this section.\n\n(4) Parliament may regulate the exercise of the powers conferred by or under this section.\n\n# **49. Functions of Vice-President**\n\nThe Vice-President shall be the principal assistant of the President in the discharge of his or her executive functions and shall be responsible, under the directions of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n# **50. Functions of Cabinet Ministers and Assistant Ministers**\n\n(1) The Cabinet shall be responsible for advising the President with respect to the policy of the Government and with respect to such other matters as may be referred to it by the President and shall, subject to the provisions of this Constitution, be responsible to the National Assembly for all things done by or under the authority of the President, Vice-President or any Minister in the execution of his or her office.\n\n(2) The President shall, so far as practicable and subject to the provisions of this Constitution, consult the Cabinet on matters of policy and the exercise of his or her functions.\n\n(3) The obligation of the President to consult his or her Cabinet and for the Cabinet to accept responsibility under this section shall not apply to the exercise by the President of his or her powers in relation to the appointment or removal of the Vice- President, Ministers and Assistant Ministers, the dissolution of Parliament, the Prerogative of Mercy, the assignment of responsibility to the Vice-President or any Minister and the specification of the functions of an Assistant Minister.\n\n(4) A Minister shall be responsible, under the direction of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n(5) An Assistant Minister shall-\n\n- (a) assist the President or the Vice-President in the discharge of such of the functions of the office of President or Vice-President as the President may specify; or\n- (b) assist such Minister in the discharge of the functions assigned to him or her under subsection (4) of this section as the President may specify.\n\n# **51. Attorney-General**\n\n(1) There shall be an Attorney-General appointed by the President whose office shall be a public office.\n\n(2) A person shall not be qualified to be appointed to the Office of Attorney-", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What is the condition to be allowing to access the position of Director of public prosecution in Botswana ?", - "target_page": 25, - "target_passage": "A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "holding or acting in such offices shall, subject to the provisions of sections 113 and 114 of this Constitution, vest in the President.\n\n(2) The offices to which this section applies are-\n\n- (a) Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organisation;\n- (b) Secretary to the Cabinet;\n- (c) Attorney-General;\n- (cA) Director of Public Prosecutions;\n- (d) Permanent Secretary;\n- (e) Commissioner of Police; and\n- (f) any other superscale office (other than an office to which this Constitution makes specific provision for appointment or an office to which appointment is made under the provisions of section 104 of this Constitution) which may be prescribed by Act of Parliament.\n\n**113. Tenure of office of Director of Public Prosecutions** (1) Subject to the provisions of this section, a person appointed as Director of Public Prosecutions shall hold office for a 5 year renewable term or until he or she attains the age of 60 years, whichever is the earlier.\n\n(2) A person holding the office of Director of Public Prosecutions may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour or for incompetence and shall not be so removed except in accordance with the provisions of this section.\n\n(3) If the President considers that the question of removing a person holding the office of Director of Public Prosecutions from office ought to be investigated then-\n\n- (a) he or she shall appoint a tribunal which shall consist of a Chairman and not less than two other members, who hold or have held high judicial office; and\n- (b) the tribunal shall enquire into the matter and report on the facts thereof to the President and advise the President whether the person holding the office of Director of Public Prosecutions ought to be removed from office under this section for inability as aforesaid or for misbehaviour or for incompetence.\n- (4) Where a tribunal appointed under subsection (3) of this section advises the President that a person holding the office of Director of Public Prosecutions ought to be removed from office for inability as aforesaid or for misbehaviour or for incompetence, the President shall remove such person from office.\n\n(5) If the question of removing a person holding the office of Director of Public Prosecutions from office has been referred to a tribunal under this section, the President may suspend that person from performing the functions of his or her office, and any such suspension may at any time be revoked by the President and shall in any case cease to have effect if the tribunal advises the President that the person ought not to be removed from office.\n\n# **114. Tenure of office of Auditor-General**\n\n(1) Subject to the provisions of this section, a person holding the office of Auditor- General shall vacate his or her office when he or she attains the age of 60 years or such other age as may be prescribed by Parliament.\n\n(2) A person holding the office of Auditor-General may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour and shall not be so removed except in accordance with the provisions of this section.\n\n(3) If the National Assembly resolves that the question of removing a person holding the office of Auditor-General from office under this section ought to be", - "page_start": 48, - "page_end": 48, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "### own procedure.\n\n(14) Except as may be otherwise provided in its rules or procedure, the Commission may act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n\n(15) Any decision of the Commission shall require the concurrence of a majority of all the members thereof.\n\n(16) A member of the Commission shall not, during the tenure of his or her office or during the three years immediately following such tenure, be eligible for appointment to any public office other than that of Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organization.\n\n### **110. Appointment, etc., of public officers**\n\n(1) Subject to the provisions of this section and of sections 111, 113 and 114 of this Constitution, power to appoint persons to hold or to act in any office in the public service, to exercise disciplinary control over persons holding or acting in such offices and to remove from such offices shall vest in such person or persons as may be prescribed by Act of Parliament.\n\n(2) The provisions of this section shall not apply in relation to the following offices, that is to say-\n\n- (a) the office of judge of the Court of Appeal or of the High Court;\n- (b) any office to which section 104 or 112 of the Constitution applies.\n\n(3) Before any person or persons as may have been prescribed under the provisions of subsection (1) exercise power to appoint to or to act in any public office any person who holds or is acting in any office the power to make appointments to which is vested by this Constitution in the President acting in accordance with the advice of the Judicial Service Commission such person shall consult with the Judicial Service Commission.\n\n### **111. Appeals to President**\n\n(1) Any person other than a member of the Botswana Police Force or the Prison Service who has been removed from office or subjected to any other punishment by the exercise of any powers conferred on any person under the provisions of section 110 of this Constitution may appeal to the Public Service Commission who may dismiss such appeal or allow it wholly or in part.\n\n(2) Subject to the provisions of subsection (3) every decision of the Public Service Commission under the provisions of this section shall be final.\n\n(3) Notwithstanding anything contained in subsection (2) if the Public Service Commission dismisses an appeal or allows it in part only the person who appealed may appeal to the President.\n\n(4) If any person appeals to the President in accordance with the provisions of subsection (3) of this section the President shall either dismiss the appeal or shall order that it be heard by a tribunal appointed by the President, the Chairman of which shall be a person who holds or has held high judicial office or is qualified to be appointed as a judge of the High Court.\n\n(5) If the President appoints a tribunal to hear an appeal in accordance with subsection (4) of this section the tribunal shall hear the appeal and shall advise the President whether or not the appeal should be allowed either wholly or in part, and the President shall act in accordance with that advice.\n\n### **112. Powers of President in relation to certain public offices**\n\n(1) The power to appoint a person to hold or act in offices to which this section applies and to remove from office and to exercise disciplinary control over persons", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "detention is authorized;\n\n- (c) not more than one month after the commencement of his or her detention and thereafter during his or her detention at intervals of not more than six months, his or her case shall be reviewed by an independent and impartial tribunal established by law and presided over by a person, qualified to be enrolled as an advocate in Botswana, appointed by the Chief Justice; and\n- (d) he or she shall be afforded reasonable facilities to consult and instruct, at his or her own expense, a legal representative and he or she and any such legal representative shall be permitted to make written or oral representations or both to the tribunal appointed for the review of his or her case.\n\n(3) On any review by a tribunal in pursuance of this section of the case of a detained person, the tribunal may make recommendations, concerning the necessity or expediency of continuing his or her detention, to the authority by which it was ordered but, unless it is otherwise provided by law, that authority shall not be obliged to act in accordance with any such recommendations.\n\n# **17. Declarations relating to emergencies**\n\n(1) The President may at any time, by Proclamation published in the Gazette, declare that a state of public emergency exists.\n\n(2) A declaration under subsection (1) of this section, if not sooner revoked, shall cease to have effect-\n\n- (a) in the case of a declaration made when Parliament is sitting or has been summoned to meet within seven days, at the expiration of a period of seven days beginning with the date of publication of the declaration; or\n- (b) in any other case, at the expiration of a period of 21 days beginning with the date of publication of the declaration,\n\nunless before the expiration of that period, it is approved by a resolution passed by the National Assembly, supported by the votes of a majority of all the voting members of the Assembly.\n\n(3) Subject to the provisions of subsection (4) of this section, a declaration approved by a resolution of the National Assembly under subsection (2) of this section shall continue in force until the expiration of a period of six months beginning with the date of its being so approved or until such earlier date as may be specified in the resolution:\n\nProvided that the National Assembly may, by resolution, supported by the votes of a majority of all the voting members of the Assembly, extend its approval of the declaration for periods of not more than six months at a time.\n\n(4) The National Assembly may by resolution at any time revoke a declaration approved by the Assembly under this section.\n\n# **18. Enforcement of protective provisions**\n\n(1) Subject to the provisions of subsection (5) of this section, if any person alleges that any of the provisions of sections 3 to 16 (inclusive) of this Constitution has been, is being or is likely to be contravened in relation to him or her, then, without prejudice to any other action with respect to the same matter which is lawfully available, that person may apply to the High Court for redress.\n\n- (2) The High Court shall have original jurisdiction-\n- (a) to hear and determine any application made by any person in pursuance of subsection (1) of this section; or\n- (b) to determine any question arising in the case of any person which is referred to it in pursuance of subsection (3) of this section,\n\nand may make such orders, issue such writs and give such direction as it may consider appropriate for the purpose of enforcing or securing the enforcement of any of the", - "page_start": 14, - "page_end": 14, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (a) grant to any person convicted of any offence a pardon, either free or subject to lawful conditions;\n- (b) grant to any person a respite, either indefinite or for a specified period, of the execution of any punishment imposed on that person for any offence;\n- (c) substitute a less severe form of punishment for any punishment imposed on any person for any offence; and\n- (d) remit the whole or part of any punishment imposed on any person for any offence or of any penalty or forfeiture otherwise due to the Government on account of any offence.\n\n## **54. Advisory Committee on Prerogative of Mercy**\n\n(1) There shall be an Advisory Committee on the Prerogative of Mercy which shall consist of-\n\n- (a) the Vice-President or a Minister appointed by the President by instrument in writing under his or her hand;\n- (b) the Attorney-General; and\n- (c) a person qualified to practise in Botswana as a medical practitioner, appointed by the President by instrument in writing under his or her hand.\n\n(2) A member of the Committee appointed under subsection (1)(a) or (c) of this section shall hold his or her seat thereon for such period as may be specified in the instrument by which he or she was appointed:\n\nProvided that his or her seat shall become vacant-\n\n- (i) in the case of a person who, at the date of his or her appointment, was the Vice-President or a Minister, if he or she ceases to be the Vice-President or a Minister; or\n- (ii) if the President, by instrument in writing under his or her hand, so directs. (3) The Committee shall not be summoned except by the authority of the\n\nPresident who shall, as far as is practicable, attend and preside at all meetings of the Committee, and, in the absence of the President, the member of the Committee appointed under subsection (1)(a) of this section shall preside.\n\n(4) The Committee may act notwithstanding any vacancy in its membership and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n\n(5) Subject to the provisions of this section, the Committee may regulate its own procedure.\n\n# **55. Functions of Advisory Committee on Prerogative of Mercy**\n\n(1) Where any person has been sentenced to death for any offence, the President shall cause a written report of the case from the trial judge, together with such other information derived from the record of the case or elsewhere as he or she may require, to be considered at a meeting of the Advisory Committee on the Prerogative of Mercy; and after obtaining the advice of the Committee he or she shall decide whether to exercise any of his or her powers under section 53 of this Constitution.\n\n(2) The President may consult with the Committee before deciding whether to exercise any of his or her powers under the said section 53 in any case not falling within subsection (1) of this section.\n\n## **56. Constitution of offices**\n\nSubject to the provisions of this Constitution and of any Act of Parliament, the powers of constituting and abolishing offices for Botswana shall vest in the President.\n\n> **CHAPTER V Parliament (ss 57-94) PART I Composition (ss 57-70)**", - "page_start": 25, - "page_end": 25, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "her lawful detention shall not be held to be inconsistent with or in contravention of this\n\nsection.(3) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) for the imposition of restrictions that are reasonably required in the interests of defence, public safety, public order, public morality or public health or the imposition of restrictions on the acquisition or use by any person of land or other property in Botswana and except so far as that provision or, as the case may be, the thing done under the authority thereof, is shown not to be reasonably justifiable in a democratic society;\n- (b) for the imposition of restrictions on the freedom of movement of any person who is not a citizen of Botswana;\n- (c) for the imposition of restrictions on the entry into or residence within defined areas of Botswana of persons who are not Bushmen to the extent that such restrictions are reasonably required for the protection or well-being of Bushmen;\n- (d) for the imposition of restrictions upon the movement or residence within Botswana of public officers; or\n- (e) .......\n\n(4) If any person whose freedom of movement has been restricted by order under such a provision as is referred to in subsection (3)(a) of this section (other than a restriction which is applicable to persons generally or to general classes of persons) so requests at any time during the period of that restriction not earlier than six months after the order was made or six months after he or she last made such request, as the case may be, his or her case shall be reviewed by an independent and impartial tribunal presided over by a person, qualified to be enrolled as an advocate in Botswana, appointed by the Chief Justice.\n\n(5) On any review by a tribunal in pursuance of this section of the case of a person whose freedom of movement has been restricted, the tribunal may make recommendations, concerning the necessity or expediency of continuing the restriction to the authority by which it was ordered but, unless it is otherwise provided by law, that authority shall not be obliged to act in accordance with any such recommendations.\n\n# **15. Protection from discrimination on the grounds of race, etc.**\n\n(1) Subject to the provisions of subsections (4), (5) and (7) of this section, no law shall make any provision that is discriminatory either of itself or in its effect.\n\n(2) Subject to the provisions of subsections (6), (7) and (8) of this section, no person shall be treated in a discriminatory manner by any person acting by virtue of any written law or in the performance of the functions of any public office or any public authority.\n\n(3) In this section, the expression \"discriminatory\" means affording different treatment to different persons, attributable wholly or mainly to their respective descriptions by race, tribe, place of origin, political opinions, colour, creed or sex whereby persons of one such description are subjected to disabilities or restrictions to which persons of another such description are not made subject or are accorded privileges or advantages which are not accorded to persons of another such description.\n\n(4) Subsection (1) of this section shall not apply to any law so far as that law makes provision-\n\n- (a) for the appropriation of public revenues or other public funds;\n- (b) with respect to persons who are not citizens of Botswana;\n- (c) with respect to adoption, marriage, divorce, burial, devolution of property on death or other matters of personal law;", - "page_start": 12, - "page_end": 12, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(d) the Industrial Court.\n\n(2) In this Constitution, unless the context otherwise requires, references to offices in the public service shall be construed as including references to the offices of judges of the Court of Appeal and judges of the High Court and the offices of members of all subordinate courts (being offices the emoluments attaching to which, or any part of the emoluments attaching to which, are paid directly out of moneys provided by Parliament).\n\n(3) For the purposes of this Constitution a person shall not be considered to be a public officer by reason only that he or she is in receipt of any remuneration or allowance as the President, Vice-President, a Minister or Assistant Minister, Speaker, Deputy Speaker or Member of the Assembly, a Member of the Ntlo ya Dikgosi or a member of any Commission established by this Constitution.\n\n(4) For the purposes of this Constitution, a person shall not be considered as holding a public office by reason only of the fact that he or she is in receipt of a pension or other like allowance in respect of service under the Government of Botswana or the former Protectorate of Bechuanaland.\n\n(5) In this Constitution, unless the context otherwise requires, a reference to the holder of an office by the term designating his or her office shall be construed as including a reference to any person for the time being lawfully acting in or performing the functions of that office:\n\nProvided that nothing in this subsection shall apply to references to the President or Vice-President in section 35, 36 or 39 of this Constitution.\n\n(6) In this Constitution, unless it is otherwise provided or required by the context, a reference to the power to make appointments to any office shall be construed as including a reference to the power to make appointments on promotion and transfer and to confirm appointments and to the power to appoint a person to act in or perform the functions of that office at any time when the office is vacant or the holder thereof is unable (whether by reason of absence or infirmity of mind or body or any other cause) to perform the functions of that office.\n\n(7) References in this Constitution to the power to remove a public officer from his or her office shall be construed as including references to any power conferred by any law to require or permit that officer to retire from the public service:\n\nProvided that nothing in this subsection shall be construed as conferring on any person or authority power to require a judge of the Court of Appeal or the High Court, the Auditor-General or the Director of Public Prosecutions to retire from the public service.\n\n(8) Any provision in this Constitution that vests in any person or authority power to remove any public officer from his or her office shall be without prejudice to the power of any person or authority to abolish any office or to any law providing for the compulsory retirement of public officers generally or in any class of public officer on attaining an age specified therein.\n\n(9) Where power is vested by this Constitution in any person or authority to appoint any person to act in or perform the functions of any office if the holder thereof is himself unable to perform those functions, no such appointment shall be called in question on the ground that the holder of the office was not unable to perform those functions.\n\n(10) No provision of this Constitution that any person or authority shall not be subject to the direction or control of any other person or authority in the exercise of any functions under this Constitution shall be construed as precluding a court of law from exercising jurisdiction in relation to any question whether that person or authority has performed those functions in accordance with this Constitution or any other law.\n\n(11) Where any power is conferred by this Constitution to make any Act, order,", - "page_start": 54, - "page_end": 54, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "provisions of sections 3 to 16 (inclusive) of this Constitution.\n\n(3) If in any proceedings in any subordinate court any question arises as to the contravention of any of the provisions of sections 3 to 16 (inclusive) of this Constitution, the person presiding in that court may, and shall if any party to the proceedings so requests, refer the question to the High Court unless, in his or her opinion, the raising of the question is merely frivolous or vexatious.\n\n(4) Parliament may confer upon the High Court such powers in addition to those conferred by this section as may appear to be necessary or desirable for the purpose of enabling that court more effectively to exercise the jurisdiction conferred upon it by this\n\nsection.(5) Rules of court making provision with respect to the practice and procedure of the High Court for the purposes of this section may be made by the person or authority for the time being having power to make rules of court with respect to the practice and procedure of that court generally.\n\n## **19. Interpretation and savings**\n\n(1) In this Chapter, unless the context otherwise requires-\n\n**\"court\"** means any court of law having jurisdiction in Botswana other than a court established by a disciplinary law, and in sections 4 and 6 of this Constitution a court established by a disciplinary law;\n\n> **\"disciplinary law\"** means a law regulating the discipline of any disciplined force; **\"disciplined force\"** means-\n\n- (a) a naval, military or air force;\n- (b) a police force; or\n- (c) a prison service;\n\n**\"legal representative\"** means a person entitled to practise in Botswana as an advocate or attorney;\n\n**\"member\"**, in relation to a disciplined force, includes any person who, under the law regulating the discipline of that force, is subject to that discipline.\n\n(2) In relation to any person who is a member of a disciplined force raised under an Act of Parliament, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter other than sections 4, 6 and 7.\n\n(3) In relation to any person who is a member of a disciplined force raised otherwise than as aforesaid and lawfully present in Botswana, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter.\n\n## **CHAPTER III**\n\n### **Citizenship (ss 20-29: repealed)**\n\n**20 to 29 inclusive. [Repealed.]**\n\n# **CHAPTER IV**\n\n# **The Executive (ss 30-56)**\n\n### **PART I The President and the Vice-President (ss 30-41)**\n\n# **30. Office of President**\n\nThere shall be a President of the Republic of Botswana who shall be the Head of State.\n\n### **31. First President**\n\n(1) The first President shall be the person who immediately before 30th September, 1966 holds the office of Prime Minister under the Constitution.\n\n(2) The first President shall be deemed to have assumed office at the coming into operation of this Constitution.", - "page_start": 15, - "page_end": 15, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community;\n- (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons;\n- (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or\n- (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order,\n\nand except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n# **10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law.\n\n(2) Every person who is charged with a criminal offence-\n\n- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty;\n- (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged;\n- (c) shall be given adequate time and facilities for the preparation of his or her defence;\n- (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice;\n- (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and\n- (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge,\n\nand except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence.\n\n(3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## **CONSTITUTION OF BOTSWANA**\n\n### ARRANGEMENT OF SECTIONS CHAPTER I\n\nThe Republic\n\n- 1. Declaration of Republic\n- 2. Public Seal\n\n### CHAPTER II\n\nProtection of Fundamental Rights and Freedoms of the Individual\n\n- 3. Fundamental rights and freedoms of the individual\nid1364512 pdfMachine by Broadgun Software - a great PDF writer! - a great PDF creator! - http://www.pdfmachine.com http://www.broadgun.com\n\n- 4. Protection of right to life\n- 5. Protection of right to personal liberty\n- 6. Protection from slavery and forced labour\n- 7. Protection from inhuman treatment\n- 8. Protection from deprivation of property\n- 9. Protection for privacy of home and other property\n- 10. Provisions to secure protection of law\n- 11. Protection of freedom of conscience\n- 12. Protection of freedom of expression\n- 13. Protection of freedom of assembly and association\n- 14. Protection of freedom of movement\n- 15. Protection from discrimination on the grounds of race, etc.\n- 16. Derogation from fundamental rights and freedoms\n- 17. Declarations relating to emergencies\n- 18. Enforcement of protective provisions\n- 19. Interpretation and savings\n\n### CHAPTER III\n\n### Citizenship\n\n20 to 29.......\n\n### CHAPTER IV The Executive\n\n# PART I\n\n### The President and the Vice-President\n\n- 30. Office of President\n- 31. First President\n- 32. Election of President after dissolution of Parliament\n- 33. Qualification for election as President\n- 34. Tenure of office of President\n- 35. Vacancy in office of President\n- 36. Discharge of functions of President during absence, illness, etc.\n- 37. Oath of President\n- 38. Returning officer at elections of President\n- 39. Vice-President\n- 40. Salary and allowances of President\n- 41. Protection of President in respect of legal proceedings\n\n### PART II\n\n### The Cabinet\n\n- 42. Ministers and Assistant Ministers\n- 43. Tenure of office of Ministers and Assistant Ministers\n- 44. Cabinet\n- 45. Oaths to be taken by Ministers and Assistant Ministers\n- 46. Secretary to the Cabinet", - "page_start": 0, - "page_end": 0, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "General unless he or she is qualified to be appointed to the Office of a Judge of the High Court.\n\n(3) The Attorney-General shall be the principal legal adviser to the Government.\n\n(4) A person holding the Office of Attorney-General shall vacate his or her office when he or she attains the age of 60 years or such other age as may be prescribed by Parliament.\n\n# **51A. Director of Public Prosecutions**\n\n(1) There shall be a Director of Public Prosecutions appointed by the President whose office shall be a public office and who shall be subject to the administrative supervision of the Attorney-General.\n\n(2) A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court.\n\n(3) The Director of Public Prosecutions shall have power in any case in which he or she considers it desirable to do so-\n\n- (a) to institute and undertake criminal proceedings against any person before any court (other than a court martial) in respect of any offence alleged to have been committed by that person;\n- (b) to take over and continue any such criminal proceedings that have been instituted or undertaken by any other person or authority; and\n- (c) to discontinue, at any stage before judgment is delivered, any such criminal proceedings instituted or undertaken by himself or herself or any other person or authority.\n\n(4) The powers of the Director of Public Prosecutions under subsection (3) may be exercised by him or her in person or by officers subordinate to him or her acting in accordance with his or her general or special authority.\n\n(5) For the purposes of this section any appeal from any judgment in any criminal proceedings before any court, or any case stated or question of law reserved for the purpose of any such proceedings, to any other court shall be deemed to be part of those proceedings:\n\nProvided that the power conferred on the Director of Public Prosecutions by subsection (3)(c) of this section shall not be exercised in relation to any appeal by a person convicted in any criminal proceedings or to any case stated or question of law reserved at the instance of such person.\n\n(6) In the exercise of the functions vested in him or her by subsection (3) of this section the Director of Public Prosecutions shall not be subject to the direction or control of any other person or authority:\n\nProvided that-\n\n- (a) where any other person or authority has instituted criminal proceedings, nothing in this subsection shall prevent the withdrawal of those proceedings by or at the instance of that person or authority, and with the leave of the court; and\n- (b) before exercising his or her powers in relation to cases considered by the Attorney-General to be of national importance, the Director of Public Prosecutions shall consult the Attorney-General.\n\n# **52. Permanent Secretaries**\n\nWhere any Minister has been charged with responsibility for any department of Government, he or she shall exercise general direction and control over that department and, subject to such direction and control, the department shall be under the supervision of a Permanent Secretary whose office shall be a public office.\n\n## **53. Prerogative of Mercy**\n\nThe President may-", - "page_start": 24, - "page_end": 24, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are considered \"disciplined force\" according to Botswana constitution ?", - "target_page": 16, - "target_passage": "\"disciplined force\" means- (a) a naval, military or air force; (b) a police force; or (c) a prison service", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "provisions of sections 3 to 16 (inclusive) of this Constitution.\n\n(3) If in any proceedings in any subordinate court any question arises as to the contravention of any of the provisions of sections 3 to 16 (inclusive) of this Constitution, the person presiding in that court may, and shall if any party to the proceedings so requests, refer the question to the High Court unless, in his or her opinion, the raising of the question is merely frivolous or vexatious.\n\n(4) Parliament may confer upon the High Court such powers in addition to those conferred by this section as may appear to be necessary or desirable for the purpose of enabling that court more effectively to exercise the jurisdiction conferred upon it by this\n\nsection.(5) Rules of court making provision with respect to the practice and procedure of the High Court for the purposes of this section may be made by the person or authority for the time being having power to make rules of court with respect to the practice and procedure of that court generally.\n\n## **19. Interpretation and savings**\n\n(1) In this Chapter, unless the context otherwise requires-\n\n**\"court\"** means any court of law having jurisdiction in Botswana other than a court established by a disciplinary law, and in sections 4 and 6 of this Constitution a court established by a disciplinary law;\n\n> **\"disciplinary law\"** means a law regulating the discipline of any disciplined force; **\"disciplined force\"** means-\n\n- (a) a naval, military or air force;\n- (b) a police force; or\n- (c) a prison service;\n\n**\"legal representative\"** means a person entitled to practise in Botswana as an advocate or attorney;\n\n**\"member\"**, in relation to a disciplined force, includes any person who, under the law regulating the discipline of that force, is subject to that discipline.\n\n(2) In relation to any person who is a member of a disciplined force raised under an Act of Parliament, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter other than sections 4, 6 and 7.\n\n(3) In relation to any person who is a member of a disciplined force raised otherwise than as aforesaid and lawfully present in Botswana, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter.\n\n## **CHAPTER III**\n\n### **Citizenship (ss 20-29: repealed)**\n\n**20 to 29 inclusive. [Repealed.]**\n\n# **CHAPTER IV**\n\n# **The Executive (ss 30-56)**\n\n### **PART I The President and the Vice-President (ss 30-41)**\n\n# **30. Office of President**\n\nThere shall be a President of the Republic of Botswana who shall be the Head of State.\n\n### **31. First President**\n\n(1) The first President shall be the person who immediately before 30th September, 1966 holds the office of Prime Minister under the Constitution.\n\n(2) The first President shall be deemed to have assumed office at the coming into operation of this Constitution.", - "page_start": 15, - "page_end": 15, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "court to try a member of a disciplined force for a criminal offence notwithstanding any trial and conviction or acquittal of that member under the disciplinary law of that force, so, however, that any court so trying such a member and convicting him or her shall in sentencing him or her to any punishment take into account any punishment awarded him or her under that disciplinary law;\n\n- (e) subsection (8) of this section to the extent that the law in question authorizes a court to convict a person of a criminal offence under any customary law to which, by virtue of that law, such person is subject.\n(13) In the case of any person who is held in lawful detention, the provisions of subsection (1), subsection (2)(d) and (e) and subsection (3) of this section shall not apply in relation to his or her trial for a criminal offence under the law regulating the discipline of persons held in such detention.\n\n(14) In this section \"criminal offence\" means a criminal offence under the law in force in Botswana.\n\n## **11. Protection of freedom of conscience**\n\n(1) Except with his or her own consent, no person shall be hindered in the enjoyment of his or her freedom of conscience, and for the purposes of this section the said freedom includes freedom of thought and of religion, freedom to change his or her religion or belief, and freedom, either alone or in community with others, and both in public and in private, to manifest and propagate his or her religion or belief in worship, teaching, practice and observance.\n\n(2) Every religious community shall be entitled, at its own expense, to establish and maintain places of education and to manage any place of education which it wholly maintains; and no such community shall be prevented from providing religious instruction for persons of that community in the course of any education provided at any place of education which it wholly maintains or in the course of any education which it otherwise provides.\n\n(3) Except with his or her own consent (or, if he or she is a minor, the consent of his or her guardian) no person attending any place of education shall be required to receive religious instruction or to take part in or attend any religious ceremony or observance if that instruction, ceremony or observance relates to a religion other than his or her own.\n\n(4) No person shall be compelled to take any oath which is contrary to his or her religion or belief or to take any oath in a manner which is contrary to his or her religion or belief.\n\n(5) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision which is reasonably required-\n\n- (a) in the interests of defence, public safety, public order, public morality or public health; or\n- (b) for the purpose of protecting the rights and freedoms of other persons, including the right to observe and practise any religion without the unsolicited intervention of members of any other religion,\n\nand except so far as that provision or, as the case may be, the thing done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n## **12. Protection of freedom of expression**\n\n(1) Except with his or her own consent, no person shall be hindered in the enjoyment of his or her freedom of expression, that is to say, freedom to hold opinions without interference, freedom to receive ideas and information without interference, freedom to communicate ideas and information without interference (whether the", - "page_start": 10, - "page_end": 10, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## **CONSTITUTION OF BOTSWANA**\n\n### ARRANGEMENT OF SECTIONS CHAPTER I\n\nThe Republic\n\n- 1. Declaration of Republic\n- 2. Public Seal\n\n### CHAPTER II\n\nProtection of Fundamental Rights and Freedoms of the Individual\n\n- 3. Fundamental rights and freedoms of the individual\nid1364512 pdfMachine by Broadgun Software - a great PDF writer! - a great PDF creator! - http://www.pdfmachine.com http://www.broadgun.com\n\n- 4. Protection of right to life\n- 5. Protection of right to personal liberty\n- 6. Protection from slavery and forced labour\n- 7. Protection from inhuman treatment\n- 8. Protection from deprivation of property\n- 9. Protection for privacy of home and other property\n- 10. Provisions to secure protection of law\n- 11. Protection of freedom of conscience\n- 12. Protection of freedom of expression\n- 13. Protection of freedom of assembly and association\n- 14. Protection of freedom of movement\n- 15. Protection from discrimination on the grounds of race, etc.\n- 16. Derogation from fundamental rights and freedoms\n- 17. Declarations relating to emergencies\n- 18. Enforcement of protective provisions\n- 19. Interpretation and savings\n\n### CHAPTER III\n\n### Citizenship\n\n20 to 29.......\n\n### CHAPTER IV The Executive\n\n# PART I\n\n### The President and the Vice-President\n\n- 30. Office of President\n- 31. First President\n- 32. Election of President after dissolution of Parliament\n- 33. Qualification for election as President\n- 34. Tenure of office of President\n- 35. Vacancy in office of President\n- 36. Discharge of functions of President during absence, illness, etc.\n- 37. Oath of President\n- 38. Returning officer at elections of President\n- 39. Vice-President\n- 40. Salary and allowances of President\n- 41. Protection of President in respect of legal proceedings\n\n### PART II\n\n### The Cabinet\n\n- 42. Ministers and Assistant Ministers\n- 43. Tenure of office of Ministers and Assistant Ministers\n- 44. Cabinet\n- 45. Oaths to be taken by Ministers and Assistant Ministers\n- 46. Secretary to the Cabinet", - "page_start": 0, - "page_end": 0, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "# **57. Parliament**\n\nThere shall be a Parliament of Botswana which shall consist of the President and a National Assembly.\n\n# **58. Composition of National Assembly**\n\n(1) The President shall be ex-officio a member of the National Assembly, and shall be entitled to speak and to vote in all proceedings of the National Assembly.\n\n- (2) In addition to the President the National Assembly shall consist of-\n- (a) 57 Elected Members who shall be elected in accordance with the provisions of this Constitution and subject thereto in accordance with the provisions of any Act of Parliament; and\n- (b) four Specially Elected Members who shall be elected in accordance with the First Schedule to this Constitution and subject thereto in accordance with the provisions of any Act of Parliament.\n\n(3) If a person who is not a member of the National Assembly is elected to the office of Speaker of the National Assembly, that person shall, by virtue of holding that office, be a member of the Assembly in addition to the members referred to in subsections (1) and (2) of this section.\n\n## **59. Speaker**\n\n(1) There shall be a Speaker of the National Assembly who shall be elected by the Members of the Assembly from among persons who are Members of the Assembly or from among persons who are not Members of the Assembly.\n\n(2) The President, the Vice-President, a Minister, an Assistant Minister or a public officer shall not be qualified to be elected as Speaker.\n\n(3) The Speaker shall vacate his or her office-\n\n- (a) if, having been elected from among the Members of the National Assembly, he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament or if he or she is required by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;\n- (b) if any circumstances arise that, if he or she were not Speaker, would disqualify him for election as such;\n- (c) when the Assembly first sits after any dissolution of Parliament; or\n- (d) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members thereof.\n\n(4) No business shall be transacted in the National Assembly (other than an election to the office of Speaker) at any time when the office of Speaker is vacant.\n\n## **60. Deputy Speaker**\n\n(1) There shall be a Deputy Speaker of the National Assembly who shall be elected from among the persons who are Members of the Assembly other than the President, the Vice-President, Ministers or Assistant Ministers.\n\n(2) The Members of the National Assembly shall elect a person to the office of Deputy Speaker when the Assembly first sits after any dissolution and, if the office becomes vacant otherwise than by reason of the dissolution of the Assembly, at the first sitting of the Assembly after the office becomes vacant.\n\n(3) The Deputy Speaker shall vacate his or her office-\n\n- (a) if he or she ceases to be a Member of the National Assembly, otherwise than by reason of a dissolution of Parliament;\n- (b) if any circumstances arise that, if he or she were not Deputy Speaker, would disqualify him or her for election as such;\n- (c) if he or she is required, by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community;\n- (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons;\n- (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or\n- (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order,\n\nand except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n# **10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law.\n\n(2) Every person who is charged with a criminal offence-\n\n- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty;\n- (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged;\n- (c) shall be given adequate time and facilities for the preparation of his or her defence;\n- (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice;\n- (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and\n- (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge,\n\nand except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence.\n\n(3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "### own procedure.\n\n(14) Except as may be otherwise provided in its rules or procedure, the Commission may act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n\n(15) Any decision of the Commission shall require the concurrence of a majority of all the members thereof.\n\n(16) A member of the Commission shall not, during the tenure of his or her office or during the three years immediately following such tenure, be eligible for appointment to any public office other than that of Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organization.\n\n### **110. Appointment, etc., of public officers**\n\n(1) Subject to the provisions of this section and of sections 111, 113 and 114 of this Constitution, power to appoint persons to hold or to act in any office in the public service, to exercise disciplinary control over persons holding or acting in such offices and to remove from such offices shall vest in such person or persons as may be prescribed by Act of Parliament.\n\n(2) The provisions of this section shall not apply in relation to the following offices, that is to say-\n\n- (a) the office of judge of the Court of Appeal or of the High Court;\n- (b) any office to which section 104 or 112 of the Constitution applies.\n\n(3) Before any person or persons as may have been prescribed under the provisions of subsection (1) exercise power to appoint to or to act in any public office any person who holds or is acting in any office the power to make appointments to which is vested by this Constitution in the President acting in accordance with the advice of the Judicial Service Commission such person shall consult with the Judicial Service Commission.\n\n### **111. Appeals to President**\n\n(1) Any person other than a member of the Botswana Police Force or the Prison Service who has been removed from office or subjected to any other punishment by the exercise of any powers conferred on any person under the provisions of section 110 of this Constitution may appeal to the Public Service Commission who may dismiss such appeal or allow it wholly or in part.\n\n(2) Subject to the provisions of subsection (3) every decision of the Public Service Commission under the provisions of this section shall be final.\n\n(3) Notwithstanding anything contained in subsection (2) if the Public Service Commission dismisses an appeal or allows it in part only the person who appealed may appeal to the President.\n\n(4) If any person appeals to the President in accordance with the provisions of subsection (3) of this section the President shall either dismiss the appeal or shall order that it be heard by a tribunal appointed by the President, the Chairman of which shall be a person who holds or has held high judicial office or is qualified to be appointed as a judge of the High Court.\n\n(5) If the President appoints a tribunal to hear an appeal in accordance with subsection (4) of this section the tribunal shall hear the appeal and shall advise the President whether or not the appeal should be allowed either wholly or in part, and the President shall act in accordance with that advice.\n\n### **112. Powers of President in relation to certain public offices**\n\n(1) The power to appoint a person to hold or act in offices to which this section applies and to remove from office and to exercise disciplinary control over persons", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "person or authority.\n\n(3) Nothing in this section shall prevent Parliament from conferring functions on persons or authorities other than the President.\n\n# **48. Command of armed forces**\n\n(1) The supreme command of the armed forces of the Republic shall vest in the President and he or she shall hold the office of Commander in Chief.\n\n(2) The powers conferred on the President by subsection (1) of this section shall include-\n\n- (a) the power to determine the operational use of the armed forces;\n- (b) the power to appoint members of the armed forces, to make appointments on promotion to any office in the armed forces and to dismiss any member of the armed forces.\n\n(3) The President may, by directions in writing and subject to such conditions as he or she may think fit, delegate to any member of the armed forces any of the powers mentioned in subsection (2) of this section.\n\n(4) Parliament may regulate the exercise of the powers conferred by or under this section.\n\n# **49. Functions of Vice-President**\n\nThe Vice-President shall be the principal assistant of the President in the discharge of his or her executive functions and shall be responsible, under the directions of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n# **50. Functions of Cabinet Ministers and Assistant Ministers**\n\n(1) The Cabinet shall be responsible for advising the President with respect to the policy of the Government and with respect to such other matters as may be referred to it by the President and shall, subject to the provisions of this Constitution, be responsible to the National Assembly for all things done by or under the authority of the President, Vice-President or any Minister in the execution of his or her office.\n\n(2) The President shall, so far as practicable and subject to the provisions of this Constitution, consult the Cabinet on matters of policy and the exercise of his or her functions.\n\n(3) The obligation of the President to consult his or her Cabinet and for the Cabinet to accept responsibility under this section shall not apply to the exercise by the President of his or her powers in relation to the appointment or removal of the Vice- President, Ministers and Assistant Ministers, the dissolution of Parliament, the Prerogative of Mercy, the assignment of responsibility to the Vice-President or any Minister and the specification of the functions of an Assistant Minister.\n\n(4) A Minister shall be responsible, under the direction of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n(5) An Assistant Minister shall-\n\n- (a) assist the President or the Vice-President in the discharge of such of the functions of the office of President or Vice-President as the President may specify; or\n- (b) assist such Minister in the discharge of the functions assigned to him or her under subsection (4) of this section as the President may specify.\n\n# **51. Attorney-General**\n\n(1) There shall be an Attorney-General appointed by the President whose office shall be a public office.\n\n(2) A person shall not be qualified to be appointed to the Office of Attorney-", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(d) the Industrial Court.\n\n(2) In this Constitution, unless the context otherwise requires, references to offices in the public service shall be construed as including references to the offices of judges of the Court of Appeal and judges of the High Court and the offices of members of all subordinate courts (being offices the emoluments attaching to which, or any part of the emoluments attaching to which, are paid directly out of moneys provided by Parliament).\n\n(3) For the purposes of this Constitution a person shall not be considered to be a public officer by reason only that he or she is in receipt of any remuneration or allowance as the President, Vice-President, a Minister or Assistant Minister, Speaker, Deputy Speaker or Member of the Assembly, a Member of the Ntlo ya Dikgosi or a member of any Commission established by this Constitution.\n\n(4) For the purposes of this Constitution, a person shall not be considered as holding a public office by reason only of the fact that he or she is in receipt of a pension or other like allowance in respect of service under the Government of Botswana or the former Protectorate of Bechuanaland.\n\n(5) In this Constitution, unless the context otherwise requires, a reference to the holder of an office by the term designating his or her office shall be construed as including a reference to any person for the time being lawfully acting in or performing the functions of that office:\n\nProvided that nothing in this subsection shall apply to references to the President or Vice-President in section 35, 36 or 39 of this Constitution.\n\n(6) In this Constitution, unless it is otherwise provided or required by the context, a reference to the power to make appointments to any office shall be construed as including a reference to the power to make appointments on promotion and transfer and to confirm appointments and to the power to appoint a person to act in or perform the functions of that office at any time when the office is vacant or the holder thereof is unable (whether by reason of absence or infirmity of mind or body or any other cause) to perform the functions of that office.\n\n(7) References in this Constitution to the power to remove a public officer from his or her office shall be construed as including references to any power conferred by any law to require or permit that officer to retire from the public service:\n\nProvided that nothing in this subsection shall be construed as conferring on any person or authority power to require a judge of the Court of Appeal or the High Court, the Auditor-General or the Director of Public Prosecutions to retire from the public service.\n\n(8) Any provision in this Constitution that vests in any person or authority power to remove any public officer from his or her office shall be without prejudice to the power of any person or authority to abolish any office or to any law providing for the compulsory retirement of public officers generally or in any class of public officer on attaining an age specified therein.\n\n(9) Where power is vested by this Constitution in any person or authority to appoint any person to act in or perform the functions of any office if the holder thereof is himself unable to perform those functions, no such appointment shall be called in question on the ground that the holder of the office was not unable to perform those functions.\n\n(10) No provision of this Constitution that any person or authority shall not be subject to the direction or control of any other person or authority in the exercise of any functions under this Constitution shall be construed as precluding a court of law from exercising jurisdiction in relation to any question whether that person or authority has performed those functions in accordance with this Constitution or any other law.\n\n(11) Where any power is conferred by this Constitution to make any Act, order,", - "page_start": 54, - "page_end": 54, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (d) any labour required during any period of public emergency or in the event of any other emergency or calamity that threatens the life and well-being of the community, to the extent that the requiring of such labour is reasonably justifiable in the circumstances of any situation arising or existing during that period or as a result of that other emergency or calamity, for the purpose of dealing with that situation; or\n- (e) any labour reasonably required as part of reasonable and normal communal or other civic obligations.\n\n# **7. Protection from inhuman treatment**\n\n(1) No person shall be subjected to torture or to inhuman or degrading punishment or other treatment.\n\n(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question authorizes the infliction of any description of punishment that was lawful in the country immediately before the coming into operation of this Constitution.\n\n# **8. Protection from deprivation of property**\n\n(1) No property of any description shall be compulsorily taken possession of, and no interest in or right over property of any description shall be compulsorily acquired, except where the following conditions are satisfied, that is to say-\n\n- (a) the taking of possession or acquisition is necessary or expedient-\n\t- (i) in the interests of defence, public safety, public order, public morality, public health, town and country planning or land settlement;\n\t- (ii) in order to secure the development or utilization of that, or other, property for a purpose beneficial to the community; or\n\t- (iii) in order to secure the development or utilization of the mineral resources of Botswana; and\n- (b) provision is made by a law applicable to that taking of possession or acquisition-\n\t- (i) for the prompt payment of adequate compensation; and\n\t- (ii) securing to any person having an interest in or right over the property a right of access to the High Court, either direct or on appeal from any other authority, for the determination of his or her interest or right, the legality of the taking of possession or acquisition of the property, interest or right, and the amount of any compensation to which he or she is entitled, and for the purpose of obtaining prompt payment of that compensation.\n\n(2) No person who is entitled to compensation under this section shall be prevented from remitting, within a reasonable time after he or she has received any amount of that compensation, the whole of that amount (free from any deduction, charge or tax made or levied in respect of its remission) to any country of his or her choice outside Botswana.\n\n(3) Subsection (1)(b)(i) of this section shall be deemed to be satisfied in relation to any Law applicable to the taking of possession of minerals or the acquisition of rights to minerals if that law makes provision for the payment at reasonable intervals of adequate royalties.\n\n(4) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of subsection (2) of this section to the extent that the law in question authorizes-\n\n- (a) the attachment, by order of a court, of any amount of compensation to which a person is entitled in satisfaction of the judgment of a court or pending the determination of civil proceedings to which he or she is a party; or\n- (b) the imposition of reasonable restrictions on the manner in which any amount of", - "page_start": 6, - "page_end": 6, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "description of the boundaries of those constituencies.\n\n(2) The boundaries of each constituency shall be such that the number of inhabitants thereof is as nearly equal to the population quota as is reasonably practicable:\n\nProvided that the number of inhabitants of a constituency may be greater or less than the population quota in order to take account of natural community of interest, means of communication, geographical features, density of population, and the boundaries of Tribal Territories and administrative districts.\n\n(3) In this section \"population quota\" means the number obtained by dividing the number of inhabitants of Botswana (as ascertained by reference to the latest comprehensive national population census in Botswana) by the number of constituencies into which Botswana is divided under section 63 of this Constitution.\n\n(4) The President shall as soon as practicable after the submission of the report of the Delimitation Commission, by Proclamation published in the Gazette, declare the boundaries of the constituencies as delimited by the Commission.\n\n(5) A Proclamation made under subsection (4) of this section shall come into force at the next dissolution of the National Assembly after it is made.\n\n(6) The Commission may by regulation or otherwise regulate its own procedure and may, subject to its rules of procedure, act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings:\n\nProvided that any decision of the Commission shall require the concurrence of a majority of all its members.\n\n(7) In the exercise of its functions under this section the Delimitation Commission shall not be subject to the direction or control of any other person or authority.\n\n(8) A Delimitation Commission shall stand dissolved upon the date on which its report is delivered to the President.\n\n## **65A. Appointment of Independent Electoral Commission**\n\n(1) There shall be an Independent Electoral Commission which shall consist of-\n\n- (a) a Chairman who shall be a judge of the High Court appointed by the Judicial Service Commission;\n- (b) a legal practitioner appointed by the Judicial Service Commission; and\n- (c) five other persons who are fit, proper and impartial, appointed by the Judicial Service Commission from a list of persons recommended by the All Party Conference.\n\n(2) Where the All Party Conference fail to agree on all or any number of persons referred to in subsection (1)(c) of this section up to dissolution of Parliament, the Judicial Service Commission shall appoint such person or persons as are necessary to fill any\n\nvacancy.(3) For the purposes of this section, \"All Party Conference\" means a meeting of all registered political parties convened from time to time by the Minister.\n\n(4) The first appointments of the Chairman and the Members of the Commission shall be made not later than 31st January, 1999, and thereafter subsequent appointments shall be made at the last dissolution of every two successive lives of Parliament.\n\n(5) The Chairman and the members of the Commission shall hold office for a period of two successive lives of Parliament.\n\n(6) A person shall not be qualified to be appointed as a member of the Independent Electoral Commission if-\n\n(a) he or she has been declared insolvent or adjudged or otherwise declared", - "page_start": 29, - "page_end": 29, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "How much does AWS lambda charge when the function is not running ?", - "target_page": 52, - "target_passage": "there is no charge when your code is not running", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "*\"No Server Is Easier To Manage Than No Server\"* - Werner Vogels, VP and CTO\n\nThe Lambda service runs instances of your function only when needed and scales automatically from zero requests per day to thousands per second. You pay only for the compute time that's actually used — there is no charge when your code is not running.\n\n## **Fundamentals**\n\nServerless solutions are based on *event-driven architecture,* or EDA, where services send and receive *events*, which represent an update or change in state. The primary activity of Lambda functions is to process events.\n\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a container image. All interaction with the code occurs through the Lambda API. There is no direct invocation of functions from outside of the Lambda service.\n\nWhat you will learn on your journey to building applications with Lambda:\n\n- How the event-driven programming model invokes Lambda functions\n- How to create, invoke, test, update, package, and secure functions\n- How the execution and runtime environment runs your functions\n- How to view logs and monitor your functions\n- Where to find hands-on opportunities to learn how to invoke functions", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "After the handler finishes processing the first event, the runtime sends it another, and another. Each instance of your function could process thousands of requests.\n\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by an event, this is called an *invocation*. Lambda functions are limited to 15 minutes in duration, but on average, across all AWS customers, most invocations last for less than a second.\n\nThere are many types of invocation events. Some examples:\n\n- HTTP request from API Gateway\n- Schedule managed by an EventBridge rule\n- Message from an IOT device\n- Notification that a file was uploaded to an S3 bucket\n\nEven the smallest Lambda-based application uses at least one event that invokes your function.\n\n### **How Lambda invokes your function (runtime environment)**\n\nLambda invokes your function in an *execution environment*, which contains a secure and isolated *runtime environment*.\n\n- A *runtime* provides a language-specific environment which relays invocation events, context information, and responses between the Lambda and your functions.\n- An *execution environment* manages the processes and resources that are required to run the function.", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "could be listening. The handler function might create and send another event to an SNS queue so that alerts for high temperature are sent to users through SMS messages.\n\nThe function finally wraps up the JSON weather data into a new event and sends it back to API gateway. Afterward, the function continues to handle hundreds of additional requests. Request from users slow down after 2AM, so after some time the Lambda service will tear down the function execution environment to conserve resources. As a Customer, you will only be charged for function usage.", - "page_start": 38, - "page_end": 38, - "source_file": "serverless-core.pdf" - }, - { - "text": "initialization duration, and other details. If your function throws an error, the runtime returns that error to the invoker.\n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has a command called sam logs which will show you CloudWatch Logs generated by your Lambda function.\n\nFor example, the following terminal command would show the live tail of logs generated by the *YourLambdaFunctionName* Lambda function:\n\n```\nsam logs -n YourLambdaFunctionName --tail\n```\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for debugging.\n\n### **Securing functions**\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. Lambda is fully integrated with IAM, allowing you to control precisely what each Lambda function can do within the AWS Cloud. There are two important things that define the scope of permissions in Lambda functions:\n\n- *resource policy*: Defines which events are authorized to invoke the function.\n- *execution role policy*: Limits what the Lambda function is authorized to do.\n\nUsing IAM roles to describe a Lambda function's permissions, decouples security configuration from the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\n\nA Lambda function's resource and execution policy should be granted the minimum required permissions for the function to perform it's task effectively. This is sometimes referred to as the rule of least privilege. As you develop a Lambda function, you expand the scope of this policy to allow access to other resources as required.", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "#### Related resources:\n\n- Datadog Lambda Extension an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n- Lambda Extensions official documentation\n\n#### **Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n#### Related resources:\n\n- Accelerate Your Lambda Functions with Lambda SnapStart an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "- Policies that grant least privilege to your functions\n**Workshop - Intro to Serverless** - Before diving too deep, you can choose to try out serverless in a workshop or tutorial. Connect to a data source and create a REST API with your first Lambda function.\"\n\n- Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\n#### **Programming Model**\n\nThe Lambda service provides the same event-based programming model for all languages. The Lambda runtime passes an *invocation event* and *context* to your Lambda function *handler* which does some work and produces a resulting event:\n\nThe *invocation event* contains data, as a JSON packet, which varies from service to service. For example, API gateway events include path, HTTP method, query string parameters, headers, cookies, and more. DynamoDB events could contain updated or delete record data. S3 events include the bucket name and object key, among other things.\n\n*The context* contains information about the environment the function is running inside. Additional contextual information can be set in familiar environment variables (ENV).\n\nThe function *handler* is a method in your function code that processes the inbound event. The handler, which is a standard function in your language of choice, does some work and emits a *result event*.", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "Many traditional systems are designed to run periodically and process batches of transactions that have built up over time. For example, a banking application may run every hour to process ATM transactions into central ledgers. In Lambda-based applications, the custom processing should be triggered by every event, allowing the service to scale up concurrency as needed, to provide nearreal time processing of transactions.\n\nWhile you can run cron tasks in serverless applications by using Amazon EventBridge Scheduler, consider the size of each batch of data that your event sends to Lambda. In this scenario, there is potential for the volume of transactions to grow beyond what can be processed within the 15 minute Lambda timeout. If the limitations of external systems force you to use a scheduler, you should generally schedule for the shortest reasonable recurring time period.\n\nFor example, it's not best practice to use a batch process that triggers a Lambda function to fetch a list of new Amazon S3 objects. This is because the service might receive more new objects in between batches than can be processed within a 15-minute Lambda function.", - "page_start": 24, - "page_end": 24, - "source_file": "serverless-core.pdf" - }, - { - "text": "```\n{ \n public string FunctionHandler(string input, ILambdaContext context) \n { \n context.Logger.LogLine($\"Transforming {input} to upper case\"); \n return input.ToUpper(); \n }\n}\n```\nHandlers in interpreted languages can be deployed directly through the web-based AWS Management Console. Compiled languages, such as Java and C#, or functions that use external libraries are deployed using .zip file archives or container images. Because of that additional process, this guide will focus on Python for examples.\n\nRegardless of language, Lambda functions will generally return a *response event* on successful completion. The following program listing is an example response event to send back to API Gateway so that it can handle a request:\n\n```\n{ \n \"statusCode\": 200, \n \"headers\": { \n \"Content-Type\": \"application/json\" \n }, \n \"isBase64Encoded\": false, \n \"multiValueHeaders\": { \n \"X-Custom-Header\": [\"My value\", \"My other value\"], \n }, \n \"body\": \"{\\n \\\"TotalCodeSize\\\": 104330022,\\n \\\"FunctionCount\\\": 26\\n}\"\n}\n```\n#### **How to write logs with serverless applications**\n\nYou might have noticed the logging statements in the preceding handler code. Where do those log messages go?\n\nDuring invocation, the Lambda runtime automatically captures function output to Amazon CloudWatch.\n\nIn addition to logging your function's output, the runtime also logs entries when function invocation starts and ends. This includes a report log with the request ID, billed duration,", - "page_start": 58, - "page_end": 58, - "source_file": "serverless-core.pdf" - }, - { - "text": "| 1 - ({} | |\n| --- | --- |\n| | \"source\": \"myApplication\", |\n| | \"detail\": \"submitOrder\", |\n| | \"customerId\": \"customer123\", |\n| | \"orderId\": \"order-A1234B56\", |\n| o a no u t m n | \"paymentStatus\": \"open\", |\n| | \"cart\": [ |\n| | { |\n| | \"product12\": { |\n| 10 | \"qty\": 2, |\n| 11 | \"itemPx\": 35.22, |\n| 12 | \"currency\": \"USD\" |\n| 13 | }, |\n| 14 ▼ | \"product44\" : { |\n| ਹ ਦ | \"gty\": 5, |\n| ਹਿ | \"itemPx\": 71.57, |\n| 17 | \"currency\": \"USD\" |\n| 18 | } |\n| ਹ ਰੇ | |\n| 20 | 1, |\n| 21 | \"timestamp\": 1607774286 |\n| 22 D | |\n\nNext, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda function code parses the parameters in the inbound event, connects to the data store, and retrieves the cart. The function queries the database API through an SDK library. Because the DynamoDB database is also serverless and built to respond with low latency, there is no need for a connection pool.\n\nAfter converting currency to USD and removing unavailable items, the function sends the result as a new event to API Gateway.\n\nFinally, API Gateway converts the event into a response to send to the waiting client.\n\nThe method with which a function is invoked should be informed by your application archecture and needs. For example, batch-processing patterns have different applications to on-demand data processing. Understanding these paradigm differences can also help customers decide between AWS services.\n\nDeploying a microservice as a containerized application on Fargate could be more appropriate if the microservice is primarily used for batch data processing. Whereas a Lambda function would be much more straight-forward to deploy and maintain in applications that require on-demand data processing.", - "page_start": 29, - "page_end": 29, - "source_file": "serverless-core.pdf" - }, - { - "text": "You can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, Python, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a container.\n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime that matches your programming language. For a container image, you include the runtime when you build the image.\n\n### **How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda:\n\n- 1. Configure the entry point to your function, known as the *handler*, and deploy the function.\n- 2. Lambda service initializes the function, then it invokes the *handler* with an invocation event and context.\n- 3. Your handler function processes the event and returns a response event.\n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, the function stays in memory, so clients and variables declared outside of the handler method can be reused.\n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety of reasons; some examples: scaling down to conserve resources, updating the function, updating the runtime.\n\nThe function **handler** is the essential component of your function code. As noted previously, the handler is the entry point, but it may not be the only function in your code. In fact, a best practice is keeping the handler sparse and doing the actual processing in other functions in your code.\n\nHere are some example **handlers**:\n\nPython\n\n```\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\n```", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "What is the role of resource policies of lambda functions ?", - "target_page": 60, - "target_passage": "resource policy: Defines which events are authorized to invoke the function.", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "- Policies that grant least privilege to your functions\n**Workshop - Intro to Serverless** - Before diving too deep, you can choose to try out serverless in a workshop or tutorial. Connect to a data source and create a REST API with your first Lambda function.\"\n\n- Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\n#### **Programming Model**\n\nThe Lambda service provides the same event-based programming model for all languages. The Lambda runtime passes an *invocation event* and *context* to your Lambda function *handler* which does some work and produces a resulting event:\n\nThe *invocation event* contains data, as a JSON packet, which varies from service to service. For example, API gateway events include path, HTTP method, query string parameters, headers, cookies, and more. DynamoDB events could contain updated or delete record data. S3 events include the bucket name and object key, among other things.\n\n*The context* contains information about the environment the function is running inside. Additional contextual information can be set in familiar environment variables (ENV).\n\nThe function *handler* is a method in your function code that processes the inbound event. The handler, which is a standard function in your language of choice, does some work and emits a *result event*.", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "*\"No Server Is Easier To Manage Than No Server\"* - Werner Vogels, VP and CTO\n\nThe Lambda service runs instances of your function only when needed and scales automatically from zero requests per day to thousands per second. You pay only for the compute time that's actually used — there is no charge when your code is not running.\n\n## **Fundamentals**\n\nServerless solutions are based on *event-driven architecture,* or EDA, where services send and receive *events*, which represent an update or change in state. The primary activity of Lambda functions is to process events.\n\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a container image. All interaction with the code occurs through the Lambda API. There is no direct invocation of functions from outside of the Lambda service.\n\nWhat you will learn on your journey to building applications with Lambda:\n\n- How the event-driven programming model invokes Lambda functions\n- How to create, invoke, test, update, package, and secure functions\n- How the execution and runtime environment runs your functions\n- How to view logs and monitor your functions\n- Where to find hands-on opportunities to learn how to invoke functions", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "#### Related resources:\n\n- Datadog Lambda Extension an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n- Lambda Extensions official documentation\n\n#### **Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n#### Related resources:\n\n- Accelerate Your Lambda Functions with Lambda SnapStart an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "- Resizing images\n- Generating dynamic PDFs from customer data\n\nIn traditional applications, you write code to do these tasks. You organize that code into **functions**. You put the function code inside an application framework. Whichever framework you picked will run inside a language dependent runtime environment. Finally, that runtime environment will be hosted on a virtual or physical server.\n\nSetting up, configuring and maintaining the frameworks, runtime environments, and virtual or physical infrastructure slows down your delivery of features, bug fixes, and improvements.\n\n# **What is Lambda?**\n\nIn Lambda, you write function code. Lambda runs the functions. That's it. There are no servers.", - "page_start": 50, - "page_end": 50, - "source_file": "serverless-core.pdf" - }, - { - "text": "After the handler finishes processing the first event, the runtime sends it another, and another. Each instance of your function could process thousands of requests.\n\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by an event, this is called an *invocation*. Lambda functions are limited to 15 minutes in duration, but on average, across all AWS customers, most invocations last for less than a second.\n\nThere are many types of invocation events. Some examples:\n\n- HTTP request from API Gateway\n- Schedule managed by an EventBridge rule\n- Message from an IOT device\n- Notification that a file was uploaded to an S3 bucket\n\nEven the smallest Lambda-based application uses at least one event that invokes your function.\n\n### **How Lambda invokes your function (runtime environment)**\n\nLambda invokes your function in an *execution environment*, which contains a secure and isolated *runtime environment*.\n\n- A *runtime* provides a language-specific environment which relays invocation events, context information, and responses between the Lambda and your functions.\n- An *execution environment* manages the processes and resources that are required to run the function.", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "#### **Connect to functions with Function URLs**\n\nA function URL is a dedicated HTTP(S) endpoint for your Lambda function. You can create and configure a function URL through the Lambda console or the Lambda API. When you create a function URL, Lambda automatically generates a unique URL endpoint for you. Once you create a function URL, its URL endpoint never changes. Function URL endpoints have the following format:\n\nhttps://.lambda-url..on.aws\n\nAfter you configure a function URL for your function, you can invoke your function through its HTTP(S) endpoint with a web browser, curl, Postman, or any HTTP client.\n\nRelated resources:\n\n- Function URLs official documentation\n### **Additional resources**\n\nOfficial AWS documentation:\n\n- AWS Lambda Developer Guide extensive and complete documentation for Lambda\n#### **Next steps**\n\n#### **Learn serverless techniques in an online workshop**\n\nLearn by doing in the **Serverless Patterns Workshop**. The first module introduces a serverless microservice to retrieve data from DynamoDB with Lambda and API Gateway. Additional modules provide practical examples of unit and integration testing, using infrastructure as code to deploy resources, and how to build common architectural patterns used in serverless solutions.", - "page_start": 63, - "page_end": 63, - "source_file": "serverless-core.pdf" - }, - { - "text": "initialization duration, and other details. If your function throws an error, the runtime returns that error to the invoker.\n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has a command called sam logs which will show you CloudWatch Logs generated by your Lambda function.\n\nFor example, the following terminal command would show the live tail of logs generated by the *YourLambdaFunctionName* Lambda function:\n\n```\nsam logs -n YourLambdaFunctionName --tail\n```\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for debugging.\n\n### **Securing functions**\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. Lambda is fully integrated with IAM, allowing you to control precisely what each Lambda function can do within the AWS Cloud. There are two important things that define the scope of permissions in Lambda functions:\n\n- *resource policy*: Defines which events are authorized to invoke the function.\n- *execution role policy*: Limits what the Lambda function is authorized to do.\n\nUsing IAM roles to describe a Lambda function's permissions, decouples security configuration from the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\n\nA Lambda function's resource and execution policy should be granted the minimum required permissions for the function to perform it's task effectively. This is sometimes referred to as the rule of least privilege. As you develop a Lambda function, you expand the scope of this policy to allow access to other resources as required.", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "#### Examples:\n\n- **Websites** Suppose you are creating a website and you want to host the back-end logic on Lambda. You can invoke your Lambda function over HTTP using Amazon API Gateway as the HTTP endpoint. Now, your web client can invoke the API, and then API Gateway can route the request to Lambda. You can also implement route authentication and authorization by integrating Amazon Cognito with API Gateway\n- **Mobile applications** Suppose you have a custom mobile application that produces events. You can create a Lambda function to process events published by your custom application. For example, you can configure a Lambda function to process the clicks within your custom mobile application.\n\nTo implement synchronous processing in similar scenarios, you can use the following AWS services together.\n\n- **AWS Lambda** For compute processing tasks.\n- **Amazon API Gateway** For connecting and scaling inbound requests.\n- **AWS Step Functions** For managing and orchestrating microservice workflows.\n- **Amazon DynamoDB** & **S3** For storing and retrieving data and files.\n- **Amazon Cognito** for authentication and authorization of users.\n\n# **Streaming**\n\nStreaming data lets you to gather analytical insights from your application and process them in real-time. Streaming typically presents a unique set of design and architectural challenges.\n\nLambda and Amazon Kinesis can process real-time streaming data for application activity tracking, transaction order processing, click-stream analysis, data cleansing, log filtering, indexing, social media analysis, Internet of Things (IoT) device data telemetry, and metering.\n\n- **Data and analytics** Suppose you are building an analytics application and storing raw data in a DynamoDB table. When you write, update, or delete items in a table, DynamoDB streams can publish item update events to a stream associated with the table. In this case, the event data provides the item key, event name (such as insert, update, and delete), and other relevant details. You can write a Lambda function to generate custom metrics by aggregating raw data.\n- **Monitoring metrics** Amazon Prime Video monitors metrics from devices worldwide to ensure quality-of-service. The team chose Amazon Kinesis Data Streams to deliver video stream", - "page_start": 9, - "page_end": 9, - "source_file": "serverless-core.pdf" - }, - { - "text": "You can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, Python, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a container.\n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime that matches your programming language. For a container image, you include the runtime when you build the image.\n\n### **How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda:\n\n- 1. Configure the entry point to your function, known as the *handler*, and deploy the function.\n- 2. Lambda service initializes the function, then it invokes the *handler* with an invocation event and context.\n- 3. Your handler function processes the event and returns a response event.\n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, the function stays in memory, so clients and variables declared outside of the handler method can be reused.\n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety of reasons; some examples: scaling down to conserve resources, updating the function, updating the runtime.\n\nThe function **handler** is the essential component of your function code. As noted previously, the handler is the entry point, but it may not be the only function in your code. In fact, a best practice is keeping the handler sparse and doing the actual processing in other functions in your code.\n\nHere are some example **handlers**:\n\nPython\n\n```\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\n```", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - }, - { - "text": "Let's start with a high level work flow for an API request, pictured in the following diagram. Imagine a UI component that requests User data from the server to show a table of users:\n\n- API HTTP request for a user is received and authentication is checked\n- The call matched the API GET method and users resource, which is integrated with a get-users Lambda function\n- Permissions were verified before invoking the AWS resource\n- Lambda function sends queries to retrieve items from a data store\n- Data is wrapped in an HTTP response to be returned to the client\n\n#### **Create an API**\n\nWhen you create an API Gateway REST API, there are two essential components:\n\n- **method** HTTP methods (GET, POST, PUT, PATCH, OPTIONS and DELETE) An HTTP method is an action to be taken on a resource. API Gateway also has an ANY method, that matches any method type.\n- **resource** A resource is related to your business logic, for example users, orders, or messages.\n\nResources can also have the following:", - "page_start": 66, - "page_end": 66, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "Why can't I use SnapStart on my function tagged with $LATEST ?", - "target_page": 63, - "target_passage": " You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### Related resources:\n\n- Datadog Lambda Extension an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n- Lambda Extensions official documentation\n\n#### **Launch functions faster with SnapStart**\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n#### Related resources:\n\n- Accelerate Your Lambda Functions with Lambda SnapStart an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "To create and start a snapshot, complete the following steps:\n\n- 1. Open the FlashCopy window from the **Copy Services** → **FlashCopy** menu.\n- 2. Select the Volume that you want to create a snapshot of, and right-click it or click **Actions** → **Create Snapshot**, as shown in Figure 11-32.\n\n| = Actions ▼ | | | | | | | Default | > | Contains V | Filter | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Volume Name | Status | Progress | Capacity | | Group | Flash Time | | | | | IIi |\n| V ITSO-ApplDB01 | | | | 3.00 GiB | | | | | | | |\n| ITSO-SiteDRDB01 | Copying | 0% | | | | Oct 22, 2018, 2:20:56 PM | | | | | |\n| ITSO-LA001-Dev | | | | 3.00 GiB | | | | | | | |\n| ITSO-SF001-Prod | | | | 3.00 GiB | | | | | | | |\n| ITSO-SRC01 | Create Snapshot | | | 2-00 GiB | | | | | | | |\n| ITSO-SiteDRDB01 | Create Clone | | | 3.00 GiB | | | | | | | |\n| V ITSO-TGT01 | Create Backup | | | 2-00 GiB | | | | | | | |\n| ITSO-SRC01 | Advanced FlashCopy ... | | | | ITSO-RBRS001 | | | | | | |\n| | Show Related Volumes | | | | | | | | | | |\n| | Delete | | | | | | | | | | |\n| | Properties | | | | | | | | | | |\n\n*Figure 11-32 Single-click snapshot creation and start*\n\n- 3. You can select multiple volumes at a time, which creates as many snapshots automatically. The system then automatically groups the FlashCopy mappings in a new consistency group, as shown in Figure 11-33.\n\n| = Actions ▼ | | | | | | Default | > | Contains V | Filter | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Volume Name | Status | Progress Capacity | | Group | Flash Time | | | | | lli |\n| V ITSO-ApplDB01 | | | 3.00 GiB | | | | | | | |\n| ITSO-SiteDRDB01 | C Copying | 0% | | | Oct 22, 2018, 2:20:56 PM | | | | | |\n| ITSO-LA001-Dev | | | 90 GiB | | | | | | | |\n| ITSO-SF001-Prod | | Create Snapshot as Consistency Group | 0 GiB | | | | | | | |\n| ITSO-SRC01 | | Create Clone as Consistency Group | 0 GiB | | | | | | | |\n| ITSO-SiteDRDB01 | | Create Backup as Consistency Group | O GiB | | | | | | | |\n| > ITSO-TGT01 | | Advanced FlashCopy ... | > 0 GiB | | | | | | | |\n| ITSO-SRC01 | V Idle | Show Related Volumes | | ITSO-RBRS001 | | | | | | |\n| | | Delete | | | | | | | | |\n| | | Properties | | | | | | | | |\n\n*Figure 11-33 Selection single-click snapshot creation and start*\n\n- 4. For each selected source volume, the following actions occur:\n\t- A FlashCopy mapping is automatically created. It is named by default fcmapXX.\n\t- A target volume is created. By default the source name is appended with a _XX suffix.\n\t- A consistency group is created for each mapping, unless multiple volumes were selected. Consistency groups are named by default fccstgrpX.\n\nThe newly created consistency group is automatically started.\n\n# **11.2.5 Single-click clone**\n\nThe *clone preset* creates a replica of the volume, which can be changed without affecting the original volume. After the copy completes, the mapping that was created by the preset is automatically deleted.\n\nThe clone preset uses the following parameters:\n\n- -Background copy rate: 50\n- -Incremental: No\n- -Delete after completion: Yes", - "page_start": 501, - "page_end": 501, - "source_file": "sg247938.pdf" - }, - { - "text": "#### Node.js\n\n```\n# Example handler method for Node.js\nexports.handler = async function(event, context) { \n console.log(\"EVENT: \\n\" + JSON.stringify(event, null, 2)) \n return context.logStreamName \n }\n```\nJava\n\n```\n# Example handler method in Java\npackage example;\nimport com.amazonaws.services.lambda.runtime.Context\nimport com.amazonaws.services.lambda.runtime.RequestHandler\nimport com.amazonaws.services.lambda.runtime.LambdaLogger\n// Handler value: example.Handler\npublic class Handler implements RequestHandler, String>{ \n Gson gson = new GsonBuilder().setPrettyPrinting().create(); \n \n @Override \n public String handleRequest(Map event, Context context) \n { \n LambdaLogger logger = context.getLogger(); \n String response = new String(\"200 OK\"); \n logger.log(\"EVENT: \" + gson.toJson(event)); \n return response; \n }\n}\n```\n\n```\nC#\n```\n\n```\n// Example handler method in C#\nusing Amazon.Lambda.Core;\n// Assembly attribute to enable the Lambda function's JSON input to be converted \n into a .NET class.\n[assembly: \n LambdaSerializer(typeof(Amazon.Lambda.Serialization.SystemTextJson.DefaultLambdaJsonSerializer))]\nnamespace HelloWorld;\npublic class Function\n```", - "page_start": 57, - "page_end": 57, - "source_file": "serverless-core.pdf" - }, - { - "text": "**Tip:** If you are updating from V7.8 or later code, the 30-minute wait period can be adjusted by using the **applysoftware** CLI command with the -**delay (mins)** parameter to begin the update instead of using the GUI.\n\n| Warning |\n| --- |\n| A node failover has been detected. Information that is displayed on the panel |\n| might be out of date. Do you want to refresh the panel? |\n| Yes No |\n| Figure 40 00 Node foiloyor |\n\n*Figure 13-22 Node failover*\n\nWe now see the new V8.2.1 GUI and the status of the second node updating, as shown in Figure 13-23.\n\n| | | | Update in Progress ... | 50% Complete | | | | | Click for Details |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| IBM | IBM Storwize V7000 ITSO-V7k System | | | | | . B | (2) | superuser (Security Administrator) | > |\n| | Dashboard | | | | | | | | |\n| | | Date and Time | Update System | | | | | | |\n| | | | State: Updating | | | | | | |\n| af | Monitoring | Licensed Functions | Overall progress: 50% | | | | | | |\n| | | | Resume | Cancel | | | | | |\n| H | Pools | Update System | | | | | | | |\n| | | | Name | State | Version | | | | lli |\n| D | Volumes | VVOL | node2 | ✓ Complete | 8.2.1.0 (build 147.6.1810180824000) | | | | |\n| | | | node1 | * Updating | 8.1.3.3 (build 143.7.1810081143000) | | | | |\n| .. 0 | Hosts | IP Quorum | System | Not updated | 8.1.3.3 (build 143.7.1810081143000) | | | | |\n| F | Copy Services | I/O Groups | | | | | | | |\n| | | DNS | | | | | | | |\n| C | Access | | | | | | | | |\n| | | Transparent Cloud Tiering | | | | | | | |\n| | Settings | | Showing 3 nodes Selecting 0 nodes | | | | | | |\n| | | | Read Write Latency Oms oms oms | Read Bandwidth U MBps 0 MBps 0 MBps | Write | IOPS O Read Write | | | |\n\n*Figure 13-23 New GUI after node failover*", - "page_start": 715, - "page_end": 715, - "source_file": "sg247938.pdf" - }, - { - "text": "- 4. The procedure to generate the snap on a Storwize V7000 system, including the most recent statesave from each node canister, starts. This process might take a few minutes (see Figure 13-70).\n\n| Generating the support package to your system. This will take a while. | |\n| --- | --- |\n| Task completed. | 100% |\n| V View more details | |\n| Task started. | 3:19 PM |\n| Command to be run in background: | 3:19 PM |\n| svc_snap upload gui3 | 3:19 PM |\n| You can view the uploading status in Support Package | 3:19 PM |\n| page. | |\n| The task is 100% complete. | 3:19 PM |\n| Task completed. | 3:19 PM |\n| Cancel | |\n\n*Figure 13-70 Task detail window*\n\n# **13.9.2 Collecting logs using the CLI**\n\nThe CLI can be used to collect and upload a support package as requested by IBM Support by performing the following steps:\n\n- 1. Log in to the CLI and issue the **svc_snap** command that matches the type of snap requested by IBM Support:\n\t- Standard logs (type 1):\n\nsvc_snap upload pmr=ppppp,bbb,ccc gui1\n\n- Standard logs plus one existing statesave (type 2):\nsvc_snap upload pmr=ppppp,bbb,ccc gui2\n\n- Standard logs plus most recent statesave from each node (type 3):\nsvc_snap upload pmr=ppppp,bbb,ccc gui3\n\n- Standard logs plus new statesaves:\n\n```\nsvc_livedump -nodes all -yes\nsvc_snap upload pmr=ppppp,bbb,ccc gui3\n```", - "page_start": 751, - "page_end": 751, - "source_file": "sg247938.pdf" - }, - { - "text": "You can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, Python, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a container.\n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime that matches your programming language. For a container image, you include the runtime when you build the image.\n\n### **How to process events with a Lambda handler**\n\nConceptually, there are only three steps to processing events with Lambda:\n\n- 1. Configure the entry point to your function, known as the *handler*, and deploy the function.\n- 2. Lambda service initializes the function, then it invokes the *handler* with an invocation event and context.\n- 3. Your handler function processes the event and returns a response event.\n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, the function stays in memory, so clients and variables declared outside of the handler method can be reused.\n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety of reasons; some examples: scaling down to conserve resources, updating the function, updating the runtime.\n\nThe function **handler** is the essential component of your function code. As noted previously, the handler is the entry point, but it may not be the only function in your code. In fact, a best practice is keeping the handler sparse and doing the actual processing in other functions in your code.\n\nHere are some example **handlers**:\n\nPython\n\n```\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\n```", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - }, - { - "text": "could be listening. The handler function might create and send another event to an SNS queue so that alerts for high temperature are sent to users through SMS messages.\n\nThe function finally wraps up the JSON weather data into a new event and sends it back to API gateway. Afterward, the function continues to handle hundreds of additional requests. Request from users slow down after 2AM, so after some time the Lambda service will tear down the function execution environment to conserve resources. As a Customer, you will only be charged for function usage.", - "page_start": 38, - "page_end": 38, - "source_file": "serverless-core.pdf" - }, - { - "text": "deploy functions, invoke and test, update and package, and monitor the logs and troubleshoot errors.\n\n#### **Programming Model**\n\n- Event plus Context and Environment variables (ENV) are inputs to a Handler function\n- ENV variables\n- Runtime environment\n\n#### **Create & Deploy**\n\n- Management Console\n- Infrastructure as Code (IaC) AWS CloudFormation (CFN), AWS SAM (SAM), AWS Cloud Development Kit (AWS CDK)\n- Deploy .zip file archives when you need additional libraries, or compiled languages.\n- Versions by publishing a version of your function, you can store your code and configuration as separate stable resources\n\n#### **Invoke/Test**\n\n- Synchronous invocation\n- Testing locally and in the cloud with the help of AWS SAM templates and AWS SAM CLI\n\n#### **Update / Package**\n\n- Updating code and dependencies\n- Packaging with the help of AWS SAM templates and AWS SAM CLI\n\n#### **Monitor**\n\n- Logs in CloudWatch\n- Errors and tracing in X-Ray\n- Metrics\n\n#### **Secure**\n\n- Execution role", - "page_start": 53, - "page_end": 53, - "source_file": "serverless-core.pdf" - }, - { - "text": "efficient, perfect for data-intensive real-time applications that run across distributed devices.\n\n Tags: builder, nodejs, nodejs-10.16.3 * The source repository appears to match: nodejs * A source build using source code from https://github.com/sclorg/nodejs-ex will be created * The resulting image will be pushed to image stream tag \"nodejs-ex:latest\" * Use 'start-build' to trigger a new build * This image will be deployed in deployment config \"nodejs-ex\" * Port 8080/tcp will be load balanced by service \"nodejs-ex\" * Other containers can access this service through the hostname \"nodejs-ex\" --> Creating resources with label name=myapp ... imagestream.image.openshift.io \"nodejs-ex\" created buildconfig.build.openshift.io \"nodejs-ex\" created deploymentconfig.apps.openshift.io \"nodejs-ex\" created service \"nodejs-ex\" created --> Success Build scheduled, use 'oc logs -f bc/nodejs-ex' to track its progress. Application is not exposed. You can expose services to the outside world by executing one or more of the commands below: 'oc expose svc/nodejs-ex' Run 'oc status' to view your app.\n\n4. Run the **oc status** command to verify the status of the project, as shown in Example 7-4.\n\n*Example 7-4 Run oc status command*\n\n```\n# oc status\n```\nIn project nodejs (nodejs-example) on server https://ocp.domain.example.com:8443\n\n```\nsvc/nodejs-ex - 172.30.186.102:8080\n dc/nodejs-ex deploys istag/nodejs-ex:latest <-\n bc/nodejs-ex source builds https://github.com/sclorg/nodejs-ex on openshift/nodejs:10 \n deployment #1 pending 6 seconds ago\n```\n3 infos identified, use 'oc status --suggest' to see details.\n\n5. Expose the nodejs-ex service, as shown in Example 7-5.\n\n*Example 7-5 Expose nodejs-ex*\n\n| # oc get svc | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| NAME TYPE | | CLUSTER-IP | EXTERNAL-IP | PORT(S) | AGE | |\n| nodejs-ex ClusterIP | | 172.30.186.102 | | 8080/TCP | 7m | |\n| # oc expose svc/nodejs-ex --hostname=myapp.apps.domain.example.com | | | | | | |\n| route.route.openshift.io/nodejs-ex exposed | | | | | | |\n| # oc get routes | | | | | | |\n| NAME HOST/PORT PATH SERVICES | | | PORT | TERMINATION | WILDCARD | |\n| nodejs-ex | myapp.apps.domain.example.com nodejs-ex | | | 8080-tcp | | None |\n\n**Note:** The **oc expose** command supports generating only unsecured routes. For generating secured (edge, pass-through, re-encrypt) routes, use the **oc create route** command.", - "page_start": 180, - "page_end": 180, - "source_file": "sg248459.pdf" - }, - { - "text": "- 5. Click in the **Filter** box and enter snap to see a list of snap files, as shown in Figure 13-72. Locate the exact name of the snap that was generated by using the **svc_snap** command that was issued earlier. Select that file, and click **Download**.\n\n| Select Support Package or Logs to Download | | | | | × |\n| --- | --- | --- | --- | --- | --- |\n| You can select a previously created support package or individual logs to download. | | | | | |\n| > )হা Contains snap × node2 | Default | > | | | |\n| File Name | | | → | Ili | |\n| /dumps/snap.7822DFF-2.180919.161312.log | | | | A | |\n| /dumps/snap.7822DFF-2.181031.164046.tgz | | | | H | |\n| /dumps/snap.ietd.7822DFF-2.180919.143442.tar | | | | | |\n| /dumps/snap.ietd.7822DFF-2.180919.152558.tar | | | | | |\n| 1 70 9 Showing 16 Files Selecting 1 File | | | | | |\n| (?) Need Help Cancel Download | | | | | |\n\n*Figure 13-72 Filtering on snap to download*\n\n- 6. Save the file to a folder of your choice on your workstation.\n# **13.9.3 Uploading files to the Support Center**\n\nIf you chose to not have the Storwize V7000 upload the support package automatically, it can still be uploaded for analysis from the Enhanced Customer Data Repository (ECuRep). Any uploads should be associated with a specific problem management report (PMR). The PMR is also known as a *service request* and is a mandatory requirement when uploading.", - "page_start": 753, - "page_end": 753, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At Shentel company, what determines an employees pension ?", - "target_page": 22, - "target_passage": "Pension benefits are based primarily on the employee's compensation and years of service", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## EMPLOYEE RETIREMENT AND BENEFIT PLANS\n\n11\n\nA noncontributory defined benefit retirement plan is maintained for all regular employees of the Company except those of Quest Medical. This plan was amended effective January 1, 1998 to become a cash balance pension plan. The Company's funding policy is to make the annual contributions required by applicable regulations and recommended by its actuary. The Company uses a December 31 measurement date for the plan.\n\nThe changes in the plan's projected benefit obligation (\"PBO\") as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN BENEFIT OBLIGATION: | | | | |\n| Benefit obligation, January 1 | $ | 4,170 | $ | 4,599 |\n| Service cost | | 214 | | 320 |\n| Interest cost | | 298 | | 307 |\n| Amendments | | —- | | (616) |\n| Actuarial (gain)/loss | | 529 | | (93) |\n| Benefits paid | | (333) | | (347) |\n| Benefit obligation, December 31 | $ | 4,878 | $ | 4,170 |\n\nIn December 2002, the plan was amended to reduce benefit accruals for future service by plan participants by approximately 50 percent. This amendment caused a reduction in the PBO of approximately $616,000, and is reflected as a reduction in pension expense over the estimated employee service lives.\n\nThe changes in the fair value of plan assets, funded status of the plan and the status of the prepaid pension benefit recognized, which is included in the Company's balance sheets as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN PLAN ASSETS: | | | | |\n| Fair value of plan assets, January 1 | $ | 4,383 | $ | 4,550 |\n| Actual return on plan assets | | 963 | | (750) |\n| Employer contributions | | 400 | | 930 |\n| Benefits paid | | (333) | | (347) |\n| Fair value of plan assets, December 31 | $ | 5,413 | $ | 4,383 |\n| Funded status of plan | $ | 535 | $ | 213 |\n| Unrecognized actuarial loss | | 1,941 | | 2,154 |\n| Unrecognized prior service cost | | (502) | | (539) |\n| Unrecognized net transition obligation | | (88) | | (132) |\n| Net amount recognized as other assets | $ | 1,886 | $ | 1,696 |", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "For over 100 years Shenandoah Telecommunications Company has been committed to providing outstanding service to our customers. Our employees take that same dedication after hours to make a difference in their community.\n\nWe take this opportunity to share with you, our shareholders, the stories of just a few of your dedicated employees.\n\n*Patty Pomeroy* **help people.\"**\n\nVolunteerism is in Patty Pomeroy's blood. Her grandfather was a dispatcher for the rescue squad in Middletown, VA for 25 years and her grandmother was in the ladies auxiliary. Her father was a charter member of the Middletown Rescue Squad. In 1997, Patty, a customer service representative at Shentel for four years, continued the family tradition by earning her Emergency Medical Technician certification and going to \"work\" for the Strasburg Rescue Squad. Patty is the administrator of membership recruitment and retention for the squad and is the liaison coordinator for junior squad members under 18. It is her job to make sure that new members are brought in to the squad and current members stay active.\n\n# **\"There is a great satisfaction that comes from knowing that what you can do will**\n\nJeff Beard has been an installer repairman with Shentel for almost five years. Two years ago, Jeff helped start Project Isaiah 58, a faith-based recovery ministry that reaches out to people who are struggling with addiction. Project Isaiah 58 has weekly group meetings in Winchester, Woodstock and Warrenton, VA. Jeff, who lives in Winchester, participates in the group meetings and also makes time to meet one-on-one with people who need personal attention.\n\n**\"I feel the need to reach out to people who are suffering.\"** \n\n*Jeff Beard*\n\nJohn Gardner has been with Shentel for two years as a PCS technician in Central Pennsylvania, but for almost a year of that time he was on Naval Reserve duty in Sasebo, Japan. John joined the Reserves after serving 10 years of active duty. In October 2002, he was activated under Noble Eagle-Enduring Freedom as part of the increase in security at bases around the world. John worked on Motorola radios and repeater systems while stationed in Japan. It was tough for the serviceman to be away from his wife and children, but John believes very strongly in serving his country.\n\n**\"Being in the Reserves is a way for me to be a civilian and still serve my country.\"**\n\n## *John Gardner*\n\nAt Shentel, George Brinkley, the store manager in Front Royal, VA, is known for being one of the biggest fund-raisers for the Shenandoah County American Cancer Society Relay for Life event. In his six years at the Company, George has raised nearly $20,000. In 2003, he raised $4,246 and was recognized as the top individual fund-raiser for the entire event.\n\nIn 2002, George was chairman of the parade committee for the Woodstock, VA 250th anniversary celebration. Under George's leadership, the 26-member committee worked for a year preparing for the parade, which was the largest in the town's history.\n\n**\"I just have a knack for volunteering. I want to make my community better any way I can.\"**\n\n*George Brinkley* 3 ■ 2003 ANNUAL REPORT", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### NOTE 22: PENSIONS\n\nWe have contributory and non-contributory defined benefit pension plans that are made available to most of our employees. The plans provide pensions based on years of service, years of contributions and earnings. We do not provide any non-pension post-retirement benefits. We also provide unfunded supplemental pension benefits to certain executives.\n\nThe assets of the defined benefit pension plans are held in segregated accounts isolated from our assets. We administer the defined benefit pension plans pursuant to applicable regulations, the Statement of Investment Policies and Procedures and to the mandate of the Pension Committee of the Board of Directors. The Pension Committee of the Board of Directors oversees our administration of the defined benefits pension plans, which includes the following principal areas:\n\n- overseeing the funding, administration, communication and investment management of the plans\n- selecting and monitoring the performance of all third parties performing duties in respect of the plans, including audit, actuarial and investment management services\n- proposing, considering and approving amendments to the defined benefit pension plans\n- proposing, considering and approving amendments of the Statement of Investment Policies and Procedures\n- reviewing management and actuarial reports prepared in respect of the administration of the defined benefit pension plans\n- reviewing and approving the audited financial statements of the defined benefit pension plan funds.\n\nThe assets of the defined benefit pension plans are invested and managed following all applicable regulations and the Statement of Investment Policies and Procedures, and reflect the characteristics and asset mix of each defined benefit pension plan. Investment and market return risk is managed by:\n\n- contracting professional investment managers to execute the investment strategy following the Statement of Investment Policies and Procedures and regulatory requirements\n- specifying the kinds of investments that can be held in the plans and monitoring compliance\n- using asset allocation and diversification strategies, and\n- purchasing annuities from time to time.\n\nThe funded pension plans are registered with the Office of the Superintendent of Financial Institutions and are subject to the Federal Pension Benefits Standards Act. The plans are also registered with the Canada Revenue Agency and are subject to the Canada Income Tax Act. The benefits provided under the plans and the contributions to the plans are funded and administered in accordance with all applicable legislation and regulations.\n\nSignificant estimates are involved in determining pension related balances. Actuarial estimates are based on projections of employees' compensation levels at the time of retirement. Maximum retirement benefits are primarily based on career average earnings, subject to certain adjustments. The most recent actuarial valuations were completed as at January 1, 2013.\n\nThe table below sets out the estimated present value of accrued plan benefits and the estimated market value of the net assets available to provide these benefits for our funded plans at December 31, 2013 and 2012.\n\n| | 2013 | | | 2012 |\n| --- | --- | --- | --- | --- |\n| Plan assets, at fair value | | $ 1,037 | $ | 833 |\n| Accrued benefit obligations | | 1,209 | | 1,167 |\n| Deficiency of plan assets over accrued benefit obligations | | (172) | | (334) |\n| Effect of asset ceiling limit | | (9) | | – |\n| Net deferred pension liability | $ | (181) | $ | (334) |\n| Consists of: | | | | |\n| Deferred pension asset | $ | 8 | $ | 9 |\n| Deferred pension liability | | (189) | | (343) |\n| Net deferred pension liability | $ | (181) | $ | (334) |\n\nThe table below shows our pension fund assets for the years ended 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Plan assets, January 1 | $ 833 | $ 684 |\n| Interest income | 40 | 40 |\n| Remeasurements, return on plan assets recognized in other | | |\n| comprehensive income and equity | 65 | 37 |\n| Contributions by employees | 26 | 22 |\n| Contributions by employer | 101 | 85 |\n| Benefits paid | (26) | (33) |\n| Administrative expenses paid from plan assets | (2) | (2) |\n| Plan assets, December 31 | $ 1,037 | $ 833 |\n\nThe table below shows the accrued benefit obligations arising from funded obligations for the years ended December 31, 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Accrued benefit obligations, January 1 | $ 1,167 | $ 817 |\n| Service cost | 71 | 46 |\n| Interest cost | 52 | 45 |\n| Benefits paid | (26) | (33) |\n| Contributions by employees | 26 | 23 |\n| Remeasurements, recognized in other comprehensive | | |\n| income and equity | (81) | 269 |\n| Accrued benefit obligations, December 31 | $ 1,209 | $ 1,167 |\n\nThe table below shows the effect of the asset ceiling for the years ended December 31, 2013 and 2012.\n\n| | 2013 | | 2012 | |\n| --- | --- | --- | --- | --- |\n| Asset ceiling, January 1 | $ | – | $ | – |\n| Interest income | | – | | – |\n| Remeasurements, change in asset ceiling (excluding interest | | | | |\n| income) recognized in comprehensive income and equity | (9) | | – | |\n| Effect of changes in foreign exchange rates | | – | – | |\n| Asset ceiling, December 31 | $ (9) | | $ – | |\n\nPlan assets are comprised mainly of pooled funds that invest in common stocks and bonds that are traded in an active market. The table below shows the fair value of the total pension plan assets by major category for the years ended December 31, 2013 and 2012.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Equity securities | $ 631 | $ 480 |\n| Debt securities | 403 | 348 |\n| Other – cash | 3 | 5 |\n| Total fair value of plan assets | $ 1,037 | $ 833 |", - "page_start": 121, - "page_end": 121, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### w. Employee benefits continued\n\nto maturity and currency that match, as closely as possible, the estimated future cash outflows.\n\n#### (iii) Cash bonuses\n\nCash bonuses are expensed in the statement of comprehensive income at reporting date.\n\nA liability is recognised for the amount expected to be paid if the Group has a present legal or constructive obligation to pay this amount as a result of past service provided by the Directors or employees and the obligation can be estimated reliably.\n\n#### (iv) Retirement benefit obligations\n\nContributions to defined contribution superannuation plans are recognised as an expense in the statement of comprehensive income as they become payable.\n\n#### (v) Share-based payment transactions\n\nThe Group provides benefits to employees (including Directors) in the form of share-based payments, whereby employees render services in exchange for shares or rights over shares (\"equity settled transactions\").\n\nThe fair value of these equity settled transactions is recognised as an employee benefit expense with a corresponding increase in equity. The fair value is measured at grant date and recognised over the period during which the employees become unconditionally entitled.\n\nThe fair value at grant date is determined using a Black-Scholes option pricing model that takes into account the exercise price, the term of the option, the share price at the grant date, the expected price volatility of the underlying share, the expected dividend yield and the risk free interest rate for the term of the option.\n\nUpon the exercise of the equity settled reward, the related balance of the share-based payments reserve is transferred to share capital.\n\n#### x. Dividends\n\nDividends are recognised as a liability in the period in which they are declared.\n\n#### y. Earnings per share\n\n#### (i) Basic earnings per share\n\nBasic earnings per share is calculated by dividing:\n\n- 〉 the profit attributable to owners of the Company, excluding any costs of servicing equity other than ordinary shares; and\n- 〉 by the weighted average number of ordinary shares outstanding during the financial year, adjusted for bonus elements in ordinary\n\nshares issued during the year and excluding treasury shares.\n\n#### (ii) Diluted earnings per share\n\nDiluted earnings per share adjusts the figures used in the determination of basic earnings per share to take into account:\n\n- 〉 the after income tax effect of interest and other financing costs associated with dilutive potential ordinary shares; and\n- 〉 the weighted average number of additional ordinary shares that would have been outstanding assuming the conversion of all dilutive potential ordinary shares.\n\n#### z. Contributed equity\n\nIssued ordinary share capital is classified as equity and is recognised at the fair value of the consideration received by the Group. Incremental costs directly attributable to the issue of shares and share options are recognised as a deduction, net of tax from the proceeds.\n\n#### aa. Goods and Services Tax (GST)\n\nRevenues, expenses and assets are recognised net of the amount of associated GST, unless the GST incurred is not recoverable from the taxation authority. In this case it is recognised as part of the cost of acquisition of the asset or as part of the expense.\n\nReceivables and payables are stated inclusive of the amount of GST receivable or payable. The net amount of GST recoverable from, or payable to, the taxation authority is included with other receivables or payables in the statement of financial position.\n\nCash flows are presented on a gross basis. The GST components of the cash flows arising from investing or financing activities which are recoverable from, or payable to the taxation authority, are presented as operating cash flows.\n\nCommitments and contingencies are disclosed net of the amount of GST recoverable from, or payable to, the taxation authority.\n\n#### bb. Operating segment reporting\n\nOperating segments are reported in a manner consistent with the internal reporting provided to the chief operating decision maker. The chief operating decision maker, who is responsible for allocating resources and assessing performance of the operating segments, has been identified as the Board of Directors.\n\nSegment results that are reported to the Board of Directors include items directly attributable to a segment as well as those that can be\n\nallocated on a reasonable basis. The operating segments are disclosed in Note 4.\n\n#### cc. New accounting standards and interpretations\n\n- (i) New and amended standards adopted by the Group\nThe Group did not adopt any new or revised accounting standards, amendments or interpretations from 1 July 2012 which had an effect on the financial position or performance of the Group.\n\n#### (ii) New accounting standards and interpretations not yet adopted\n\nThe Group has not elected to early adopt any new standards, amendments or interpretations that are issued but are not yet effective. Certain new accounting standards and interpretations have been published that are not mandatory for 30 June 2013 reporting periods and have not yet been applied in the financial statements. The Group's assessment of the impact of these new standards and interpretations is set out below.\n\n- 〉 AASB 9 *Financial Instruments* (effective for annual reporting periods beginning on or after 1 January 2015). AASB 9 addresses the classification, measurement and derecognition of financial assets and financial liabilities. The standard is not applicable until 1 January 2015 but is available for early adoption. When adopted, the standard will affect in particular the Group's accounting for its available-for-sale financial assets, since AASB 9 only permits the recognition of fair value gains and losses in other comprehensive income if they relate to equity investments that are not held for trading.\nThere will be no impact on the Group's accounting for financial liabilities, as the new requirements only affect the accounting for financial liabilities that are designated at fair value through profit or loss and the Group does not have any such liabilities. The de-recognition rules have been transferred from AASB 139 Financial Instruments: Recognition and Measurement and have not been changed.\n\n- 〉 AASB 10 *Consolidated Financial Statements* (effective for annual reporting periods commencing on or after 1 January 2013). AASB 10 establishes a new control model which broadens the situations when an entity is considered to be controlled by another entity and includes new guidance for applying the model to specific situations, including when acting as a manager may give control, the impact of potential voting rights and when holding less than a majority voting", - "page_start": 75, - "page_end": 75, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### **OUR BUSINESS**\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides various telecommunications services through its operating subsidiaries. These services include: wireline telephone service, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in Virginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; online information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of Virginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern Shenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; wireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, Virginia to the Harrisburg, York and Altoona, Pennsylvania markets.\n\n#### **ANNUAL MEETING**\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The meeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company's offices at the Shentel Center, 500 Mill Road, Edinburg, Virginia.\n\n#### **FORMS 10-K, 10-Q, and 8-K**\n\n**The Company files periodic reports with the Securities and Exchange Commission. The Company's Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any amendments to these reports, are available to shareholders through the Company's website, www.shentel.com. This website also has recent news releases and other information potentially of interest to shareholders.**\n\n**A copy of the Company's Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia 22824, Attention: Secretary.**\n\n#### **MARKET AND DIVIDEND INFORMATION**\n\nThe Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below: The Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low closing prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below:\n\n| | | | | | | | 2003 | 2003 | | | | | | | | | | | | | 2002 | 2002 | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Qtr. 1 Quarter 1 Quarter 1 | | | | Qtr. 2 Quarter 2 Quarter 2 2003 | | | Qtr. 3 Quarter 3 | Quarter 3 | Qtr. 4 Quarter 4 | Quarter 4 | | Quarter 1 | Quarter 1 | Qtr. 1 | | Quarter 2 | | Qtr. 2 Quarter 2 | | Quarter 3 2002 | | Qtr. 3 Quarter 3 | | Quarter 4 | Qtr. 4 Quarter 4 |\n| High price High price | $ | $ Quarter 1 24.31 $ 24.31 | | $ | $ $ | Quarter 2 24.98 24.98 | 24.98 | $ $ $ | $ | Quarter 3 25.48 25.48 25.48 | $ $ $ | Quarter 4 27.50 27.50 | $ | Quarter 1 | $ $ 20.06 | 20.06 | $ | Quarter 2 $ $ $ 27.25 | | | 27.25 27.25 | Quarter 3 $ | $ $ $ 27.25 | 27.25 27.25 | | Quarter 4 $ 25.95 $ | $ 25.95 |\n| High price | | $ | 24.31 | | $ | | 24.98 | | $ | 25.48 | $ | 27.50 | $ | | 20.06 | | $ | 27.25 | | | $ | | 27.25 | | | $ 25.95 | |\n| Low price Low price | $ | $ $ 13.64 13.64 | | $ | $ $ | 14.33 14.33 | 14.33 | $ $ $ | $ | 19.25 19.25 19.25 | $ 19.74 $ | $ 19.74 | $ | | $ $ 16.50 | 16.50 | $ | $ $ | 19.69 | $ | 19.69 19.69 | $ 22.75 | $ | $ 22.75 $ 22.75 $ 22.75 | $ | $ $ 21.61 $ | 21.61 21.61 |\n\nLow price $ 13.64 $ 14.33 $ 19.25 $ 19.74 $ 16.50 $ 19.69 $ 22.75 $ 21.61 All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. *All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004.*\n\nAll share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid.\n\npaid. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nAs of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nEdinburg, VA 22824 Richmond, VA 23219\n\n#### **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR CORPORATE HEADQUARTERS**\n\nShenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Shenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Edinburg, VA 22824 Richmond, VA 23219 Shenandoah Telecommunications Company 124 South Main Street Edinburg, VA 22824 124 South Main Street 1021 East Cary Street\n\n **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR**\n\n#### **SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS**\n\n**SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS** CALL (540) 984-5200\n\nCALL (540) 984-5200 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Edinburg, VA 22824\n\nEdi b VA 22824\n\n*This Annual Report to Shareholders contains forward-looking statements. These statements are subject to certain risks and uncertainties that could cause actual results to differ materially from those anticipated in the forward-looking statements. Factors that might cause such a difference include, but are not limited to: changes in the interest rate environment; management's business strategy; national, regional, and local market conditions; and legislative and regulatory conditions. Readers should not place undue reliance on forward-looking statements which reflect management's view only as of the date hereof. The Company undertakes no obligation to publicly revise these forward-looking statements to reflect subsequent events or circumstances, except as required by law.*", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 9. Retirement Plans (Continued)**\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 thousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively.\n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named executives. The plan was established to provide retirement benefits in addition to those provided under the Retirement Plan that covers all employees. The following table presents the actuarial information for the plan.\n\n| | 2003 2003 | |\n| --- | --- | --- |\n| Change in benefit obligation: | (in thousands) (in thousands) | |\n| Benefit obligation, beginning | $ $ | - |\n| Service cost | | 22 |\n| Interest cost | | 23 |\n| Actuarial loss | | 278 |\n| Plan adoption | | 546 |\n| Benefit obligation, ending | $ 869 | |\n| Funded status | $ (869) | |\n| Unrecognized net loss | 278 | |\n| Additional minimum liability | (380) | |\n| Intangible asset | 380 | |\n| Unrecognized prior service cost | 521 | |\n| Accrued benefit cost | $ (70) | |\n| Components of net periodic benefit costs: | | |\n| Service cost | $ 22 | |\n| Interest cost | 23 | |\n| Amortization of prior service costs | 25 | |\n| Net periodic benefit cost | $ 70 | |\n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted of the following at December 31, 2003:\n\n| | 2003 |\n| --- | --- |\n| Discount rate | 6.00% |\n| Rate of increase in compensation levels | 4.50% |\n\n#### **Note 10. Stock Incentive Plan**\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the \"Plan\"), providing for the grant of incentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options to purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all grants has been at the current market price at the time of the grant. The grants have generally provided that one-half of the options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five years after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period beginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant after each anniversary date through the eighth year, with the options expiring after ten years.\n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the following weighted average assumptions:", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### (In thousands, except per share amounts)\n\n#### Salary Continuation Benefits\n\nThe Company has agreements with certain retirees of acquired companies to pay monthly retirement benefits through fiscal 2020.\n\nThe following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in\n\nJune 30, **2012** 2011 Projected benefit obligations **$ 47,151** $ 53,490 Accumulated benefit obligations **47,151** 43,528 Fair value of plan assets **6,439** 6,056\n\nYear Ended June 30, **2012--** 2011-- 2010-- **2012--** 2011-- 2010-- Service cost **$ 289** $ 460 $ 574 **$ 30** $ 39 $ 52 Interest cost **2,047** 2,232 2,911 **237** 235 259 Expected return on plan assets **(396 )** (385 ) (351 ) — — — Recognized net actuarial loss (gain) **644** 1,449 924 **(72 )** (83 ) (87 ) Amortization of prior service cost **412** 710 797 **139** 139 148 Recognition of prior service cost upon plan curtailment **3,117** — — — — — Net periodic cost **$ 6,113** $ 4,466 $ 4,855 **$ 334** $ 330 $ 372\n\nThe estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $735 and $83, respectively. The estimated net actuarial gain and prior service cost for the retiree health care benefits that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $(53) and $107, respectively.\n\nThe discount rate is used to determine the present value of future payments. In general, the Company's liability increases as the discount rate decreases and decreases as the discount rate increases. The Company computes a weighted-average discount rate taking into account anticipated plan payments and the associated interest rates from the Citigroup Pension Discount Yield Curve. The weighted-average actuarial assumptions used to determine benefit obligations and net periodic benefit cost for the plans were\n\nJune 30, **2012** 2011 **2012** 2011\n\nDiscount rate **2.8 %** 4.5 % **4.0 %** 5.5 % Rate of compensation increase **N/A** 5.5 % **N/A** N/A\n\nDiscount rate **3.5 %** 4.3 % **5.5 %** 5.5 % Expected return on plan assets **7.5 %** 7.5 % **N/A** N/A Rate of compensation increase **5.5 %** 5.5 % **N/A** N/A\n\nDue to freezing participant benefits in the SERP plan, the rate of compensation increase is no longer applicable. The assumed health care cost trend rates used in measuring the accumulated benefit obligation for retiree health care benefits were 7.5% and 8% as of\n\nEffect on total service and interest cost components of periodic expense $ 48 $ (39 ) Effect on postretirement benefit obligation 854 (701 )\n\nA one-percentage point change in the assumed health care cost trend rates would have had the following effects as of June 30,\n\nPension Benefits\n\nPension Benefits Retiree Health Care Benefits\n\nPension Benefits Retiree Health Care Benefits\n\nOne-Percentage Point Increase Decrease\n\nexcess of plan assets:\n\nAssumptions\n\nas follows:\n\nAssumptions used to determine benefit obligations at year end:\n\nJune 30, 2012 and 2011, respectively, decreasing to 5% by 2018.\n\n2012 and for the year then ended:\n\nAssumptions used to determine net periodic benefit cost:\n\nThe net periodic costs are as follows:\n\nRetiree Health Care Benefits \n\n> The Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. Premium payments are based upon current insurance rates for the type of coverage provided and are adjusted annually. Certain monthly health care premium payments are partially subsidized by the Company. Additionally, in conjunction with a fiscal 1998 acquisition, the Company assumed the obligation for a postretirement medical benefit plan which provides health care benefits to eligible retired associates at no cost to the individual.\n\nThe Company uses a June 30 measurement date for all plans.\n\nThe following table sets forth the changes in benefit obligations and plan assets during the year and the funded status for the postemployment plans at June 30:\n\n| | | | | Pension Benefits | | | Retiree Health Care Benefits | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | 2012 | | 2011 | | 2012 | | 2011. |\n| Change in benefit obligation: | | | | | | | | |\n| Benefit obligation at beginning of the year | $ | 53,490 | $ | 51,114 | $ | 4,667 | $ | 4,593 |\n| Service cost | | 289 | | 460 | | 30 | | 39 |\n| Interest cost | | 2,047 | | 2,232 | | 237 | | 235 |\n| Plan participants' contributions | | — | | — | | 47 | | 37 |\n| Benefits paid | | (4,144 ) | | (1,856 ) | | (256 ) | | (227 ) |\n| Amendments | | 150 | | 151 | | — | | — |\n| Actuarial loss (gain) during year | | 4,179 | | 1,389 | | 423 | | (10 ) |\n| Curtailment | | (8,860 ) | | — | | — | | — |\n| Benefit obligation at end of year | $ | 47,151 | $ | 53,490 | $ | 5,148 | $ | 4,667 |\n| Change in plan assets: | | | | | | | | |\n| Fair value of plan assets at beginning of year | $ | 6,056 | $ | 5,229 | $ | — | $ | — |\n| Actual (loss) gain on plan assets | | (30 ) | | 984 | | — | | — |\n| Employer contributions | | 4,557 | | 1,699 | | 209 | | 190 |\n| Plan participants' contributions | | — | | — | | 47 | | 37 |\n| Benefits paid | | (4,144 ) | | (1,856 ) | | (256 ) | | (227 ) |\n| Fair value of plan assets at end of year | $ | 6,439 | $ | 6,056 | $ | — | $ | — |\n| Funded status at end of year | $ | (40,712 ) | $ | (47,434 ) | $ | (5,148 ) | $ | (4,667 ) |\n\nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the postemployment plans were as follows:\n\n| | | | | Pension Benefits | | | Retiree Health Care Benefits | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| June 30, | | 2012 | | 2011 | | 2012 | | 2011. |\n| Amounts recognized in the consolidated balance sheets: | | | | | | | | |\n| Other current liabilities | $ | 6,018 | $ | 4,151 | $ | 220 | $ | 220 |\n| Postemployment benefits | | 34,694 | | 43,283 | | 4,928 | | 4,447 |\n| Net amount recognized | | 40,712 | $ | 47,434 | $ | 5,148 | $ | 4,667 |\n| Amounts recognized in accumulated other comprehensive income (loss): | | | | | | | | |\n| Net actuarial (loss) gain | | (10,112 ) | $ | (15,012 ) | $ | 398 | $ | 892 |\n| Prior service cost | | (279 ) | | (3,808 ) | | (135 ) | | (274 ) |\n| Total amounts recognized in accumulated other comprehensive income (loss) | | (10,391 ) | $ | (18,820) | $ | 263 | $ | 618 |\n\n25358_AIT_Report_WT.indd 32 8/23/12 8:33 AM", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "### **PEOPLE OF SHENTEL**\n\nTarinda Showman has worked part-time in the Shentel Communications Center since she was a summer intern in 1998. She initially joined the Conicville, VA Volunteer Fire Department to help raise funds, but when she ran her first emergency call she was hooked. During her six years in the Department, she served a two-year stint as captain and currently holds the office of secretary. In 1999, she joined the Mount Jackson, VA Rescue Squad. Each week she pulls two 12-hour shifts with the rescue squad and spends at least 10 hours at the fire department.\n\n**\"I do it because one day it might be my family. It's always somebody's family.\"**\n\n#### *Tarinda Showman*\n\nDuring his 36 years at Shentel, David Ferguson, Vice President-Customer Services, has been involved in a variety of community, civic and church organizations such as the Woodstock Rotary Club, the American Cancer Society and the March of Dimes. David is a charter member of the Board of Directors of the Shenandoah County Free Clinic and served as chairman of the fund-raising drive. The clinic opened its doors in June 2002, offering medical, dental and pharmaceutical services to county citizens who would not otherwise receive these services. In the first six months, more than 300 patients were served.\n\nFor their work at the clinic, David and his wife, Janet, received the Unsung Hero Award from Governor Mark Warner in 2003, and David earned the 2003 Beyond the Call Award from the United States Telecommunications Association.\n\n*David Ferguson*\n\n#### **\"It is so rewarding - you can see it on the faces of the people.\"**\n\nBrian Bosley, a Sprint PCS business-to-business sales representative with Shentel for the past three years, has always enjoyed sports. He takes his passion, knowledge and experience in sports, and volunteers his time with young people in his community. Brian has been active in the very successful Bridgewater, Virginia Community Little League program for the past four years. He currently serves as vice president of the Girls Minor League Softball. Brian also finds time to coach his daughters' T-ball and basketball teams.\n\n**\"I get a great sense of satisfaction from teaching kids and watching them grow and learn.\"**\n\n#### *Brian Bosley*\n\nCindy Rinker, corporate content editor at Shentel since October 2002, was recently named the 2004 chairman of the Woodstock, Virginia Downtown Enhancement Committee's Promotion Committee. The Downtown Enhancement group was established to find ways to revitalize downtown Woodstock. As a member for the past four years, Cindy has helped develop, plan and promote an impressive list of events from Light Up Woodstock at Christmastime to a street dance in spring, to Halloween on Court Square in October. The ultimate goal is to create a downtown area that is lively, attractive and reflective of Woodstock's important historical significance to the Shenandoah Valley and the Commonwealth of Virginia.\n\n**\"It is important to preserve the beauty and history of this area for the generations to come.\"**\n\n*Cindy Rinker*", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "### NOTE 11: LEASES\n\nPlan Assets\n\nallocation as of June 30:\n\nEquity securities do not include any Company common stock.\n\nfive years and in the aggregate for the subsequent five years:\n\nthe target asset allocation of the pension portfolio.\n\nAsset Class:\n\nCash Flows\n\nEmployer Contributions\n\nEstimated Future Benefit Payments\n\nThe fair value of each major class of plan assets for the Company's Qualified Benefit Retirement Plan are valued using quoted market prices in active markets for identical instruments, or Level 1 in the fair value hierarchy. Following are the fair values and target\n\nEquity securities 40 – 70% **$ 3,735** $ 3,876 Debt securities 20 – 50% **2,382** 1,756 Other 0 – 20% **322** 424 Total 100% **$ 6,439** $ 6,056\n\nThe Company has established an investment policy and regularly monitors the performance of the assets of the trust maintained in conjunction with the Qualified Defined Benefit Retirement Plan. The strategy implemented by the trustee of the Qualified Defined Benefit Retirement Plan is to achieve long-term objectives and invest the pension assets in accordance with ERISA and fiduciary standards. The long-term primary objectives are to provide for a reasonable amount of long-term capital, without undue exposure to risk; to protect the Qualified Defined Benefit Retirement Plan assets from erosion of purchasing power; and to provide investment results that meet or exceed the actuarially assumed long-term rate of return. The expected long-term rate of return on assets assumption was developed by considering the historical returns and the future expectations for returns of each asset class as well as\n\nThe Company expects to contribute $6,000 to its pension benefit plans and $240 to its retiree health care benefit plans in\n\nThe following benefit payments, which reflect expected future service, as applicable, are expected to be paid in each of the next\n\n2013 $ 6,200 $ 240 2014 5,900 240 2015 5,700 240 2016 4,500 240 2017 1,700 260 2018 through 2022 15,200 1,420\n\n2013. Contributions do not equal estimated future payments as certain payments are made from plan assets.\n\nDuring Fiscal Years Pension Benefits\n\nTarget Allocation Fair Value\n\n**2012** 2011\n\nRetiree Health Care\n\nBenefits\n\nThe Company leases its corporate headquarters facility along with many service center and distribution center facilities, vehicles and equipment under non-cancelable lease agreements accounted for as operating leases. The minimum annual rental commitments under non-cancelable operating leases as of June 30, 2012 are as follows:\n\n| During Fiscal Years | | |\n| --- | --- | --- |\n| 2013 | $ | 23,500 |\n| 2014 | | 18,000 |\n| 2015 | | 14,300 |\n| 2016 | | 9,600 |\n| 2017 | | 5,100 |\n| Thereafter | | 11,100 |\n| Total minimum lease payments | $ | 81,600 |\n\nRental expenses incurred for operating leases, principally from leases for real property, vehicles and computer equipment were $31,200 in 2012, $31,400 in 2011 and $30,700 in 2010.\n\n### NOTE 12: SEGMENT AND GEOGRAPHIC INFORMATION\n\nThe Company's reportable segments are: Service Center Based Distribution and Fluid Power Businesses. The Service Center Based Distribution segment provides customers with solutions to their maintenance, repair and original equipment manufacturing needs through the distribution of industrial products including bearings, power transmission components, fluid power components, industrial rubber products, linear motion products, safety products, general maintenance and a variety of mill supply products. The Fluid Power Businesses segment distributes fluid power components and operates shops that assemble fluid power systems and components, performs equipment repair, and offers technical advice to customers.\n\nThe accounting policies of the Company's reportable segments are generally the same as those described in Note 1. Sales primarily from the Fluid Power Businesses segment to the Service Center Based Distribution segment of $18,097, $17,665 and $14,006, in fiscal 2012, 2011 and 2010, respectively, have been eliminated in the table below.\n\n#### Segment Financial Information\n\n| | Service Center | | Fluid Power | |\n| --- | --- | --- | --- | --- |\n| | Based Distribution | | Businesses | Total |\n| Year Ended June 30, 2012 | | | | |\n| Net sales | $ | 1,904,564 | $ 470,881 | $ 2,375,445 |\n| Operating income for reportable segments | | 135,240 | 43,236 | 178,476 |\n| Assets used in the business | | 731,915 | 230,268 | 962,183 |\n| Depreciation and amortization of property | | 9,403 | 1,833 | 11,236 |\n| Capital expenditures | | 24,339 | 1,682 | 26,021 |\n| Year Ended June 30, 2011 | | | | |\n| Net sales | $ | 1,770,798 | $ 442,051 | $ 2,212,849 |\n| Operating income for reportable segments | | 115,798 | 41,793 | 157,591 |\n| Assets used in the business | | 700,486 | 214,445 | 914,931 |\n| Depreciation and amortization of property | | 9,152 | 2,082 | 11,234 |\n| Capital expenditures | | 19,392 | 1,039 | 20,431 |\n| Year Ended June 30, 2010 | | | | |\n| Net sales | $ | 1,536,543 | $ 356,665 | $ 1,893,208 |\n| Operating income for reportable segments | | 77,029 | 26,794 | 103,823 |\n| Assets used in the business | | 690,970 | 200,550 | 891,520 |\n| Depreciation and amortization of property | | 9,336 | 2,129 | 11,465 |\n| Capital expenditures | | 6,389 | 827 | 7,216 |\n\n25358_AIT_Report_WT.indd 35 8/23/12 8:33 AM", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_AIT_2012.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At the end of 2003, how many available-for-sales investments did Shenandoah company count in its portfolio ?", - "target_page": 53, - "target_passage": "The Company’s available-for-sale portfolio at December 31, 2003 is made up of two investments", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES CONSOLIDATED BALANCE SHEETS**\n\n## **December 31, 2003, 2002 and 2001**\n\n*in thousands*\n\n| ASSETS (Note 5) | 2003 | | 2002 | | 2001 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Current Assets | | | | | | |\n| Cash and cash equivalents | $ | 28,696 | $ | 2,209 | $ | 2,037 |\n| Accounts receivable, net (Notes 1 and 8) | | 6,488 | | 7,536 | | 5,739 |\n| Income taxes receivable | | 1,526 | | 12 | | 1,205 |\n| Materials and supplies | | 2,062 | | 1,787 | | 2,934 |\n| Prepaid expenses and other | | 1,669 | | 2,205 | | 1,146 |\n| Deferred income taxes (Note 6) | | 522 | | 1,197 | | 575 |\n| Assets held for sale (Note 2) | | - | | 5,548 | | 2,973 |\n| Total current assets | $ | 40,963 | $ | 20,494 | | $ 16,609 |\n| Securities and Investments (Notes 3 and 8) | | | | | | |\n| Available-for-sale securities | $ | 199 | $ | 151 | | $ 12,025 |\n| Other investments | | 7,268 | | 7,272 | | 6,438 |\n| Total securities and investments | $ | 7,467 | $ | 7,423 | | $ 18,463 |\n| Property, Plant and Equipment | | | | | | |\n| Plant in service (Note 4) | | $ 197,431 | | $184,069 | | $154,345 |\n| Plant under construction | | 2,261 | | 5,209 | | 14,960 |\n| | | $ 199,692 | | $189,278 | | $169,305 |\n| Less accumulated depreciation | | 72,006 | | 57,126 | | 44,473 |\n| Net property, plant and equipment | | $ 127,686 | | $132,152 | | $124,832 |\n| Other Assets | | | | | | |\n| Assets held for sale (Note 2) | $ | - | $ | - | $ | 3,272 |\n| Cost in excess of net assets of business acquired | | 5,105 | | 5,105 | | 5,105 |\n| Deferred charges and other assets (Notes 1 and 2) | | 5,999 | | 667 | | 1,452 |\n| | $ | 11,104 | $ | 5,772 | $ | 9,829 |\n| Less accumulated amortization | 1,856 | | | 1,837 | | 2,361 |\n| Net other assets | $ 9,248 | | $ 3,935 | | $ 7,468 | |\n| Total assets | $ 185,364 | | $164,004 | | $167,372 | |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES CONSOLIDATED STATEMENTS OF CASH FLOWS**\n\n## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands*\n\n| | 2003 | 2002 | | 2001 |\n| --- | --- | --- | --- | --- |\n| Cash Flows from Operating Activities | | | | |\n| Income (loss) from continuing operations | $ 9,761 | $ (2,893) | $ | 9,694 |\n| Adjustments to reconcile net income to net cash | | | | |\n| provided by operating activities: | | | | |\n| Depreciation | 16,612 | 14,476 | | 10,540 |\n| Amortization | 19 | 6 | | 723 |\n| Deferred income taxes | 5,664 | 289 | | 8,666 |\n| Loss on disposal of assets | 348 | 739 | | 506 |\n| Net (gain) loss on disposal of investments | 3 | 9,034 | | (14,162) |\n| Net (gain) loss from patronage and equity | | | | |\n| investments | 52 | 393 | | 789 |\n| Other | 403 | 443 | | 987 |\n| Changes in assets and liabilities: | | | | |\n| (Increase) decrease in: | | | | |\n| Accounts receivable | 1,069 | (1,797) | | (864) |\n| Materials and supplies | (275) | 1,147 | | (307) |\n| Increase (decrease) in: | | | | |\n| Accounts payable | (275) | 1,067 | | (3,968) |\n| Other prepaids, deferrals and accruals | (2,778) (2,780) | 120 | | (2,263) |\n| Net cash provided by operating activities | $ $30,601 30,599 | $ 23,024 | | $ 10,341 |\n| Cash Flows From Investing Activities | | | | |\n| Purchase and construction of plant and equipment, net | | | | |\n| of retirements | $ (12,476) | $ (22,612) | $ | (27,972) |\n| Purchase of investment securities | (796) | (1,775) | | (1,250) |\n| Proceeds from sale of equipment | 109 | 77 | | 482 |\n| Proceeds from sale of radio spectrum license | - | - | | 1,133 |\n| Proceeds from investment activities (Note 3) | 714 | 3,301 | | 5,842 |\n| Net cash used in investing activities | $ (12,449) | $ (21,009) | | $ (21,765) |\n\n(Continued)", - "page_start": 17, - "page_end": 17, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES CONSOLIDATED STATEMENTS OF SHAREHOLDERS' EQUITY AND COMPREHENSIVE INCOME**\n\n## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands, except per share amounts*\n\n| | | | Accumulated | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | Other | | | |\n| | | Common | Retained Comprehensive | | | |\n| | Shares | Stock | Earnings Income (loss) | | | Total |\n| Balance, January 1, 2001 | 7,518 | $4,817 | $ 55,873 | $5,645 | | $ 66,335 |\n| Comprehensive income: | | | | | | |\n| Net income | - | - | 16,372 | | - | 16,372 |\n| Net unrealized change in | | | | | | |\n| securities available-for-sale, net | | | | | | |\n| of tax of $3,482 | - | - | - | (5,603) | | (5,603) |\n| Total comprehensive income | | | | | | $ 10,769 |\n| Dividends declared ($0.35 per share) | - | - | (2,635) | | - | (2,635) |\n| | | | | | - | |\n| Common stock issued through | | | | | | |\n| exercise of incentive stock options | 12 | 133 | - | | - | 133 |\n| Balance, December 31, 2001 | 7,530 | $4,950 | $ 69,610 $ | | 42 | $ 74,602 |\n| Comprehensive income: | - | - | 4,519 | | - | 4,519 |\n| Net income | | | | | | |\n| Net unrealized change in | | | | | | |\n| securities available-for-sale, net | | | | | | |\n| of tax of $29 | - | - | - | | (46) | (46) |\n| Total comprehensive income | | | | | | $ 4,473 |\n| Dividends declared ($0.37 per share) | - | - | (2,794) | | - | (2,794) |\n| Common stock issued through | | | | | | |\n| exercise of incentive stock | | | | | | |\n| options and stock grants | 22 | 296 | - | | - | 296 |\n| Balance, December 31, 2002 | 7,552 | $5,246 | $ 71,335 $ | | (4) | $ 76,577 |\n| Comprehensive income | | | | | | |\n| Net income | - | - | 32,074 | | - | 32,074 |\n| Net unrealized change in | | | | | | |\n| securities available-for-sale, net | | | | | | |\n| of tax of $(18) | - | - | - | | 30 | 30 |\n| Total comprehensive income | | | | | | $ 32,104 |\n| Dividends declared ($0.39 per share) | - | - | (2,960) | | | (2,960) |\n| Common stock issued through | | | | | | |\n| exercise of incentive stock | | | | | | |\n| options | 41 | 487 | - | | - | 487 |\n| Balance, December 31, 2003 | 7,593 | $5,733 | $100,449 | $ | 26 | $106,208 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n\n## **2003 Financial Statements**\n\n## **INDEPENDENT AUDITOR'S REPORT**\n\nThe Board of Directors and Shareholders Shenandoah Telecommunications Company:\n\nWe have audited the accompanying consolidated balance sheets of Shenandoah Telecommunications Company and subsidiaries (the Company), as of December 31, 2003, 2002, and 2001, and the related consolidated statements of income, shareholders' equity and comprehensive income, and cash flows for the years then ended. These consolidated financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these consolidated financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of Shenandoah Telecommunications Company and subsidiaries as of December 31, 2003, 2002 and 2001, and the results of their operations and their cash flows for the years then ended, in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for goodwill in 2002. As further discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for asset retirement obligations in 2003.\n\nRichmond, Virginia February 6, 2004", - "page_start": 12, - "page_end": 12, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 1. Summary of Significant Accounting Policies**\n\n*Description of business:* Shenandoah Telecommunications Company and subsidiaries (the Company) provides telephone service, wireless personal communications service (PCS) under the Sprint brand name, cable television, unregulated communications equipment sales and services, Internet access, and paging services. In addition, the Company leases towers and operates and maintains an interstate fiber optic network. The Company's operations are located in the four state region surrounding the Northern Shenandoah Valley of Virginia. Pursuant to a management agreement with Sprint Communications Company and its related parties (collectively, \"Sprint\"), the Company is the exclusive PCS Affiliate of Sprint providing wireless mobility communications network products and services in the geographic area extending from Altoona, Harrisburg and York, Pennsylvania, south through Western Maryland, and the panhandle of West Virginia, to Harrisonburg, Virginia. The Company is licensed to use the Sprint brand name in this territory, and operates its network under the Sprint radio spectrum license (Note 7). A summary of the Company's significant accounting policies follows:\n\n*Stock split:* All share and per share information reflect the two for one stock split announced in October 2003, to shareholders of record as of the close of business on January 30, 2004. The additional shares were distributed on February 20, 2004. The effective date of the split is February 23, 2004. All previously reported share and per share data included herein are retroactively adjusted to reflect the split.\n\n*Principles of consolidation:* The consolidated financial statements include the accounts of all wholly owned subsidiaries and other entities where effective control is exercised. All significant intercompany balances and transactions have been eliminated in consolidation.\n\n*Use of estimates:* Management of the Company has made a number of estimates and assumptions related to the reporting of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the consolidated financial statements and the reported amounts of revenues and expenses during the reporting periods. Management reviews its estimates, including those related to recoverability and useful lives of assets as well as liabilities for income taxes and pension benefits. Changes in facts and circumstances may result in revised estimates and actual results could differ from those reported estimates.\n\n*Cash and cash equivalents:* The Company considers all temporary cash investments purchased with a maturity of three months or less to be cash equivalents. The Company places its temporary cash investments with high credit quality financial institutions. At times, these investments may be in excess of FDIC insurance limits. Cash and cash equivalents were $28.7million, $2.2 million, and $2.0 million at December 31, 2003, 2002 and 2001, respectively.\n\n*Accounts receivable:* Accounts receivable are recorded at the invoiced amount and do not bear interest. The allowance for doubtful accounts is the Company's best estimate of the amount of probable credit losses in the Company's existing accounts receivable. The Company determines the allowance based on historical write-off experience and by industry and national economic data. The Company reviews its allowance for doubtful accounts monthly. Past due balances meeting specific criteria are reviewed individually for collectibility. All other balances are reviewed on a pooled basis. Account balances are charged off against the allowance after all means of collection have been exhausted and the potential for recovery is considered remote. Accounts receivable are concentrated among customers within the Company's geographic service area and large telecommunications companies. The Company's allowance for uncollectable receivables related to continuing operations was $477 thousand, $914 thousand and $650 thousand at December 31, 2003, 2002 and 2001, respectively.\n\n*Securities and investments:* The classifications of debt and equity securities are determined by management at the date individual investments are acquired. The appropriateness of such classification is continually reassessed. The Company monitors the fair value of all investments, and based on factors such as market conditions, financial information and industry conditions, the Company will reflect impairments in values as is warranted. The classification of those securities and the related accounting policies are as follows:\n\n*Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted market prices. Unrealized holding gains and losses, net of the related tax effect, are excluded from earnings and are reported as a separate component of other comprehensive", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "is the intent of the Company to evaluate whether to hold or sell parts or all of each investment on an individual basis. At December 31, 2003, the Company had external investments totaling $7.5 million.\n\nIn 2004, the Company anticipates taking advantage of a conversion feature on its Rural Telephone Bank stock. The Company will convert a portion of its holdings into a different class of stock that will pay cash dividends each year. The bank declares a dividend rate that varies, each year. The range of the dividend has been between 4.2% and 5.65% over the last 5 years. The rate in the two most recent years was 4.2%. This transaction is estimated to provide the Company with approximately $0.3 million in dividend income each year, based on the 2003 dividend rate of 4.2% and assuming we had converted the stock at the beginning of 2003.\n\n#### **Financial Condition, Liquidity and Capital Resources**\n\nThe Company has four principal sources of funds available to meet the financing needs of its operations, capital projects, debt service, investments and potential dividends. These sources include cash flows from operations, cash and cash equivalents, the liquidation of investments and borrowings. Management routinely considers the alternatives available to determine what mix of sources are best suited for the long-term benefit of the Company.\n\nDuring the 2003 year, with the closing of the sale of the Virginia 10 RSA Limited partnership interest, the Company evaluated its capital requirements, and as a result eliminated its $20.0 million revolving line of credit with CoBank in May 2003. The Company had paid off the outstanding balance in early 2003, and did not borrow on it during the remaining time the facility was in place. In light of the $27.9 million balance in cash equivalent investments, management determined additional debt capacity is not necessary for the near-term.\n\nThe term debt loan agreements with CoBank have three financial covenants. These are measured on a trailing 12-month basis and are calculated on continuing operations. The first of the covenants is the total leverage ratio, which is total debt to operating cash flow. This ratio must remain below 3.5, and as of December 31, 2003 it was 1.2. The second measure is equity to total assets, which must be 35% or higher. At December 31, 2003 the ratio was 57.3%. The third measure is the debt service coverage ratio, which is operating cash flow to scheduled debt service, which must exceed 2.0. At December 31, 2003 this measure was 4.3. Management believes the Company will meet these covenant measures for the coming year. The Company has pledged all of its affiliates capital stock as collateral for the CoBank loans.\n\nThe Company's covenants on the RUS/RTB debt require the pledge of all current and future assets of the Telephone subsidiary until the debt is retired.\n\nAnother external source of funding is a $0.5 million unsecured, variable rate revolving line of credit with SunTrust Bank. This facility is in place to allow the Company to better manage its daily cash balances. The facility expires May 31, 2004. Management anticipates renewing this facility with SunTrust Bank under similar terms and conditions. At December 31, 2003 there were no balances outstanding under this facility.\n\nDue to make-whole provisions in the Company's debt agreements it is currently uneconomical for the Company to prepay any debt.\n\nThe Company is obligated to make future payments under various contracts it has entered into, including amounts pursuant to its various long-term debt facilities, and non-cancelable operating lease agreements for retail space, tower space and cell sites. Expected future minimum contractual cash obligations for the next five years and in the aggregate at December 30, 2003, are as follows:\n\n| Payments due by periods | | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (unaudited) | | Less than Less than 1 | | | After |\n| (unaudited) (in thousands) (in thousands) | Total Total | 1 year year | 1-3 years 1-3 years | 4-5 years 4-5 years | 5 years After 5 years |\n| Long-term debt principal | $ 43,346 | $ 4,230 | $ 8,898 | $ 9,552 | $ 20,666 |\n| Interest on long –term debt | 15,429 | 3,019 | 5,099 | 3,778 | 3,533 |\n| Operating leases | 12,592 | 3,216 | 4,616 | 2,229 | 2,531 |\n| Capital calls on investments | 1,790 | - | 1,790 | - | - |\n| Purchase obligations | 98 | 98 | - | - | - |\n| Total obligations | $ 73,255 | $ 10,563 | $ 20,403 | $ 15,559 | $ 26,730 |", - "page_start": 53, - "page_end": 53, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "The $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be released after February 28, 2005. There are no known claims that have been filed against the amount in escrow.\n\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the year. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of the second phase of renovations on the Shentel Center in Edinburg, Virginia.\n\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving unconsolidated, limited purpose entities or commodity contracts.\n\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for additional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and replacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers building renovations, vehicles, office equipment, and other miscellaneous capital needs.\n\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures and the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the tax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal tax payments will be due based on anticipated profits expected to be generated in the operation.\n\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of continuing operations in 2003, although there are events outside the control of the Company that could have an adverse impact on cash flows from operations. The events that could adversely impact operating cash flow results include, but are not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies, availability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon Sprint's ability to execute certain functions such as billing, customer care, and collections; their ability to develop and implement successful marketing programs and new products and services; and their ability to effectively and economically manage other operating activities under the Company's agreements with Sprint. Additionally, the Company's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from operations. These items individually and/or collectively could impact the Company's results.\n\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working capital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand, operating cash flow, and amounts expected to be available under the Company's existing financing facilities and its anticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to generate additional cash for its capital needs as market conditions allow.\n\n#### **Recently Issued Accounting Standards**\n\nIn December 2003, the FASB issued FASB Interpretation No. 46 (revised December 2003),\"Consolidation of Variable Interest Entities,\" which addresses how a business enterprise should evaluate whether it has a controlling financial interest in an entity through means other than voting rights and accordingly should consolidate the entity. FIN 46R replaces FASB Interpretation No. 46, \"Consolidation of Variable Interest Entities,\" (VIE), which was issued in January 2003. The Company will be required to apply FIN 46R to variable interests in VIEs created after December 31, 2003. For variable interests in VIEs created before January 1, 2004, the Interpretation will be applied beginning on January 1, 2005, except it must be applied in the fourth quarter of 2003 for any VIE's that are considered to be special purpose entities. For any VIEs that must be consolidated under FIN 46R that were created before January 1, 2004, the assets, liabilities and non-controlling interests of the VIE initially would be measured at their carrying amounts with any difference between the net amount added to the balance sheet and any previously recognized interest being recognized as the cumulative effect of an accounting change. If determining the carrying amounts is not practicable, fair value at the date FIN 46R first applies may be used to measure the assets, liabilities and non-controlling interest of the VIE. The Company is evaluating the impact of applying FIN 46R to existing VIEs in which it has variable interests and does not believe the application will have a material impact on the Company's consolidated financial statements.\n\nIn May 2003, the Financial Accounting Standards Board (\"FASB\") issued SFAS No. 150, \"Accounting for Certain Financial Instruments with Characteristics of Liabilities and Equity,\" which was effective at the beginning of the first interim period beginning after June 15, 2003. This Statement establishes standards for the classification and measurement of certain financial instruments with characteristics of both liabilities and equity. The Statement also includes required disclosures for financial instruments within its scope. For the Company, the Statement was effective", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **OUR BUSINESS**\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides various telecommunications services through its operating subsidiaries. These services include: wireline telephone service, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in Virginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; online information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of Virginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern Shenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; wireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, Virginia to the Harrisburg, York and Altoona, Pennsylvania markets.\n\n#### **ANNUAL MEETING**\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The meeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company's offices at the Shentel Center, 500 Mill Road, Edinburg, Virginia.\n\n#### **FORMS 10-K, 10-Q, and 8-K**\n\n**The Company files periodic reports with the Securities and Exchange Commission. The Company's Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any amendments to these reports, are available to shareholders through the Company's website, www.shentel.com. This website also has recent news releases and other information potentially of interest to shareholders.**\n\n**A copy of the Company's Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia 22824, Attention: Secretary.**\n\n#### **MARKET AND DIVIDEND INFORMATION**\n\nThe Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below: The Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low closing prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below:\n\n| | | | | | | | 2003 | 2003 | | | | | | | | | | | | | 2002 | 2002 | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Qtr. 1 Quarter 1 Quarter 1 | | | | Qtr. 2 Quarter 2 Quarter 2 2003 | | | Qtr. 3 Quarter 3 | Quarter 3 | Qtr. 4 Quarter 4 | Quarter 4 | | Quarter 1 | Quarter 1 | Qtr. 1 | | Quarter 2 | | Qtr. 2 Quarter 2 | | Quarter 3 2002 | | Qtr. 3 Quarter 3 | | Quarter 4 | Qtr. 4 Quarter 4 |\n| High price High price | $ | $ Quarter 1 24.31 $ 24.31 | | $ | $ $ | Quarter 2 24.98 24.98 | 24.98 | $ $ $ | $ | Quarter 3 25.48 25.48 25.48 | $ $ $ | Quarter 4 27.50 27.50 | $ | Quarter 1 | $ $ 20.06 | 20.06 | $ | Quarter 2 $ $ $ 27.25 | | | 27.25 27.25 | Quarter 3 $ | $ $ $ 27.25 | 27.25 27.25 | | Quarter 4 $ 25.95 $ | $ 25.95 |\n| High price | | $ | 24.31 | | $ | | 24.98 | | $ | 25.48 | $ | 27.50 | $ | | 20.06 | | $ | 27.25 | | | $ | | 27.25 | | | $ 25.95 | |\n| Low price Low price | $ | $ $ 13.64 13.64 | | $ | $ $ | 14.33 14.33 | 14.33 | $ $ $ | $ | 19.25 19.25 19.25 | $ 19.74 $ | $ 19.74 | $ | | $ $ 16.50 | 16.50 | $ | $ $ | 19.69 | $ | 19.69 19.69 | $ 22.75 | $ | $ 22.75 $ 22.75 $ 22.75 | $ | $ $ 21.61 $ | 21.61 21.61 |\n\nLow price $ 13.64 $ 14.33 $ 19.25 $ 19.74 $ 16.50 $ 19.69 $ 22.75 $ 21.61 All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. *All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004.*\n\nAll share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid.\n\npaid. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nAs of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nEdinburg, VA 22824 Richmond, VA 23219\n\n#### **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR CORPORATE HEADQUARTERS**\n\nShenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Shenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Edinburg, VA 22824 Richmond, VA 23219 Shenandoah Telecommunications Company 124 South Main Street Edinburg, VA 22824 124 South Main Street 1021 East Cary Street\n\n **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR**\n\n#### **SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS**\n\n**SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS** CALL (540) 984-5200\n\nCALL (540) 984-5200 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Edinburg, VA 22824\n\nEdi b VA 22824\n\n*This Annual Report to Shareholders contains forward-looking statements. These statements are subject to certain risks and uncertainties that could cause actual results to differ materially from those anticipated in the forward-looking statements. Factors that might cause such a difference include, but are not limited to: changes in the interest rate environment; management's business strategy; national, regional, and local market conditions; and legislative and regulatory conditions. Readers should not place undue reliance on forward-looking statements which reflect management's view only as of the date hereof. The Company undertakes no obligation to publicly revise these forward-looking statements to reflect subsequent events or circumstances, except as required by law.*", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "included in the Cash, Cash Equivalents, and Investments note included in the Notes to Consolidated Financial Statements.\n\n#### *C A P I T A L E X P E N D I T U R E I N V E S T M E N T S*\n\nCapital expenditures were $34.8 million in 2003, $25.9 million in 2002, and $36.9 million in 2001. Expenditures during 2003, 2002, and 2001 have been consistently focused on machinery and equipment needed to support new products, process improvements, and cost savings initiatives. Expenditures in 2003 also included the purchase from a related party of a previously leased hearth products plant for $3.6 million.\n\n#### *A C Q U I S I T I O N S*\n\nDuring 2001, the Company completed the acquisition of three small hearth products distributors for a total purchase price of approximately $7.6 million. The acquisitions were accounted for using the purchase method, and the results of the three distributors have been included in the Company's financial statements since the date of acquisition. On January 5, 2004, the Company completed the acquisition of Paoli Inc., a provider of wood case goods and seating, for approximately $80 million. The acquisition will be accounted for using the purchase method.\n\n#### *L O N G - T E R M D E B T*\n\nLong-term debt, including capital lease obligations, was 1% of total capitalization at January 3, 2004, 2% at December 28, 2002, and 12% at December 29, 2001. The reductions in long-term debt during 2003 and 2002 were due to the retirement of Industrial Revenue Bonds. The Company does not expect future capital resources to be a constraint on planned growth. Additional borrowing capacity of $136 million, less amounts used for designated letters of credit, is available through a revolving bank credit agreement in the event cash generated from operations should be inadequate to meet future needs. Certain of the Company's credit agreements include covenants that limit the assumption of additional debt and lease obligations. The Company has been, and currently is, in compliance with the covenants related to the debt agreements.\n\n#### *C O N T R A C T U A L O B L I G A T I O N S*\n\nThe following table discloses the Company's obligations and commitments to make future payments under contracts:\n\n#### P A Y M E N T S D U E B Y P E R I O D\n\n| | | Less than | 1 – 3 | 4 – 5 | After |\n| --- | --- | --- | --- | --- | --- |\n| (In thousands) | Total | 1 year | years | years | 5 years |\n| Long-term debt | $ 28,933 | 26,243 | 212 | 95 | 2,383 |\n| Capital lease obligations | 2,338 | 523 | 799 | 426 | 590 |\n| Operating leases | 50,750 | 13,012 | 19,166 | 9,510 | 9,062 |\n| Transportation service | | | | | |\n| contract | 9,650 | 4,794 | 4,856 | – | – |\n| Other long-term | | | | | |\n| obligations | 11,893 | 4,289 | 1,430 | 914 | 5,260 |\n| Total | $ 103,564 | 48,861 | 26,463 | 10,945 | 17,295 |\n\nOther long-term obligations includes $2,959,000 earn-out on convertible debentures included in current liabilities, $69,000 of financial guarantees with customers, and $8,865,000 of payments included in long-term liabilities, due to members who are participants in the Company's salary deferral program.\n\n#### *C A S H D I V I D E N D S*\n\nCash dividends were $0.52 per common share for 2003, $0.50 for 2002, and $0.48 for 2001. Further, the Board of Directors announced a 7.7% increase in the quarterly dividend from $0.13 to $0.14 per common share effective with the March 1, 2004, dividend payment for shareholders of record at the close of business February 20, 2004. The previous quarterly dividend increase was from $0.125 to $0.13, effective with the February 28, 2003, dividend payment for shareholders of record at the close of business on February 21, 2003. A cash dividend has been paid every quarter since April 15, 1955, and quarterly dividends are expected to continue. The average dividend payout percentage for the most recent three-year period has been 32% of prior year earnings.\n\n#### *C O M M O N S H A R E R E P U R C H A S E S*\n\nDuring 2003, the Company repurchased 762,300 shares of its common stock at a cost of approximately $21.5 million, or an average price of $28.22 per share. During 2002, the Company repurchased 614,580 shares of its common stock at a cost of approximately $15.7 million, or an average price of $25.60 per share. During 2001, the Company repurchased 1,472,937 shares at a cost of approximately $35.1 million, or an average price of $23.80 per share.\n\n#### *L I T I G A T I O N A N D U N C E R T A I N T I E S*\n\nThe Company has contingent liabilities that have arisen in the course of its business, including pending litigation, preferential payments claims in customer bankruptcies, environmental remediation, taxes, and other", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "#### **Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on the products and services each provides. Each segment is managed and evaluated separately because of differing technologies and marketing strategies.\n\nThe reporting segments and the nature of their activities are as follows:\n\n| Shenandoah Telecommunications Company (Holding) | Holding company, which invests in both affiliated |\n| --- | --- |\n| | and non-affiliated companies. |\n| Shenandoah Telephone Company (Telephone) | Provides both regulated and unregulated telephone |\n| | services and leases fiber optic facilities primarily |\n| | throughout the Northern Shenandoah Valley. |\n| Shenandoah Cable Television Company (CATV) | Provides cable television service in Shenandoah |\n| | County. |\n| ShenTel Service Company (ShenTel) | Provides Internet access to a multi-state region |\n| | surrounding the Northern Shenandoah Valley, hosts |\n| | Travel 511 for Virginia, and sells and services |\n| | telecommunication equipment. |\n| Shenandoah Valley Leasing Company (Leasing) | Finances purchases of telecommunications |\n| | equipment to customers of other segments. |\n| Shenandoah Mobile Company (Mobile) | Provides tower rental space in the Company's PCS |\n| | markets and paging services throughout the Northern |\n| | Shenandoah Valley. |\n| Shenandoah Long Distance Company (Long Distance) | Provides long distance services. |\n| Shenandoah Network Company (Network) | Leases interstate fiber optic facilities. |\n| ShenTel Communications Company (Shen Comm) | Provides DSL services as a CLEC operation. |\n| Shenandoah Personal Communications Company (PCS) | As a PCS Affiliate of Sprint, provides digital wireless |\n| | service to a portion of a four-state area covering the |\n| | region from Harrisburg, York and Altoona, |\n| | Pennsylvania, to Harrisonburg, Virginia. |\n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting policies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties.\n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows:\n\n| | | | | Consolidated | |\n| --- | --- | --- | --- | --- | --- |\n| Year | Holding | | Telephone | Totals | |\n| | | | (in thousands) | | |\n| 2003 | $ | (441) | $ 65 | $ | (376) |\n| 2002 | $ | (822) | $ 45 | $ | (777) |\n| 2001 | $ (1,218) | | $104 | $ (1,114) | |", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "What was the main reason of the decrease of customer base of the Shenandoah and Virginia 10 RSA partnership ?", - "target_page": 51, - "target_passage": "he decline was the result of competition with digital technologies and increased competition from national carriers in the area", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "The $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be released after February 28, 2005. There are no known claims that have been filed against the amount in escrow.\n\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the year. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of the second phase of renovations on the Shentel Center in Edinburg, Virginia.\n\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving unconsolidated, limited purpose entities or commodity contracts.\n\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for additional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and replacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers building renovations, vehicles, office equipment, and other miscellaneous capital needs.\n\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures and the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the tax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal tax payments will be due based on anticipated profits expected to be generated in the operation.\n\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of continuing operations in 2003, although there are events outside the control of the Company that could have an adverse impact on cash flows from operations. The events that could adversely impact operating cash flow results include, but are not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies, availability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon Sprint's ability to execute certain functions such as billing, customer care, and collections; their ability to develop and implement successful marketing programs and new products and services; and their ability to effectively and economically manage other operating activities under the Company's agreements with Sprint. Additionally, the Company's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from operations. These items individually and/or collectively could impact the Company's results.\n\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working capital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand, operating cash flow, and amounts expected to be available under the Company's existing financing facilities and its anticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to generate additional cash for its capital needs as market conditions allow.\n\n#### **Recently Issued Accounting Standards**\n\nIn December 2003, the FASB issued FASB Interpretation No. 46 (revised December 2003),\"Consolidation of Variable Interest Entities,\" which addresses how a business enterprise should evaluate whether it has a controlling financial interest in an entity through means other than voting rights and accordingly should consolidate the entity. FIN 46R replaces FASB Interpretation No. 46, \"Consolidation of Variable Interest Entities,\" (VIE), which was issued in January 2003. The Company will be required to apply FIN 46R to variable interests in VIEs created after December 31, 2003. For variable interests in VIEs created before January 1, 2004, the Interpretation will be applied beginning on January 1, 2005, except it must be applied in the fourth quarter of 2003 for any VIE's that are considered to be special purpose entities. For any VIEs that must be consolidated under FIN 46R that were created before January 1, 2004, the assets, liabilities and non-controlling interests of the VIE initially would be measured at their carrying amounts with any difference between the net amount added to the balance sheet and any previously recognized interest being recognized as the cumulative effect of an accounting change. If determining the carrying amounts is not practicable, fair value at the date FIN 46R first applies may be used to measure the assets, liabilities and non-controlling interest of the VIE. The Company is evaluating the impact of applying FIN 46R to existing VIEs in which it has variable interests and does not believe the application will have a material impact on the Company's consolidated financial statements.\n\nIn May 2003, the Financial Accounting Standards Board (\"FASB\") issued SFAS No. 150, \"Accounting for Certain Financial Instruments with Characteristics of Liabilities and Equity,\" which was effective at the beginning of the first interim period beginning after June 15, 2003. This Statement establishes standards for the classification and measurement of certain financial instruments with characteristics of both liabilities and equity. The Statement also includes required disclosures for financial instruments within its scope. For the Company, the Statement was effective", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **OUR BUSINESS**\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides various telecommunications services through its operating subsidiaries. These services include: wireline telephone service, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in Virginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; online information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of Virginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern Shenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; wireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, Virginia to the Harrisburg, York and Altoona, Pennsylvania markets.\n\n#### **ANNUAL MEETING**\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The meeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company's offices at the Shentel Center, 500 Mill Road, Edinburg, Virginia.\n\n#### **FORMS 10-K, 10-Q, and 8-K**\n\n**The Company files periodic reports with the Securities and Exchange Commission. The Company's Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any amendments to these reports, are available to shareholders through the Company's website, www.shentel.com. This website also has recent news releases and other information potentially of interest to shareholders.**\n\n**A copy of the Company's Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia 22824, Attention: Secretary.**\n\n#### **MARKET AND DIVIDEND INFORMATION**\n\nThe Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below: The Company's stock is traded on the NASDAQ National Market under the symbol \"SHEN.\" Information on the high and low closing prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below:\n\n| | | | | | | | 2003 | 2003 | | | | | | | | | | | | | 2002 | 2002 | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Qtr. 1 Quarter 1 Quarter 1 | | | | Qtr. 2 Quarter 2 Quarter 2 2003 | | | Qtr. 3 Quarter 3 | Quarter 3 | Qtr. 4 Quarter 4 | Quarter 4 | | Quarter 1 | Quarter 1 | Qtr. 1 | | Quarter 2 | | Qtr. 2 Quarter 2 | | Quarter 3 2002 | | Qtr. 3 Quarter 3 | | Quarter 4 | Qtr. 4 Quarter 4 |\n| High price High price | $ | $ Quarter 1 24.31 $ 24.31 | | $ | $ $ | Quarter 2 24.98 24.98 | 24.98 | $ $ $ | $ | Quarter 3 25.48 25.48 25.48 | $ $ $ | Quarter 4 27.50 27.50 | $ | Quarter 1 | $ $ 20.06 | 20.06 | $ | Quarter 2 $ $ $ 27.25 | | | 27.25 27.25 | Quarter 3 $ | $ $ $ 27.25 | 27.25 27.25 | | Quarter 4 $ 25.95 $ | $ 25.95 |\n| High price | | $ | 24.31 | | $ | | 24.98 | | $ | 25.48 | $ | 27.50 | $ | | 20.06 | | $ | 27.25 | | | $ | | 27.25 | | | $ 25.95 | |\n| Low price Low price | $ | $ $ 13.64 13.64 | | $ | $ $ | 14.33 14.33 | 14.33 | $ $ $ | $ | 19.25 19.25 19.25 | $ 19.74 $ | $ 19.74 | $ | | $ $ 16.50 | 16.50 | $ | $ $ | 19.69 | $ | 19.69 19.69 | $ 22.75 | $ | $ 22.75 $ 22.75 $ 22.75 | $ | $ $ 21.61 $ | 21.61 21.61 |\n\nLow price $ 13.64 $ 14.33 $ 19.25 $ 19.74 $ 16.50 $ 19.69 $ 22.75 $ 21.61 All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. *All share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004.*\n\nAll share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid. The Company historically has paid an annual cash dividend on or about December 1st of each year. The cash dividend per share was $0.39 in 2003 and $0.37 in 2002. The Company's ability to pay dividends is restricted by its long-term loan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has paid.\n\npaid. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock. As of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nAs of February 15, 2004, there were approximately 3,930 holders of record of the Company's common stock.\n\nEdinburg, VA 22824 Richmond, VA 23219\n\n#### **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR CORPORATE HEADQUARTERS**\n\nShenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Shenandoah Telecommunications Company KPMG LLP 124 South Main Street 1021 East Cary Street Edinburg, VA 22824 Richmond, VA 23219 Shenandoah Telecommunications Company 124 South Main Street Edinburg, VA 22824 124 South Main Street 1021 East Cary Street\n\n **CORPORATE HEADQUARTERS INDEPENDENT AUDITOR**\n\n#### **SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS**\n\n**SHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS** CALL (540) 984-5200\n\nCALL (540) 984-5200 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Transfer Agent - Common Stock Shenandoah Telecommunications Company P.O. Box 459 Edinburg, VA 22824\n\nEdi b VA 22824\n\n*This Annual Report to Shareholders contains forward-looking statements. These statements are subject to certain risks and uncertainties that could cause actual results to differ materially from those anticipated in the forward-looking statements. Factors that might cause such a difference include, but are not limited to: changes in the interest rate environment; management's business strategy; national, regional, and local market conditions; and legislative and regulatory conditions. Readers should not place undue reliance on forward-looking statements which reflect management's view only as of the date hereof. The Company undertakes no obligation to publicly revise these forward-looking statements to reflect subsequent events or circumstances, except as required by law.*", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 1. Summary of Significant Accounting Policies (Continued)**\n\n*Reclassifications:* Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to conform with the 2003 presentation, with no effect on net income or shareholders' equity.\n\n#### **Note 2. Discontinued Operations**\n\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10 RSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place at the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million held in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post closing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand charge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues that may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003 consolidated balance sheet. The Company's gain on the transaction was approximately $35 million. Post closing, the Company provided transition services to Verizon for a period of approximately three months, with compensation for those services being approximately $40 thousand per month during the transition period.\n\nThe assets and liabilities attributable to the cellular operation have been classified as held for sale in the consolidated balance sheets and consist of the following at December 31, 2002 and 2001:\n\n| | | 2002 | | 2002 | 2002 | 2001 | | | 2001 2001 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Assets | | (in thousands) | | | (in thousands) | | (in thousands) (in thousands) | | |\n| Accounts receivable | $ | 2,608 | $ | $ $ | 2,608 2,608 $ | | 2,759 | $ $ | 2,759 |\n| Other current assets | | 309 | | | 309 | | 309 214 | | 214 |\n| Property, plant and equipment, (net) | | 2,631 | | | 2,631 2,631 | | 3,272 | | 3,272 |\n| Total assets | $ | 5,548 | $ | $ $ | 5,548 $ 5,548 | | 6,245 | $ $ | 6,245 |\n| Liabilities and minority interest | | | | | | | | | |\n| Accounts payable and accrued expenses | $ | 381 | $ | $ $ | 381 $ | | 381 499 | $ $ | 499 |\n| Deferred revenue and deposits | | 161 | | | 161 | | 161 236 | | 236 |\n| Minority interest | | 1,666 | | | 1,666 1,666 | | 1,838 | | 1,838 |\n| Total liabilities and minority interest | $ | 2,208 | $ | $ $ | 2,208 $ 2,208 | | 2,573 | $ $ | 2,573 |\n\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued operations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the sale of the discontinued operations are summarized as follows:\n\n| | 2003 2003 | | 2002 2002 | | 2001 2001 |\n| --- | --- | --- | --- | --- | --- |\n| | $ | | $ (in thousands) | 5 | $ |\n| Revenues | $ | 3,056 | | $ 20,895 | $ 20,012 |\n| Operating expenses | | 453 | | 3,618 | 4,674 |\n| Other income | | - | | 3 | 16 |\n| Income before minority interest and taxes | $ | 2,603 | | $ 17,280 | $ 15,354 |\n| Minority interests | | (773) | | (5,200) | (4,526) |\n| Sale of partnership interest | | 34,973 | | - | - |\n| Income taxes | (14,414) | | | (4,668) | (4,150) |\n| Net income from discontinued operations | $ 22,389 | | $ | 7,412 | $ 6,678 |", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **NEW TELEPHONE DIRECTORY FOR THE NORTHERN SHENANDOAH VALLEY**\n\nThe Shenandoah Telephone Directory has undergone many changes since we published our first directory in 1906, as The Farmers' Mutual Telephone System of Shenandoah County. In 1906, the entire phone number listings were on 15 pages. The first Company directory to include yellow pages was distributed in 1946. That year local businesses invested in a new way to reach their potential customers.\n\nThe goal has always been to provide a useful tool for our customers. The pace of change has quickened in the last few years. In 2000, for the first time, Shenandoah Telephone's directory expanded from telephone listings for only Shenandoah County and Bergton, to include business and residential listings for Rockingham, Frederick, Clarke, and Warren counties. In 2001, Page County listings were added. The name of our directory was changed to ShentelPages in 2002 to reflect the expanded listing area. Although we included additional information in our directory, we continued to only furnish it to our local telephone customers.\n\nEarly in 2003, we conducted a customer survey to measure potential public acceptance of a regional phone directory for the six-county area. The\n\nfindings of the survey indicated almost 60% would likely use an expanded six-county directory, with a fourth of all respondents saying they would use a regional directory more often than the directory they currently had in their home or business. Based on these positive results, Shentel launched an expanded directory to meet the demand.\n\nAn extensive public-awareness campaign was launched on television and radio, in a variety of daily and weekly newspapers and at regional county fairs. The campaign helped build anticipation for the directory and increase awareness of yellow page advertising opportunities. As a result of the added value of the expanded distribution area, ShentelPages' yellow page advertising revenues increased 21%, to $1.8 million for the 2004 book.\n\nIn December 2003, Shentel mailed out 120,000 ShentelPages directories to every home and business in Shenandoah, Rockingham, Frederick, Page, Clarke and Warren counties. ShentelPages now has a potential audience that exceeds 300,000 readers. The 2004 directory continues to be an important local resource. In addition to telephone listings, it contains both general and county-specific information - from ZIP codes to area codes, and from international dialing instructions to the listing of regional interstate exits.\n\nThrough ShentelPages, businesses have a new way of reaching thousands more potential customers within the sixcounty area to sell their products and services. ShentelPages is bundled with our electronic version, ShentelPages.com. This service allows area residents to use their computer and the Internet to let their fingers do the walking.\n\nJust like our first book in 1906, the 2004 ShentelPages provides area residents with a quick and easy way to stay in touch.", - "page_start": 9, - "page_end": 9, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES**\n\n## **2003 Financial Statements**\n\n## **INDEPENDENT AUDITOR'S REPORT**\n\nThe Board of Directors and Shareholders Shenandoah Telecommunications Company:\n\nWe have audited the accompanying consolidated balance sheets of Shenandoah Telecommunications Company and subsidiaries (the Company), as of December 31, 2003, 2002, and 2001, and the related consolidated statements of income, shareholders' equity and comprehensive income, and cash flows for the years then ended. These consolidated financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these consolidated financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of Shenandoah Telecommunications Company and subsidiaries as of December 31, 2003, 2002 and 2001, and the results of their operations and their cash flows for the years then ended, in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for goodwill in 2002. As further discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for asset retirement obligations in 2003.\n\nRichmond, Virginia February 6, 2004", - "page_start": 12, - "page_end": 12, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 1. Summary of Significant Accounting Policies**\n\n*Description of business:* Shenandoah Telecommunications Company and subsidiaries (the Company) provides telephone service, wireless personal communications service (PCS) under the Sprint brand name, cable television, unregulated communications equipment sales and services, Internet access, and paging services. In addition, the Company leases towers and operates and maintains an interstate fiber optic network. The Company's operations are located in the four state region surrounding the Northern Shenandoah Valley of Virginia. Pursuant to a management agreement with Sprint Communications Company and its related parties (collectively, \"Sprint\"), the Company is the exclusive PCS Affiliate of Sprint providing wireless mobility communications network products and services in the geographic area extending from Altoona, Harrisburg and York, Pennsylvania, south through Western Maryland, and the panhandle of West Virginia, to Harrisonburg, Virginia. The Company is licensed to use the Sprint brand name in this territory, and operates its network under the Sprint radio spectrum license (Note 7). A summary of the Company's significant accounting policies follows:\n\n*Stock split:* All share and per share information reflect the two for one stock split announced in October 2003, to shareholders of record as of the close of business on January 30, 2004. The additional shares were distributed on February 20, 2004. The effective date of the split is February 23, 2004. All previously reported share and per share data included herein are retroactively adjusted to reflect the split.\n\n*Principles of consolidation:* The consolidated financial statements include the accounts of all wholly owned subsidiaries and other entities where effective control is exercised. All significant intercompany balances and transactions have been eliminated in consolidation.\n\n*Use of estimates:* Management of the Company has made a number of estimates and assumptions related to the reporting of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the consolidated financial statements and the reported amounts of revenues and expenses during the reporting periods. Management reviews its estimates, including those related to recoverability and useful lives of assets as well as liabilities for income taxes and pension benefits. Changes in facts and circumstances may result in revised estimates and actual results could differ from those reported estimates.\n\n*Cash and cash equivalents:* The Company considers all temporary cash investments purchased with a maturity of three months or less to be cash equivalents. The Company places its temporary cash investments with high credit quality financial institutions. At times, these investments may be in excess of FDIC insurance limits. Cash and cash equivalents were $28.7million, $2.2 million, and $2.0 million at December 31, 2003, 2002 and 2001, respectively.\n\n*Accounts receivable:* Accounts receivable are recorded at the invoiced amount and do not bear interest. The allowance for doubtful accounts is the Company's best estimate of the amount of probable credit losses in the Company's existing accounts receivable. The Company determines the allowance based on historical write-off experience and by industry and national economic data. The Company reviews its allowance for doubtful accounts monthly. Past due balances meeting specific criteria are reviewed individually for collectibility. All other balances are reviewed on a pooled basis. Account balances are charged off against the allowance after all means of collection have been exhausted and the potential for recovery is considered remote. Accounts receivable are concentrated among customers within the Company's geographic service area and large telecommunications companies. The Company's allowance for uncollectable receivables related to continuing operations was $477 thousand, $914 thousand and $650 thousand at December 31, 2003, 2002 and 2001, respectively.\n\n*Securities and investments:* The classifications of debt and equity securities are determined by management at the date individual investments are acquired. The appropriateness of such classification is continually reassessed. The Company monitors the fair value of all investments, and based on factors such as market conditions, financial information and industry conditions, the Company will reflect impairments in values as is warranted. The classification of those securities and the related accounting policies are as follows:\n\n*Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted market prices. Unrealized holding gains and losses, net of the related tax effect, are excluded from earnings and are reported as a separate component of other comprehensive", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "For over 100 years Shenandoah Telecommunications Company has been committed to providing outstanding service to our customers. Our employees take that same dedication after hours to make a difference in their community.\n\nWe take this opportunity to share with you, our shareholders, the stories of just a few of your dedicated employees.\n\n*Patty Pomeroy* **help people.\"**\n\nVolunteerism is in Patty Pomeroy's blood. Her grandfather was a dispatcher for the rescue squad in Middletown, VA for 25 years and her grandmother was in the ladies auxiliary. Her father was a charter member of the Middletown Rescue Squad. In 1997, Patty, a customer service representative at Shentel for four years, continued the family tradition by earning her Emergency Medical Technician certification and going to \"work\" for the Strasburg Rescue Squad. Patty is the administrator of membership recruitment and retention for the squad and is the liaison coordinator for junior squad members under 18. It is her job to make sure that new members are brought in to the squad and current members stay active.\n\n# **\"There is a great satisfaction that comes from knowing that what you can do will**\n\nJeff Beard has been an installer repairman with Shentel for almost five years. Two years ago, Jeff helped start Project Isaiah 58, a faith-based recovery ministry that reaches out to people who are struggling with addiction. Project Isaiah 58 has weekly group meetings in Winchester, Woodstock and Warrenton, VA. Jeff, who lives in Winchester, participates in the group meetings and also makes time to meet one-on-one with people who need personal attention.\n\n**\"I feel the need to reach out to people who are suffering.\"** \n\n*Jeff Beard*\n\nJohn Gardner has been with Shentel for two years as a PCS technician in Central Pennsylvania, but for almost a year of that time he was on Naval Reserve duty in Sasebo, Japan. John joined the Reserves after serving 10 years of active duty. In October 2002, he was activated under Noble Eagle-Enduring Freedom as part of the increase in security at bases around the world. John worked on Motorola radios and repeater systems while stationed in Japan. It was tough for the serviceman to be away from his wife and children, but John believes very strongly in serving his country.\n\n**\"Being in the Reserves is a way for me to be a civilian and still serve my country.\"**\n\n## *John Gardner*\n\nAt Shentel, George Brinkley, the store manager in Front Royal, VA, is known for being one of the biggest fund-raisers for the Shenandoah County American Cancer Society Relay for Life event. In his six years at the Company, George has raised nearly $20,000. In 2003, he raised $4,246 and was recognized as the top individual fund-raiser for the entire event.\n\nIn 2002, George was chairman of the parade committee for the Woodstock, VA 250th anniversary celebration. Under George's leadership, the 26-member committee worked for a year preparing for the parade, which was the largest in the town's history.\n\n**\"I just have a knack for volunteering. I want to make my community better any way I can.\"**\n\n*George Brinkley* 3 ■ 2003 ANNUAL REPORT", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income from discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the two months of its operations in 2003.\n\nThe Company adopted FAS 143 \"Accounting for Asset Retirement Obligations.\" effective January 1, 2003, and as a result recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating results in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\n\n#### **DISCONTINUED OPERATIONS**\n\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990's. The partnership's local customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December 31, 2002. The decline was the result of competition with digital technologies and increased competition from national carriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to transform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the partnership to one of the minority partners. The agreement was signed in November 2002, and closing was February 28, 2003. The Company's portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, $7.4 million and $6.7 million, respectively.\n\n#### **CONTINUING OPERATIONS**\n\n#### **2002 compared to 2001**\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million of wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 million or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS service revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which totaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The rate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 through April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from October 1, 2001 through December 31, 2001.\n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 million of rebates and discounts given at the time of sale, which became more pronounced during the year to meet industry competition for subscriber additions and subscriber retention.\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) service in August 2002. The impact of 3G 1X-network enhancements on revenues was not significant in 2002.\n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\n\nWireless revenues from the Company's paging operation were $0.3 million, a decrease of $0.1 million as the local customer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in 2002 from 3,190 subscribers to 2,940 subscribers.\n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. Telephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues was driven by a 38.4% increase in access minutes of use on the Company's network and an increased percentage of minutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the Federal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on the products and services each provides. Each segment is managed and evaluated separately because of differing technologies and marketing strategies.\n\nThe reporting segments and the nature of their activities are as follows:\n\n| Shenandoah Telecommunications Company (Holding) | Holding company, which invests in both affiliated |\n| --- | --- |\n| | and non-affiliated companies. |\n| Shenandoah Telephone Company (Telephone) | Provides both regulated and unregulated telephone |\n| | services and leases fiber optic facilities primarily |\n| | throughout the Northern Shenandoah Valley. |\n| Shenandoah Cable Television Company (CATV) | Provides cable television service in Shenandoah |\n| | County. |\n| ShenTel Service Company (ShenTel) | Provides Internet access to a multi-state region |\n| | surrounding the Northern Shenandoah Valley, hosts |\n| | Travel 511 for Virginia, and sells and services |\n| | telecommunication equipment. |\n| Shenandoah Valley Leasing Company (Leasing) | Finances purchases of telecommunications |\n| | equipment to customers of other segments. |\n| Shenandoah Mobile Company (Mobile) | Provides tower rental space in the Company's PCS |\n| | markets and paging services throughout the Northern |\n| | Shenandoah Valley. |\n| Shenandoah Long Distance Company (Long Distance) | Provides long distance services. |\n| Shenandoah Network Company (Network) | Leases interstate fiber optic facilities. |\n| ShenTel Communications Company (Shen Comm) | Provides DSL services as a CLEC operation. |\n| Shenandoah Personal Communications Company (PCS) | As a PCS Affiliate of Sprint, provides digital wireless |\n| | service to a portion of a four-state area covering the |\n| | region from Harrisburg, York and Altoona, |\n| | Pennsylvania, to Harrisonburg, Virginia. |\n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting policies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties.\n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows:\n\n| | | | | Consolidated | |\n| --- | --- | --- | --- | --- | --- |\n| Year | Holding | | Telephone | Totals | |\n| | | | (in thousands) | | |\n| 2003 | $ | (441) | $ 65 | $ | (376) |\n| 2002 | $ | (822) | $ 45 | $ | (777) |\n| 2001 | $ (1,218) | | $104 | $ (1,114) | |", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## **SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES CONSOLIDATED BALANCE SHEETS**\n\n## **December 31, 2003, 2002 and 2001**\n\n*in thousands*\n\n| ASSETS (Note 5) | 2003 | | 2002 | | 2001 | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Current Assets | | | | | | |\n| Cash and cash equivalents | $ | 28,696 | $ | 2,209 | $ | 2,037 |\n| Accounts receivable, net (Notes 1 and 8) | | 6,488 | | 7,536 | | 5,739 |\n| Income taxes receivable | | 1,526 | | 12 | | 1,205 |\n| Materials and supplies | | 2,062 | | 1,787 | | 2,934 |\n| Prepaid expenses and other | | 1,669 | | 2,205 | | 1,146 |\n| Deferred income taxes (Note 6) | | 522 | | 1,197 | | 575 |\n| Assets held for sale (Note 2) | | - | | 5,548 | | 2,973 |\n| Total current assets | $ | 40,963 | $ | 20,494 | | $ 16,609 |\n| Securities and Investments (Notes 3 and 8) | | | | | | |\n| Available-for-sale securities | $ | 199 | $ | 151 | | $ 12,025 |\n| Other investments | | 7,268 | | 7,272 | | 6,438 |\n| Total securities and investments | $ | 7,467 | $ | 7,423 | | $ 18,463 |\n| Property, Plant and Equipment | | | | | | |\n| Plant in service (Note 4) | | $ 197,431 | | $184,069 | | $154,345 |\n| Plant under construction | | 2,261 | | 5,209 | | 14,960 |\n| | | $ 199,692 | | $189,278 | | $169,305 |\n| Less accumulated depreciation | | 72,006 | | 57,126 | | 44,473 |\n| Net property, plant and equipment | | $ 127,686 | | $132,152 | | $124,832 |\n| Other Assets | | | | | | |\n| Assets held for sale (Note 2) | $ | - | $ | - | $ | 3,272 |\n| Cost in excess of net assets of business acquired | | 5,105 | | 5,105 | | 5,105 |\n| Deferred charges and other assets (Notes 1 and 2) | | 5,999 | | 667 | | 1,452 |\n| | $ | 11,104 | $ | 5,772 | $ | 9,829 |\n| Less accumulated amortization | 1,856 | | | 1,837 | | 2,361 |\n| Net other assets | $ 9,248 | | $ 3,935 | | $ 7,468 | |\n| Total assets | $ 185,364 | | $164,004 | | $167,372 | |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "As a product manager, how can I reject an inventory in NAIIS ?", - "target_page": 38, - "target_passage": "Log in as PM. Click on “View Inventories Progress” under sub menu “Submission Management”. The “View Inventories Progress” screen appears. Select the appropriate inventory by clicking the Inventory name under column “Name” Press the “Reject” button ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# **10.5.2 Rejection of an inventory**\n\n- 1. Log in as NFP.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the Inventory name under column \"Name\" (figure 66).\n- 5. Press the \"Send for Rejection\" button (figure 66, b).\n\nOnce the \"Send for Rejection\" button was pressed, the status of the selected inventory changes to \"awaiting_rejection\" (figure 67, a).\n\n*** Note: A notification email will be sent to the PM that the inventory has been rejected. Therefore, the PM will be able to reject the submission. Proceed to section 10.4.2.\n\n### *Figure 66. Work on Inventories screen – Rejection of an inventory - Status = awaiting_approval*\n\n| Name | Submission year Creator | Creation date Status | Updater | | Submission date Energy | Industrial Proces Solve |\n| --- | --- | --- | --- | --- | --- | --- |\n| UNFCCC_2013_7_Inventory | 2013 UNFCCC NFF | 2013-08-02 15:47:3 awaiting_approval | | UNFCCC_PM | | D D |\n| | | | | a) | | |\n| | . | | | | | - |\n| CS EXMS EJS Tree Grid v9,2 | | | | | | |\n| General Properties | | Sector | | 4 | Inventory Years | A |\n| Name | UNFCCC_2013_7_Invento | Energy | N | | 1990 | > |\n| Submission year | 2013 | Industrial Processes | | | 1991 | |\n| Creator | UNFCCC NFP | Solvent and other product use | | | 1992 | |\n| Creation date | 2013-08-02 15:47:37.61 | Agriculture | | | 1983 | 300000 |\n| Status | awaiting_approval | LUCF | 00000000 | | 1994 | |\n| Updater | UNFCCC_PM | LULUCF | | | 1995 | |\n| Submission date | | Waste | | | 1886 | ତା |\n| | | Out -- | 0 | D | 1007 | - C |\n| Approve | | | | | | |\n| Send for | | | | | | |\n| Rejection | b) | | | | | |\n| | | | 1 | | | |\n\n### *Figure 67. Work on Inventories screen – Rejection of an inventory - Status = rejected_approval*\n\n| Name | Submission year Creator | | Creation date | Status | Updater | Submission date Energy | | Industrial Proces Solven | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| - UNFCCC_2013_7_Inventory | 2013 | ПИЕССС ИЕР | 2013-08-02 15:47 | awaiting_rejection | UNFCCC NFP | | D | છ | |\n| | 4 | | | | a) | | | | 1. |\n| EJS EJS Tree Grid v9.2 | | | | | | | | | |\n| General Properties | | | Sector | | > | Inventory Years | | | D |\n| Name | UNFCCC_2013_7_Invento | | Energy | N | | 1990 | | ારો | |\n| Submission year | 2013 | | Industrial Processes | | | 1991 | | ට ගි | |\n| Creator | UNFCCC_NFP | | Solvent and other product use | | | 1992 | | | |\n| Creation date | 2013-08-02 15:47:37.61 | | Agriculture | | | 1993 | | | |\n| Status | rejected_approval | | LUCF | 00000000 | | 1994 | | QQD | |\n| Updater | ПИЕССС ИЕБ | | LULUCF | | | 1885 | | | |\n| Submission date | | | Waste Cutle == | | 1 | 1996 1007 | | 0 © | 1 |", - "page_start": 40, - "page_end": 40, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **10.4 Send for approval/rejection of an Inventory (PM)**\n\nThis section describes on how the PM approves or rejects an inventory after being checked by the PM.\n\n# **10.4.1 Send for approval of an Inventory**\n\n- 1. Log in as PM.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the Inventory name under column \"Name\" (figure 60, a).\n- 5. Press the \"Send for Approval\" button to send it to NFP for his/her review and approval of the inventory (figure 60, b).\n\n*** Note: A notification email will be sent to the PM, once the \"Send for Approval\" has been pressed. And the status changed to \"Awaiting_approval\" (figure 61).\n\n### *Figure 60. Work on Inventories screen – Send for Approval - Status = check*\n\n| Name | Submission year Creator | Creation date Status | Updater | Submission date Energy | Industrial Proces Solv | |\n| --- | --- | --- | --- | --- | --- | --- |\n| UNFCCC_2013_15_Inventory | UNFCCC_PM | Mon Aug 05 23:27:0 check | UNFCCC_PM | | তি D | |\n| a) | | | | | | |\n| | . | | | | | - |\n| EJS EJS TreeGrid v9,2 | | | | | | |\n| General Properties | | Sector | - | Inventory Years | | = |\n| Name | UNFCCC_2013_15_Invent | Energy | (2 | 1990 | (ત્યા | |\n| Submission year | | Industrial Processes | (C) | 1991 | ത | |\n| Creator | UNFCCC_PM | Solvent and other product use | | 1992 | | |\n| Creation date | Mon Aug 05 23:27:04 CES | Agriculture | | 1993 | | |\n| Status | check | LUCF | 00000 | 1994 | 0000 | |\n| Updater | UNFCCC_PM | LULUCF | | 1995 | | |\n| Submission date | | Waste | তি 4 | 1996 | D | |\n| | | Call | 0 | | 0 | > |\n| Reject | | | | | | |\n| Send for Approval | b) | | | | | |\n\n### *Figure 61. Work on Inventories screen – Status = awaiting_approval*\n\n# **10.4.2 Rejection of an Inventory**\n\n- 1. Log in as PM.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the Inventory name under column \"Name\" (figure 62, a).\n- 5. Press the \"Reject\" button (figure 62, b).\n\n*** Note: A notification email will be sent to the PM, once the \"Reject\" button has been pressed. And the status changed to \"Awaiting_rejection_check\" (figure 63).", - "page_start": 37, - "page_end": 37, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **10.5 Approval or Rejection of an inventory (NFP)**\n\nThis section describes how the NFP approves or rejects an inventory after being sent for approval by the PM (See section 10.4).\n\n# **10.5.1 Approval of an inventory**\n\n- 1. Log in as NFP.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the Inventory name under column \"Name\" (figure 64).\n- 5. Press the \"Approve\" button (figure 64, b).\n\nOnce the \"Approve\" button was pressed, the status of the selected inventory changes to \"approved\" (figure 65, b).\n\n*** Note: A notification email will be sent to the PM that the inventory has been approved. Therefore, the PM may proceed to selecting the tables for preparing the official submission (See section 10.6).\n\n### *Figure 64. Work on Inventories screen – Approve an inventory - Status = awaiting_approval*\n\n| Figure 65. Work on Inventories screen – Approve an inventory - Status = approved |\n| --- |", - "page_start": 39, - "page_end": 39, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Once the \"Generate Official Submission\" button has been pressed the \"Submit Inventory\" initial screen for selecting the tables appears (figure 70).\n\n- 8. Select or deselect by clicking the appropriate year(s) under \"Inventory Years\" box (figure 70, c) or the sector grids under the \"Table\" box (figure 70, d) to generate the official submission.\n- 9. Press the \"Submit\" button (figure 70, e). An official submission will be generated in the NAIIS system.\n\n### *Figure 70. Submit – select tables and grids for the general submission*", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **10.6 Submit inventory (PM)**\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after being approved by the NFP (See section 10.5).\n\n# **10.6.1 Submit select tables for preparing the general submission**\n\n- 1. Log in as PM.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the box under column \"Working inventory\" (figure 68, a). *** Note: The selected inventory year to be submitted should be in status \"approved\" (figure 68, b).\n- 5. Click on \"Work on Inventories\" under Submission Management (figure 68, c).\n- This opens the Submit Inventory initial screen (figure 69).\n- 6. Click the inventory year to be submitted (figure 69, a).\n- 7. Press the \"Generate Official Submission\" button (figure 69, c).\n\n### *Figure 68. View Inventories Progress screen – select inventory for the preparation for the general submission*\n\n### *Figure 69. Submit select tables for the preparation for the general submission*", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **10 Submission management**\n\n# **10.1 Workflow**\n\nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting submission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating to the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG inventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web application (figure 52).\n\n### *Figure 52: Non-Annex I Inventory Software workflow*\n\n# **10.2 Start of inventory/submission (NFP or PM)**\n\nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year identified will be made available in the new inventory/submission.\n\nThese are the steps to start a new inventory:\n\n- 1. Click on \"View Inventories Progress\" under sub menu \"Submission Management\" (figure 53).\n### *Figure 53. View Inventories Progress sub menu*\n\n- 2. The \"View Inventories Progress\" screen appears (figure 54).\n- 3. Select the appropriate inventory by clicking the box under column \"Working Inventory\" (figure 54, a).\n\n*** Note: The selected appropriate inventory should be in status \"created\" (figure 54, b)", - "page_start": 34, - "page_end": 34, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "| 10.1 Workflow 35 |\n| --- |\n| 10.2 Start of inventory/submission (NFP or PM) 35 |\n| 10.3 Send for checking (PM) 37 |\n| 10.4 Send for approval/rejection of an Inventory (PM) 38 |\n| 10.4.1 Send for approval of an Inventory 38 |\n| 10.4.2 Rejection of an Inventory 38 |\n| 10.5 Approval or Rejection of an inventory (NFP) 40 |\n| 10.5.1 Approval of an inventory 40 |\n| 10.5.2 Rejection of an inventory 41 |\n| 10.6 Submit inventory (PM) 42 |\n| 10.6.1 Submit select tables for preparing the general submission 42 |\n| Glossary of terms and abbreviations 44 |\n| Annex 1: Non-Annex I (NAI) Parties 45 |\n| Annex 2: Fuel categories 47 |\n| Annex 3: Global Warming Potentials (GWPs) 48 |\n| Annex 4: Default values 49 |", - "page_start": 2, - "page_end": 2, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### *Figure 12. Screen of \"Work on Inventories\"*\n\n| Non-Annex I Inventory Software NAIIS v1.1.3 | | Non-Annex I Party Inventory #1 Editable | | | | Non-Annex I PM | Sign Out |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | United Nations | | | | | | |\n| | Framework Convention on | | | | | | |\n| | Climate Change | | | | | | |\n| | | Users Management Submission Management Data Entry Key Categories Choice Reporting Tables Data Export / Import Completeness Consistency | | | | | |\n| Name | Submission year Creator | Creation date Status | | Updater | Submission date Energy | | Industrial Proces |\n| - NAI_2013_1_Inventory | | Non-Annex I PM Wed Dec 18 12:18:57 CET 2013 created | | Non-Annex I PM | | D | D |\n| | 1 = | | | | | | |\n| 2 ExtJS EJS TreeGrid v9.2 | | | | | | | |\n| General Properties | | ector | | | Inventory Years | | |\n| Name | NAI_2013_1 Inventory | Energy | | | 1990 | | III > |\n| Submission year | | Industrial Processes | િ | | 1991 | | |\n| Creator | Non-Annex I PM | Solvent and other product use | | | 1992 | | |\n| Creation date | Wed Dec 18 12:18:57 CE | Agriculture | 000 | | 1993 | 0000 | |\n| Status | created | LUCF | | | 1994 | | |\n| Updater | Non-Annex I PM | LULUCF | | | 1995 | | |\n| Submission date | | Waste | | | 1996 | | |\n| Start Inventory | | | | | | | |\n\n# *3.2.2.3 View Inventory Progress*\n\n- The NFP or PM should log into the system.\n- Click on \"View Inventories Progress\" under Submission Management (figure 13)\n\n### *Figure 13. View Inventories Progress*\n\nClick on \"View Inventories Progress\" button will display the initial screen with the following columns (figure 14a, 14b and 14c):\n\n- **Name** automatically given by the system, once created\n- **Working Inventory** active box shows the current working inventory\n- **Submission year** year when the submission process was initiated\n- **Creator** user who created the inventory\n- **Creation date** date when the inventory was created\n- **Status** created, started, check, submitted, approved, awaiting approval, awaiting rejection check\n- **Updater** user name who updated the inventory\n- **Submission date** date of submission\n- **Sectors** Energy, Industrial processes, Solvent and other product use, Agriculture, LUCF, LULUCF, Waste, Other\n- **Inventory year**", - "page_start": 10, - "page_end": 10, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# *3.2.2.2 Add a new GHG inventory year or edit general properties/sectors (only NFP and PM's)*\n\n- Log in as NFP or PM.\n- Click on \"Work on Inventories\" under Submission Management (figure 10).\n### *Figure 10: Sub menu \"Work on Inventories\"*\n\nOnce \"Work on Inventories\" has been clicked, the initial screen will be displayed, which shows the following boxes (figure 11):\n\n- a. Existing Inventory (with all options)\n- b. General properties include the name, submission year, creator, creation date, status, updater and submission\n- date c. Sectors\n- d. Inventory years\n\n### *Figure 11. Initial screen of \"Work on Inventories\"*\n\n| Non-Annex I Inventory Software NAIIS v1.1.3 | | Non-Annex I Party Inventory #1 Editable | | | | Non-Annex I PM | Sign Out |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| United Nations | | | | | | | |\n| | Framework Convention on | | | | | | |\n| Climate Change | | | | | | | |\n| | | Users Management Submission Management Data Entry Key Categories Choice Reporting Tables Data Export / Import Completeness Consistency | | | | | 21 |\n| | | | | | | | |\n| Name | Submission year Creator | Creation date | Status | Updater | Submission date Energy | | Industrial Proce: |\n| - NAI_2013_1_Inventory | | Non-Annex I PM Wed Dec 18 12:18:57 CET 2013 created | | Non-Annex I PM | | D | D |\n| | 1 III | | | | | | |\n| EJ ExtJS EJS TreeGrid v9.2 | | | | | | | |\n| General Properties | | ector | | | Inventory Years | | |\n| Name | NAI 2013 1 Inventory | Energy | | | 1990 | | |\n| Submission year | | Industrial Processes | (V) | | 1991 | | |\n| Creator | Non-Annex I PM | Solvent and other product use | છ | | 1992 | | |\n| Creation date | Wed Dec 18 12:18:57 CE | Agriculture | 0 | | 1993 | 000 | |\n| Status | created | UCF | 0 | | 1994 | | |\n| Updater | Non-Annex I PM | ULUCF | D | | 1995 | | |\n| Submission date | | Naste | D | | 1996 | | |\n| Start Inventory | AN | | | | | | |\n\nFollow the steps to add/remove an inventory year:\n\n- Click on the inventory year (figure 12a)\n- Select the inventory year under General properties (figure 12b)\n- Select or deselect the appropriate Sectors (figure 12c)\n- To **add** or **remove** an inventory year, select or deselect the relevant year under Inventory Years box (figure 12d)", - "page_start": 9, - "page_end": 9, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "We strongly suggest that you keep the sending inventory option enabled to IBM Support. However, it might not be of interest to local users, although inventory content can serve as a basis for inventory and asset management.\n\n- 7. In Edit mode, you can change any of the previously configured settings. After you are finished editing these parameters, adding more recipients, or testing the connection, save the configuration so that the changes take effect (see Figure 13-53).\n\n| Call Home | Call Home | | | |\n| --- | --- | --- | --- | --- |\n| | The support user receives call home events. Local users also receive event notifications. | | | |\n| Support Assistance | Save Cancel | | | |\n| Support Package | Transmission Settings | | | |\n| | V Send data using Call Home cloud service | | | |\n| | V Send data with email notifications | | | |\n| | Call Home with cloud services | | | |\n| | Connection: V Active | | | |\n| | Last Connection: Success at 10/29/2018 3:51:57 PM | | | |\n| | Call Home with email notifications | | | |\n| | IP Address Server Port | | Status | |\n| | 10.12.234.56 | 25 | O Untried | € Θ |\n| | Support Center Email | | | |\n| | Email Address | | | |\n| | callhome0@de.ibm.com > Error Events | > Inventory | Test | |\n\n*Figure 13-53 Saving modified configuration*\n\n**Note:** The Test button appears for new email users after first saving and then editing again.\n\n# **Disabling and enabling notifications**\n\nAt any time, you can temporarily or permanently disable email notifications, as shown in Figure 13-54. This is good practice when performing activities in your environment that might generate errors on your IBM Spectrum Virtualize, such as SAN reconfiguration or replacement activities. After the planned activities, remember to re-enable the email notification function. The same results can be achieved by using the CLI **svctask stopmail** and **svctask startmail** commands.\n\n| Call Home | Call Home | |\n| --- | --- | --- |\n| Support Assistance | | The support user receives call home events. Local users also receive event notifications. |\n| | Edit Disable Notifications | |\n| Support Package | Transmission Settings | |\n| | Send data using Call Home cloud service | |\n| | Send data with email notifications | |\n\n*Figure 13-54 Disabling or enabling email notifications*", - "page_start": 737, - "page_end": 737, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "What is the global warming potential of Perfluorohexane ?", - "target_page": 48, - "target_passage": "7,400", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n| --- | --- | --- |\n| Carbon dioxide | CO2 | 1 |\n| Methane | CH4 | 21 |\n| Nitrous oxide | N2O | 310 |\n| HFC-23 | CHF3 | 11,700 |\n| HFC-32 | CH2F2 | 650 |\n| HFC-41 | CH3F | 150 |\n| HFC-43-10mee | C5H2F10 | 1,300 |\n| HFC-125 | C2HF5 | 2,800 |\n| HFC-134 | C2H2F4 | 1,000 |\n| HFC-134a | CH2FCF3 | 1,300 |\n| HFC-152a | C2H4F2 | 140 |\n| HFC-143 | C2H3F3 | 300 |\n| HFC-143a | CF3CH3 | 3,800 |\n| HFC-227ea | C3HF7 | 2,900 |\n| HFC-236fa | C3H2F6 | 6,300 |\n| HFC-254ca | C3H3F5 | 560 |\n| Perfluoromethane | CF4 | 6,500 |\n| Perfluroethane | C2F6 | 9,200 |\n| Perfluoropropape | C3F8 | 7,000 |\n| Perfluorobutane | C2F10 | 7,000 |\n| Perfluorocyclobutane | c-c4F8 | 8,700 |\n| Perfluoropentane | C5F12 | 7,500 |\n| Perfluorohexane | C6F14 | 7,400 |\n| Sulphur hexafluoride | SF6 | 23,900 |\n\n# **Annex 3: Global Warming Potentials (GWPs)**\n\n*Source: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical Summary of the Working Group I Report, page 22.*", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "**Figure 2.** Simulated changes in annual daily maximumtemperature relativeto1981–2010 at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 4.** Time of reaching GWLs of 1.5°C and 2°C in each bias-corrected output from the HadGEM3 climate simulations, driven by differentsets of CMIP5sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2024 | 2035 |\n| | GFDL-ESM2M | 2036 | 2051 |\n| | HadGEM2-ES | 2019 | 2033 |\n| | IPSL-CM5A-MR | 2023 | 2036 |\n| | MIROC-ESM-CHEM | 2020 | 2032 |\n| ACCESS1-0 | | 2026 | 2040 |\n| | | | |\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.\n\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase more in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global warming compared with present day, whereas in the mid-latitudes between 20% and 30% of days exceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).\n\nrsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Table 3.** Time of reaching GWLs of 1.5°C and 2°C in the raw output from the HadGEM3 climate simulations, driven by different sets of CMIP5sea-surface temperatures. The dates are the centre year of a 20-year period for which the climate data are applied to the calculation of the ClimPACT indices.\n\n| 1.5°C | driving SSTs | | 2.0°C |\n| --- | --- | --- | --- |\n| | IPSL-CM5A-LR | 2015 | 2030 |\n| | GFDL-ESM2M | 2040 | 2055 |\n| | HadGEM2-ES | 2027 | 2039 |\n| | IPSL-CM5A-MR | 2020 | 2034 |\n| | MIROC-ESM-CHEM | 2023 | 2035 |\n| | ACCESS1–0 | 2034 | 2046 |\n\nup to present-day plus model-projected warming thereafter (table 4). While this does lead to inconsistent definitions of dates of the GWLs for applications of the climate model output with and without bias correction, the focus here is on the level of warming relative to pre-industrial rather than the timing of this warming. Therefore, priority is given to an accurate quantification of GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming levels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on the model and warming level. This inconsistency would have consequences if these results were applied to time-dependent impacts and adaptation assessments, but that is not the case here so this concern does not apply. However, one issue is that the time-dependent nature of the aerosol forcing means that the spatial pattern of regional climate responses varies over time, so this will lead to some degree of inconsistency between the analysis of the ClimPACT extremes and the HCVI and JULES impacts projections.\n\n## 3. Results\n\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the level of agreement between models for a particular projected change, and hence an indication of potential robustness of the projected changes for informing adaptation. We then make a comparison of impacts at global warming 1.5°C to investigate the level of impact that would be avoided by limiting global warming to different levels. Bearing in mind the uncertainty in regional climate outcomes, we address this in a number of ways. For individual realizations, we compare the impacts at different warming levels to see if they are systematically smaller at 1.5°C, even if the sign of the change is uncertain. We also compare the range of outcomes at different GWLs, to see if the regional-scale uncertainty itself increases with global warming.\n\n## (a) Climate-change impacts at 2°C global warming\n\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was above 2°C for most of the land surface, with the exception of the Indian subcontinent, most of Australia and Antarctica (figure 2). The increase was higher still in many regions; most of North America, much of China and north Asia, northwestern South America and all of Europe. In the northern and eastern USA and much of northern and western Europe, the annual daily maximum temperature increased by over 4°C for 2°C global warming. The global mean TXx increased by more than 2°C in all ensemble members (table 5), so the maximum temperature warming more than the global annual mean is a consistent result across all projections here, as found in previous studies with other models [9] (table 5).\n\nThe different ensemble members give somewhat different results at regional scales, although there is a strong consensus on the temperature extremes examined here becoming warmer. In the simulations driven by SSTs and SICs from the two IPSL CMIP5 models, most of the global", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 10.** Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more rsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 9. Dong, W. H., Liu, Z., Liao, H., Tang, Q. H. & Li, X. E. 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R., Müller-Itten, M., Dralle, D. N., Bolster, D. & Müller, M. F. Climate change and the opportunity cost of confict. *PNAS* **117**(4), 1935–1940 (2020).\n- 16. Challinor, A. J. *et al.* A meta-analysis of crop yield under climate change and adaptation. *Nat. Clim. Change* **4**, 287–291 (2014).\n- 17. Lobell, D. B. *et al.* Prioritizing climate change adaptation needs for food security in 2030. *Science* **319**, 607–610 (2017).\n- 18. Lv, S. *et al.* Yield gap simulations using ten maize cultivars commonly planted in Northeast China during the past fve decades. *Agric. For. Meteorol.* **205**, 1–10 (2015).\n- 19. Chao, W., Kehui, C. & Shah, F. Heat stress decreases rice grain weight: Evidence and physiological mechanisms of heat efects prior to fowering. *Int. J. Mol. Sci.* **23**(18), 10922 (2022).\n- 20. Chao, W. *et al.* Estimating the yield stability of heat-tolerant rice genotypes under various heat conditions across reproductive stages: A 5-year case study. *Sci. Rep.* **11**, 13604 (2021).\n- 21. IPCC. Food security and food production systems. In *Climate Change 2014: Impacts, Adaptation, and Vulnerability. Part A: Global and Sectoral Aspects. Contribution of Working Group II to the Fifh Assessment Report of the Intergovernmental Panel of Climate Change* 485–533 (Cambridge University Press, 2014).\n- 22. Tigchelaar, M., Battisti, D. S., Naylor, R. L. & Ray, D. K. Future warming increases probability of globally synchronized maize production shocks. *PNAS* **115**(26), 6644–6649 (2018).\n- 23. Zhao, C. *et al.* Temperature increase reduces global yields of major crops in four independent estimates. *PNAS* **114**, 9326–9331 (2017).\n- 24. Difenbaugh, N. S., Hertel, T. W., Scherer, M. & Verma, M. Response of corn markets to climate volatility under alternative energy futures. *Nat. Clim. Change* **2**, 514–518 (2012).\n- 25. Jensen, H. G. & Anderson, K. Grain price spikes and beggar-thy-neighbor policy responses: A global economywide analysis. *World Bank Econ. Rev.* **31**, 158–175 (2017).\n- 26. Fraser, E. D. G., Simelton, E., Termansen, M., Gosling, S. N. & South, A. \"Vulnerability hotspots\": Integrating socio-economic and hydrological models to identify where cereal production may decline in the future due to climate change induced drought. *Agric. For. Meteorol.* **170**, 195–205 (2013).\n- 27. Puma, M. J., Bose, S., Chon, S. Y. & Cook, B. I. Assessing the evolving fragility of the global food system. *Environ. Res. Lett.* **10**, 024007 (2015).\n- 28. Wheeler, T. & Braun, J. V. Climate change impacts on global food security. *Science* **341**(6145), 508–513 (2013).\n- 29. Lunt, T., Jones, A. W., Mulhern, W. S., Lezaks, D. P. M. & Jahn, M. M. Vulnerabilities to agricultural production shocks: An extreme, plausible scenario for assessment of risk for the insurance sector. *Clim. Risk Manag.* **13**, 1–9 (2016).\n- 30. Jägermeyr, J. & Frieler, K. Spatial variations in crop growing seasons pivotal to reproduce global fuctuations in maize and wheat yields. *Sci. Adv.* **4**(11), eaat4517 (2018).\n- 31. Elliott, J. *et al.* Characterizing agricultural impacts of recent large-scale US droughts and changing technology and management. *Agric. Syst.* **159**, 275–281 (2017).\n- 32. Tack, J., Barkley, A. & Nalley, L. L. Efect of warming temperatures on US wheat yields. *Proc. Natl. Acad. Sci.* **112**, 6931–6936 (2015).\n- 33. Tao, F., Zhang, Z., Liu, J. & Yokozawa, M. Modelling the impacts of weather and climate variability on crop productivity over a large area: A new super-ensemblebased probabilistic projection. *Agric. For. Meteorol.* **149**, 1266–1278 (2009).\n- 34. Parent, B. *et al.* Maize yields over Europe may increase in spite of climate change, with an appropriate use of the genetic variability of fowering time. *PNAS* **115**(42), 10642–10647 (2018).\n- 35. Yang, C. Y., Fraga, H., Ieperen, W. V. & Santos, J. A. Assessment of irrigated maize yield response to climate change scenarios in Portugal. *Agric. Water Manag.* **184**, 178–190 (2017).\n- 36. Miller, S. A. & Moore, F. C. Climate and health damages from global concrete production. *Nat. Clim. Change* https://doi.org/10. 1038/s41558-020-0733-0 (2020).\n- 37. Kassie, B. T. *et al.* Exploring climate change impacts and adaptation options for maize production in the Central Rif Valley of Ethiopia using diferent climate change scenarios and crop models. *Clim. Change* **129**, 145–158 (2015).\n- 38. Tao, F. & Zhang, Z. Climate change, high-temperature stress, rice productivity, and water use in Eastern China: A new superensemble-based probabilistic projection. *J. Appl. Meteorol. Climatol.* **52**, 531–551 (2013).\n- 39. Glotter, M. & Elliott, J. Simulating US agriculture in a modern Dust Bowl drought. *Nat. Plants* **3**, 16193 (2016).\n- 40. Challinor, A. J., Koehler, A. K., Ramirez-Villegas, J., Whitfeld, S. & Das, B. Current warming will reduce yields unless maize breeding and seed systems adapt immediately. *Nat. Clim. Change* **6**, 954–958 (2016).\n- 41. Cammarano, D. *et al.* Using historical climate observations to understand future climate change crop yield impacts in the Southeastern US. *Clim. Change* **134**, 311–326 (2016).\n- 42. Etten, J. V. *et al.* Crop variety management for climate adaptation supported by citizen science. *PNAS* **116**(10), 4194–4199 (2019).\n- 43. Urban, D. W., Shefeld, J. & Lobell, D. B. Te impacts of future climate and carbon dioxide changes on the average and variability of US maize yields under two emission scenarios. *Environ. Res. Lett.* **10**, 045003 (2015).\n- 44. IPCC. Summary for policymakers. In *Global Warming of 1.5°C. An IPCC Special Report on the Impacts of Global Warming of 1.5°C Above Pre-industrial Levels and Related Global Greenhouse Gas Emission Pathways, in the Context of Strengthening the Global Response to the Treat of Climate Change, Sustainable Development, and Eforts to Eradicate Poverty* 32 (World Meteorological Organization, 2018).\n- 45. Ruane, A. C., Goldberg, R. & Chryssanthacopoulos, J. Climate forcing datasets for agricultural modeling: Merged products for gap-flling and historical climate series estimation. *Agr. For. Meteorol.* **200**, 233–248 (2015).\n- 46. Hempel, S., Frieler, K., Warszawski, L., Schewe, J. & Piontek, F. A trendpreserving bias correction-the ISI-MIP approach. *Earth Syst. Dyn.* **4**, 219–236 (2013).\n- 47. Monfreda, C., Ramankutty, N. & Foley, J. A. Farming the planet: 2. Geographic distribution of crop areas, yields, physiological types, and net primary production in the year 2000. *Glob. Biogeochem. Cycles* **22**, 1022 (2008).\n- 48. You, L.Z., *et al*. *Spatial Production Allocation Model (SPAM) 2000 Version 3.2*. http://mapspam.info (2015).\n- 49. Hoogenboom, G., *et al*. *Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6* (DSSAT Foundation, 2015). http://dssat.net (2015).\n- 50. Sacks, W. J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. *Glob. Ecol. Biogeogr.* **19**, 607–620 (2010).\n- 51. Batjes, H.N. *A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profles (Version 1.0)*. Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "less environmentally critical processes (see for example, the principles of 'green engineering', like prevention instead of treatment of waste288).\n\n**Chemical technologies have ousted traditional materials and processes.** The United Nations' (UNEP) 'Global Chemical Outlook' 289 documents a strong growth of chemical production between 1970 and 2010. The value of the global chemical production grew from US$171 billion in 1970, to approximately US$ 5.7 trillion in 2019, roughly 33 times more.290 The EU had a share of $1.3 trillion or about 20% of the global value. In less than two decades between 2000 and 2017, the capacity doubled and grew from 1,186 million tons to 2,276 million tons.291,292\n\nThe reasons for this strong growth are: a) the **replacement of traditional materials** (wood, stone, iron and other metals, paper, natural fibres) by chemically based products (foremost plastics and multimaterial products); b) **the replacement of traditional technologies by chemical processes** (e.g. gluing instead of screwing of connections in metal, two-component paints); c) the development of **new products** (e.g. electronic devices, new types of batteries, nano); and d) **new applications** (e.g. specific fertilisers and pesticides).\n\nApproximately 300 million tons of synthetic chemicals were consumed in the EU in 2019, 223 million tons, or 74%, were regarded as hazardous to health.\n\n| HAZARD (Labels) | 2021 |\n| --- | --- |\n| Hazardous to health | 214.3 |\n| Carcinogenic, mutagenic and reprotoxic (CMR) health hazard | 39.9 |\n| Chronic toxic health hazard | 25.4 |\n| Very toxic health hazard | 59.2 |\n| Toxic health hazard | 35.5 |\n| Harmful health hazard | 54.5 |\n| All labels referring to: Hazardous to the environment | 169.6 |\n| Hazardous and non-hazardous - Total | 278.9 |\n\n#### **Table 29: Production and consumption of chemicals by hazard class in the EU in 2019 – Eurostat293**\n\nAccording to the detailed register data of the Swedish Chemicals Agency, 10 million tonnes of synthetic chemicals were used in Sweden in 2019 that were classified as hazardous to health and the environment (not counting petrol). That equals approximately 1 ton per citizen of such chemicals.294\n\nThe ESENER 2019 survey provides information about **sectors that reported a particularly high prevalence of dangerous substances**. The percentage of enterprises reporting handling or exposure to chemicals are: 50% in 'Manufacturing', 49% in 'Construction, waste management, and water and electricity supply', and 47% in 'Human health and social work activities'.295\n\nThe prevention of risks from the use of chemicals at workplaces is done according to extensive regulatory frameworks. The most relevant pieces of legislation at the EU level are the OSH Framework Directive, the Chemical Agents Directive, and the Carcinogens and Mutagens Directive. Legislation in other policy areas contributes to the reduction of risks from dangerous substances in workplaces, such as EU legislation on chemical substances and mixtures (CLP, the regulation on classification, labelling and packaging of chemicals, its predecessor directive was already issued in 1967; REACH the regulation on Registration, Evaluation, Authorisation and Restriction of Chemicals from 2007; and also specific EU and international legislation on specific aspects such as chemicals in waste, storage and transport, in specific products like batteries and cars, in specific sectors like agriculture, in natural environments like in water and soil, and in consumer products like food, detergents and cosmetics).", - "page_start": 106, - "page_end": 106, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Firstly, the period of 1986–2005 is defned as the baseline, of which the simulated average value is recognized as 0.61 °C above pre-industrial (the period of 1850–1900) levels; the baseline is selected according to the accessibility and operability of data, which is used for the determination of the periods with global warming by 1.5 °C and 2.0 °C and the comparison of maize yield between diferent periods. Secondly, the simulated values of global mean temperature in the future years are subtracted from the simulated average value of 1986–2005; then the values should be plus with 0.61 °C, which are the global warming results above pre-industrial levels; then 20 years moving average of the above results are calculated. Tirdly, the climate data of global warming by 1.5 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 1.5–2.0 °C above pre-industrial levels at the end of the twenty-frst century; the climate data of global warming by 2.0 °C is defned according to the principles provided in the ffh IPCC Assessment Report, for which it should be within 2.0–2.5 °C above pre-industrial levels at the end of the twenty-frst century and the period of global warming by 2.0 °C should not be earlier than 2050. Finally, the climate models, scenarios and periods of global warming by 1.5 °C and 2.0 °C are separately confrmed; the data of global warming by 1.5 °C, simulated by IPSL-CM5A-LR under RCP2.6 scenario during 2020–2039 and simulated by GFDL-ESM2M under RCP4.5 scenario during 2041–2060; the data of global warming by 2.0 °C, simulated by NorESM1-M under RCP4.5 scenario during 2060–2079 and simulated by GFDL-ESM2M under RCP6.0 scenario during 2065–2084.\n\n**Simulation of maize yield using DSSAT.** According to the data of global warming by 1.5 °C and 2.0 °C selected above, we simulated global maize yield changes compared with the average yield during 1986–2005 on grid level using CERES-Maize, which is part of DSSAT version 4.649.\n\nTe inputs for DSSAT simulation include daily weather data, soil parameters, crop calendar data and management information. All the inputs are formatted at a 0.5°×0.5° grid resolution which are computed by highperformance computers. Weather data is from the AgMERRA dataset, including maximum and minimum temperatures, precipitation, total radiation and humidity. Crop calendar data were from the Center for Sustainability and Global Environment (SAGE), in which the existing observations of crop planting and harvesting dates are gridded formatted at a resolution of 5 min50. For management information, fertilizer applications, irrigation and other management practices are required. A crop-specifc gridded dataset of nitrogen fertilizer application for the world was developed by integrating national and subnational fertilizer application data from a variety of sources, which is used to set up current fertilizer application rates for maize in each grid cell. Soil parameters are from the International Soil Profle Dataset (WISE), including soil texture, bulk density, pH, organic carbon content and fraction of calcium carbonate for each of fve 20 cm thick soil layers51. All the soil data is allocated to be in accordance with the request of DSSAT simulation; the missing soil parameters for organic soils were adopted from FAO soil dataset.\n\nFirst maize yields across the world during the historical period 1986–2005 were simulated at the 0.5°×0.5° grid scale with two main production systems, including Spring maize and Summer maize. Historical national maize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from the gridded global dataset by combining two data products47. Second, genetic parameters of specifc cultivars of maize from previous works were adopted for the initial parameters; model parameters related to crop genotype characteristics were calibrated and tuned following the method in Xiong et al.52, in which the simulated yields from 1986–2005 were comparable to the statistical data. Tird, maize yields across the world were simulated under global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from gridded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, comparing maize yield average for 1986–2005.\n\n**Simulation of market price using GTAP.** Te yield changes for maize from the DSSAT models under 1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes in production, market price, and self-sufciency ratio of maize at national and global levels53,54. For this study, we use a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of the major food crops under current economic conditions. Utilizing current economic conditions has the advantage of minimizing assumptions and model uncertainties related to future economic conditions55,56.\n\nTe original GTAP database doesn't include maize as a separate sector, rather it is combined with other coarse grains to form an \"other coarse grain\" sector. For this study, we updated the GTAP database by splitting maize from the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the original database. Te detailed method is given as follows:\n\nFirst, we improved the database by splitting maize from the existing sector \"other coarse grain\", following similar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old fows of data both at national and trade levels are allocated between the new fows using weights. Te national weights include the division of each unsplit user's use of the original split commodity among the new commodities; the division of unsplit inputs to the original industry between the new industries; the splitting of new industry's use of each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\n\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of basic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. Te values for the national shares matrix were obtained from FAOSTAT. Te trade shares matrix was calculated based on the data from UN Comtrade Database.\n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors for maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of production and both livestock and households are major users of maize. For regional aggregation, we kept the details for all the main producing, consuming, and trading regions, for maize.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "| No. | #Climatechange | | #Globalwarming | |\n| --- | --- | --- | --- | --- |\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n**Table 1.** *Cont.*\n\n### *4.2. Association Network Analysis*\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or effects concerning sustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as \"world\", \"planet\", \"global\", and \"climatechangeisreal\", whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.\n\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses on the responsibility to tackle climate change, where several global action hashtags are included, such as \"un\", \"parisagreement\", \"cop21\", and \"cop24\". The theme of the third largest cluster (20%) in the climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the central part of the network with a mixed theme composed of three highly ranked hashtags, including \"environment\" (No. 2), \"climateaction\" (No. 3), and \"energy\" (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "**Figure 13.** Global mean percentage changes relative to 1981–2010 in (*a*) precipitation over land, (*b*) mean run-off flows, (*c*) low run-off lows (10th percentile), at 2°C and 1.5°C global warming.\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows—increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "How can I request access to NAIIS ?", - "target_page": 5, - "target_passage": "Requests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address naiisapp@unfccc.int.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "# NAIIS Web Application\n\n(Release version 1.1.3) User Manual\n\n(As of 10 February 2014)", - "page_start": 0, - "page_end": 0, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "| 1 Introduction 4 |\n| --- |\n| 2 General information 4 |\n| 2.1 System overview 4 |\n| 2.2 Pending NAIIS features 5 |\n| 2.3 Contact 5 |\n| 3 Getting started 6 |\n| 3.1 User Access, Roles and Privileges 6 |\n| 3.2 How to access/ log out / create a GHG inventory 6 |\n| 3.2.1 How to access the NAIIS application 6 |\n| 3.2.2 Create, Start, Add new and View GHG inventory year 8 |\n| 3.2.3 Initial screen / menu tab of the NFP, PM and SE 13 |\n| 3.2.4 How to log out 13 |\n| 3.3 User management 14 |\n| 3.3.1 Add User 14 |\n| 3.3.2 Disable/Enable User 15 |\n| 3.3.3 View User 16 |\n| 4 Using the system 17 |\n| 4.1 Data Entry 17 |\n| 4.2 Navigation tree 17 |\n| 4.3 Grids 17 |\n| 4.4 Data input 18 |\n| 4.5 Add/delete new nodes – user defined source categories 18 |\n| 4.5.1 Add new nodes 18 |\n| 4.5.2 Delete nodes – user defined nodes 20 |\n| 4.6 Backup of data files 20 |\n| 5 Key Category Analysis 21 |\n| 5.1 Using the default list 22 |\n| 5.2 Customizing the list 22 |\n| 5.3 Delete subnodes 23 |\n| 6 Reporting Tables 25 |\n| 7 Data Export/Import 26 |\n| 7.1 Excel Export – Data Entry 26 |\n| 7.2 Excel/XML Data import 27 |\n| 7.3 Export reporting tables 28 |\n| 7.4 XML Export 29 |\n| 8 Completeness 31 |\n| 9 Consistency 33 |\n| 10 Submission management 35 |", - "page_start": 1, - "page_end": 1, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **2.2 Pending NAIIS features**\n\nList of pending functionalities in NAIIS:\n\n- ----------------------------------------- 1. Web services integration for help desk\n- 2. Display of information in 5 remaining UN languages.\n\n# **2.3 Contact**\n\nRequests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address **naiisapp@unfccc.int**.", - "page_start": 4, - "page_end": 4, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Once the \"Generate Official Submission\" button has been pressed the \"Submit Inventory\" initial screen for selecting the tables appears (figure 70).\n\n- 8. Select or deselect by clicking the appropriate year(s) under \"Inventory Years\" box (figure 70, c) or the sector grids under the \"Table\" box (figure 70, d) to generate the official submission.\n- 9. Press the \"Submit\" button (figure 70, e). An official submission will be generated in the NAIIS system.\n\n### *Figure 70. Submit – select tables and grids for the general submission*", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **3 Getting started**\n\n# **3.1 User Access, Roles and Privileges**\n\nThe users of the application are the members of the national team(s) of non-Annex I Parties involved in the preparation of their national GHG inventories, and each user is assigned a role.\n\nThe table below explains the different levels of the access rights and corresponding explanation for each role. It is important to note that the roles are not necessarily identical to a person's title (e.g. National Focal Point) and that a person can take on several roles (which may be necessary for some countries).\n\nThere are three types of access rights (roles) to the NAIIS application:\n\n| Type of access rights for specific roles | Process to gain access rights |\n| --- | --- |\n| National Focal Point (NFP): Will be responsible for | |\n| identifying the members of the team and is the only | Parties that have not already requested and received |\n| | access rights can obtain them by having their National |\n| one who has the right to approve the submission of | |\n| any GHG inventory. | Focal Point contact: naiisapp@unfccc.int |\n| NFPs will have the option to create, edit, update or | (Note: Some Parties may have more than one individual |\n| delete all of their country's GHG data entries, and | acting as the NFP; however the system can |\n| grant access rights to the 'Project Manager' and | accommodate only one account per Party). |\n| 'Sectoral Experts' for their country if they choose. | |\n| Project Manager (PM): Will have the right to | |\n| enter/edit data in all sectors, as well as to generate | Entities will be provided these rights by their NFP. If a Party |\n| an official submission to the UNFCCC, and grant | decides to grant access to a PM, their NFP will be able to |\n| access rights to the 'Sectoral Experts' for their | create such user account on the NAIIS application. |\n| country. | |\n| | Experts will be provided these rights by their NFP and PM. If |\n| Sectoral Experts (SE): Will have the right to | a Party decides to grant access to Sectoral Experts, the NFP |\n| enter/edit data in respective sector(s). | will be able to create such user accounts and assign them in |\n| | respective sector(s). |\n\nAccess for the NFP will be provided by the secretariat, upon request; however, the accounts of the other users within the country shall only be created by the NFP.\n\n# **3.2 How to access/ log out / create a GHG inventory**\n\n### **3.2.1 How to access the NAIIS application**\n\nOpen any internet browser (i.e. Internet Explorer, Firefox, etc.) and type in the following URL http://unfccc.int/7627 on the browser's address bar. (figure 1 and figure 2)\n\n### *Figure 1. Using Internet Explorer browser*\n\n| United Nations Framework Convention on Climate Change - Windows Internet Explorer |\n| --- |\n| 3 = 2 http://unfccc.int/7627 |\n| File Edit View Favorites Tools Help |\n\n### *Figure 2. Using Firefox browser*\n\n| United Nations Framework Convention on Climate Change - Mozilla Firefox | | | | |\n| --- | --- | --- | --- | --- |\n| Edit View | History | Bookmarks | Tool | Help |\n| C United Nations Framework Convention on Cli ... | | | | |\n| unfccc.int/7627 | | | | |", - "page_start": 5, - "page_end": 5, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Press the 'Enter key' and the non-Annex I Greenhouse Gas Inventories web page appears.\n\nTo access the NAIIS application, click on the image NAIIS Web Application, the right hand side of the screen. (figure 3, number 1) and the log-in page will be displayed. (figure 4)\n\n| Figure 3. UNFCCC non-Annex I Greenhouse Gas Inventories web page |\n| --- |\n\n| Non-Annex I Greenhouse Gas Inventories | + | | |\n| --- | --- | --- | --- |\n| | 1 unfecc.int/national_reports/non-annex_j_national_communications/non-annex_i_inventory_software/Rens/7627.php | | |\n| | | SSB W IC . Share | Glossary FAQ Contact Español Français |\n| | | United Nations C | |\n| | | Framework Convention on | |\n| | | Climate Change | |\n| Home | CDM JI CC:iNet TT: Clear | Your location: Home | |\n| NEGOTIATIONS | | Non-Annex I Greenhouse Gas Inventories | News section |\n| Meetings | | | 6. |\n| Documents & Decisions | | | |\n| Bodies | | As per Article 4, paragraph 1 (a), and Article 12, paragraph 1(a) of the Convention, non-Annex I | |\n| | | Parties are required to communicate to the Conference of the Parties a national inventory of | To find out how to obtain |\n| FOCUS | | anthropogenic emissions by sources and removals by sinks of all greenhouse gases (GHGs) not. controlled by the Montreal Protocol, to the extent its capacities permit, following the quidelines | access rights to the NAIIS web application please click here |\n| | | contained in annex to decision17/CP.8 | |\n| Adaptation | | | |\n| Finance | | In order to facilitate non-Annex Parties in developing and reporting their GHG inventories as part of | |\n| | | their national communications, the secretariat developed an Excel-based software which incorporated | |\n| Mitigation | | all the elements of a national GHG inventory prescribed by decision 17/CP.8. The software was based . | NAIIS Web Application |\n| Technology | | on the IPCC inventory software version 1.1 which used the Tier 1 methodologies for estimating GHG | |\n| | | emissions and removals for all source categories described in the Revised 1996 IPCC G and | |\n| PROCESS | | further complimented by GPGs3. | |\n| | | Since its release in 2005, most non-Annex Parties have been using that software for d | |\n| Essential Background | | their national GHG inventories. In June 2011, Parties requested the secretariat to upgrade the | |\n| Kyoto Protocol | | software and make it available to non-Annex I Parties by June 2013. Pursuant to that request, the | |\n| | | secretariat will convert the current Excel-based version of the software (v.1.3.2)ª into a web-based; | |\n| Cooperation & Support | | | |\n| | | application which will provide dreater degree of flexibility in using it as well as enable a promot upgrade | |\n| Science | | of the application to respond to possible changes that may occur in the UNFCCC process, such as the, | |\n| Adaptation | | possible switch to the use of the 2006 IPCC Guidelines in the reporting of GHG Inventories. | |\n| National Reports | | | Click on the NAIIS image to |\n| | | Upon request to the secretariat, each non-Annex I Party will be provided with an access to a password. | access it. |\n| GHG Data | | enabled working space in the application. The individual working space will contain the following. | |\n| Methods | | functionalities: | Accessible only with access |\n| Gender and Climate Change | | 1. Software to estimate and report GHG emissions, conduct key source analysis, consistency and | rights. |\n| Parties & Observers | | completeness checks, and report the results of uncertainty analysis;9 | Details on gaining access |\n| | | 2. Export to and import from in the Excel and Xml format; | rights to the NAIIS application |\n| Press | | 3. Inventory management, including management of users and different versions of the inventory, | can be accessed here. |\n| Secretariat | | 4. Archiving of the finalized inventories; | |\n| | | 5. Automated submission of inventories to the secretariat. | |\n| KEY STEPS | | The request to access the application shall be from the national focal point for the UNFCCC, who in | |\n| | | turn shall be responsible for overall user management within its country. | Support for NAIS User |\n| The Corvention | | | |\n| Kyoto Protocol | | | Please click here |\n\n*Figure 4. Log-in page of the NAIIS Web Application*\n\n| United Nations | Framework Convention on | |\n| --- | --- | --- |\n| Climate Change | | |\n| Sign In | Welcome to the Online | User name: |\n| Non-Annex I GHG | inventory software | Password: |\n| (NAIIS) Web Application | Sign in | |\n| privacy :: contact @ 2013 United Nations Framework Convention on Climate Change | | |\n\nTo **log-in**, enter the username and password and click on the \"Sign in\" button.", - "page_start": 6, - "page_end": 6, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "#### **Create a user with administrative access**\n\nAfter you sign up for an AWS account, secure your AWS account root user, enable AWS IAM Identity Center, and create an administrative user so that you don't use the root user for everyday tasks.\n\n#### **Secure your AWS account root user**\n\n- 1. Sign in to the AWS Management Console as the account owner by choosing **Root user** and entering your AWS account email address. On the next page, enter your password.\nFor help signing in by using root user, see Signing in as the root user in the *AWS Sign-In User Guide*.\n\n- 2. Turn on multi-factor authentication (MFA) for your root user.\nFor instructions, see Enable a virtual MFA device for your AWS account root user (console) in the *IAM User Guide*.\n\n#### **Create a user with administrative access**\n\n- 1. Enable IAM Identity Center.\nFor instructions, see Enabling AWS IAM Identity Center in the *AWS IAM Identity Center User Guide*.\n\n- 2. In IAM Identity Center, grant administrative access to a user.\nFor a tutorial about using the IAM Identity Center directory as your identity source, see Configure user access with the default IAM Identity Center directory in the *AWS IAM Identity Center User Guide*.\n\n#### **Sign in as the user with administrative access**\n\n- To sign in with your IAM Identity Center user, use the sign-in URL that was sent to your email address when you created the IAM Identity Center user.\nFor help signing in using an IAM Identity Center user, see Signing in to the AWS access portal in the *AWS Sign-In User Guide*.", - "page_start": 14, - "page_end": 14, - "source_file": "serverless-core.pdf" - }, - { - "text": "# **10 Submission management**\n\n# **10.1 Workflow**\n\nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting submission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating to the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG inventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web application (figure 52).\n\n### *Figure 52: Non-Annex I Inventory Software workflow*\n\n# **10.2 Start of inventory/submission (NFP or PM)**\n\nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year identified will be made available in the new inventory/submission.\n\nThese are the steps to start a new inventory:\n\n- 1. Click on \"View Inventories Progress\" under sub menu \"Submission Management\" (figure 53).\n### *Figure 53. View Inventories Progress sub menu*\n\n- 2. The \"View Inventories Progress\" screen appears (figure 54).\n- 3. Select the appropriate inventory by clicking the box under column \"Working Inventory\" (figure 54, a).\n\n*** Note: The selected appropriate inventory should be in status \"created\" (figure 54, b)", - "page_start": 34, - "page_end": 34, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "For example, in the Dashboard pane, you can open help information that is related to the dashboard-provided information, as shown in Figure 5-19.\n\nSelecting the Help Contents option redirects you to the Storwize V7000 IBM Knowledge Center. However, it requires internet access from the workstation where the management GUI is started.\n\n# **5.3 System View window**\n\nStarting with IBM Spectrum Virtualize release V7.4, the welcome window of the GUI changed from the well-known former Overview/system 3D pane to the new System pane. In V8.2, the system pane was changed again to the new System view pane, and the 3D view was removed, as shown in Figure 5-20.\n\n| Dashboard | System - Overview | | Enclosure Actions V | System Actions V | Configure Remote Support Events | | × |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | Configure | More Info | |\n| 8 Monitoring | System | | | | No Events | | |\n| | Events | | | ✓ Online | | | |\n| Pools | | MTM: 2076-624 | S/N: 7822DFF | > FRU P/N: 31P1854 | | | |\n| | Performance | Front Vlew | | | Component Details | | |\n| Volumes | Background Tasks | | | | Enclosure (Internal) | | |\n| Hosts | | | | | Battery Module 1 配 9 Offline | | ... |\n| | | Drive | | | Recondition needed: No End of life warning: No | | |\n| Copy Services | | Rear View | | | Battery Module 2 글 C Offline | | ... |\n| Access | | . 00 00 | | | Recondition needed: No End of life warning: No | | |\n| | | 111 | 00 . . : | | | | |\n| O Settings | | Node Canister Adapter | Fibre Channel Port | | | | |\n| | | iSCSI Port Technician Port | SAS Port | | | | |\n| | | USB Port Power Supply Unit Internal Components | | | | | |\n| | | | | > | | | |\n\n*Figure 5-20 Opening the Overview pane*\n\nNext, we describe the structure of the pane and how to navigate to various system components to manage them more efficiently and quickly.\n\n# **5.3.1 Content-based organization**\n\nThe following sections describe several view options within the GUI in which you can filter (to minimize the amount of data that is shown on the window), sort, and reorganize the content of the window.", - "page_start": 164, - "page_end": 164, - "source_file": "sg247938.pdf" - }, - { - "text": "Using MongoDB Compass v1.16.4, access the database on the IP and port configured on the service, as shown in Figure 7-3. Use the admin user and the password that are configured on the secret file, as shown in Example 7-13 on page 170.\n\n| Connect to Host | | |\n| --- | --- | --- |\n| Hostname | dcocp01 | |\n| Port | 32767 | |\n| SRV Record | | |\n| Authentication | Username / Password | ▶ |\n| Username | admin | |\n| Password | UNDUKEUNU | |\n| Authentication Database ® | admin | |\n| Replica Set Name | | |\n\n*Figure 7-3 Connecting to the MongoDB database on the Power Systems cluster*\n\nFor tests purposes, download the NYC Restaurant data set that is available at the city page at this web page.", - "page_start": 190, - "page_end": 190, - "source_file": "sg248459.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What is the problem regarding the use of the Book3 dataset ?", - "target_page": 2, - "target_passage": "The Books3 dataset contains text from over 170,000 books,2 which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "## *5. Examining approaches to building a books data commons*\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## *5a. Public domain and permissively licensed books*\n\n#### **Existing Project Example : The Pile v2** 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others.28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2.29 Among other things, v2 would \"have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.\" At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.\n\nThis is an illustrative example, and there are also other projects of this ilk. For instance, see the 27 Common Corpus project, which includes an array of public domain books from a number of countries, at https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/ storytracer/internet_archive_books_en (\"This dataset contains more than 650,000 English public domain books (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the Open Library project.\")\n\nSee Gao et al, supra note 8. 28\n\nGoldman, Sharon. \"One of the World's Largest AI Training Datasets Is About to Get Bigger and 29 \"Substantially Better.\" *VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-aitraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "### *What dataset management practices are necessary?*\n\nNo matter how a books data commons gets built, it will be important to consider broader aspects of data governance. For example:\n\n- **Dataset documentation and transparency:** Transparent documentation is important for any dataset used for AI training. A datasheet is a standardized form of documentation that includes information about provenance and composition of data, and includes information on management practices, recommended uses or collection process.\n- **Quality assurance:** Above, we note the many features that make books useful for AI training, as compared with web data, for example. That said, the institution managing a books commons dataset may still want to collect and curate the collection to meet the particular purposes of its users. For instance, it may want to take steps to mitigate biases inherent in the dataset, by ensuring books are representative of a variety of languages and geographies.\n- **Understanding uses:** The institution managing a books commons dataset could measure and study how the dataset is used, to inform future improvements. Such monitoring may also enable accountability measures with respect to uses of the dataset. Introducing community norms for disclosing datasets used in AI training and other forms of AI research would facilitate such monitoring.\n- **Governance mechanisms:** In determining matters like acceptable and ethical use, the fundamental question is \"who decides.\" While this might be settled simply by whoever sets up and operates the dataset and related infrastructure, participatory mechanisms — such as advisory bodies bringing together a broad range of users and stakeholders of a collection — could also be incorporated.", - "page_start": 19, - "page_end": 19, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *7. Conclusion*\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of existing work. The concept of mass digitization of books, including to support text and data mining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its transformative use makes questions about how we digitize, preserve, and make accessible knowledge and cultural heritage salient in a distinct way.\n\nAs such, efforts to build a books data commons need not start from scratch; there is much to glean from studying and engaging existing and previous efforts. Those learnings might inform substantive decisions about how to build a books data commons for AI training. For instance, looking at the design decisions of HathiTrust may inform how the technical infrastructure and data management practices for AI training might be designed, as well as how to address challenges to building a comprehensive, diverse, and useful corpus. In addition, learnings might inform the process by which we get to a books data commons for example, illustrating ways to attend to the interests of those likely to be impacted by the dataset's development.41\n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or paths) to extend access to books for AI training is critical. In the status quo, large swaths of knowledge contained in books are effectively locked up and inaccessible to most everyone. Google is an exception — it can reap the benefits of their 40 million books dataset for research, development, and deployment of AI models. Large, well-resourced entities could theoretically try to replicate Google's digitization efforts, although it would be incredibly expensive, impractical, and largely duplicative for each entity to individually pursue their own efforts. Even then, it isn't clear how everyone else — independent researchers, entrepreneurs, and smaller entities — will have access. The controversy around the Books3 dataset discussed at the outset should not, then, be an argument in favor of preserving the status quo. Instead, it should highlight the urgency of building a books data commons to support an AI ecosystem that provides broad benefits beyond the privileged few.\n\nFor other existing and past examples, one might look to the work of Europeana, https:// 41 www.europeana.eu/en, as well as the mountain of commentary on the failed class action settlement between Google, the Authors Guild, and the Association of American Publishers — see e.g. the excellent collection of court filings created by James Grimmelmann and colleagues (now archived at the Internet Archive) — https://web.archive.org/web/20140425012526/http://thepublicindex.org/. The Settlement expressly would have set up a \"Research Corpus\" for non-consumptive research. HathiTrust created a Research Center, with the intention of becoming one of the hosts for the \"Research Corpus.\" The Settlement was criticized and was ultimately rejected by the district court for both substantive reasons (that is, what the settlement would specifically do) and procedural (in the sense of violating class-action law, but also in a broader sense of representing a \"backroom deal\" without sufficient participation from impacted interests). The Research Corpus was not a core locus of critique, though it did receive concern in terms of providing too much control to Google, for example. Our purpose in mentioning this is not to relitigate the issue, but rather to call out that design decisions of this sort have been considered in the past.", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "#### **Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and \"openly\" licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material — a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works.31\n\n### *5b. Limitations & Exceptions*\n\n#### **Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.\n\nFor instance, AI researchers note that the recently released Common Corpus dataset is an \"invaluable 30 resource\" but \"comes with limitations. A lot of public domain data is antiquated—in the US, for example, copyright protection usually lasts over seventy years from the death of the author—so this type of dataset won't be able to ground an AI model in current affairs or, say, how to spin up a blog post using current slang\" and the \"dataset is tiny.\" Thus, while it is possible to train an AI model on the data, those models will have more limited utility on some dimensions than current frontier models trained on a broader array of data. See Knibbs, Kate, *Here's Proof You Can Train an AI Model Without Slurping Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-aiwithout-slurping-copyrighted-content/.\n\nOur workshop discussion did note that some widely available datasets for AI training have also 31 pursued more direct licensing agreements. For instance, the SILO LLM was created by working with scientific journal publishers to make works available for both download and AI training. While this might be viable in the context of particular, narrow classes of works, the barriers to efficient licensing mentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. \"SILO Language Models: Isolating Legal Risk in a Nonparametric Datastore.\" *ArXiv (Cornell University)*, 8 Aug. 2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## *1. Introduction*1\n\nWhile the field of artificial intelligence research and technology has a long history, broad public attention grew over the last year in light of the wide availability of new generative AI systems, including large language models (LLMs) like GPT-4, Claude, and LLaMA-2. These tools are developed using machine learning and other techniques that analyze large datasets of written text, and they are capable of generating text in response to a user's prompts.\n\nWhile many large language models rely on website text for training, books have also played an important role in developing and improving AI systems. Despite the widespread use of ebooks and growth of sales in that market, books remain difficult for researchers and entrepreneurs to access at scale in digital form for the purposes of training AI.\n\nIn 2023, multiple news publications reported on the availability and use of a dataset of books called \"Books3\" to train LLMs.2 The Books3 dataset contains text from over 170,000 books, which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works contained in the dataset. In lawsuits brought against OpenAI, Microsoft, Meta, and Bloomberg related to their LLMs, the use of Books3 as training data was specifically cited.3\n\nThe Books3 controversy highlights a critical question at the heart of generative AI: what role do books play in training AI models, and how might digitized books be made widely accessible for the purposes of training AI? What dataset of books could be constructed and under what circumstances?\n\nIn February 2024, Creative Commons, Open Future and Proteus Strategies convened a series of workshops to investigate the concept of a responsibly designed, broadly accessible dataset of digitized books to be used in training AI models. Conducted under the Chatham House Rule, we set out to ask if there is a possible future in which a \"books data commons for AI training\" might exist, and what such a commons might look like. The workshops brought together practitioners on the front lines of building next-generation AI models, as well as legal and policy scholars with expertise in the copyright and licensing challenges surrounding digitized books. Our goal was also to bridge the perspective of stewards of\n\nAuthored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello (Proteus 1 Strategies) in collaboration with Creative Commons. We are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; Jonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet Archive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/NYU Engelberg Center, Nicholas P. Garcia, Public Knowledge; Sayeed Choudhury; Erik Stallman, UC Berkeley School of Law. The paper represents the views of the authors, however, and should not be attributed to the workshop as a whole. All mistakes or errors are the authors'.\n\nSee e.g. Knibbs, Kate. \"The Battle over Books3 Could Change AI Forever.\" *Wired*, 4 Sept. 2023, 2 www.wired.com/story/battle-over-books3/.\n\nFor key documents in these cases, see the helpful compendium at \"Master List of Lawsuits v. AI, 3 ChatGPT, OpenAI, Microsoft, Meta, Midjourney & Other AI Cos.\" *Chat GPT Is Eating the World*, 27 Dec. 2023, chatgptiseatingtheworld.com/2023/12/27/master-list-of-lawsuits-v-ai-chatgpt-openai-microsoftmeta-midjourney-other-ai-cos. See also \"Fair Use Week 2024: Day Two with Guest Expert Brandon Butler.\" *Fair Use Week*, sites.harvard.edu/fair-use-week/2024/02/26/fair-use-week-2024-day-two-withguest-expert-brandon-butler/. Accessed 20 Mar. 2024 (arguing that use of this dataset is not consequential for the fair use analysis).", - "page_start": 1, - "page_end": 1, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "found on the web, and this additional information can help contextualize the provenance and veracity of information.\n\n- **Breadth, Diversity, and Mitigating Bias:** Books can serve a critical role in ensuring AI models are inclusive of a broad range of topics and categories that may be underrepresented in other content. For all that the Internet has generated an explosion in human creativity and information sharing, it generally represents only a few decades of information and a small portion of the world's creative population. A books dataset, by comparison, is capable of representing centuries of human knowledge. As a result such a dataset can help ensure AI systems behavior is based on centuries of historical information from modern books. It can help ensure broad geographic and linguistic diversity. What's more, the greater breadth and diversity of high-quality content help mitigate challenges around bias and misinformation. Using a more diverse pool of training data can help support the production of a model and outputs of the model that are more representative of that diversity. Books can be useful in evaluation datasets to test existing models for memorization capabilities, which can help prevent unintended reproduction of existing works. Of course, this is all contingent on actual composition of the corpus; in order to have the benefits described, the books would need to be curated and included with characteristics like time, geographic and linguistic diversity.\n- **Other Modalities:** Finally, books do not just contain text, they often contain images and captions of those images. As such, they can be an important training source for multi-modal LLMs, which can receive and generate data in media other than text.\n\n#### **Lowering Barriers to Entry & Facilitating Competition**\n\nBroad access to books for AI training is critical to ensure powerful AI models are not concentrated in the hands of only a few companies. Access to training data, in general, has been cited as a potential competitive concern11 in the AI field because of the performance benefits to be gained by training on larger and larger datasets. But this competitive wedge is even more acute when we look specifically at access to book datasets.\n\nThe largest technology companies building commercial AI models have the resources and capacity to mass digitize books for AI training. Google has scanned 40 million books, many of which came from digitization partnerships they formed with libraries. They may already use some or all of these books to train their AI systems. It's unclear to what extent other 12 companies already have acquired books for AI training (for instance, whether Amazon's existing licenses with publishers or self-published authors may permit such uses);\n\nSee e.g. Trendacosta, Katherine and Doctorow, Cory. \"AI Art Generators and the Online Image Market.\" 11 *Electronic Frontier Foundation*, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-andonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. \"An Antimonopoly Approach to Governing Artificial Intelligence.\" *SSRN Electronic Journal*, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/ uploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/ ssrn.4597080. Accessed 25 Feb. 2024.\n\nSee white paper for Google's Gemini models https://arxiv.org/pdf/2312.11805.pdf — \"Gemini models 12 are trained on a dataset that is both multimodal and multilingual. Our pretraining dataset uses data from web documents, books, and code, and includes image, audio, and video data.\"", - "page_start": 6, - "page_end": 6, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the specific design choices and technical constraints are not adequate to justify a finding of fair use.\n\nThis sort of books dataset could be built by expanding use of in-copyright books that have already been digitized from existing libraries and other sources. Specifically, workshop participants mentioned that the Internet Archive, HathiTrust, and Google as entities that have digitized books and could repurpose their use to build a books commons, although challenges with using these datasets were noted. The Internet Archive is in the midst of litigation brought by book publishers for its program for lending digital books; while not directly relevant to the issue of AI training using their corpus of books, this sort of litigation creates a chilling effect on organizations seeking to make new uses of these digitized books. Meanwhile, Google encumbered HathiTrust's digital copies with certain contractual restrictions, which would need to be addressed to develop a books dataset for AI training, and Google itself is unlikely to share its own copies while it provides them a competitive advantage.\n\nPerhaps as a matter of public policy, these existing copies could be made more freely available. For instance, to ensure robust competition around AI and advance other public interests, policymakers could remove legal obstacles to the sharing of digitized book files for use in AI training. Alternatively, policymakers could go further and affirmatively compel sharing access to these digital book files for AI training.\n\nIt's possible that there could be a new mass digitization initiative, turning physical books into new digital scans. At least in theory, one could try to replicate the existing corpora of HathiTrust, for example, without Google's contractual limitations. At the same time, such an effort would take many years, and it seems unlikely that many libraries would want to go to the trouble to have their collections digitized a second time. Moreover, while new scans may provide some incremental benefit over use of existing ones (e.g., by using the most modern digitization and OCR tools and thus improving accuracy), there is no inherent social value to making every entity that wants to do or allow AI training invest in their own redundant scanning.\n\nA new digitization effort could target works that have not been yet digitized. This may be particularly useful given that previous book digitization efforts, and the Google Books project in particular, have focused heavily (though not exclusively) on libraries in English-speaking countries. Additional digitization efforts might make more sense for books in those languages that have not yet been digitized at a meaningful scale. Any new digitization effort might therefore start with a mapping of the extent to which a books corpus in a given language has been digitized.", - "page_start": 16, - "page_end": 16, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "### A Supplementary materials for datasets\n\n#### A.1 All datasets\n\nTable 3 displays the size of each dataset along with the average number of tokens per sample and their references. The dataset's content was tokenized using *cl100k_base* encoding. For Retrieval, the two numbers refer to the queries and the documents. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant documents and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are obtained from the 90 documents extracted. For *SummEvalFr*, the three numbers refer to the texts, human and machine summaries, respectively.\n\nFigure 3 represents the semantic similarity between each dataset. The methodology was as follows: 90 random samples per dataset are embedded using the *multilingual-e5-large* model. The embeddings of each dataset's samples are averaged. The similarity between each dataset is then calculated using cosine similarity as in (Muennighoff et al., 2022).\n\nWe complement this analysis by observing the dataset's clouds of embedding in a 2D plane using PCA in Figure 4.\n\n#### A.2 Created datasets\n\nSyntec Figure 5 shows an extract from the Syntec dataset with a document and a query relative to this document.\n\nHAL Figure 6 is an extract from the HAL dataset. Table 4 lists the distribution of classes (*domain* field) for the HAL dataset on *raw* subset and *mteb_eval* subset, which is used for MTEB evaluation. Labels descriptions can be found at this URL: https://api.archivesouvertes.fr/ref/domain/?q=*:*&rows=393 or in Table 4. After pre-processing, *mteb_eval* covers titles from 10 domains as classes with less than 500 samples were removed. In the MTEB evaluation subset of the dataset, titles composed of 2 words or less have been removed (371 samples), resulting in an average word count of 13.4. Figure 7 shows the word count distribution per title. Furthermore, the dataset has been cleaned up by manually removing all non-French titles. Additionally, it can be observed in Table 4 that in the original *raw* dataset, the *shs* and *sdv* classes represent by far the majority of the dataset samples with respectively 58706 samples (73%) and 11049 samples (13%). In order to\n\nmitigate the class imbalance while preserving the majority of those classes, they have been randomly subsampled to 6701 and 4803 samples. Furthermore, baseline models have been trained and tested to assess the usability of this dataset in other tasks, such as classification and topic modeling. Table 5 shows the results obtained.\n\nSummEvalFr Extracts of humans and machine summaries translated in French from SummEvalFr and the original ones in English from SummEval (Fabbri et al., 2021) are shown in Figure 9. As explained in section 3.1.3, we use a LLM to evaluate the quality of translations for human summaries, we provide the prompt used with *GPT-4* for this evaluation in Figure 8.\n\nTable 6 shows the distribution of ratings given by the LLM. With the scale being 10, we manually verify random samples rated above 9. We verify all samples with ratings under 9 and those with no provided rating (N/A) due to the triggering of the OpenAI content management policy. The LLM suggests that 60 samples are not correctly translated. These were verified manually, and after checking, less than 10 samples only needed to be corrected.\n\n# B Supplementary materials for correlation analysis\n\nThis section presents various correlations computed based on the model results on the proposed benchmark.\n\nFigure 10 represents cross-correlations between models' performances and their studied characteristics as a heatmap.\n\nFigure 11 represents the Spearman correlations in terms of performance across models.\n\nFigure 12 represents the Spearman correlations in terms of performance across datasets.\n\n### C Supplementary materials for models\n\nWe present in this section the model characteristics we collected for the 46 evaluated models.\n\nFor evaluating prompt-based models such as *intfloat/e5-mistral-instruct-7b*, we provide the prompts we used in Table 8.\n\n### D Evaluation results\n\nThis section presents the results obtained for each model on each task. To be relevant, we used the same metrics as in MTEB, which varies from one type of task to another:", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "## *4. Copyright, Licensing, & Access to Books for Training*\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the development of a books data commons would necessarily need to navigate and comply with copyright law.\n\n**Out-of-Copyright Books:** A minority of books are old enough to be in the public domain and out of copyright, and an AI developer could use them in training without securing any copyright permission. In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on, it is worth noting that the status of whether a book is in the public domain can be difficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14 out of copyright if they were not subject to a copyright renewal; however, data on copyright renewals is not easily accessible.\n\nWhat's more, copyright definitions and term lengths vary among countries. Even if a work is in the public domain in the US, it may not be in other countries. Countries generally use the 15 life of the last living author + \"x\" years to determine the term of copyright protection. For most countries, \"x\" is either 50 years (the minimum required by the Berne Convention) or 70 years (this is the case for all member states of the European Union and for all works published in the U.S. after 1978). This approach makes it difficult to determine copyright terms with certainty because it requires information about the date of death of each author, which is often not readily available.\n\n**In-Copyright Books:** The vast majority of books are in copyright, and, insofar as the training process requires making a copy of the book, the use in AI training may implicate copyright law. Our workshop covered three possible paths for incorporating such works.\n\n#### **Direct licensing**\n\nOne could directly license books from rightsholders. There may be some publishers who are willing to license their works for this purpose, but it is hard to determine the scale of such access, and, in any event, there are significant limits on this approach. Along with the challenge (and expense) of reaching agreements with relevant rightsholders, there is also the practical difficulty of simply identifying and finding the rightsholder that one must negotiate\n\nFor a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler. *Finding the Public Domain:* 14 *Copyright Review Management System Toolkit*. 2016, quod.lib.umich.edu/c/crmstoolkit/\n\n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. \"LibGuides: Copyright at Cornell Libraries: Copyright Term and the Public Domain.\" guides.library.cornell.edu/copyright/publicdomain; Mannapperuma, Menesha, et al. *Is It in the Public Domain? A HANDBOOK for EVALUATING the COPYRIGHT STATUS of a WORK CREATED in the UNITED STATES*. 1923.\n\nSee e.g. Moody, Glyn. \"Project Gutenberg Blocks Access in Germany to All Its Public Domain Books 15 because of Local Copyright Claim on 18 of Them.\" *Techdirt*, 7 Mar. 2018, www.techdirt.com/ 2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-localcopyright-claim-18-them/. Accessed 20 Mar. 2024.", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "In the United States, before which date is book out of copyright for sure ?", - "target_page": 9, - "target_passage": "In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## *4. Copyright, Licensing, & Access to Books for Training*\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the development of a books data commons would necessarily need to navigate and comply with copyright law.\n\n**Out-of-Copyright Books:** A minority of books are old enough to be in the public domain and out of copyright, and an AI developer could use them in training without securing any copyright permission. In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on, it is worth noting that the status of whether a book is in the public domain can be difficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14 out of copyright if they were not subject to a copyright renewal; however, data on copyright renewals is not easily accessible.\n\nWhat's more, copyright definitions and term lengths vary among countries. Even if a work is in the public domain in the US, it may not be in other countries. Countries generally use the 15 life of the last living author + \"x\" years to determine the term of copyright protection. For most countries, \"x\" is either 50 years (the minimum required by the Berne Convention) or 70 years (this is the case for all member states of the European Union and for all works published in the U.S. after 1978). This approach makes it difficult to determine copyright terms with certainty because it requires information about the date of death of each author, which is often not readily available.\n\n**In-Copyright Books:** The vast majority of books are in copyright, and, insofar as the training process requires making a copy of the book, the use in AI training may implicate copyright law. Our workshop covered three possible paths for incorporating such works.\n\n#### **Direct licensing**\n\nOne could directly license books from rightsholders. There may be some publishers who are willing to license their works for this purpose, but it is hard to determine the scale of such access, and, in any event, there are significant limits on this approach. Along with the challenge (and expense) of reaching agreements with relevant rightsholders, there is also the practical difficulty of simply identifying and finding the rightsholder that one must negotiate\n\nFor a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler. *Finding the Public Domain:* 14 *Copyright Review Management System Toolkit*. 2016, quod.lib.umich.edu/c/crmstoolkit/\n\n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. \"LibGuides: Copyright at Cornell Libraries: Copyright Term and the Public Domain.\" guides.library.cornell.edu/copyright/publicdomain; Mannapperuma, Menesha, et al. *Is It in the Public Domain? A HANDBOOK for EVALUATING the COPYRIGHT STATUS of a WORK CREATED in the UNITED STATES*. 1923.\n\nSee e.g. Moody, Glyn. \"Project Gutenberg Blocks Access in Germany to All Its Public Domain Books 15 because of Local Copyright Claim on 18 of Them.\" *Techdirt*, 7 Mar. 2018, www.techdirt.com/ 2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-localcopyright-claim-18-them/. Accessed 20 Mar. 2024.", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most are not actively managed by their rightsholders. There is no official registry of copyrighted works and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially those that have or have had limited commercial value. Put differently, the barrier to using 17 most books is not simply to pay publishers; even if one had significant financial resources, licensing would not enable access to most works.\n\n#### **Permissively licensed works**\n\nThere are books that have been permissively licensed in an easily identifiable way, such as works placed under Creative Commons (CC) licenses. Such works explicitly allow particular uses of works subject to various responsibilities (e.g., requiring attribution by the user in their follow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion depends on whether the license's terms can be complied with in the context of AI training. For instance, in the context of CC licensed works, there are requirements for proper attribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public Domain Mark (PDM) are not licenses and do not require attribution).18\n\nSee e.g. Heald, Paul J. \"How Copyright Makes Books and Music Disappear (and How Secondary 16 Liability Rules Help Resurrect Old Songs).\" Illinois Program in Law, Behavior and Social Science Paper No. LBSS14-07 Illinois Public Law Research Paper No. 13-54 https://doi.org/10.2139/ssrn.2290181. Accessed 4 Jan. 2020, at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181; Rosen, Rebecca J. \"Why Are so Few Books from the 20th Century Available as Ebooks?\" *The Atlantic*, 18 Mar. 2014, www.theatlantic.com/business/archive/2014/03/why-are-so-few-books-from-the-20th-centuryavailable-as-ebooks/284486/. See also \"Google Book Search Settlement and Access to Out of Print Books.\" *Google Public Policy Blog*, publicpolicy.googleblog.com/2009/06/google-book-searchsettlement-and.html. Accessed 20 Mar. 2024 (discussing this issue in the context of the failed classaction settlement between Google, the Authors Guild, and the Association of American Publishers). Google's final brief in the settlement proceedings notes the \"prohibitive transaction costs of identifying and locating individual Rightsholders of these largely older, out-of-print books\" — see this brief at https:// web.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/ google_final_approval_support.pdf. The Authors Guild and Association of American Publishers also justified the settlement's terms in light of the fact that \"the transaction costs involved in finding copyright owners and clearing the rights are too high\"; while they argued that most works are not truly \"orphans,\" they note that total transaction costs as a whole (including, for example, determining whether the author or publisher holds the rights and then negotiating rates) are so high as to block uses of outof-print works anyway — see this brief at https://web.archive.org/web/20130112060213/http:// thepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf.\n\nIn the EU, the 2019 Copyright Directive introduced specific provisions on the \"use of out-of-commerce 17 works and other subject matter by cultural heritage institutions\" (Articles 8-11 CDSMD). These provisions allow cultural heritage institutions to \"make available, for non-commercial purposes, out-ofcommerce works or other subject matter permanently in their collections\". The limitation to noncommercial purposes means that works made available under these provisions would be of limited use in building a books data commons.\n\nFor one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18 they are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin' 'Bout AI Generation: Copyright and the Generative AI Supply Chain. Forthcoming, *Journal of the Copyright Society* 2024. https://doi.org/10.2139/ssrn.4523551.", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "#### **Reliance on Copyright Limitations and Exceptions**\n\nEven if a book is in copyright, it's possible that copying books for AI training may be covered by existing limitations and exceptions to copyright law in particular jurisdictions. For example:\n\n- In the United States, many argue using existing works to train generative AI is \"fair use,\" consistent with existing law and legal precedents. This is the subject of a 19 number of currently active court cases, and different actors and tools may yield different results, as fair use is applied case-by-case using a flexible balancing test.\n- In the European Union, there are explicit exceptions in the law for \"text and data mining\" uses of in-copyright works, both for non-commercial research and for commercial purposes. However, for commercial uses and for users outside of research and heritage institutions, they must respect the rights of rightsholders who choose to \"reserve their rights\" (i.e., opt-out of allowing text and data mining) via machine readable mechanisms. The exception also requires that users have \"lawful 20 access\" to the works.\n- Finally, Japan provides a specific text and data mining exception, without any comparable opt-out requirement for commercial uses as is embedded in EU law.21\n\nWhile exceptions that allow AI training exist in several other countries, such as Singapore and Israel, most countries do not provide exceptions that appear to permit AI training. Even where potentially available, as in the United States, legal uncertainty and risk create a hurdle for anyone building a books commons.22\n\nSee e.g. Comments from Sprigman, Samuelson, Sag to Copyright Office, October 2023, at https:// 19 www.regulations.gov/comment/COLC-2023-0006-10299 as well as many other submissions to the US copyright office; see also Advocacy, Katherine Klosek, Director of Information Policy and Federal Relations, Association of Research Libraries (ARL), and Marjory S. Blumenthal, Senior Policy Fellow, American Library Association (ALA) Office of Public Policy and. \"Training Generative AI Models on Copyrighted Works Is Fair Use.\" *Association of Research Libraries*, 23 Jan. 2024, www.arl.org/blog/ training-generative-ai-models-on-copyrighted-works-is-fair-use/.\n\nSee Articles 3 and 4 of the EU's Directive on Copyright and Related Rights in the Digital Single Market 20 — https://eur-lex.europa.eu/eli/dir/2019/790/oj.\n\nJapan clarified its laws in 2018 to make clear that this type of use is permitted — see discussion in 21 Testimony of Matthew Sag, July 2023, https://www.judiciary.senate.gov/imo/media/doc/ 2023-07-12_pm_-_testimony_-_sag.pdf, see also Fiil-Flynn, S. *et al.* (2022) *Legal reform to enhance global text and Data Mining Research*, *Science*. Available at: https://www.science.org/doi/10.1126/ science.add6124 (Accessed: 28 Sept. 2023).\n\nSee supra note 22*.* See also Jonathan Band, *Copyright Implications of the Relationship between* 22 *Generative Artificial Intelligence and Text and Data Mining | Infojustice*. infojustice.org/archives/45509. In addition, for an in-depth look at the cross-border legal challenges involved see: *Wrapping up Our NEH-Funded Project to Help Text and Data Mining Researchers Navigate Cross-Border Legal and Ethical Issues*. 2 Oct. 2023, buildinglltdm.org/2023/10/02/wrapping-up-our-neh-funded-project-to-help-text-anddata-mining-researchers-navigate-cross-border-legal-and-ethical-issues/. Accessed 20 Mar. 2024.", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "It is also important to note two other issues that can affect the application of limitations and exceptions, in particular, their application to e-books.\n\nThe first important limitation is that almost every digital book published today comes with a set of contractual terms that restrict what users can do with it. In many cases, those terms will explicitly restrict text data mining or AI uses of the content, meaning that even where copyright law allows for reuse (for example, under fair use), publishers by contract can impose restrictions anyway. In the United States, those contract terms are generally thought to override the applicability of fair use or other limitations and exceptions. Other 23 jurisdictions, such as those in the EU, provide that certain limitations and exceptions cannot be contractually overridden, though experience to date varies with how those anti-contractual override protections work in practice.24\n\nThe second limitation is the widespread adoption of \"anti-circumvention\" rules in copyright laws and the interplay of these with a choice to rely on copyright limitations and exceptions. Digital books sold by major publishers are generally encumbered with \"digital rights management\" (DRM) that limits how someone can use the digital file. For instance, DRM can limit the ability to make a copy of the book, or even screenshot or excerpt from it, among other things. Anti-circumvention laws restrict someone's ability to evade these technical restrictions, even if it is for an ultimately lawful use.\n\nWhat this means for our purposes is that even if one acquires a digital book from, for example, Amazon, and it is lawful under copyright law to use that book in AI training, it can still generally be unlawful to circumvent the DRM to do so, outside narrow exceptions.25 Thus, the ability to use in-copyright books encumbered by DRM — that is, most all books sold by major publishers — is generally limited. 26\n\nPractically, using in-copyright books to build a books commons for AI training — while relying on copyright's limitations and exceptions — requires turning a physical book into digital form, or otherwise engaging in the laborious process of manually re-creating a book's text (i.e., retyping the full text of the book) without circumventing the technical restrictions themselves.\n\nIn the U.S. the Copyright Office has recognized the importance of allowing particular exceptions for 25 researchers engaged in text and data mining. See their rulemaking in 2021 https:// www.federalregister.gov/documents/2021/10/28/2021-23311/exemption-to-prohibition-oncircumvention-of-copyright-protection-systems-for-access-control. These rules are reviewed triennially and are currently under review, with submissions suggesting both contraction and expansion; see the Authors' Alliance comments in January 2024 https://www.authorsalliance.org/2024/01/29/authorsalliance-submits-long-form-comment-to-copyright-office-in-support-of-petition-to-expand-existing-textand-data-mining-exemption/. It is possible that one could argue for these exceptions to be expanded, and then work to renew that exception every three years. The EU's text and data mining exception may also limit use of DRM to impede data mining, but only for particular covered research and heritage institutions; commercial and other users are not covered, however.\n\nNote that CC licenses forbid use of DRM — but that doesn't address most all books sold by publishers. 26\n\nSee Hansen, Dave. \"Fair Use Week 2023: How to Evade Fair Use in Two Easy Steps.\" *Authors Alliance*, 23 23 Feb. 2023, www.authorsalliance.org/2023/02/23/fair-use-week-2023-how-to-evade-fair-use-in-twoeasy-steps/. Accessed 20 Mar. 2024.\n\nSee Band, Jonathan. \"Protecting User Rights against Contract Override.\" *Joint PIJIP/TLS Research* 24 *Paper Series*, 1 May 2023, digitalcommons.wcl.american.edu/research/97/. Accessed 20 Mar. 2024.", - "page_start": 11, - "page_end": 11, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "#### **Implications of the The Overall Approach**\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and \"openly\" licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material — a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works.31\n\n### *5b. Limitations & Exceptions*\n\n#### **Existing Project Example: HathiTrust Research Center (HTRC)**\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.\n\nFor instance, AI researchers note that the recently released Common Corpus dataset is an \"invaluable 30 resource\" but \"comes with limitations. A lot of public domain data is antiquated—in the US, for example, copyright protection usually lasts over seventy years from the death of the author—so this type of dataset won't be able to ground an AI model in current affairs or, say, how to spin up a blog post using current slang\" and the \"dataset is tiny.\" Thus, while it is possible to train an AI model on the data, those models will have more limited utility on some dimensions than current frontier models trained on a broader array of data. See Knibbs, Kate, *Here's Proof You Can Train an AI Model Without Slurping Copyrighted Content | WIRED*. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-aiwithout-slurping-copyrighted-content/.\n\nOur workshop discussion did note that some widely available datasets for AI training have also 31 pursued more direct licensing agreements. For instance, the SILO LLM was created by working with scientific journal publishers to make works available for both download and AI training. While this might be viable in the context of particular, narrow classes of works, the barriers to efficient licensing mentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. \"SILO Language Models: Isolating Legal Risk in a Nonparametric Datastore.\" *ArXiv (Cornell University)*, 8 Aug. 2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "It is also an example predicated on copyright's limitations and exceptions — in this case, on U.S. fair use. While the Authors Guild filed a copyright infringement suit against HathiTrust, federal courts in 2012 and 2014 ruled that HathiTrust's use of books was fair use.32\n\nA nonprofit founded in 2008, HathiTrust grew out of a partnership among major US university libraries and today is \"an international community of research libraries committed to the long-term curation and availability of the cultural record.\" It started in what it calls the \"early 33 days of mass digitization\" — that is, at a time when it started to become economical to take existing physical artifacts in libraries and turn them into digital files at a large scale.\n\nThe founding members of HathiTrust were among the initial partners for Google's Book Search product, which allows people to search across and view small snippets of text from in-copyright books and read full copies of public domain books scanned from libraries' 34 collections. The libraries provided Google with books from their collections, Google would then scan the books for use in Book Search, and return to the libraries a digital copy for their own uses. These uses included setting up HathiTrust not only to ensure long-term preservation of the digital books and their metadata, but also to facilitate other uses, including full text search of books and accessibility for people with print disabilities. In separate court cases, both Google and HathiTrust's uses of the books were deemed consistent with copyright law.\n\nThe uses most relevant to this paper are those enabled by what HathiTrust refers to today as the Research Center. The Center grew in part out of a research discipline called \"digital humanities,\" which, among other things, seeks to use computational resources or other digital technologies to analyze information and contribute to the study of literature, media, history, and other areas. For instance, imagine you want to understand how a given term (e.g., \"war on drugs\") became used; one might seek to analyze when the term was first used and how often it was used over time by analyzing a vast quantity of sources, searching out the term's use. The insight here is that there is much to be learned not just from reading or otherwise consuming specific material, but also from \"non-consumptive research,\" or \"research in which computational analysis is performed on one or more volumes (textual or image objects)\" to derive other sorts of insights. AI training is a type of non-consumptive use.\n\nToday, the Center \"[s]upports large-scale computational analysis of the works in the HathiTrust Digital Library to facilitate non-profit and educational research.\" It includes over 18 million books in over 400 languages from the HathiTrust Digital Library collection. Roughly 58% of the corpus is in copyright. HathiTrust notes that, while this corpus is large, it has limitations in terms of its representation across subject matter, language, geography, and other dimensions. In terms of subject matter, the corpus is skewed towards humanities (64.9%) and social sciences (14.3%). In terms of language, 51% of the books are in English,\n\n<i>Authors Guild v. HathiTrust, 902 F.Supp.2d 445 (SDNY October 10, 2012) and *Authors Guild v.* 32 *HathiTrust*, 755 F.3d 87 (2d Cir. 2014).\n\nSee https://www.hathitrust.org/member-libraries/member-list/ — the membership is principally US 33 institutions, and most of the non-US members are from English speaking countries or institutions that use English as the primary language of operations.\n\nThis functionality is limited to scanned books provided by library partners in the US. 34", - "page_start": 14, - "page_end": 14, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *6. Cross-cutting design questions*\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n### *Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative \"opt-in\" consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of \"opt-out\" could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about *who* can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many\n\nIn fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38 EU's legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data mining for commercial uses and/or are users outside of the covered set of research and heritage institutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI developers.", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## *5. Examining approaches to building a books data commons*\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## *5a. Public domain and permissively licensed books*\n\n#### **Existing Project Example : The Pile v2** 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others.28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2.29 Among other things, v2 would \"have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.\" At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.\n\nThis is an illustrative example, and there are also other projects of this ilk. For instance, see the 27 Common Corpus project, which includes an array of public domain books from a number of countries, at https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/ storytracer/internet_archive_books_en (\"This dataset contains more than 650,000 English public domain books (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the Open Library project.\")\n\nSee Gao et al, supra note 8. 28\n\nGoldman, Sharon. \"One of the World's Largest AI Training Datasets Is About to Get Bigger and 29 \"Substantially Better.\" *VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-aitraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the specific design choices and technical constraints are not adequate to justify a finding of fair use.\n\nThis sort of books dataset could be built by expanding use of in-copyright books that have already been digitized from existing libraries and other sources. Specifically, workshop participants mentioned that the Internet Archive, HathiTrust, and Google as entities that have digitized books and could repurpose their use to build a books commons, although challenges with using these datasets were noted. The Internet Archive is in the midst of litigation brought by book publishers for its program for lending digital books; while not directly relevant to the issue of AI training using their corpus of books, this sort of litigation creates a chilling effect on organizations seeking to make new uses of these digitized books. Meanwhile, Google encumbered HathiTrust's digital copies with certain contractual restrictions, which would need to be addressed to develop a books dataset for AI training, and Google itself is unlikely to share its own copies while it provides them a competitive advantage.\n\nPerhaps as a matter of public policy, these existing copies could be made more freely available. For instance, to ensure robust competition around AI and advance other public interests, policymakers could remove legal obstacles to the sharing of digitized book files for use in AI training. Alternatively, policymakers could go further and affirmatively compel sharing access to these digital book files for AI training.\n\nIt's possible that there could be a new mass digitization initiative, turning physical books into new digital scans. At least in theory, one could try to replicate the existing corpora of HathiTrust, for example, without Google's contractual limitations. At the same time, such an effort would take many years, and it seems unlikely that many libraries would want to go to the trouble to have their collections digitized a second time. Moreover, while new scans may provide some incremental benefit over use of existing ones (e.g., by using the most modern digitization and OCR tools and thus improving accuracy), there is no inherent social value to making every entity that wants to do or allow AI training invest in their own redundant scanning.\n\nA new digitization effort could target works that have not been yet digitized. This may be particularly useful given that previous book digitization efforts, and the Google Books project in particular, have focused heavily (though not exclusively) on libraries in English-speaking countries. Additional digitization efforts might make more sense for books in those languages that have not yet been digitized at a meaningful scale. Any new digitization effort might therefore start with a mapping of the extent to which a books corpus in a given language has been digitized.", - "page_start": 16, - "page_end": 16, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What of the main imporvement of the Pile v2 dataset in comparison to its first version ?", - "target_page": 13, - "target_passage": "Among other things, v2 would “have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.” At the same time, it would only seek to include public domain books and permissively licensed content", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "correlated (see Figure 12). We preferred to propose datasets even if they could introduce biases rather than not address the task in the benchmark. Note that each task type can be considered individually. We hope additional resources will be developed in the French-speaking community to enrich our comparison.\n\nBenchmark validity over time As with all benchmarks, their reliability over time can be discussed as the field evolves fast. The models selected for the analysis conducted in this paper are those available at this time, new outperforming models will be created and shall be evaluated. Our work extends MTEB and thus simplifies the addition of new datasets for evaluation and allows running new models. With this effort, we hope this will simplify the evaluation of new models proposed by the community to keep our work up to date.\n\nData contamination issues Bias may exist for models that use the training sets of the provided evaluation datasets for their training. It considerably improves their performance on the benchmark, favouring them over other models. This is particularly worrying for models that do not communicate about the datasets used during training, such as proprietary models. Generally speaking, it would be interesting to calculate the similarity between the datasets used to train the models and those used to test them to check that they are far enough apart to draw general conclusions.\n\nFocus on sentence embeddings Finally, like the original version of MTEB, the comparison focuses mainly on sentence embeddings. Other tasks could be added to cover word embeddings and, therefore, more NLP tasks.\n\n#### Acknowledgements\n\nWe would like to thank Wikit11 and Esker12 for providing compute and funding this research.\n\n### References\n\n- David Ifeoluwa Adelani, Marek Masiak, Israel Abebe Azime, Jesujoba Oluwadara Alabi, Atnafu Lambebo Tonja, Christine Mwase, Odunayo Ogundepo, Bonaventure F. P. Dossou, Akintunde Oladipo, Doreen Nixdorf, Chris C. Emezue,\nSana Al-Azzawi, Blessing K. Sibanda, Davis David, Lolwethu Ndolela, Jonathan Mukiibi, Tunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian Odhiambo, Abraham Toluwase Owodunni, Nnaemeka Obiefuna, Shamsuddeen Hassan Muhammad, Saheed Salahudeen Abdullahi, Mesay Gemeda Yigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmumin, Mahlet Taye Bame, Oluwabusayo Olufunke Awoyomi, Iyanuoluwa Shode, Tolulope Anu Adelani, Habiba Abdulganiy Kailani, Abdul-Hakeem Omotayo, Adetola Adeeko, Afolabi Abeeb, Anuoluwapo Aremu, Olanrewaju Samuel, Clemencia Siro, Wangari Kimotho, Onyekachi Raphael Ogbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chukwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. Awosan, Tadesse Kebede Guge, Sakayo Toadoum Sari, Pamela Nyatsine, Freedmore Sidume, Oreen Yousuf, Mardiyyah Oduwole, Ussen Kimanuka, Kanda Patrick Tshinu, Thina Diko, Siyanda Nxakama, Abdulmejid Tuni Johar, Sinodos Gebre, Muhidin A. Mohamed, Shafie Abdi Mohamed, Fuad Mire Hassan, Moges Ahmed Mehamed, Evrard Ngabire, and Pontus Stenetorp. 2023. Masakhanews: News topic classification for african languages. In *International Joint Conference on Natural Language Processing*.\n\n- Eneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, Aitor Gonzalez-Agirre, Rada Mihalcea, German Rigau, and Janyce Wiebe. 2016. SemEval-2016 task 1: Semantic textual similarity, monolingual and cross-lingual evaluation. In *Proceedings of the 10th International Workshop on Semantic Evaluation (SemEval-2016)*, pages 497–511, San Diego, California. Association for Computational Linguistics.\n- Arthur Barbosa, Máverick Ferreira, Rafael Ferreira Mello, Rafael Dueire Lins, and Dragan Gasevic. 2021. The impact of automatic text translation on classification of online discussions for social and cognitive presences. In *LAK21: 11th International Learning Analytics and Knowledge Conference*, LAK21, page 77–87, New York, NY, USA. Association for Computing Machinery.\n- Rachel Bawden, Eric Bilinski, Thomas Lavergne, and Sophie Rosset. 2021. Diabla: A corpus of bilingual spontaneous written dialogues for machine translation. *Language Resources and Evaluation*, 55:635– 660.\n- David M Blei, Andrew Y Ng, and Michael I Jordan. 2003. Latent dirichlet allocation. *Journal of machine Learning research*, 3(Jan):993–1022.\n- Jianlv Chen, Shitao Xiao, Peitian Zhang, Kun Luo, Defu Lian, and Zheng Liu. 2024. Bge m3-embedding: Multi-lingual, multi-functionality, multi-granularity text embeddings through self-knowledge distillation.\n- Xi Chen, Ali Zeynali, Chico Camargo, Fabian Flöck, Devin Gaffney, Przemyslaw Grabowicz, Scott Hale, David Jurgens, and Mattia Samory. 2022. SemEval-2022 task 8: Multilingual news article similarity. In *Proceedings of the 16th International Workshop on*\n\n11https://www.wikit.ai/\n\n12https://www.esker.com/", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "**SOTA fine-tuned task-specific model on SSv2 (MVD)**\n\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen. We report SSv2 fine-tuning for V-JEPA and pixel-reconstruction baselines using a ViT-L/16 or Hiera-L architecture. V-JEPA outperforms all pixel-reconstruction methods using a ViT-L/16 and matches the Hiera-L performance while seeing significantly less samples during pretraining.\n\nageNet; hence, V-JEPA achieves comparable ImageNet performance despite only pretraining on video.\n\nUnder the fine-tuning protocol, V-JEPA also achieves the best performance of any model trained with a ViT-L/16, and matches the performance of the Hiera-L on SSv2, which benefits from a hierachical prior (Ryali et al., 2023). The V-JEPA models achieve this result while processing significantly fewer samples during pretraining (Figure 4), demonstrating the efficiency of feature prediction as a learning principle.\n\n### 5.2 Comparison with State-of-the-Art\n\nNext, in Table 6, we inspect how the V-JEPA models pretrained on video stack up next to the largest stateof-the-art self-supervised image and video models when freezing the backbone encoder and training an attentive probe on top. Our image pretrained baselines include OpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al., 2023), and I-JEPA (Assran et al., 2023). The Open-CLIP model is trained with a contrastive image-text alignment objective, DINOv2 and I-JEPA are trained with self-supervision. These models are known to excel in their frozen-evaluation performance (Oquab et al., 2023); i.e., their ability to produce visual features that can be applied to many downstream tasks simultaneously, without end-to-end fine-tuning, and thus provide highly competitive baselines. Our video pretrained baselines include VideoMAE (Tong et al., 2022), Omni-MAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023), VideoMAEv2 (Wang et al., 2023a), and MVD (Wang et al., 2023b). The OpenCLIP, DINOv2 and Video-MAEv2 models are parameterized as Giant/Gigantic vision transformer architectures containing over 1B parameters trained on large-scale image or video datasets.\n\nComparison with video models. Compared to large-scale video baselines, the V-JEPA models outperform all previous models on every downstream video\n\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining Time. Wallclock times for all methods are measured on a single GPU with a batch size of 10 clips, using the official codebases for VideoMAE and VideoMAEv2, and linearly extrapolated assuming a global batch size of 2400 samples. However, note that the SSv2 accuracies of video pixel prediction methods are actually obtained with small batch sizes and significantly longer training schedules. V-JEPA outperforms pixel-reconstruction methods while training significantly faster.\n\nand image task with notable margin (see Table 6). Our H/16 model outperforms the largest publicly available VideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera models by at least +5 points in motion understanding (Something-Something-v2), +2 points in action recognition (Kinetics-400), +5 points on action detection (AVA), +1 point on object recognition (ImageNet-1K), +2 points in scene recognition (Places205), and +0.2 points on finegrained recognition (iNaturalist). Moreover, when comparing pretraining wallclock time in Figure 5, we see that V-JEPA achieves this performance with a roughly 2× speedup compared to the large pixel prediction models.\n\nComparison with image models. On tasks that require a fine-grained understanding of motion (Something-Something-v2), the V-JEPA models provide a major improvement (over +21 points) compared to large-scale image baselines, such as DINOv2, OpenCLIP, and I-JEPA. Self-supervised pretraining from videos allows to model dynamic concepts that are not easily learned from static image datasets. Similarly, we observe that the V-JEPA models outperform image-based pretraining on action localization.\n\nOn Kinetics-400, we find image models to perform well; e.g., while DINOv2 (Oquab et al., 2023) previously reported 78.4% on K400 with a linear probe, we improve the frozen evaluation of the g/14 model to 83.4% by using an attentive probe. In this case, our H/16 model achieves 82.0% top-1 accuracy. It is worth noting that the label for many Kinetics videos can be inferred using appearance-based cues, without requiring an understanding of motion (Sevilla-Lara et al., 2021).\n\nThe V-JEPA models narrow the gap with image models on image classification tasks. In particular, V-JEPA achieves a score of 77.4% on ImageNet using a one-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.\n\n| | | | Frozen Evaluation | | Fine-Tuning |\n| --- | --- | --- | --- | --- | --- |\n| | | K400 | SSv2 | IN1K | K400-ft |\n| Target | Arch. | (16×1×1) | (16×1×1) | | (16×5×3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\nTable 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | | | Frozen Evaluation SSv2 | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Arch. | Data | #Samples | K400 (16×1×1) | (16×1×1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics-400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n# 4 What Matters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction\n\nversus pixel prediction objective, b) the construction of the pretraining data distribution, c) the feature pooling strategy for leveraging the model's representations in downstream tasks, and d) the masking strategy, towards identifying: what to predict from what?\n\n### 4.1 Predicting Representations versus Pixels\n\nWe first ablate the effect of computing the prediction loss in representation space. We train a pair of ViT-L/16 models using either a V-JEPA feature prediction loss, or a mean-squared error loss with the normalized pixel values, as in masked autoencoders (He et al., 2021), and perform a sweep over the learning rate and weight decay schedules for both approaches. All models are pretrained on VideoMix2M for 90K iterations with a batch size of 3072 using multi-block masking. We examine performance on Kinetics-400 (K400), Something-Something-v2 (SSv2), and ImageNet-1K (IN1K), using a frozen backbone with an attentive probe, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on Kinetics-400.\n\nResults of this comparison are reported in Table 1 and indicate that predicting in feature space provides a consistent performance improvement over pixel space prediction in both frozen evaluation of the video backbone, as well as end-to-end fine-tuning.\n\n### 4.2 Pretraining Data Distribution\n\nNext we study the impact of the pretraining data distribution in Table 2. Leveraging large scale datasets", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "| Dataset x Task | Average # tokens | # samples | Reference | License |\n| --- | --- | --- | --- | --- |\n| AmazonReviewsClassification | 49.6 | 5000 | McAuley and Leskovec (2013) | N/A |\n| MasakhaNEWSClassification | 1398.2 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MassiveIntentClassification | 11.4 | 2974 | FitzGerald et al. (2023) | N/A |\n| MassiveScenarioClassification | 11.4 | 2974 | FitzGerald et al. (2023) | N/A |\n| MTOPDomainClassification | 12.5 | 3193 | Li et al. (2021) | N/A |\n| MTOPIntentClassification | 12.5 | 3193 | Li et al. (2021) | N/A |\n| AlloProfClusteringP2P | 1021.8 | 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| AlloProfClusteringS2S | 8.8 | 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| HALClusteringS2S | 25.6 | 26233 | Introduced by our paper | Apache-2.0 |\n| MasakhaNEWSClusteringP2P | 1398.1 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MasakhaNEWSClusteringS2S | 21.7 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MLSUMClusteringP2P | 1062.1 | 15828 | Scialom et al. (2020) | Other |\n| MLSUMClusteringS2S | 20.8 | 15828 | Scialom et al. (2020) | Other |\n| OpusparcusPC | 9.7 | 1007 | Creutz (2018) | CC-BY-NC-4.0 |\n| PawsX | 34.9 | 2000 | Yang et al. (2019) | Other |\n| STSBenchmarkMultilingualSTS | 18.4 | 1379 | May (2021) | N/A |\n| STS22 | 722.1 | 104 | Chen et al. (2022) | N/A |\n| SICKFr | 15.1 | 4906 | https://huggingface.co./datasets/Lajavaness/SICK-fr | Apache-2.0 |\n| DiaBLaBitextMining | 12.02 | 5748 | Bawden et al. (2021) | CC-BY-SA-4.0 |\n| FloresBitextMining | 33.42 | 1012 | Goyal et al. (2021) | CC-BY-SA-4.0 |\n| AlloprofReranking | 48.3 - 1179.4 - 1196.4 | 2316 - 2975 - 22064 | Lefebvre-Brossard et al. (2023) | MIT |\n| SyntecReranking | 19.2 - 402.2 - 467.2 | 100 - 100 - 917 | Introduced by our paper | Apache-2.0 |\n| AlloprofRetrieval | 48.31 - 1117.91 | 2316 - 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| BSARDRetrieval | 144.03 - 24530.8 | 222 - 22600 | Louis and Spanakis (2022) | CC-BY-NC-SA-4.0 |\n| SyntecRetrieval | 19.22 - 295.65 | 100 - 90 | Introduced by our paper | Apache-2.0 |\n| SummEvalFr | 657.08 - 71.18 - 107.56 | 100 - 1100 - 1600 | Created from Fabbri et al. (2021) | MIT |\n\nTable 3: Details of the data used for each task. The average number of tokens of texts is computed using the *cl100k_base* tokenizer. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant documents and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are obtained from the 90 dataset's documents. For Retrieval datasets, the two numbers refer to the queries and the documents, respectively. For *SummEvalFr*, the three numbers refer to the texts, human and machine summaries. References to all the datasets used are available.\n\nFigure 3: Cosine similarity between tasks' data. Ninety random samples per task's data are embedded using the *multilingual-e5-small* model. The embeddings of each task's data sample are averaged. The similarity between each dataset is then calculated using cosine similarity as in (Muennighoff et al., 2022).", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-MAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\n\n| | | | | | | | Frozen Evaluation w/ Att. Pooling | | | Fine-Tuning | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | #Samples | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 | K400-ft | SSv2-ft |\n| Method | Arch. | Seen | Iter. | (16×8×3) | (16×2×3) | | | | | (16×5×3) | (16×2×3) |\n| | Methods pretrained using pixel prediction | | | | | | | | | | |\n| OmniMAE | ViT-L/16 | 2400M | 1170K | 65.6 | 60.6 | 14.4 | 75.1 | 59.8 | 66.1 | 84.0 | 74.2 |\n| VideoMAE | ViT-L/16 | 410M | 400K | 77.8 | 65.5 | 21.6 | 71.1 | 59.3 | 64.6 | 85.4 | 74.3 |\n| Hiera | Hiera-L | 770M | 1500K | 75.5 | 64.2 | 15.8 | 68.9 | 58.5 | 56.9 | 87.3 | 75.1 |\n| V-JEPA | ViT-L/16 | 270M | 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and 384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.\n\n| | | | | | Video Tasks | | | Image Tasks | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 |\n| Method | Arch. | Params. | Data | (16×8×3) | (16×2×3) | | | | |\n| Methods pretrained on Images | | | | | | | | | |\n| I-JEPA | ViT-H/16512 | 630M | IN22K | 79.7 | 50.0 | 19.8 | 84.4 | 66.5 | 85.7 |\n| OpenCLIP | ViT-G/14 | 1800M | LAION | 81.8 | 34.8 | 23.2 | 85.3 | 70.2 | 83.6 |\n| DINOv2 | ViT-g/14 | 1100M | LVD-142M | 83.4 | 50.6 | 24.3 | 86.2 | 68.4 | 88.8 |\n| Methods pretrained on Videos | | | | | | | | | |\n| MVD | ViT-L/16 | 200M | IN1K+K400 | 79.4 | 66.5 | 19.7 | 73.3 | 59.4 | 65.7 |\n| OmniMAE | ViT-H/16 | 630M | IN1K+SSv2 | 71.4 | 65.4 | 16.0 | 76.3 | 60.6 | 72.4 |\n| VideoMAE | ViT-H/16 | 630M | K400 | 79.8 | 66.2 | 20.7 | 72.3 | 59.1 | 65.5 |\n| VideoMAEv2 | ViT-g/14 | 1100M | Un.Hybrid | 71.2 | 61.2 | 12.9 | 71.4 | 60.6 | 68.3 |\n| Hiera | Hiera-H | 670M | K400 | 77.0 | 64.7 | 17.5 | 71.4 | 59.5 | 61.7 |\n| | ViT-L/16 | 200M | | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| V-JEPA | ViT-H/16 | 630M | VideoMix2M | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | ViT-H/16384 | 630M | | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |\n\n# 5 Comparison with Prior Work\n\nIn Section 5.1, we investigate the impact of feature prediction by comparing V-JEPA with video approaches that rely on pixel prediction, while using a similar architecture for all baselines. Subsequently, in Section 5.2, we remove the architectural constraint and report the best performance across architectures for self-supervised video and image pretraining approaches. Finally, we explore the label-efficiency of V-JEPA relative to other selfsupervised video pretraining approaches in Section 5.3. We further detail the evaluation setup in Appendix D.\n\n### 5.1 Comparison with Pixel Prediction\n\nTo investigate the effectiveness of feature prediction pretraining, we first compare V-JEPA to video masked modeling models relying on a pixel prediction loss. We control\n\nfor the possible confounding factor of model architecture by evaluating all models using either a ViT-L/16 encoder, or a Hiera-L encoder, which has a similar number of parameters. For the pixel prediction baselines we consider VideoMAE (Tong et al., 2022; Wang et al., 2023a), which trains vision transformer autoencoders exclusively on video, Hiera (Ryali et al., 2023), which trains a hierarchical transformer autoencoder on video, and OmniMAE (Girdhar et al., 2023), which trains a vision transformer autoencoder on static images and video simultaneously.\n\nTable 5 examines both frozen evaluation with an attentive probe on downstream video and image tasks, as well as end-to-end fine-tuning. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where we achieve 74.8% compared to 75.1% of an OmniMAE model trained directly on Im-", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "### A Supplementary materials for datasets\n\n#### A.1 All datasets\n\nTable 3 displays the size of each dataset along with the average number of tokens per sample and their references. The dataset's content was tokenized using *cl100k_base* encoding. For Retrieval, the two numbers refer to the queries and the documents. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant documents and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are obtained from the 90 documents extracted. For *SummEvalFr*, the three numbers refer to the texts, human and machine summaries, respectively.\n\nFigure 3 represents the semantic similarity between each dataset. The methodology was as follows: 90 random samples per dataset are embedded using the *multilingual-e5-large* model. The embeddings of each dataset's samples are averaged. The similarity between each dataset is then calculated using cosine similarity as in (Muennighoff et al., 2022).\n\nWe complement this analysis by observing the dataset's clouds of embedding in a 2D plane using PCA in Figure 4.\n\n#### A.2 Created datasets\n\nSyntec Figure 5 shows an extract from the Syntec dataset with a document and a query relative to this document.\n\nHAL Figure 6 is an extract from the HAL dataset. Table 4 lists the distribution of classes (*domain* field) for the HAL dataset on *raw* subset and *mteb_eval* subset, which is used for MTEB evaluation. Labels descriptions can be found at this URL: https://api.archivesouvertes.fr/ref/domain/?q=*:*&rows=393 or in Table 4. After pre-processing, *mteb_eval* covers titles from 10 domains as classes with less than 500 samples were removed. In the MTEB evaluation subset of the dataset, titles composed of 2 words or less have been removed (371 samples), resulting in an average word count of 13.4. Figure 7 shows the word count distribution per title. Furthermore, the dataset has been cleaned up by manually removing all non-French titles. Additionally, it can be observed in Table 4 that in the original *raw* dataset, the *shs* and *sdv* classes represent by far the majority of the dataset samples with respectively 58706 samples (73%) and 11049 samples (13%). In order to\n\nmitigate the class imbalance while preserving the majority of those classes, they have been randomly subsampled to 6701 and 4803 samples. Furthermore, baseline models have been trained and tested to assess the usability of this dataset in other tasks, such as classification and topic modeling. Table 5 shows the results obtained.\n\nSummEvalFr Extracts of humans and machine summaries translated in French from SummEvalFr and the original ones in English from SummEval (Fabbri et al., 2021) are shown in Figure 9. As explained in section 3.1.3, we use a LLM to evaluate the quality of translations for human summaries, we provide the prompt used with *GPT-4* for this evaluation in Figure 8.\n\nTable 6 shows the distribution of ratings given by the LLM. With the scale being 10, we manually verify random samples rated above 9. We verify all samples with ratings under 9 and those with no provided rating (N/A) due to the triggering of the OpenAI content management policy. The LLM suggests that 60 samples are not correctly translated. These were verified manually, and after checking, less than 10 samples only needed to be corrected.\n\n# B Supplementary materials for correlation analysis\n\nThis section presents various correlations computed based on the model results on the proposed benchmark.\n\nFigure 10 represents cross-correlations between models' performances and their studied characteristics as a heatmap.\n\nFigure 11 represents the Spearman correlations in terms of performance across models.\n\nFigure 12 represents the Spearman correlations in terms of performance across datasets.\n\n### C Supplementary materials for models\n\nWe present in this section the model characteristics we collected for the 46 evaluated models.\n\nFor evaluating prompt-based models such as *intfloat/e5-mistral-instruct-7b*, we provide the prompts we used in Table 8.\n\n### D Evaluation results\n\nThis section presents the results obtained for each model on each task. To be relevant, we used the same metrics as in MTEB, which varies from one type of task to another:", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "| | | | Compression Performance Speedup | | Model | Evaluation |\n| --- | --- | --- | --- | --- | --- | --- |\n| | BERT-base (Devlin et al., 2019) | ×1 | 100% | ×1 | BERT12 | All GLUE tasks, SQuAD |\n| | BERT-small | ×3.8 | 91% | - | BERT4† | All GLUE tasks |\n| | DistilBERT (Sanh et al., 2019a) BERT6-PKD (Sun et al., 2019a) | ×1.5 ×1.6 | 90%§ 98% | ×1.6 ×1.9 | BERT6 BERT6 | All GLUE tasks, SQuAD No WNLI, CoLA, STS-B; RACE |\n| | BERT3-PKD (Sun et al., 2019a) | ×2.4 | 92% | ×3.7 | BERT3 | No WNLI, CoLA, STS-B; RACE |\n| | Aguilar et al. (2019), Exp. 3 | ×1.6 | 93% | - | BERT6 | CoLA, MRPC, QQP, RTE |\n| | BERT-48 (Zhao et al., 2019) | ×62 | 87% | ×77 | BERT12 | ∗† MNLI, MRPC, SST-2 |\n| | BERT-192 (Zhao et al., 2019) | ×5.7 | 93% | ×22 | BERT12 | ∗† MNLI, MRPC, SST-2 |\n| Distillation | TinyBERT (Jiao et al., 2019) | ×7.5 | 96% | ×9.4 | † BERT4 | No WNLI; SQuAD |\n| | MobileBERT (Sun et al., 2020) | ×4.3 | 100% | ×4 | † BERT24 | No WNLI; SQuAD |\n| | PD (Turc et al., 2019) | ×1.6 | 98% | ×2.5‡ | † BERT6 | No WNLI, CoLA and STS-B |\n| | WaLDORf (Tian et al., 2019) | ×4.4 | 93% | ×9 | †k BERT8 | SQuAD |\n| | MiniLM (Wang et al., 2020b) | ×1.65 | 99% | ×2 | BERT6 | No WNLI, STS-B, MNLImm; SQuAD |\n| | MiniBERT(Tsai et al., 2019) | ∗∗ ×6 | 98% | ×27∗∗ | mBERT3 | † CoNLL-18 POS and morphology |\n| | BiLSTM-soft (Tang et al., 2019) | ×110 | 91% | ×434‡ | | BiLSTM1 MNLI, QQP, SST-2 |\n| | Q-BERT-MP (Shen et al., 2019) | ×13 | 98%¶ | - | BERT12 | MNLI, SST-2, CoNLL-03, SQuAD |\n| Quanti zation | BERT-QAT (Zafrir et al., 2019) | ×4 | 99% | - | BERT12 | No WNLI, MNLI; SQuAD |\n| | GOBO(Zadeh and Moshovos, 2020) | ×9.8 | 99% | - | BERT12 | MNLI |\n| | McCarley et al. (2020), ff2 | ×2.2‡ | 98%‡ | ×1.9‡ | BERT24 | SQuAD, Natural Questions |\n| Pruning | RPP (Guo et al., 2019) | ×1.7‡ | 99%‡ | - | BERT24 | No WNLI, STS-B; SQuAD |\n| | Soft MvP (Sanh et al., 2020) | ×33 | 94%¶ | - | BERT12 | MNLI, QQP, SQuAD |\n| | IMP (Chen et al., 2020), rewind 50% | ×1.4–2.5 | 94–100% | - | BERT12 | No MNLI-mm; SQuAD |\n| | ALBERT-base (Lan et al., 2020b) | ×9 | 97% | - | † BERT12 | MNLI, SST-2 |\n| | ALBERT-xxlarge (Lan et al., 2020b) | ×0.47 | 107% | - | † BERT12 | MNLI, SST-2 |\n| Other | BERT-of-Theseus (Xu et al., 2020) | ×1.6 | 98% | ×1.9 | BERT6 | No WNLI |\n| | PoWER-BERT (Goyal et al., 2020) | N/A | 99% | ×2–4.5 | BERT12 | No WNLI; RACE |\n\nTable 1: Comparison of BERT compression studies. Compression, performance retention, inference time speedup figures are given with respect to BERTbase, unless indicated otherwise. Performance retention is measured as a ratio of average scores achieved by a given model and by BERTbase. The subscript in the model description reflects the number of layers used. ∗Smaller vocabulary used. †The dimensionality of the hidden layers is reduced. kConvolutional layers used. ‡Compared to BERTlarge. ∗∗Compared to mBERT. §As reported in (Jiao et al., 2019).¶In comparison to the dev set.\n\nthis strategy often requires compatible hardware.\n\nAs discussed in section 6, individual selfattention heads and BERT layers can be disabled without significant drop in performance (Michel et al., 2019; Kovaleva et al., 2019; Baan et al., 2019). Pruning is a compression technique that takes advantage of that fact, typically reducing the amount of computation via zeroing out of certain parts of the large model. In structured pruning, architecture blocks are dropped, as in LayerDrop (Fan et al., 2019). In unstructured, the weights in the entire model are pruned irrespective of their location, as in magnitude pruning (Chen et al., 2020) or movement pruning (Sanh et al., 2020).\n\nPrasanna et al. (2020) and Chen et al. (2020) explore BERT from the perspective of the lottery ticket hypothesis (Frankle and Carbin, 2019), looking specifically at the \"winning\" subnetworks in pre-trained BERT. They independently find that such subnetworks do exist, and that transferability between subnetworks for different tasks varies.\n\nIf the ultimate goal of training BERT is compression, Li et al. (2020) recommend training larger\n\nmodels and compressing them heavily rather than compressing smaller models lightly.\n\nOther techniques include decomposing BERT's embedding matrix into smaller matrices (Lan et al., 2020a), progressive module replacing (Xu et al., 2020) and dynamic elimination of intermediate encoder outputs (Goyal et al., 2020). See Ganesh et al. (2020) for a more detailed discussion of compression methods.\n\n#### 6.3 Pruning and model analysis\n\nThere is a nascent discussion around pruning as a model analysis technique. The basic idea is that a compressed model a priori consists of elements that are useful for prediction; therefore by finding out what they do we may find out what the whole network does. For instance, BERT has heads that seem to encode frame-semantic relations, but disabling them might not hurt downstream task performance Kovaleva et al. (2019); this suggests that this knowledge is not actually used.\n\nFor the base Transformer, Voita et al. (2019b) identify the functions of self-attention heads and", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 4: 2D projection of tasks' data. 90 random samples per task's data are embedded using *multlingual-e5-small* model (Wang et al., 2022). The embeddings are reduced to 2 dimensions using PCA. The centroid of each task's data is represented, along with the ellipse showing the standard deviation along each axis.\n\n| Label | | # raw # mteb_eval | Description |\n| --- | --- | --- | --- |\n| shs | 58706 | 6701 | Human and social sciences (Sci |\n| | | | ences humaines et sociales) |\n| sdv | 11049 | 4803 | Life science [Biology] (Sciences du |\n| | | | vivant [Biologie]) |\n| spi | 3601 | 3451 | Engineering science (Sciences de |\n| | | | l'ingénieur [Physics]) |\n| info | 3446 | 3263 | Computer Science (Informatique) |\n| sde | 2830 | 2754 | Environment science (Sciences de |\n| | | | l'environnement) |\n| phys | 2003 1177 | 1926 1158 | Physics (Physique) [Physics] |\n| sdu | | | and Universe Planet (Planète et Univers [Physique]) |\n| math | 862 | 824 | Mathematics (Mathématiques) |\n| chim | 764 | 734 | Chemistry (Chimie) |\n| scco | 652 | 619 | Cognitive sciences (Sciences cogni |\n| | | | tives) |\n| qfin | 183 | N/A | Economy and quantitative finance |\n| | | | (Économie et finance quantitative |\n| stat | 52 | N/A | Statistics (Statistiques) |\n| other | 18 | N/A | Other (Autre) |\n| stic | 14 | N/A | N/A |\n| nlin | 12 | N/A | Non-linear Science [Physics] (Sci |\n| | | | ence non linéaire [Physique]) |\n| electromag | 3 | N/A | (Electro Electro-magnetism |\n| | | | magnétisme) |\n| instrum | 2 | N/A | Instrumentation [Physics] (Instru |\n| | | | mentation [Physique]) |\n| image | 1 | N/A | Image |\n\nTable 4: Distribution of classes in HAL the *raw* and *mteb_eval* subsets of the dataset.\n\n| Task type | Model | Score |\n| --- | --- | --- |\n| Classification (F1-score) | TF-IDF + LR | 0.60 (± 0.002) |\n| | TF-IDF + SVC | 0.61 (± 0.001) |\n| | CamemBERT (fine-tuned)* | 0.6 (± 0.008) |\n| | GPT-4 (ICL)** | 0.30 |\n| Topic Modeling | TF-IDF + LDA | 0.49 (Coherence) |\n| | | -8.23 (Perplexity) |\n\nTable 5: Baselines results for HAL on a classification task and topic modeling.\n\n* CamemBERT was finetuned for 5 epochs with learning rate of 1e −4 (+ lr scheduler) and a batch size of 64. ** Due to limited budget, we evaluate *GPT-4* ICL capabilities on a limited subset of our dataset (600 first samples from the test set that is generated using the same seed as for other experiments).\n\n- Bitext Mining: F1 score\n- Classification: Accuracy\n- Clustering: V measure\n- Pair Classification: Average Precision (AP)\n- Reranking: Mean Average Precision (MAP)\n- Retrieval: Normalized Discounted Cumulative Gain at k (NDCG@k)\n- STS: Spearman correlation based on cosine similarity", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv4.pdf" - }, - { - "text": "performed an outlier check, labeling images as a 'low-quality outlier' if the correlation coefficient was >3 s.d. from the absolute mean. None of our scans were flagged as outliers. The reconstructed participant files were aggregated into one connectometry database per metric.\n\n*Day2Day control dataset*. To compare our findings against a control group of nonpregnant densely-sampled individuals, we used the Day-2Day dataset23 which offered comparable whole-brain T1 and T2 MTL scans for eight participants (two male) scanned 12–50 times over 2–7 months. Each participant was run through the ANTs CT and ASHS processing pipelines as outlined above ('Cortical volume and thickness' and 'Hippocampal segmentation'). To note, for each participant, we created an SST based on their first two sessions for consistency with the primary dataset; subfield volumes for the T2 MTL scans did not undergo manual retouching. Due to missing header information on the publicly available diffusion scans, we were unable to benchmark our white matter changes with the Day2Day dataset.\n\n**Statistical analysis.** Statistical analyses were conducted using R (sMRI; version 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics*. To reflect the existing literature, we first explored brain metrics across the entire study duration (prepregnancy through postpartum, *n* = 26 scans). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of nonparametric regression analysis (R package, mgcv76), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards to (1) the choice of basis dimension (*k*) and (2) the distribution of model residuals (see mgcv documentation in ref. 76). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes77. To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (that is, models using only a linear term versus models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for nonlinear changes in structural brain variables over time. Determining whether these patterns replicate in larger cohorts and whether complex models are better suited to capture data patterns across individuals will be a necessary next step.\n\n*Cortical GMV and CT*. We then narrowed our analyses to the first 19 sessions (baseline—36 weeks gestation) to assess novel brain changes occurring over the gestational window. We first computed Pearson's product-moment correlation matrices between the following variables: gestation week, estradiol, progesterone and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then ran the analyses again to include total GMV in the regression model (Supplementary Table 2). This was extended to the network level, where we ran partial correlations accounting for total GMV. These same analyses were then run with CT measures. Globally-corrected results provided in Supplementary Tables 1–5. Percent change at the network level was computed by subtracting the final pregnancy value (36 weeks pregnant) from the first prepregnancy baseline value, then dividing that difference by said first prepregnancy baseline value. All analyses underwent multiple comparisons testing (false discovery rate (FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV*. A similar statistical approach was taken for subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by gestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL subregion volume over pregnancy (*n* = 7 bilateral subregions and *n* = 18 MTL scans), we used a combination of linear and nonlinear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described in 'Summary brain metrics'). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for CA1 and CA2/CA3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of total GMV calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure*. DSI Studio's correlational tractography74 was used to analyze the relationship between white matter structure and gestational week (*n* = 16). A truncated model was run to examine the relationship between white matter and sex steroid hormones (*n* = 14) for the subset of diffusion scans with paired endocrine data during gestation. A nonparametric Spearman's correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of interest (QA and MD; see Supplementary Table 9 and Supplementary Fig. 10 for MD results) because the data were not normally distributed. Statistical inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The correlational tractography was run with the following parameters: *t* score threshold of 2.5, four pruning iterations and a length threshold of 25 voxel distance. To estimate the FDR, a total of 4,000 randomized permutations were applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, suggested by DSI Studio), and contained at least ten tracts. For visualization of global and tract QA at each gestational stage, mean QA values were extracted using DSI Studio's whole-brain fiber tracking algorithm and ROI-based tracking using the default HCP842 atlas78.\n\n*Day2Day dataset: measurement variability*. To establish a marker of normative variability over half a year, we computed metrics of measurement variability using the Day2Day dataset23, which provided both whole-brain T1 and high-resolution T2 MTL scans. For each region, *j*, of the Schaefer parcellation, we assessed across-session variability, *ε*, as\n\n$$\\varepsilon_{j}=100\\times\\mathrm{mean}\\left({\\frac{|t_{s}-{\\hat{t}}|}{{\\hat{t}}}}\\right)$$\n\nWhere *ts* is the morphometric measurement of a parcel for session *s* and *t* ̂ is the mean of *t* across sessions55,79. Thus, we defined variability as the mean absolute percent difference between each individual and the mean across sessions. Across-session variability estimates for all 400 regions were then averaged across eight participants, and a global measure of cortical GMV variability was computed by averaging across the 400 regions. This approach was repeated independently for the T2 hippocampal scans, wherein we computed across-session variability for each parcel of the ASHS parcellation scheme (*n* = 7 bilateral subfields). However, it is important to note that raw subfield values (that is, no manual retouching) were used for Day2Day variability assessments and should be interpreted with caution. Finally, to better compare against our own data, we repeated this approach using our", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "| Dataset | Syntec | HAL | SummEvalFr |\n| --- | --- | --- | --- |\n| Samples | 100 queries | 26233 samples | 100 texts |\n| | 90 documents | 10 classes | 1100 human summaries |\n| | | | 1600 machine summaries |\n| Creation process | Scraping of Syntec col | Scraping of HAL arti | Translation from English |\n| | lective bargaining agree | cles with id, title and do | to French with Deepl of |\n| | ment with articles as doc | main. Further cleaning | the SummEval dataset. |\n| | uments. Writing queries | with deduplication, lan | |\n| | corresponding to articles. | guage filtering and class | |\n| | | subsampling. | |\n| Annotation process | 4 annotators divided into | Annotations provided by | Detailed annotation pro |\n| | 2 groups. Each group was | authors when submitting | cess provided in Fabbri |\n| | given half of the articles | their paper. They choose | et al. (2021). |\n| | and asked to choose an ar | the domain between exist | |\n| | ticle and ask a question | ing academic fields. | |\n| | about it. Each annotator | | |\n| | wrote 25 questions. | | |\n| Quality checks | Human verification of an | Baseline models for clas | Correlation between |\n| | notations. | sification and topic model | BLEU and ROUGE |\n| | | ing. | scores of the French |\n| | | | and the original English |\n| | | | datasets. LLM as-a-judge |\n| | | | translation rating and |\n| | | | human verification. |\n\nTable 1: New datasets details with the number of samples, the creation process, the annotation process and the quality checks. All datasets are test splits.\n\n- Samples belonging to *domain* classes with less than 500 samples were removed, which leads us to keep only 10 classes.\n- Subsampling was performed on 2 classes containing more than 10k samples each to lower the number of samples and mitigate the unbalance of the dataset.\n\nMore details about this process are provided in the appendix A.2 along with some extracts in Figure 6. We make the dataset publicly available in both their raw and clean versions. We use this dataset in a clustering setup to cluster publications by their title and use the domain as ground truth. To ensure the quality of this dataset, we run 3 baseline models for classification: *TF-IDF + SVM*, a fine-tuned *Camembert* (Martin et al., 2019) and *GPT-4* leveraging In-Context Learning (ICL). Furthermore, we run one baseline model for topic modeling: Latent Dirichlet Allocation (LDA) (Blei et al., 2003) and report scores in the appendix A.2.\n\n#### 3.1.3 SummEvalFr (Summarization)\n\nThe original SummEval dataset (Fabbri et al., 2021) consists of 100 news articles from the CNN/Dai-\n\nlyMail dataset. Each article has 11 human-written summaries and 16 machine-generated summaries annotated by 8 people with a score for coherence, consistency, fluency, and relevance. We translated it from English to French using DeepL API6 . Since MTEB evaluation is based on the embedding similarity between machine-generated and humangenerated summaries, we propose to compute the ROUGE (Lin, 2004) and BLEU (Papineni et al., 2002) metrics between machine and human summaries for both French and English version. In Table 2, we report the average of the scores as well as their correlations between the two languages. The correlation is high (above 0.7), showing that the word and n-gram overlap between human and machine summaries is highly preserved in the French version. One may argue that computing the metric on fully translated texts (human and machine summaries are both translated from English) may introduce biases and not assess the quality of the translations. For this purpose, we ensure the French human summaries are correctly translated from English. We use an LLM as-a-judge (Zheng et al.,\n\n6 https://www.deepl.com", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "Where will the 2024 AI + Energy summit take place ?", - "target_page": 1, - "target_passage": "The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Home / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\n\n#### ARTS AND ENTERTAINMENT\n\n# New Artificial Intelligence Summit Series Begins With Energy\n\n### 07/31/2024\n\n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain America's global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit Series.\n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and technologists to address the challenges of AI's energy consumption and develop solutions for a resilient and abundant energy future. The event also aims to address the implications of AI and energy for national security and promote partnerships between AI and energy stakeholders.\n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy efficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in overcoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research.\n\nSCSP's recent \"Action Plan for U.S. Leadership in Next-Generation Energy,\" raises many issues related to AI and energy, including recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and other issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American adversaries could gain the upper hand in AI leadership, according to SCSP experts.\n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP's Next-Generation Energy Action Plan.\n\n#### Article Link\n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\n\n#### RELATED ARTICLES\n\nLocal Artists Collaborate for a Unique Fusion of Groove and Collage Mar 06, 2024\n\n| CATEGORIES |\n| --- |\n| FASHION |\n| BUSINESS |\n| INFOGRAPHIC |\n| ENVIRONMENT |\n| HEALTH |\n| MONEY |\n| FOOD |\n| TRAVEL |\n| BRIDAL |\n| RECREATION |\n| TECHNOLOGY |\n| HOME |\n| EDUCATION |\n| ARTS & ENTERTAINMENT |\n| AUTO |\n| CHILDREN |\n| FITNESS |\n| HOLIDAY |\n| INSURANCE |\n| LAWN & GARDEN |\n| LISTICLE |\n| NUTRITION |\n| PARENTING |\n| PETS |\n| SEASONAL |\n\nMar 06, 2024\n\nCelebrate St. Patrick's Day with No Booze, Just Pure Irish Fun and Entertainment\n\n#### Mar 06, 2024\n\nExplore Downtown San Pedro with Flair: Ride the Iconic Red Car Trolley for Free\n\n#### Mar 06, 2024\n\nSay Hello to Your Big Break at the Stapleton Library Job Fair in Vocation, Trade, or Civil Service\n\nFeb 22, 2024\n\nRetrain Your Emotional Brain: A Natural Alternative to Weight Loss Drugs\n\nFeb 21, 2024\n\nSerial Entrepreneur Teaches Us How to Go the Distance in Business and in Life\n\nSPANISH\n\nSENIORS\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK_REVIEW\n\nRECIPE\n\nAFRICAN_AMERICANS\n\nHOW_TO\n\nBYLINED_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY\n\nMONEY AND FINANCE\n\nBOOKS & ENTERTAINMENT\n\nBOOKS\n\nARTS & ENTERTAINMENT\n\n## RECENT POSTS\n\n| 01 | School Choice Combines Nature And |\n| --- | --- |\n| | Nuture for Success |\n| 02 | Think Outside the (Gift) Box, Contribute to a 529 Plan |\n| 03 | Black Friday Bonanza—Don't Miss These Hot Gifts |\n| | Self-Publishing Helps Parents Share New |\n| 04 | Books with Kids |\n| 05 | Five Tips to Safely Manage Medications |\n| 06 | Self-care on Your Schedule with Mental |\n| | Wellness App |\n\n#### MOST POPULAR\n\nEntrepreneur Inspires Youth with Community Projects 08 Jul 21\n\nWho Celebrates National School Choice Week? 22 Jan 18\n\nNo Arms, No Legs, No Worries 13 Dec 18\n\nScent-imental: Holiday Smells Evoke Happy Memories 30 Oct 18\n\nTechnology Breakthroughs Drive Clean Energy Success 01 Oct 18\n\nSafety App Empowers Students, Offers Peace of Mind\n\n| TAGS | |\n| --- | --- |\n| Fashion | Business Infographic |\n| Environment | Health Money |\n| Food Travel | Bridal Recreation |\n| Technology | Home Education |\n| Arts & Entertainment | Auto Children |\n| Fitness | Holiday Insurance |\n| Lawn & Garden | Listicle Nutrition |\n| Parenting | Pets Seasonal Seniors |\n| Spanish | Tips and How To |\n| Entertainment | Career Community |\n| Family Tips | Internet |\n| Human_Interest | Beauty Arts |\n| RealEstate | Safety Medicine |\n| Book_Review | Recipe |\n| African_Americans | How_To |\n| Bylined_Column | Charity Sports |\n| Home_Improvement | Tech Wellness |\n| Arts and Entertainment | Food & Drink |\n| Real_Estate | Veterans Outdoors |\n| Real Estate | Human Interest |\n| Money & Finance | Fashion & Beauty |\n| Money and Finance | |\n| Books & Entertainment | Books |\n| Arts & Entertainment | |\n\nContact Us Work From Home Privacy Policy Terms of Use", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "- 314. Milmo, Dan (3 November 2023). \"Hope or Horror? The great AI debate dividing its pioneers\". *The Guardian Weekly*. pp. 10–12.\n- 315. \"The Bletchley Declaration by Countries Attending the AI Safety Summit, 1–2 November 2023\" (https://web.archive.org/web/20231101123904/https://www.gov.uk/government/public ations/ai-safety-summit-2023-the-bletchley-declaration/the-bletchley-declaration-by-countrie s-attending-the-ai-safety-summit-1-2-november-2023). *GOV.UK*. 1 November 2023. Archived from the original (https://www.gov.uk/government/publications/ai-safety-summit-20 23-the-bletchley-declaration/the-bletchley-declaration-by-countries-attending-the-ai-safety-s ummit-1-2-november-2023) on 1 November 2023. Retrieved 2 November 2023.\n- 316. \"Countries agree to safe and responsible development of frontier AI in landmark Bletchley Declaration\" (https://www.gov.uk/government/news/countries-agree-to-safe-and-responsible -development-of-frontier-ai-in-landmark-bletchley-declaration). *GOV.UK* (Press release). Archived (https://web.archive.org/web/20231101115016/https://www.gov.uk/government/ne ws/countries-agree-to-safe-and-responsible-development-of-frontier-ai-in-landmark-bletchle y-declaration) from the original on 1 November 2023. Retrieved 1 November 2023.\n- 317. \"Second global AI summit secures safety commitments from companies\" (https://www.reuter s.com/technology/global-ai-summit-seoul-aims-forge-new-regulatory-agreements-2024-05-2 1). Reuters. 21 May 2024. Retrieved 23 May 2024.\n- 318. \"Frontier AI Safety Commitments, AI Seoul Summit 2024\" (https://web.archive.org/web/2024 0523201611/https://www.gov.uk/government/publications/frontier-ai-safety-commitments-aiseoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-2024). gov.uk. 21 May 2024. Archived from the original (https://www.gov.uk/government/publications/frontier-ai-safe ty-commitments-ai-seoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-202 4) on 23 May 2024. Retrieved 23 May 2024.\n- 319. Russell & Norvig 2021, p. 9.\n- 320. Copeland, J., ed. (2004). *The Essential Turing: the ideas that gave birth to the computer age*. Oxford, England: Clarendon Press. ISBN 0-1982-5079-7.\n- 321. \"Google books ngram\" (https://books.google.com/ngrams/graph?content=electronic+brain& year_start=1930&year_end=2019&corpus=en-2019&smoothing=3). Archived (https://web.ar chive.org/web/20241005170209/https://books.google.com/ngrams/graph?content=electronic +brain&year_start=1930&year_end=2019&corpus=en-2019&smoothing=3) from the original on 5 October 2024. Retrieved 5 October 2024.\n- 322. AI's immediate precursors: McCorduck (2004, pp. 51–107), Crevier (1993, pp. 27–32), Russell & Norvig (2021, pp. 8–17), Moravec (1988, p. 3)\n- 323. Turing's original publication of the Turing test in \"Computing machinery and intelligence\": Turing (1950) Historical influence and philosophical implications: Haugeland (1985, pp. 6– 9), Crevier (1993, p. 24), McCorduck (2004, pp. 70–71), Russell & Norvig (2021, pp. 2, 984)\n- 324. Crevier (1993), pp. 47–49.\n- 325. Russell & Norvig (2003), p. 17.\n- 326. Russell & Norvig (2003), p. 18.\n- 327. Newquist (1994), pp. 86–86.\n- 328. Simon (1965, p. 96) quoted in Crevier (1993, p. 109)\n- 329. Minsky (1967, p. 2) quoted in Crevier (1993, p. 109)\n- 330. Russell & Norvig (2021), p. 21.\n- 331. Lighthill (1973).\n- 332. NRC 1999, pp. 212–213.\n- 333. Russell & Norvig (2021), p. 22.\n- 334. Expert systems: Russell & Norvig (2021, pp. 23, 292), Luger & Stubblefield (2004, pp. 227– 331), Nilsson (1998, chpt. 17.4), McCorduck (2004, pp. 327–335, 434–435), Crevier (1993, pp. 145–162, 197–203), Newquist (1994, pp. 155–183)", - "page_start": 47, - "page_end": 47, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 211. Hiller, Jennifer (20 September 2024). \"Three Mile Island's Nuclear Plant to Reopen, Help Power Microsoft's AI Centers\" (https://www.wsj.com/business/energy-oil/three-mile-islands-n uclear-plant-to-reopen-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults_pos 1&page=1). *Wall Street Journal*. Dow Jones. Archived (https://web.archive.org/web/2024100 5170152/https://www.wsj.com/business/energy-oil/three-mile-islands-nuclear-plant-to-reope n-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults_pos1&page=1) from the original on 5 October 2024. Retrieved 5 October 2024.\n- 212. Niva Yadav (19 August 2024). \"Taiwan to stop large data centers in the North, cites insufficient power\" (https://www.datacenterdynamics.com/en/news/taiwan-to-stop-large-data -centers-in-the-north-cites-insufficient-power/). DatacenterDynamics.\n- 213. Mochizuki, Takashi; Oda, Shoko (18 October 2024). \"エヌビディア出資の日本企業、原発近 くでAIデータセンター新設検討\" (https://www.bloomberg.co.jp/news/articles/2024-10-18/S LHGKKT0AFB400). *Bloomberg* (in Japanese).\n- 214. Naureen S Malik and Will Wade (5 November 2024). \"Nuclear-Hungry AI Campuses Need New Plan to Find Power Fast\" (https://www.bloomberg.com/news/articles/2024-11-04/nucle ar-hungry-ai-campuses-need-new-strategy-to-find-power-fast). Bloomberg.\n- 215. Nicas (2018).\n- 216. Rainie, Lee; Keeter, Scott; Perrin, Andrew (22 July 2019). \"Trust and Distrust in America\" (ht tps://www.pewresearch.org/politics/2019/07/22/trust-and-distrust-in-america). *Pew Research Center*. Archived (https://web.archive.org/web/20240222000601/https://www.pewresearch.or g/politics/2019/07/22/trust-and-distrust-in-america) from the original on 22 February 2024.\n- 217. Williams (2023).\n- 218. Taylor & Hern (2023).\n- 219. Samuel, Sigal (19 April 2022). \"Why it's so damn hard to make AI fair and unbiased\" (https:// www.vox.com/future-perfect/22916602/ai-bias-fairness-tradeoffs-artificial-intelligence). *Vox*. Archived (https://web.archive.org/web/20241005170153/https://www.vox.com/future-perfect/ 22916602/ai-bias-fairness-tradeoffs-artificial-intelligence) from the original on 5 October 2024. Retrieved 24 July 2024.\n- 220. Rose (2023).\n- 221. CNA (2019).\n- 222. Goffrey (2008), p. 17.\n- 223. Berdahl et al. (2023); Goffrey (2008, p. 17); Rose (2023); Russell & Norvig (2021, p. 995)\n- 224. Christian (2020), p. 25.\n- 225. Russell & Norvig (2021), p. 995.\n- 226. Grant & Hill (2023).\n- 227. Larson & Angwin (2016).\n- 228. Christian (2020), p. 67–70.\n- 229. Christian (2020, pp. 67–70); Russell & Norvig (2021, pp. 993–994)\n- 230. Russell & Norvig (2021, p. 995); Lipartito (2011, p. 36); Goodman & Flaxman (2017, p. 6); Christian (2020, pp. 39–40, 65)\n- 231. Quoted in Christian (2020, p. 65).\n- 232. Russell & Norvig (2021, p. 994); Christian (2020, pp. 40, 80–81)\n- 233. Quoted in Christian (2020, p. 80)\n- 234. Dockrill (2022).\n- 235. Sample (2017).\n- 236. \"Black Box AI\" (https://www.techopedia.com/definition/34940/black-box-ai). 16 June 2023. Archived (https://web.archive.org/web/20240615100800/https://www.techopedia.com/definiti on/34940/black-box-ai) from the original on 15 June 2024. Retrieved 5 October 2024.\n- 237. Christian (2020), p. 110.", - "page_start": 42, - "page_end": 42, - "source_file": "wikipedia3.pdf" - }, - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the near and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314] 28 countries including the United States, China, and the European Union issued a declaration at the start of the summit, calling for international co-operation to manage the challenges and risks of artificial intelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety commitments on the development of AI.[317][318]\n\n## **History**\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, by shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical reasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and neurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They developed several areas of research that would become part of AI,[322] such as McCullouch and Pitts design for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was plausible.[323][320]\n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees became the leaders of AI research in the 1960s.[t] They and their students produced programs that the press described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems in algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were set up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320]\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in creating a machine with general intelligence and considered this the goal of their field.[327] In 1965 Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can do\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating 'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty of the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in response to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund more productive projects. [332] Minsky's and Papert's book *Perceptrons* was understood as proving that artificial neural networks would never be useful for solving real-world tasks, thus discrediting the approach altogether. [333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, followed.[9]\n\nIn the early 1980s, AI research was revived by the commercial success of expert systems, [334] a form of AI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired the U.S. and British governments to restore funding for academic research. [8] However, beginning with the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longerlasting winter began.[10]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "energy will be produced. The cost for re-opening and upgrading is estimated at $1.6 billion (US) and is dependent on tax breaks for nuclear power contained in the 2022 US Inflation Reduction Act. [210] The US government and the state of Michigan are investing almost $2 billion (US) to reopen the Palisades Nuclear reactor on Lake Michigan. Closed since 2022, the plant is planned to be reopened in October 2025. The Three Mile Island facility will be renamed the Crane Clean Energy Center after Chris Crane, a nuclear proponent and former CEO of Exelon who was responsible for Exelon spinoff of Constellation.[211]\n\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of Taoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages.[212] Taiwan aims to phase out nuclear power by 2025.[212] On the other hand, Singapore imposed a ban on the opening of data centers in 2019 due to electric power, but in 2022, lifted this ban.[212]\n\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident, according to an October 2024 *Bloomberg* article in Japanese, cloud gaming services company Ubitus, in which Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for generative AI.[213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and stable power for AI.[213]\n\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application submitted by Talen Energy for approval to supply some electricity from the nuclear power station Susquehanna to Amazon's data center. [214] According to the Commission Chairman Willie L. Phillips, it is a burden on the electricity grid as well as a significant cost shifting concern to households and other business sectors.[214]\n\n#### **Misinformation**\n\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI programs were given the goal of maximizing user engagement (that is, the only goal was to keep people watching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme partisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch more content on the same subject, so the AI led people into filter bubbles where they received multiple versions of the same misinformation.[215] This convinced many users that the misinformation was true, and ultimately undermined trust in institutions, the media and the government.[216] The AI program had correctly learned to maximize its goal, but the result was harmful to society. After the U.S. election in 2016, major technology companies took steps to mitigate the problem .\n\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real photographs, recordings, films, or human writing. It is possible for bad actors to use this technology to create massive amounts of misinformation or propaganda.[217] AI pioneer Geoffrey Hinton expressed concern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among other risks.[218]\n\n#### **Algorithmic bias and fairness**\n\nMachine learning applications will be biased[k] if they learn from biased data.[220] The developers may not be aware that the bias exists.[221] Bias can be introduced by the way training data is selected and by the way a model is deployed.[222][220] If a biased algorithm is used to make decisions that can seriously", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia3.pdf" - }, - { - "text": "April 2024", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "CCphotosarelicensedunderCCBY4.0.\n\n# **cc global summit**\n\nOver 300 attendees from 45 countries joined us this past October in Mexico City for the first in-person **CC Global Summit** since 2019. The theme was AI & the Commons with over 60 sessions and 180 speakers. **Learn more here.**\n\n**Thank you to our sponsors:** John D. and Catherine T. MacArthur Foundation, Microsoft Corporation, Filecoin Foundation for the Decentralized Web, Akin, Anthropic, Mozilla Foundation, The Michelson 20MM Foundation, MHz Curationist, Frontiers Media, Arnold & Porter, and Crowell & Moring.", - "page_start": 5, - "page_end": 5, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "- 200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 6/big-tech-and-the-pursuit-of-ai-dominance). *The Economist*. 26 March 2023. Archived (http s://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/ big-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n- 201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww w.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). *CNN Business*. Archived (https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloudcompetition-and-ai/index.html) from the original on 13 January 2024.\n- 202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w ww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). *The New York Times*. Archived (https://web.archive.org/web/20240708214644/https://www.nytim es.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original on 8 July 2024. Retrieved 5 October 2024.\n- 203. \"Electricity 2024 Analysis\" (https://www.iea.org/reports/electricity-2024). *IEA*. 24 January 2024. Retrieved 13 July 2024.\n- 204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's only the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener gy-experts-expect-it-to-double-in-just-a-few-years). *Vox*. New York, New York. Archived (http s://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172 1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original on 3 July 2024. Retrieved 5 October 2024.\n- 205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech firms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2 1/artificial-intelligence-nuclear-fusion-climate/?utm_campaign=wp_post_most&utm_medium =email&utm_source=newsletter&wpisrc=nl_most&carta-url=https%3A%2F%2Fs2.washingto npost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f 20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). *Washington Post*.\n- 206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web. archive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res earch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf) (PDF). *Goldman Sachs*. Archived from the original (https://www.goldmansachs.com/intellige nce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg e/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n- 207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http s://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). *Wall Street Journal*. Dow Jones.\n- 208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https:// www.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7 5316?mod=djem10point). *Wall Street Journal*. Dow Jones. Archived (https://web.archive.or g/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc k-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October 2024. Retrieved 5 October 2024.\n- 209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to Feed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s ays-nuclear-power-an-option-to-feed-data-centers). *Bloomberg*.\n- 210. Halper, Evan (20 September 2024). \"Microsoft deal would reopen Three Mile Island nuclear plant to power AI\" (https://www.washingtonpost.com/business/2024/09/20/microsoft-three-mi le-island-nuclear-constellation). *Washington Post*.", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed approach is to envision a separate *sui generis* system of protection for creations generated by AI to ensure fair attribution and compensation for human authors.[197]\n\n#### **Dominance by tech giants**\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple Inc., Meta Platforms, and Microsoft. [198][199][200] Some of these players already own the vast majority of existing cloud infrastructure and computing power from data centers, allowing them to entrench further in the marketplace.[201][202]\n\n#### **Power needs and environmental impacts**\n\nIn January 2024, the International Energy Agency (IEA) released *Electricity 2024, Analysis and Forecast to 2026*, forecasting electric power use.[203] This is the first IEA report to make projections for data centers and power consumption for artificial intelligence and cryptocurrency. The report states that power demand for these uses might double by 2026, with additional electric power usage equal to electricity used by the whole Japanese nation.[204]\n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay closings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of data centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) into voracious consumers of electric power. Projected electric consumption is so immense that there is concern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the electrical energy as a Google search. The large firms are in haste to find power sources – from nuclear energy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually kinder to the environment, but they need the energy now. AI makes the power grid more efficient and \"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to technology firms.[205]\n\nA 2024 Goldman Sachs Research Paper, *AI Data Centers and the Coming US Power Demand Surge*, found \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, by 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for the electrical power generation industry by a variety of means.[206] Data centers' need for more and more electrical power is such that they might max out the electrical grid. The Big Tech companies counter that AI can be used to maximize the utilization of the grid by all.[207]\n\nIn 2024, the *Wall Street Journal* reported that big AI companies have begun negotiations with the US nuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a Pennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said nuclear power is a good option for the data centers.[209]\n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three Mile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the plant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in 1979, will require Constellation to get through strict regulatory processes which will include extensive safety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US re-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What is the United States SCSP ?", - "target_page": 1, - "target_passage": "he Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **Security Key Lifecycle Manager**\n\nSecurity Key Lifecycle Manager (SKLM) centralizes, simplifies, and automates the encryption key management process to help minimize risk and reduce operational costs of encryption key management.\n\n# **Serial-attached SCSI**\n\nSAS is a method that is used in accessing computer peripheral devices that employs a serial (1 bit at a time) means of digital data transfer over thin cables. The method is specified in the American National Standard Institute standard called SAS. In the business enterprise, SAS is useful for access to mass storage devices, particularly external hard disk drives.\n\n# **Service Location Protocol**\n\nThe Service Location Protocol (SLP) is an internet service discovery protocol that enables computers and other devices to find services in a local area network (LAN) without prior configuration. It was defined in the request for change (RFC) 2608.\n\n# **Small Computer System Interface (SCSI)**\n\nSmall Computer System Interface (SCSI) is an ANSI-standard electronic interface with which personal computers can communicate with peripheral hardware, such as disk drives, tape drives, CD-ROM drives, printers, and scanners, faster and more flexibly than with previous interfaces.\n\n# **Snapshot**\n\nA snapshot is an image backup type that consists of a point-in-time view of a volume.\n\n# **Solid-state disk**\n\nA solid-state disk (SSD) or Flash Disk is a disk that is made from solid-state memory and therefore has no moving parts. Most SSDs use NAND-based flash memory technology. It is defined to the Storwize V7000 as a disk tier generic_ssd.\n\n# **Space efficient**\n\nSee \"Thin provisioning\" on page 786.\n\n# **Spare**\n\nAn extra storage component, such as a drive or tape, that is predesignated for use as a replacement for a failed component.\n\n# **Spare goal**\n\nThe optimal number of spares that are needed to protect the drives in the array from failures. The system logs a warning event when the number of spares that protect the array drops below this number.\n\n# **Space-efficient volume**\n\nFor more information about a space-efficient volume, see \"Thin-provisioned volume\" on page 786.\n\n# **Stand-alone relationship**\n\nIn FlashCopy, Metro Mirror, and Global Mirror, relationships that do not belong to a consistency group and that have a null consistency-group attribute.", - "page_start": 806, - "page_end": 806, - "source_file": "sg247938.pdf" - }, - { - "text": "# UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Texas 91-2197729\n\n(Mark One)\n\n- x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Address of principal executive offices) (Zip Code)\nFor the quarterly period ended September 30, 2024\n\nOR\n\n- o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\nFor the transition period from _________ to _________\n\nCommission File Number: 001-34756\n\n# Tesla, Inc.\n\n(Exact name of registrant as specified in its charter)\n\n(State or other jurisdiction of incorporation or organization)\n\n1 Tesla Road Austin, Texas 78725\n\n(I.R.S. Employer\n\nIdentification No.)\n\n(512) 516-8177 (Registrant's telephone number, including area code)\n\n#### Securities registered pursuant to Section 12(b) of the Act:\n\n| 1934 | | |\n| --- | --- | --- |\n| For the transition period from _________ to _________ | | |\n| Commission File Number: 001-34756 | | |\n| Tesla, Inc. | | |\n| (Exact name of registrant as specified in its charter) | | |\n| (State or other jurisdiction of | | (I.R.S. Employer |\n| incorporation or organization) | | Identification No.) |\n| 1 Tesla Road | | |\n| Austin, Texas | | 78725 |\n| (512) 516-8177 | | |\n| (Registrant's telephone number, including area code) | | |\n| Securities registered pursuant to Section 12(b) of the Act: | | |\n| Title of each class Trading Symbol(s) | | Name of each exchange on which registered |\n| Common stock | TSLA | The Nasdaq Global Select Market |\n| Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been | | |\n| subject to such filing requirements for the past 90 days. Yes x No o | | |\n| Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 | | |\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o\n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of \"large accelerated filer,\" \"accelerated filer,\" \"smaller reporting company\" and \"emerging growth company\" in Rule 12b-2 of the Exchange Act:\n\n| Large accelerated filer | x | Accelerated filer | o |\n| --- | --- | --- | --- |\n| Non-accelerated filer | o | Smaller reporting company | o |\n| Emerging growth company | o | | |\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x As of October 18, 2024, there were 3,210,059,659 shares of the registrant's common stock outstanding.", - "page_start": 0, - "page_end": 0, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### Table of Contents\n\n# Note 12 – Segment Reporting and Information about Geographic Areas\n\nWe have two operating and reportable segments: (i) automotive and (ii) energy generation and storage. The following table presents revenues and gross profit by reportable segment (in millions):\n\n| https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | tsla-20240930 | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | |\n| Note 12 – Segment Reporting and Information about Geographic Areas | | | | | | | | |\n| We have two operating and reportable segments: (i) automotive and (ii) energy generation and storage. The following | | | | | | | | |\n| table presents revenues and gross profit by reportable segment (in millions): | | | | | | | | |\n| Three Months Ended September 30, Nine Months Ended September 30, | | | | | | | | |\n| 2024 2023 2023 | | | | | | 2024 | | |\n| Automotive segment | | | | | | | | |\n| Revenues | $ | 22,806 | $ | 21,791 | $ | 64,958 | $ | 67,009 |\n| Gross profit | $ | 4,272 | $ | 3,797 | $ | 11,403 | $ | 12,395 |\n| Energy generation and storage segment | | | | | | | | |\n| Revenues | $ | 2,376 | $ | 1,559 | $ | 7,025 | $ | 4,597 |\n| Gross profit | $ | 725 | $ | 381 | $ | 1,868 | $ | 827 |\n| The following table presents revenues by geographic area based on the sales location of our products (in millions): | | | | | | | | |\n| Three Months Ended September 30, Nine Months Ended September 30, | | | | | | | | |\n| 2024 | | | | 2023 | | 2024 | | 2023 |\n| United States | $ | 12,584 | $ | 10,893 | $ | 35,602 | $ | 33,472 |\n| China | | 5,665 | | 5,020 | | 14,893 | | 15,642 |\n| Other international | | 6,933 | | 7,437 | | 21,488 | | 22,492 |\n| 23,350 Total | $ | 25,182 | $ | | $ | 71,983 | $ | 71,606 |\n| The following table presents long-lived assets by geographic area (in millions): | | | | | | | | |\n| September 30, | | | | | | | | December 31, |\n\nThe following table presents revenues by geographic area based on the sales location of our products (in millions):\n\n| Energy generation and storage segment | | | | |\n| --- | --- | --- | --- | --- |\n| The following table presents revenues by geographic area based on the sales location of our products (in millions): | | | | |\n| The following table presents long-lived assets by geographic area (in millions): | | | | |\n| | | September 30, 2024 | December 31, 2023 | |\n| United States | $ | 32,367 $ | | 26,629 |\n| Germany | | 4,447 | | 4,258 |\n| Other international | | 4,342 | | 4,067 |\n| Total | $ | 41,156 $ | | 34,954 |\n| The following table presents inventory by reportable segment (in millions): | | | | |\n| | | September 30, | December 31, | |\n\nThe following table presents long-lived assets by geographic area (in millions):\n\n| The following table presents long-lived assets by geographic area (in millions): | | |\n| --- | --- | --- |\n| September 30, December 31, | 2024 | 2023 |\n| The following table presents inventory by reportable segment (in millions): | | |\n| September 30, | 2024 | December 31, 2023 |\n| Automotive $ $ | 12,266 | 11,139 |\n| Energy generation and storage | 2,264 | 2,487 |\n| Total $ $ | 14,530 | 13,626 |\n| Note 13 – Restructuring and Other | | |\n| In the second quarter of 2024, we initiated and substantially completed certain restructuring actions to reduce costs and | | |\n\nThe following table presents inventory by reportable segment (in millions):\n\n|\n| |\n\n# Note 13 – Restructuring and Other\n\nIn the second quarter of 2024, we initiated and substantially completed certain restructuring actions to reduce costs and improve efficiency. As a result, we recognized $583 million of employee termination expenses in Restructuring and other in our consolidated income statement. These expenses were substantially paid with an immaterial accrual remaining in Accrued liabilities and other in our consolidated balance sheet as of September 30, 2024.", - "page_start": 30, - "page_end": 30, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### **Note 1. Summary of Significant Accounting Policies**\n\n*Description of business:* Shenandoah Telecommunications Company and subsidiaries (the Company) provides telephone service, wireless personal communications service (PCS) under the Sprint brand name, cable television, unregulated communications equipment sales and services, Internet access, and paging services. In addition, the Company leases towers and operates and maintains an interstate fiber optic network. The Company's operations are located in the four state region surrounding the Northern Shenandoah Valley of Virginia. Pursuant to a management agreement with Sprint Communications Company and its related parties (collectively, \"Sprint\"), the Company is the exclusive PCS Affiliate of Sprint providing wireless mobility communications network products and services in the geographic area extending from Altoona, Harrisburg and York, Pennsylvania, south through Western Maryland, and the panhandle of West Virginia, to Harrisonburg, Virginia. The Company is licensed to use the Sprint brand name in this territory, and operates its network under the Sprint radio spectrum license (Note 7). A summary of the Company's significant accounting policies follows:\n\n*Stock split:* All share and per share information reflect the two for one stock split announced in October 2003, to shareholders of record as of the close of business on January 30, 2004. The additional shares were distributed on February 20, 2004. The effective date of the split is February 23, 2004. All previously reported share and per share data included herein are retroactively adjusted to reflect the split.\n\n*Principles of consolidation:* The consolidated financial statements include the accounts of all wholly owned subsidiaries and other entities where effective control is exercised. All significant intercompany balances and transactions have been eliminated in consolidation.\n\n*Use of estimates:* Management of the Company has made a number of estimates and assumptions related to the reporting of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the consolidated financial statements and the reported amounts of revenues and expenses during the reporting periods. Management reviews its estimates, including those related to recoverability and useful lives of assets as well as liabilities for income taxes and pension benefits. Changes in facts and circumstances may result in revised estimates and actual results could differ from those reported estimates.\n\n*Cash and cash equivalents:* The Company considers all temporary cash investments purchased with a maturity of three months or less to be cash equivalents. The Company places its temporary cash investments with high credit quality financial institutions. At times, these investments may be in excess of FDIC insurance limits. Cash and cash equivalents were $28.7million, $2.2 million, and $2.0 million at December 31, 2003, 2002 and 2001, respectively.\n\n*Accounts receivable:* Accounts receivable are recorded at the invoiced amount and do not bear interest. The allowance for doubtful accounts is the Company's best estimate of the amount of probable credit losses in the Company's existing accounts receivable. The Company determines the allowance based on historical write-off experience and by industry and national economic data. The Company reviews its allowance for doubtful accounts monthly. Past due balances meeting specific criteria are reviewed individually for collectibility. All other balances are reviewed on a pooled basis. Account balances are charged off against the allowance after all means of collection have been exhausted and the potential for recovery is considered remote. Accounts receivable are concentrated among customers within the Company's geographic service area and large telecommunications companies. The Company's allowance for uncollectable receivables related to continuing operations was $477 thousand, $914 thousand and $650 thousand at December 31, 2003, 2002 and 2001, respectively.\n\n*Securities and investments:* The classifications of debt and equity securities are determined by management at the date individual investments are acquired. The appropriateness of such classification is continually reassessed. The Company monitors the fair value of all investments, and based on factors such as market conditions, financial information and industry conditions, the Company will reflect impairments in values as is warranted. The classification of those securities and the related accounting policies are as follows:\n\n*Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted *Available-for-Sale Securities:* Debt and equity securities classified as available-for-sale consist of securities which the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a security classified as available-for-sale would be based on various factors, including changes in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted market prices. Unrealized holding gains and losses, net of the related tax effect, are excluded from earnings and are reported as a separate component of other comprehensive", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### Table of Contents\n\nOur cash, cash equivalents and investments classified by security type as of September 30, 2024 and December 31, 2023 consisted of the following (in millions):\n\n| tsla-20240930 | | | | | | | | | | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | | | | | | | | | | |\n| Our cash, cash equivalents and investments classified by security type as of September 30, 2024 and December 31, 2023 | | | | | | | | | | | | | | | | | | |\n| consisted of the following (in millions): | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | September 30, 2024 | | | | | | | | | |\n| | | | | | Gross Unrealized | | Gross Unrealized | | | | | Cash and Cash | | | Short-Term | | | |\n| Cash | $ | 13,784 | | $ | — | $ | | — | $ | 13,784 | $ | 13,784 | | $ | — | | | |\n| Certificates of deposit and time deposits | | 10,327 | | | | 2 | | — | | 10,329 | | | 600 | | | | 9,729 | |\n| Commercial paper | | 4,160 | | | | 3 | | (1) | | 4,162 | | | 945 | | 3,217 | | | |\n| U.S. government securities | | | | | | | | | | | | | | | | | | 2,395 |\n| Corporate debt securities | | 195 | | | | | | | | | | | | | | | | |\n| Money market funds | | 1,784 | | | — | | | — | | 1,784 | | 1,784 | | | — | | | |\n| Total cash, cash equivalents and short | | | | | | | | | | | | | | | | | | |\n| term investments | $ | 33,641 | | $ | | 9 $ | | (2) | $ | 33,648 | $ | 18,111 | | $ | 15,537 | | | |\n| | | | | | | | | | December 31, 2023 | | | | | | | | | |\n| | | | | | Unrealized | | Unrealized | | | | | Cash | | | Short-Term | | | |\n| Cash | $ | 15,903 | $ | | | $ | | — | $ | 15,903 | $ | 15,903 | | $ | — | | | |\n| Certificates of deposit and time deposits | | 6,995 | | | | 1 | | — | | 6,996 | | | — | | 6,996 | | | |\n| U.S. government securities | | 5,136 | | | | 1 | | (1) | | 5,136 | | | 277 | | 4,859 | | | |\n| Corporate debt securities | | 485 | | | | 1 | | (6) | | 480 | | | — | | 480 | | | |\n| Commercial paper | | 470 | | | — | | | — | | 470 | | | 109 | | 361 | | | |\n| Money market funds | | 109 | | | — | | | — | | | | | 109 | | | — | | 109 |\n| Total cash, cash equivalents and short | | | | | | | | | | | | | | | | | | |\n| | | 3,391 | | | | | | (1) | | 3,393 | | | 998 | | | | | 3 |\n| | | | | | | 1 | | — | | 196 | | | — | | 196 | | | |\n| | | | | | Gross | | Gross | | | | | Cash and | | | | | | |\n| | | Adjusted Cost | | | Gains | | Losses | | | Fair Value | | Equivalents | | | Investments | | | |\n| | | | | | — | | | | | | | | | | | | | |\n| | | Adjusted Cost | | | Gains | | Losses | | | Fair Value | | Equivalents | | | Investments | | | |\n\n| | | Adjusted Cost | Unrealized Gains | | | Unrealized | | | | Cash Equivalents | | | | Short-Term Investments | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Total cash, cash equivalents and short | | | | | | | | | | | | | | | | | |\n| | | | | | | | December 31, 2023 | | | | | | | | | | |\n| | | | Gross Unrealized | | | Gross Unrealized | | | | Cash and Cash | | | | | | Short-Term | |\n| | | Adjusted Cost | Gains | | | Losses | | Fair Value | | Equivalents | | | | | | Investments | |\n| Cash | $ | 15,903 | $ | — | $ | — | $ | 15,903 | $ | 15,903 | $ | | — | | | | |\n| Certificates of deposit and time deposits | | 6,995 | | 1 | | — | | 6,996 | | — | | | 6,996 | | | | |\n| U.S. government securities | | 5,136 | | 1 | | (1) | | 5,136 | | 277 | | | 4,859 | | | | |\n| Corporate debt securities | | 485 | | 1 | | (6) | | 480 | | — | | | 480 | | | | |\n| Commercial paper | | 470 | | — | | — | | 470 | | 109 | | | 361 | | | | |\n| Money market funds | | 109 | | — | | — | | 109 | | 109 | | | — | | | | |\n| Total cash, cash equivalents and short | | | | | | | | | | | | | | | | | |\n| term investments | $ 29,098 | | $ | 3 | $ | (7) | $ | 29,094 | $ | 16,398 | $ | 12,696 | | | | | |\n| The following table summarizes the fair value of our investments by stated contractual maturities as of September 30, | | | | | | | | | | | | | | | | | |\n| 2024 (in millions): | | | | | | | | | | | | | | | | | |\n| Due in 1 year or less | | | | | | | | | | | $ | 15,336 | | | | | |\n| Due in 1 year through 5 years | | | | | | | | | | | | | | | 201 | | |\n| Total | | | | | | | | | | | $ | | | | | | 15,537 |\n| Disclosure of Fair Values | | | | | | | | | | | | | | | | | |\n| Our financial instruments that are not re-measured at fair value include accounts receivable, financing receivables, other | | | | | | | | | | | | | | | | | |\n\nThe following table summarizes the fair value of our investments by stated contractual maturities as of September 30, 2024 (in millions):\n\n|\n| |\n\n#### Disclosure of Fair Values\n\nOur financial instruments that are not re-measured at fair value include accounts receivable, financing receivables, other receivables, digital assets, accounts payable, accrued liabilities, customer deposits and debt. The carrying values of these financial instruments materially approximate their fair values, other than our 2.00% Convertible Senior Notes due in 2024 (\"2024 Notes\"), which matured in the second quarter of 2024, and digital assets.\n\nWe estimated the fair value of the 2024 Notes using commonly accepted valuation methodologies and market-based risk measurements that are indirectly observable, such as credit risk (Level II). In addition, we estimate the fair values of our digital assets based on quoted prices in active markets (Level I). The following table presents the estimated fair values and the carrying values (in millions):\n\n| The following table summarizes the fair value of our investments by stated contractual maturities as of September 30, | | | | |\n| --- | --- | --- | --- | --- |\n| 2024 (in millions): | | | | |\n| Due in 1 year through 5 years 201 | | | | |\n| Disclosure of Fair Values | | | | |\n| Our financial instruments that are not re-measured at fair value include accounts receivable, financing receivables, other | | | | |\n| receivables, digital assets, accounts payable, accrued liabilities, customer deposits and debt. The carrying values of these | | | | |\n| financial instruments materially approximate their fair values, other than our 2.00% Convertible Senior Notes due in 2024 | | | | |\n| (\"2024 Notes\"), which matured in the second quarter of 2024, and digital assets. | | | | |\n| We estimated the fair value of the 2024 Notes using commonly accepted valuation methodologies and market-based risk | | | | |\n| measurements that are indirectly observable, such as credit risk (Level II). In addition, we estimate the fair values of our digital | | | | |\n| assets based on quoted prices in active markets (Level I). The following table presents the estimated fair values and the | | | | |\n| carrying values (in millions): | | | | |\n| September 30, 2024 December 31, 2023 | | | | |\n| Carrying Value Fair Value | | | Fair Value | Carrying Value |\n| $ — $ — $ 37 $ 443 | 2024 Notes | | | |\n| $ $ 729 $ 184 $ 487 | Digital assets, net | 184 | | |\n| 16 | | | | |\n| 10/01/2025, 14:33 | 21 sur 49 | | | |", - "page_start": 20, - "page_end": 20, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### **(19) Business Segment Information**\n\nE u ronet and its subsidiaries operate in two business segments: (1) a segment that provides an independent shared ATM network and other e l e c t ronic payment network services to banks, retail and financial institutions (the \"Network Services Segment\"); and (2) a segment that p roduces application software and solutions for payment and transaction delivery systems (the \"Software Solutions Segment\"). These business segments are supported by a corporate service segment which provides corporate and other administrative services which are not d i rectly identifiable with the two business segments, (the \"Corporate Services Segment\"). The accounting policies of each segment are the same as those described in the summary of significant accounting policies. The Company evaluates perf o rmance based on profit or loss fro m operations before income taxes not including nonre c u rring gains and net loss. Prior period segment information has been restated to conform to the current period's presentation.\n\nAs the Network Services Segment continued to grow throughout 1999, the Company's management began to divide the internal org a n i z a t i o n of the segment into Sub-segments. Accord i n g l y, beginning in January 2000, the Company divided the Network Services Segment into thre e Sub-segments: \"Central European Sub-segment\" (including Hungary, Poland, the Czech Republic, Croatia, Greece and Romania), \"We s t e rn E u ropean Sub-segment\" (including Germ a n y, France, and the United Kingdom) and \"Other Operations Sub-segment\" (including the United States and unallocated processing center costs). Where practical, certain amounts have been reclassified to reflect the change in intern a l re p o rting. The Company is unable to present Network Services Segment assets by Sub-segment as of December 31, 1999. Prior to January 1, 2000, certain assets that were used to provide support services to the Company as a whole were included in the assets in the balance sheet of the Company's wholly owned Hungarian subsidiary, Bank Tech. In order to segregate corporate assets from those of the Hungarian operations, these assets were transferred as of December 31, 1999, from Bank Tech to an existing Hungarian shell company, Administrative S e rvices. Those assets are now shown under the Other Operations Sub-segment.\n\nThe following tables present the segment results of the Company's operations for the years ended December 31, 2000, 1999 and 1998.\n\n| | | Year Ended December 31, 2000 | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Network Serv i c e s | | | | | | | | | |\n| | | | | | N e t w o r k | | | | | |\n| | Central | We s t e rn | | | S e rvices | | S o f t w a re | C o r p o r a t e | | |\n| | E u rope | E u rope | O t h e r | | To t a l | | Solutions | S e rvices | | To t a l |\n| | | | | | (in thousands) | | | | | |\n| Total Revenues | $ 1 8 , 5 9 9. | $ 1 6 , 6 1 5. | $ | 1 , 7 0 0. | $ | 3 6 , 9 1 4. | $ 1 6 , 0 0 6. | $ | —. | $ 5 2 , 9 2 0. |\n| Total operating expenses | ( 2 1 , 6 6 9 ) | ( 1 8 , 9 0 1 ) | | ( 2 , 4 0 9 ) | | ( 4 2 , 9 7 9 ) | ( 3 7 , 4 7 5 ) | ( 7 , 8 6 2 ) | | ( 8 8 , 3 1 6 ) |\n| Operating loss. | ( 3 , 0 7 0 ) | ( 2 , 2 8 6 ) | | ( 7 0 9 ) | | ( 6 , 0 6 5 ) | ( 2 1 , 4 6 9 ) | ( 7 , 8 6 2 ) | | ( 3 5 , 3 9 6 ) |\n| I n t e rest income | 2 8 9. | 6 5. | | 1 9 0. | | 5 4 4. | 1 0 3. | | 4 4 2. | 1 , 0 8 9. |\n| I n t e rest expense | ( 1 , 0 1 6 ) | ( 1 6 8 ) | | ( 1 5 0 ) | | ( 1 , 3 3 4 ) | —. | ( 9 , 4 9 5 ) | | ( 1 0 , 8 2 9 ) |\n| F o reign exchange (loss)/gain, net | ( 6 1 6 ) | ( 4 9 4 ) | | ( 1 5 5 ) | | ( 1 , 2 6 5 ) | 1. . | ( 1 , 9 6 3 ) | | ( 3 , 2 2 7 ) |\n| Net loss before income taxes | $ ( 4 , 4 1 3 ) | $ ( 2 , 8 8 3 ) | $ | ( 8 2 4 ) | $ | ( 8 , 1 2 0 ) | $( 2 1 , 3 6 5 ) | $( 1 8 , 8 7 8 ) | | $ ( 4 8 , 3 6 3 ) |\n| Segment assets | $ 2 5 , 6 9 7. | $ 1 6 , 7 5 5 | $ | 3 , 6 5 2. | | $ 4 6 , 1 0 4. | $ 9 , 4 3 3. | $ 5 , 3 5 3. | | $ 6 0 , 8 9 0. |\n| Fixed assets | 1 7 , 1 4 5. | 1 1 , 7 0 7. | | 1 , 6 8 2. | | 3 0 , 5 3 4. | 9 6 8. | | 1 5 5. | 3 1 , 6 5 7. |\n| D e p reciation and amort i z a t i o n | 3 , 9 7 7. | 2 , 8 8 4. | | 1 , 1 0 0. | | 7 , 9 6 1. | 2 , 2 1 5. | | 2 0 8. | 1 0 , 3 8 4. |\n| Asset write down | 6 6 8. | 1 1 0. | | — | | 7 7 8. | 1 1 , 1 9 0 | | —. | 1 1 , 9 6 8. |\n\n| | Year Ended December 31, 2000 | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Network Serv i c e s | | | | | | | | | | |\n| | | | | | | N e t w o r k | | | | | |\n| | Central | | We s t e rn | | | S e rvices | | S o f t w a re | C o r p o r a t e | | |\n| | E u rope | | E u rope | O t h e r | | To t a l | | Solutions | S e rvices | | To t a l |\n| | | | | | | (in thousands) | | | | | |\n| Total Revenues | $ | 1 2 , 6 6 4. | $ 1 2 , 6 3 7. | $ | 1 , 2 0 2. | $ 2 6 , 5 0 3. | | $ 1 5 , 1 4 9. | $ | —. | $ 4 1 , 6 5 2. |\n| Total operating expenses | | ( 2 0 , 6 8 3 ) | ( 1 6 , 4 7 7 ) | | ( 2 , 2 5 0 ) | ( 3 9 , 4 1 0 ) | | ( 2 2 , 2 9 0 ) | ( 6 , 7 5 0 ) | | ( 6 8 , 4 5 0 ) |\n| Operating loss. | | ( 8 , 0 1 9 ) | ( 3 , 8 4 0 ) | | ( 1 , 0 4 8 ) | ( 1 2 , 9 0 7 ) | | ( 7 , 1 4 1 ) | ( 6 , 7 5 0 ) | | ( 2 6 , 7 9 8 ) |\n| I n t e rest income | | 4 4 8. | 1 6. | | 1 0 3. | | 5 6 7. | 1 4 8. | 1 , 2 3 5. | | 1 , 9 5 0. |\n| I n t e rest expense | | ( 9 8 1 ) | ( 1 0 1 ) | | ( 5 1 ) | | ( 1 , 1 3 3 ) | —. | ( 9 , 7 6 6 ) | | ( 1 0 , 8 9 9 ) |\n| F o reign exchange (loss)/gain, net | | ( 3 9 9 ) | ( 1 9 ) | | ( 1 4 6 ) | | ( 5 6 4 ) | 2. | ( 1 , 5 4 8 ) | | ( 2 , 1 1 0 ) |\n| Net loss before income taxes | $ | ( 8 , 9 5 1 ) | $ ( 3 , 9 4 4 ) | $ | ( 1 , 1 4 2 ) | $ ( 1 4 , 0 3 7 ) | | $ ( 6 , 9 9 1 ) | $ ( 1 6 , 8 2 9 ) | | $ ( 3 7 , 8 5 7 ) |\n| Segment assets | | n / a. | n / a. | | n / a. | $ 5 6 , 6 5 8. | | $ 2 1 , 5 2 7. | $ 1 8 , 6 5 9. | | $ 9 6 , 8 4 4. |\n| Fixed assets | | n / a. | n / a. | | n / a. | 3 5 , 4 3 8. | | 1 , 1 1 3. | 1 4 2. | | 3 6 , 6 9 3. |\n| D e p reciation and amort i z a t i o n | | n / a. | n / a. | | n / a. | | 7 , 4 1 0. | 2 , 6 8 3. | 1 4 5. | | 1 0 , 2 3 8. |", - "page_start": 42, - "page_end": 42, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "#### Table of Contents\n\n# Certain Investigations and Other Matters\n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such as the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange Commission (\"SEC\"), the Department of Justice (\"DOJ\"), and various local, state, federal, and international agencies. The ongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents, Autopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla's business, its personnel, and related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other inquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred. We cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement action, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows, financial position or brand.\n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business activities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain misappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications to potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain law enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court for the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by several additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an unfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the possibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.\n\n#### Note 11 – Variable Interest Entity Arrangements\n\nThe aggregate carrying values of the variable interest entities' assets and liabilities, after elimination of any intercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):\n\n| financial position or brand. | | |\n| --- | --- | --- |\n| We are also subject to various other legal proceedings, risks and claims that arise from the normal course of business | | |\n| activities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain | | |\n| misappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications | | |\n| to potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain | | |\n| law enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court | | |\n| for the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by | | |\n| several additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an | | |\n| unfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the | | |\n| possibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand. | | |\n| Note 11 – Variable Interest Entity Arrangements | | |\n| The aggregate carrying values of the variable interest entities' assets and liabilities, after elimination of any | | |\n| intercompany transactions and balances, in the consolidated balance sheets were as follows (in millions): | | |\n| September 30, December 31, | | |\n| 2024 2023 | | |\n| Assets | | |\n| Current assets | | |\n| Cash and cash equivalents $ 51 $ | | 66 |\n| Accounts receivable, net 28 | | 13 |\n| Prepaid expenses and other current assets 263 361 | | |\n| Total current assets 342 440 | | |\n| Operating lease vehicles, net 451 | | — |\n| Solar energy systems, net 2,524 3,278 | | |\n| Other non-current assets 190 369 | | |\n| 3,507 $ 4,087 Total assets | $ | |\n| Liabilities | | |\n| Current liabilities | | |\n| Accrued liabilities and other $ 36 $ | | 67 |\n| Deferred revenue 7 | | 6 |\n| Current portion of debt and finance leases 1,930 1,564 | | |\n| Total current liabilities 1,973 1,637 | | |\n| Deferred revenue, net of current portion 81 | | 99 |\n| 1,826 2,041 Debt and finance leases, net of current portion | | |\n| $ 3,880 $ 3,777 Total liabilities | | |\n| 24 | | |", - "page_start": 29, - "page_end": 29, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### **Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on the products and services each provides. Each segment is managed and evaluated separately because of differing technologies and marketing strategies.\n\nThe reporting segments and the nature of their activities are as follows:\n\n| Shenandoah Telecommunications Company (Holding) | Holding company, which invests in both affiliated |\n| --- | --- |\n| | and non-affiliated companies. |\n| Shenandoah Telephone Company (Telephone) | Provides both regulated and unregulated telephone |\n| | services and leases fiber optic facilities primarily |\n| | throughout the Northern Shenandoah Valley. |\n| Shenandoah Cable Television Company (CATV) | Provides cable television service in Shenandoah |\n| | County. |\n| ShenTel Service Company (ShenTel) | Provides Internet access to a multi-state region |\n| | surrounding the Northern Shenandoah Valley, hosts |\n| | Travel 511 for Virginia, and sells and services |\n| | telecommunication equipment. |\n| Shenandoah Valley Leasing Company (Leasing) | Finances purchases of telecommunications |\n| | equipment to customers of other segments. |\n| Shenandoah Mobile Company (Mobile) | Provides tower rental space in the Company's PCS |\n| | markets and paging services throughout the Northern |\n| | Shenandoah Valley. |\n| Shenandoah Long Distance Company (Long Distance) | Provides long distance services. |\n| Shenandoah Network Company (Network) | Leases interstate fiber optic facilities. |\n| ShenTel Communications Company (Shen Comm) | Provides DSL services as a CLEC operation. |\n| Shenandoah Personal Communications Company (PCS) | As a PCS Affiliate of Sprint, provides digital wireless |\n| | service to a portion of a four-state area covering the |\n| | region from Harrisburg, York and Altoona, |\n| | Pennsylvania, to Harrisonburg, Virginia. |\n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting policies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties.\n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows:\n\n| | | | | Consolidated | |\n| --- | --- | --- | --- | --- | --- |\n| Year | Holding | | Telephone | Totals | |\n| | | | (in thousands) | | |\n| 2003 | $ | (441) | $ 65 | $ | (376) |\n| 2002 | $ | (822) | $ 45 | $ | (777) |\n| 2001 | $ (1,218) | | $104 | $ (1,114) | |", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "# **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549**\n\n# **FORM 10-K**\n\n### **(Mark One)**\n\n## ≤ **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n**For the Ñscal year ended December 31, 2004**\n\n**OR**\n\n# n **TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n**For the transition period from to**\n\nCommission Ñle number: 1-14267\n\n# **REPUBLIC SERVICES, INC.**\n\n(Exact name of Registrant as SpeciÑed in its Charter)\n\n**Delaware 65-0716904**\n\n(State of Incorporation) (I.R.S. Employer IdentiÑcation No.)\n\n**Republic Services, Inc. 33301 110 S.E. 6th Street, 28th Floor** (Zip Code) **Fort Lauderdale, Florida** (Address of Principal Executive OÇces)\n\nRegistrant's telephone number, including area code: **(954) 769-2400**\n\nSecurities registered pursuant to Section 12(b) of the Act:\n\nTitle of Each Class Name of Each Exchange on which Registered\n\n**Common Stock, par value $.01 per share The New York Stock Exchange**\n\nSecurities registered pursuant to Section 12(g) of the Act: **None**\n\nIndicate by check mark whether the registrant: (1) has Ñled all reports required to be Ñled by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to Ñle such reports), and (2) has been subject to such Ñling requirements for the past 90 days. Yes ≤ No n\n\nIndicate by check mark if disclosure of delinquent Ñlers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in deÑnitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. ≤\n\nIndicate by check mark whether the registrant is an accelerated Ñler (as deÑned in Rule 12b-2 of the Act). Yes ≤ No n\n\nAs of June 30, 2004, the aggregate market value of the shares of the Common Stock held by nonaÇliates of the registrant was approximately $4,395,636,476.\n\nAs of February 18, 2005, the registrant had outstanding 149,670,988 shares of Common Stock.\n\n### **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPart III Portions of the Registrant's Proxy Statement relative to the 2005 Annual Meeting of Stockholders.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What are some example of uses AI by the US departement of energy ?", - "target_page": 1, - "target_passage": "The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed approach is to envision a separate *sui generis* system of protection for creations generated by AI to ensure fair attribution and compensation for human authors.[197]\n\n#### **Dominance by tech giants**\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple Inc., Meta Platforms, and Microsoft. [198][199][200] Some of these players already own the vast majority of existing cloud infrastructure and computing power from data centers, allowing them to entrench further in the marketplace.[201][202]\n\n#### **Power needs and environmental impacts**\n\nIn January 2024, the International Energy Agency (IEA) released *Electricity 2024, Analysis and Forecast to 2026*, forecasting electric power use.[203] This is the first IEA report to make projections for data centers and power consumption for artificial intelligence and cryptocurrency. The report states that power demand for these uses might double by 2026, with additional electric power usage equal to electricity used by the whole Japanese nation.[204]\n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay closings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of data centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) into voracious consumers of electric power. Projected electric consumption is so immense that there is concern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the electrical energy as a Google search. The large firms are in haste to find power sources – from nuclear energy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually kinder to the environment, but they need the energy now. AI makes the power grid more efficient and \"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to technology firms.[205]\n\nA 2024 Goldman Sachs Research Paper, *AI Data Centers and the Coming US Power Demand Surge*, found \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, by 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for the electrical power generation industry by a variety of means.[206] Data centers' need for more and more electrical power is such that they might max out the electrical grid. The Big Tech companies counter that AI can be used to maximize the utilization of the grid by all.[207]\n\nIn 2024, the *Wall Street Journal* reported that big AI companies have begun negotiations with the US nuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a Pennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said nuclear power is a good option for the data centers.[209]\n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three Mile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the plant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in 1979, will require Constellation to get through strict regulatory processes which will include extensive safety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US re-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Artificial intelligent (AI) agents are software entities designed to perceive their environment, make decisions, and take actions autonomously to achieve specific goals. These agents can interact with users, their environment, or other agents. AI agents are used in various applications, including virtual assistants, chatbots, autonomous vehicles, game-playing systems, and industrial robotics. AI agents operate within the constraints of their programming, available computational resources, and hardware limitations. This means they are restricted to performing tasks within their defined scope and have finite memory and processing capabilities. In real-world applications, AI agents often face time constraints for decision-making and action execution. Many AI agents incorporate learning algorithms, enabling them to improve their performance over time through experience or training. Using machine learning, AI agents can adapt to new situations and optimise their behaviour for their designated tasks.[175][176][177]\n\nVincent van Gogh in watercolour created by generative AI software\n\n#### **Other industry-specific tasks**\n\nThere are also thousands of successful AI applications used to solve specific problems for specific industries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in some offerings or processes.[178] A few examples are energy storage, medical diagnosis, military logistics, applications that predict the result of judicial decisions, foreign policy, or supply chain management.\n\nAI applications for evacuation and disaster management are growing. AI has been used to investigate if and how people evacuated in large scale and small scale evacuations using historical data from GPS, videos or social media. Further, AI can provide real time information on the real time evacuation conditions.[179][180][181]\n\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments or increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict the ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct predictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests, and save water.\n\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and applications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the development of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting solar activity, and distinguishing between signals and instrumental effects in gravitational wave astronomy. Additionally, it could be used for activities in space, such as space exploration, including the analysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance, and more autonomous operation.", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## **References**\n\n- 1. Russell & Norvig (2021), pp. 1–4.\n- 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n- 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". *Business Horizons*. **62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n- 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n- 5. Russell & Norvig (2021, §1.2).\n- 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC (1999, pp. 200–201) The proposal: McCarthy et al. (1955)\n- 7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– 107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n- 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n- 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell & Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, pp. 189–201)\n- 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier (1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n- 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n- 12. Toews (2023).\n- 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7–12)\n- 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel (1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n- 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n- 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n- 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319– 345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n- 18. Smoliar & Zhang (1994).\n- 19. Neumann & Möller (2008).\n- 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- AI & ML in Fusion (https://suli.pppl.gov/2023/course/Rea-PPPL-SULI2023.pdf)\n- AI & ML in Fusion, video lecture (https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpAN uQZFMzKPh/view?usp=drive_link) Archived (https://web.archive.org/web/20230702164332/ https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpANuQZFMzKPh/view?usp=drive _link) 2 July 2023 at the Wayback Machine\n- Alter, Alexandra; Harris, Elizabeth A. (20 September 2023), \"Franzen, Grisham and Other Prominent Authors Sue OpenAI\" (https://www.nytimes.com/2023/09/20/books/authors-open ai-lawsuit-chatgpt-copyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103 259&nl=todaysheadlines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae 0ec44284a38bb4a88f1d), *The New York Times*, archived (https://web.archive.org/web/2024 0914155020/https://www.nytimes.com/2023/09/20/books/authors-openai-lawsuit-chatgpt-co pyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103259&nl=todaysheadl ines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae0ec44284a38bb4a88 f1d) from the original on 14 September 2024, retrieved 5 October 2024\n- Altman, Sam; Brockman, Greg; Sutskever, Ilya (22 May 2023). \"Governance of Superintelligence\" (https://openai.com/blog/governance-of-superintelligence). *openai.com*. Archived (https://web.archive.org/web/20230527061619/https://openai.com/blog/governanc e-of-superintelligence) from the original on 27 May 2023. Retrieved 27 May 2023.\n- Anderson, Susan Leigh (2008). \"Asimov's \"three laws of robotics\" and machine metaethics\". *AI & Society*. **22** (4): 477–493. doi:10.1007/s00146-007-0094-5 (https://doi.org/10.1007%2Fs0 0146-007-0094-5). S2CID 1809459 (https://api.semanticscholar.org/CorpusID:1809459).\n- Anderson, Michael; Anderson, Susan Leigh (2011). *Machine Ethics*. Cambridge University Press.\n- Arntz, Melanie; Gregory, Terry; Zierahn, Ulrich (2016), \"The risk of automation for jobs in OECD countries: A comparative analysis\", *OECD Social, Employment, and Migration Working Papers 189*\n- Asada, M.; Hosoda, K.; Kuniyoshi, Y.; Ishiguro, H.; Inui, T.; Yoshikawa, Y.; Ogino, M.; Yoshida, C. (2009). \"Cognitive developmental robotics: a survey\". *IEEE Transactions on Autonomous Mental Development*. **1** (1): 12–34. doi:10.1109/tamd.2009.2021702 (https://doi.org/10.110 9%2Ftamd.2009.2021702). S2CID 10168773 (https://api.semanticscholar.org/CorpusID:101 68773).\n- \"Ask the AI experts: What's driving today's progress in AI?\" (https://www.mckinsey.com/business -functions/mckinsey-analytics/our-insights/ask-the-ai-experts-whats-driving-todays-progressin-ai). *McKinsey & Company*. Archived (https://web.archive.org/web/20180413190018/http s://www.mckinsey.com/business-functions/mckinsey-analytics/our-insights/ask-the-ai-expert s-whats-driving-todays-progress-in-ai) from the original on 13 April 2018. Retrieved 13 April 2018.\n- Barfield, Woodrow; Pagallo, Ugo (2018). *Research handbook on the law of artificial intelligence*. Cheltenham, UK: Edward Elgar Publishing. ISBN 978-1-7864-3904-8. OCLC 1039480085 (https://search.worldcat.org/oclc/1039480085).\n- Beal, J.; Winston, Patrick (2009), \"The New Frontier of Human-Level Artificial Intelligence\", *IEEE Intelligent Systems*, vol. 24, pp. 21–24, doi:10.1109/MIS.2009.75 (https://doi.org/10.11 09%2FMIS.2009.75), hdl:1721.1/52357 (https://hdl.handle.net/1721.1%2F52357), S2CID 32437713 (https://api.semanticscholar.org/CorpusID:32437713)\n- Berdahl, Carl Thomas; Baker, Lawrence; Mann, Sean; Osoba, Osonde; Girosi, Federico (7 February 2023). \"Strategies to Improve the Impact of Artificial Intelligence on Health Equity: Scoping Review\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC11041459). *JMIR AI*. **2**: e42936. doi:10.2196/42936 (https://doi.org/10.2196%2F42936). ISSN 2817-1705 (https://se arch.worldcat.org/issn/2817-1705). PMC 11041459 (https://www.ncbi.nlm.nih.gov/pmc/articl es/PMC11041459). PMID 38875587 (https://pubmed.ncbi.nlm.nih.gov/38875587). S2CID 256681439 (https://api.semanticscholar.org/CorpusID:256681439).", - "page_start": 52, - "page_end": 52, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Home / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\n\n#### ARTS AND ENTERTAINMENT\n\n# New Artificial Intelligence Summit Series Begins With Energy\n\n### 07/31/2024\n\n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain America's global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit Series.\n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and technologists to address the challenges of AI's energy consumption and develop solutions for a resilient and abundant energy future. The event also aims to address the implications of AI and energy for national security and promote partnerships between AI and energy stakeholders.\n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy efficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in overcoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research.\n\nSCSP's recent \"Action Plan for U.S. Leadership in Next-Generation Energy,\" raises many issues related to AI and energy, including recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and other issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American adversaries could gain the upper hand in AI leadership, according to SCSP experts.\n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP's Next-Generation Energy Action Plan.\n\n#### Article Link\n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\n\n#### RELATED ARTICLES\n\nLocal Artists Collaborate for a Unique Fusion of Groove and Collage Mar 06, 2024\n\n| CATEGORIES |\n| --- |\n| FASHION |\n| BUSINESS |\n| INFOGRAPHIC |\n| ENVIRONMENT |\n| HEALTH |\n| MONEY |\n| FOOD |\n| TRAVEL |\n| BRIDAL |\n| RECREATION |\n| TECHNOLOGY |\n| HOME |\n| EDUCATION |\n| ARTS & ENTERTAINMENT |\n| AUTO |\n| CHILDREN |\n| FITNESS |\n| HOLIDAY |\n| INSURANCE |\n| LAWN & GARDEN |\n| LISTICLE |\n| NUTRITION |\n| PARENTING |\n| PETS |\n| SEASONAL |\n\nMar 06, 2024\n\nCelebrate St. Patrick's Day with No Booze, Just Pure Irish Fun and Entertainment\n\n#### Mar 06, 2024\n\nExplore Downtown San Pedro with Flair: Ride the Iconic Red Car Trolley for Free\n\n#### Mar 06, 2024\n\nSay Hello to Your Big Break at the Stapleton Library Job Fair in Vocation, Trade, or Civil Service\n\nFeb 22, 2024\n\nRetrain Your Emotional Brain: A Natural Alternative to Weight Loss Drugs\n\nFeb 21, 2024\n\nSerial Entrepreneur Teaches Us How to Go the Distance in Business and in Life\n\nSPANISH\n\nSENIORS\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK_REVIEW\n\nRECIPE\n\nAFRICAN_AMERICANS\n\nHOW_TO\n\nBYLINED_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY\n\nMONEY AND FINANCE\n\nBOOKS & ENTERTAINMENT\n\nBOOKS\n\nARTS & ENTERTAINMENT\n\n## RECENT POSTS\n\n| 01 | School Choice Combines Nature And |\n| --- | --- |\n| | Nuture for Success |\n| 02 | Think Outside the (Gift) Box, Contribute to a 529 Plan |\n| 03 | Black Friday Bonanza—Don't Miss These Hot Gifts |\n| | Self-Publishing Helps Parents Share New |\n| 04 | Books with Kids |\n| 05 | Five Tips to Safely Manage Medications |\n| 06 | Self-care on Your Schedule with Mental |\n| | Wellness App |\n\n#### MOST POPULAR\n\nEntrepreneur Inspires Youth with Community Projects 08 Jul 21\n\nWho Celebrates National School Choice Week? 22 Jan 18\n\nNo Arms, No Legs, No Worries 13 Dec 18\n\nScent-imental: Holiday Smells Evoke Happy Memories 30 Oct 18\n\nTechnology Breakthroughs Drive Clean Energy Success 01 Oct 18\n\nSafety App Empowers Students, Offers Peace of Mind\n\n| TAGS | |\n| --- | --- |\n| Fashion | Business Infographic |\n| Environment | Health Money |\n| Food Travel | Bridal Recreation |\n| Technology | Home Education |\n| Arts & Entertainment | Auto Children |\n| Fitness | Holiday Insurance |\n| Lawn & Garden | Listicle Nutrition |\n| Parenting | Pets Seasonal Seniors |\n| Spanish | Tips and How To |\n| Entertainment | Career Community |\n| Family Tips | Internet |\n| Human_Interest | Beauty Arts |\n| RealEstate | Safety Medicine |\n| Book_Review | Recipe |\n| African_Americans | How_To |\n| Bylined_Column | Charity Sports |\n| Home_Improvement | Tech Wellness |\n| Arts and Entertainment | Food & Drink |\n| Real_Estate | Veterans Outdoors |\n| Real Estate | Human Interest |\n| Money & Finance | Fashion & Beauty |\n| Money and Finance | |\n| Books & Entertainment | Books |\n| Arts & Entertainment | |\n\nContact Us Work From Home Privacy Policy Terms of Use", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "energy will be produced. The cost for re-opening and upgrading is estimated at $1.6 billion (US) and is dependent on tax breaks for nuclear power contained in the 2022 US Inflation Reduction Act. [210] The US government and the state of Michigan are investing almost $2 billion (US) to reopen the Palisades Nuclear reactor on Lake Michigan. Closed since 2022, the plant is planned to be reopened in October 2025. The Three Mile Island facility will be renamed the Crane Clean Energy Center after Chris Crane, a nuclear proponent and former CEO of Exelon who was responsible for Exelon spinoff of Constellation.[211]\n\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of Taoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages.[212] Taiwan aims to phase out nuclear power by 2025.[212] On the other hand, Singapore imposed a ban on the opening of data centers in 2019 due to electric power, but in 2022, lifted this ban.[212]\n\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident, according to an October 2024 *Bloomberg* article in Japanese, cloud gaming services company Ubitus, in which Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for generative AI.[213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and stable power for AI.[213]\n\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application submitted by Talen Energy for approval to supply some electricity from the nuclear power station Susquehanna to Amazon's data center. [214] According to the Commission Chairman Willie L. Phillips, it is a burden on the electricity grid as well as a significant cost shifting concern to households and other business sectors.[214]\n\n#### **Misinformation**\n\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI programs were given the goal of maximizing user engagement (that is, the only goal was to keep people watching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme partisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch more content on the same subject, so the AI led people into filter bubbles where they received multiple versions of the same misinformation.[215] This convinced many users that the misinformation was true, and ultimately undermined trust in institutions, the media and the government.[216] The AI program had correctly learned to maximize its goal, but the result was harmful to society. After the U.S. election in 2016, major technology companies took steps to mitigate the problem .\n\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real photographs, recordings, films, or human writing. It is possible for bad actors to use this technology to create massive amounts of misinformation or propaganda.[217] AI pioneer Geoffrey Hinton expressed concern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among other risks.[218]\n\n#### **Algorithmic bias and fairness**\n\nMachine learning applications will be biased[k] if they learn from biased data.[220] The developers may not be aware that the bias exists.[221] Bias can be introduced by the way training data is selected and by the way a model is deployed.[222][220] If a biased algorithm is used to make decisions that can seriously", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia3.pdf" - }, - { - "text": "for a new energy future with greater natural gas usage and increased domestic oil production as two of its primary attributes, it is encouraging to see our political leadership finally grasp that natural gas stands alone as the only affordable, scalable and immediately available alternative to foreign oil and that U.S. oil production can be increased significantly in the years ahead.\n\nThe events of the past few months have unmistakably driven home the fact that it is insanity to rely on the Middle East to provide our economy's lifeline of oil. This should be especially obvious when one realizes that during the next 10 years, America will likely export at least another $4 trillion in national wealth to oil exporters around the world. Clearly, our country must demand from its leaders a new and more sustainable energy future.\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security. I remain fully confident that the marketplace understands this and that over time the U.S. will more fully embrace and utilize clean, affordable, abundant American natural gas and increased domestic oil production as the best alternatives to burning environmentally challenged coal and expensive and dangerous foreign oil.\n\nThere is now a clear road ahead toward a more sustainable, affordable, dynamic and independent future if America embraces the remarkable gift of energy abundance that Chesapeake has helped discover in the U.S. You have my commitment, and the commitment of more than\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security.\n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power telemetry systems that provide pumpers with real-time information on oil and water tank levels to alarm them when levels near capacity, preventing tank spills.*\n\n> The good news, however, is that America can now secure a new energy future thanks to Chesapeake and a handful of other leading U.S. E&P companies that have reinvented the process of finding natural gas and oil during the past five years. In doing so, we have discovered twice the resources of natural gas in the U.S. that Saudi Arabia possesses in oil. Furthermore, these same few companies that led the unconventional natural gas revolution have in just the past two years also reinvented the way in which we can find large new oil resources onshore in the U.S. In fact, I believe the U.S. can possibly increase its production of oil from the current 5.8 million barrels per day by 30–50% during the next 5–10 years, thereby potentially reaching the President's 2025 goal of reducing foreign oil imports by 33%, 5–10 years earlier than hoped.\n\n10,000 other Chesapeake employees, that every day we are working hard to create shareholder value and a better future for our communities, our states and our country through the continued discovery and development of unconventional natural gas and liquids.\n\nBest regards,\n\nAubrey K. McClendon Chairman and Chief Executive Officer April 15, 2011", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "- 181. Zhao, Xilei; Lovreglio, Ruggiero; Nilsson, Daniel (1 May 2020). \"Modelling and interpreting pre-evacuation decision-making using machine learning\" (https://www.sciencedirect.com/sci ence/article/pii/S0926580519313184). *Automation in Construction*. **113**: 103140. doi:10.1016/j.autcon.2020.103140 (https://doi.org/10.1016%2Fj.autcon.2020.103140). hdl:10179/17315 (https://hdl.handle.net/10179%2F17315). ISSN 0926-5805 (https://search. worldcat.org/issn/0926-5805). Archived (https://web.archive.org/web/20240519121548/http s://www.sciencedirect.com/science/article/abs/pii/S0926580519313184) from the original on 19 May 2024. Retrieved 5 October 2024.\n- 182. \"India's latest election embraced AI technology. 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Letters to the Editor. *The Press*. Christchurch, New Zealand. Archived (https://web.archive.org/web/20080919172551/http://www.nzetc.org/ tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html) from the original on 19 September 2008. Retrieved 16 October 2014 – via Victoria University of Wellington.\n- Buttazzo, G. (July 2001). \"Artificial consciousness: Utopia or real possibility?\". *Computer*. **34** (7): 24–30. doi:10.1109/2.933500 (https://doi.org/10.1109%2F2.933500).\n- Cambria, Erik; White, Bebo (May 2014). \"Jumping NLP Curves: A Review of Natural Language Processing Research [Review Article]\". *IEEE Computational Intelligence Magazine*. **9** (2): 48–57. doi:10.1109/MCI.2014.2307227 (https://doi.org/10.1109%2FMCI.2014.2307227). S2CID 206451986 (https://api.semanticscholar.org/CorpusID:206451986).\n- Cellan-Jones, Rory (2 December 2014). \"Stephen Hawking warns artificial intelligence could end mankind\" (https://www.bbc.com/news/technology-30290540). *BBC News*. Archived (http s://web.archive.org/web/20151030054329/http://www.bbc.com/news/technology-30290540) from the original on 30 October 2015. Retrieved 30 October 2015.", - "page_start": 53, - "page_end": 53, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for the Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w eb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). Archived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. html) on 26 August 2007. Retrieved 30 August 2007.\nMcCarthy, John (2007), \"From Here to Human-Level AI\", *Artificial Intelligence*, p. 171\n\n- McCarthy, John (1999), *What is AI?* (http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde x.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi cial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved 4 December 2022\n- McCauley, Lee (2007). \"AI armageddon and the three laws of robotics\". *Ethics and Information Technology*. **9** (2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo c/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% 2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729 49).\n- McGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge discovery\". *The Knowledge Engineering Review*. **20** (1): 39–61. doi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408). S2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656).\n- McGaughey, E (2022), *Will Robots Automate Your Job Away? Full Employment, Basic Income, and Economic Democracy* (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), p. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), archived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper s.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023\n- Merkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, Graham (eds.). *Search Methodologies: Introductory Tutorials in Optimization and Decision Support Techniques*. Springer Science & Business Media. ISBN 978-1-4614-6940-7.\n- Minsky, Marvin (1967), *Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: Prentice-Hall\n- Moravec, Hans (1988). *Mind Children* (https://archive.org/details/mindchildrenfutu00mora). Harvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 July 2020. Retrieved 18 November 2019.\n- Morgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new s/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a nd-anxiety). *The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// www.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une mployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved 13 January 2018.\n- Müller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among Experts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF). *AI Matters*. **1** (1): 9–11. doi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). S2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. archive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) from the original on 15 January 2016.\n- Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". *Image and Vision Computing*. **26** (1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi. org/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co rpusID:10767011).\n\nNilsson, Nils (1995), \"Eyes on the Prize\", *AI Magazine*, vol. 16, pp. 9–17", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How can I contact Investor Relations of HON industries through email ?", - "target_page": 63, - "target_passage": "E-mail: investorrelations@honi.com", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## I N V E S T O R I N F O R M A T I O N\n\n#### **S C H E D U L E O F Q U A R T E R L Y R E S U L T S**\n\nThe Company operates on a fiscal year ending on the Saturday nearest December 31. Quarterly results are typically announced within 25 days after the end of each quarter, and audited results are typically announced within 40 days after year-end.\n\n#### **F I S C A L 2 0 0 4 Q U A R T E R - E N D D A T E S**\n\n1st Quarter: Saturday, April 3 2nd Quarter: Saturday, July 3 3rd Quarter: Saturday, October 2 4th Quarter: Saturday, January 1\n\n#### **A N N U A L M E E T I N G**\n\nThe Company's annual shareholders' meeting will be held at 10:30 a.m. on May 4, 2004, at the Holiday Inn, Highways 61 & 38 North, Muscatine, Iowa. Shareholders and other interested investors are encouraged to attend the meeting.\n\n#### **I N V E S T O R R E L A T I O N S**\n\nSend inquiries to: Investor Relations HON INDUSTRIES Inc. 414 East Third Street Muscatine, IA 52761 Telephone: 563.264.7400 Fax: 563.264.7655 E-mail: investorrelations@honi.com\n\n#### **C O R P O R A T E H E A D Q U A R T E R S**\n\nHON INDUSTRIES Inc. 414 East Third Street P.O. Box 1109 Muscatine, IA 52761-0071 Telephone: 563.264.7400 Fax: 563.264.7217 Website: www.honi.com\n\n#### **I N D E P E N D E N T P U B L I C A C C O U N T A N T S**\n\nPricewaterhouseCoopers LLP One North Wacker Drive Chicago, IL 60606\n\n#### **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades on the New York Stock Exchange under the symbol: HNI. Stock price quotations can be found in major daily newspapers and *The Wall Street Journal*.\n\n#### **T R A N S F E R A G E N T**\n\nShareholders may report a change of address or make inquiries by writing or calling:\n\nComputershare Investor Services, LLC 2 North LaSalle Street Chicago, IL 60602 Telephone: 312.588.4991\n\n#### **F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to plans, objectives, and future financial performance, are \"forward-looking\" statements that are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements involve known and unknown risks, which may cause the Company's actual results in the future to differ materially from expected results. These risks include, among others:\n\n**•** competition within the office furniture and fireplace industries, including competition from imported products and competitive pricing;\n\n**•** increases in the cost of raw materials, including steel, which is the Company's largest raw material category;\n\n**•** increases in the cost of health care benefits provided by the Company;\n\n**•** reduced demand for the Company's storage products caused by changes in office technology; including the change from paper record storage to electronic record storage;\n\n**•** the effects of economic conditions, on demand for office furniture, customer insolvencies and related bad debts and claims against the Company that it received preferential payments;\n\n**•** changes in demand and order patterns from the Company's customers, particularly its top ten customers, which represented approximately 36% of net sales in 2003;\n\n**•** issues associated with acquisitions and integration of acquisitions;\n\n**•** the ability of the Company to realize cost savings and productivity improvements from its cost containment and business simplification initiatives;\n\n**•** the ability of the Company to realize financial benefits from investments in new products;\n\n**•** the ability of the Company's distributors and dealers to successfully market and sell the Company's products;\n\n- **•** the availability and cost of capital to finance planned growth; and\n- **•** other risks, uncertainties, and factors described from time to time in the Company's filings with the Securities and Exchange Commission.\n\nWe caution the reader that the above list of factors may not be exhaustive. The Company does not assume any obligation to update any forward-looking statement, whether as a result of new information, future events or otherwise.\n\n K", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## A M E S S A G E F R O M T H E B O A R D O F D I R E C T O R S\n\n#### **Dear Shareholders:**\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is reflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement represents much more than a traditional \"mission,\" and it goes much deeper than company policy. The beliefs and values represented in that document are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining a strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to maintain the company's long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company's accounting policies have always been conservative and straightforward. The Board's three committees — Audit; Human Resources and Compensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years.\n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the New York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that HON INDUSTRIES governance practices were already in accord with the spirit of the rules.\n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the management of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\n\nSincerely, The HON INDUSTRIES Board of Directors\n\nStan A. Askren\n\nGary M. Christensen\n\nCheryl A. Francis\n\nRobert L. Katz\n\nDennis J. Martin\n\nJack D. Michaels\n\nJoseph Scalzo\n\nAbbie J. Smith\n\nRichard H. Stanley\n\nBrian E. Stern\n\nRonald V. Waters, III", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## N O T E S T O C O N S O L I D A T E D F I N A N C I A L S T A T E M E N T S\n\n#### **Nature of Operations**\n\nHON INDUSTRIES Inc., with its subsidiaries (the \"Company\"), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n#### **Summary of Significant Accounting Policies**\n\n*PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END* The consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n#### *C A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S*\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):\n\n| | Cash and | | Short- | | | Long- |\n| --- | --- | --- | --- | --- | --- | --- |\n| | cash | | term | | | term |\n| (In thousands) | equivalents | | investments | | investments | |\n| Y E A R - E N D 2 0 0 3 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ 31,000 | | $ | – | | $ 2,396 |\n| U.S. government securities | – | | | – | | – |\n| Certificates of deposit | – | | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | – | | | 4,259 | | – |\n| Money market preferred stock | – | | | – | | – |\n| Asset- and mortgage-backed securities | – | | | 60,949 | | 12,835 |\n| Cash and money market accounts | 107,982 | | | – | | – |\n| Total | $138,982 | | | $ 65,208 | | $ 15,631 |\n| Y E A R - E N D 2 0 0 2 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ | 82,300 | $ | 1,900 | $ | 5,396 |\n| U.S. government securities | | – | | – | | 11,995 |\n| Certificates of deposit | | – | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | | – | | 3,478 | | – |\n| Money market preferred stock | | – | | 11,000 | | – |\n| Asset- and mortgage-backed securities | | – | | – | | 7,098 |\n| Cash and money market accounts | | 56,865 | | – | | – |\n| Total | $ | 139,165 | $ | 16,378 | $ 24,889 | |\n\nThe 2001 cash and cash equivalents generally consisted of cash and commercial paper.\n\n#### *R E C E I V A B L E S*\n\nAccounts receivable are presented net of an allowance for doubtful accounts of $10,859,000, $9,570,000, and $16,576,000 for 2003, 2002, and 2001, respectively. The allowance for receivables is developed based on several factors including overall customer credit quality, historical write-off experience and specific account analyses that", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "#### **FOR FURTHER INFORMATION, PLEASE CONTACT**\n\n#### **Investor Relations Nissan Motor Co., Ltd.**\n\nGlobal Communications, CSR and IR Division 17-1, Ginza 6-chome, Chuo-ku Tokyo 104-8023, Japan phone: +81(0)3-5565-2334 fax: +81(0)3-3546-2669 e-mail: nissan-ir@mail.nissan.co.jp\n\n#### **Corporate Information Website**\n\nhttp://www.nissan-global.com/\n\n#### **Investor Relations Website**\n\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# afkljdf aojvoaipdddd S E E K I N G I N V E S T O R S F O R A P E R F E C T M A T C H\n\nJoin us in the dynamic, aggressive, profitable growth of HON INDUSTRIES.\n\n#### T H E B E S T I S Y E T T O C O M E !\n\nManagement's Discussion and Analysis … 32 Consolidated Financial Statements and Notes … 39 Eleven-Year Summary … 56 Reports of Independent Auditors … 58 A Message from the Board of Directors … 61 Board of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## O U R V I S I O N\n\nWe, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to exceeding our customers' expectations, and to making our company a great place to work. We will always treat each other, as well as customers, suppliers, shareholders, and our communities, with fairness and respect.\n\nOur success depends upon business simplification, rapid continuous improvement, and innovation in everything we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs:\n\n#### **W E W I L L B E P R O F I T A B L E .**\n\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an adequate profit can the other elements of this Vision be realized.\n\n#### **W E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .**\n\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and pursuing profitable growth opportunities. We will safeguard our shareholders' equity by maintaining a strong balance sheet to allow flexibility in responding to a continuously changing market and business environment.\n\n#### **W E W I L L P U R S U E P R O F I T A B L E G R O W T H .**\n\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and financial success for all stakeholders.\n\n#### **W E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .**\n\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services exceed our customers' expectations and enable our distributors and our company to make a fair profit.\n\n#### **W E W I L L B E A G R E A T P L A C E T O W O R K .**\n\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active involvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that attracts and retains the most capable people who work safely, are motivated, and are devoted to making our company and our members successful.\n\n#### **W E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .**\n\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which we live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and provides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, and governmental affairs of our society.\n\n#### **T O O U R S T A K E H O L D E R S :**\n\nWhen our company is appreciated by its *members,* favored by its *customers,* supported by its *suppliers,* respected by *the public,* and admired by its *shareholders,* this Vision is fulfilled.\n\n> **H O N I N D U S T R I E S I n c . ( H N I ) 414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071 www.honi.com**", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## R E P O R T O F I N D E P E N D E N T A U D I T O R S\n\n#### **To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders' equity, and cash flows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and December 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Company's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the adjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased operations. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and other intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, on December 30, 2001.\n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were audited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclosures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other Intangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nPricewaterhouseCoopers LLP Chicago, Illinois February 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## T O O U R S H A R E H O L D E R S :\n\nL E F T : Stan A. Askren, P R E S I D E N T R I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect — in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\n We outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\n Although we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are leaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best — operational excellence. Our transformation continues:\n\n#### **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the \"perfect match\" with end-users in every segment we serve.\n\n### **A C H I E V I N G B E S T T O T A L C O S T A N D L E A N E N T E R P R I S E**\n\n\"Best total cost\" means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell — all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## Corporate Information\n\nKingsgate Consolidated Limited ABN 42 000 837 472\n\n## Directors\n\nRoss Smyth-Kirk (Chairman) Gavin Thomas (Managing Director) Peter Alexander Craig Carracher Peter McAleer\n\n## Company Secretary\n\nRoss Coyle\n\n### Chief Executive Officer\n\nGavin Thomas\n\n## Stock Exchange Listing\n\nKingsgate Consolidated Limited is a Company limited by shares, listed on the Australian Stock Exchange under the code KCN. The Company's shares also trade in the United States of America over-the-counter (OTC) as an American Depository Receipt (ADR) under the code OTC: KSKGY.\n\n## Registered Office & Principal Business Address\n\nKingsgate Consolidated Limited\n\nSuite 801, Level 8, 14 Martin Place Sydney NSW 2000 Australia Tel: +61 2 8256 4800 Fax: +61 2 8256 4810 Email: info@kingsgate.com.au\n\n## Bangkok Office\n\nAkara Resources Public Company Limited\n\n19th Floor, Sathorn Thani Building 2 No. 92/54-55 North Sathorn Road Kwaeng Silom, Khet Bangrak Bangkok 10500 Thailand Tel: +66 2 233 9469 Fax: +66 2 236 5512\n\n## Chatree Mine Office\n\nAkara Resources Public Company Limited\n\nNo. 99 Moo 9, Tambon Khao Luk Amphur Thap Khlo Phichit 66230 Thailand Tel: +66 56 614 500 Fax: +66 56 614 195\n\n## Thailand Exploration Office\n\n#### Issara Mining Limited\n\n156/9-10 Moo 11, Tambol Dong Khui Amphur Chon Daen Phetchabun 67190 Thailand Tel: +66 56 649 253 Fax: +66 56 649 082\n\n## Challenger Mine\n\nChallenger Gold Operations Pty Ltd C/- 14 Lum Street Export Park SA 5950 Australia Tel: +61 8 8450 0100 Fax: +61 8 8234 3956\n\n## Chile Office\n\nLaguna Resources Chile Ltda San Pio X 2460 oficina 508 Providencia, Santiago Chile Tel: +56 2 2231 7565\n\n## Share Registry\n\nSecurity Transfer Registrars Pty Ltd 770 Canning Highway Applecross WA 6153 PO Box 535 Applecross WA 6953 Australia Tel: +61 8 9315 2333 Fax: +61 8 9315 2233 Email: registrar@securitytransfer.com.au Website: www.securitytransfer.com.au\n\n#### ADR Depository\n\n(American Depository Receipts) The Bank of New York Mellon ADR Division 101 Barclay Street, 22nd Floor New York, NY 10286 USA Tel: +1 212 815 2293\n\n## Auditor\n\nPricewaterhouseCoopers\n\n201 Sussex Street Sydney NSW 2000 Australia\n\nTel: +61 2 8266 0000 Fax: +61 2 8266 9999", - "page_start": 117, - "page_end": 117, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### **Corporate Information**\n\n**Corporate Headquarters** The Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\n#### **Internet Address**\n\nhttp://www.thehartford.com\n\n#### **Annual Meeting**\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n#### **Form 10-K and Other Information**\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n#### **Transfer Agent/Shareholder Records**\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department–11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department–11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\n#### **Investor Relations**\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations 860-547-2537\n\n#### **Media Inquiries**\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n**Common Stock and Dividend Information**\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol \"HIG.\" The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | | Dividends |\n| --- | --- | --- | --- |\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "What explains the decrease in net sales of HON industries in 2002 ?", - "target_page": 34, - "target_passage": "The decrease in 2002 was due to the decline in the office furniture market due to unstable economic conditions and the deletion of less profitable product lines in the hearth products segment", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## N O T E S T O C O N S O L I D A T E D F I N A N C I A L S T A T E M E N T S\n\n#### **Nature of Operations**\n\nHON INDUSTRIES Inc., with its subsidiaries (the \"Company\"), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n#### **Summary of Significant Accounting Policies**\n\n*PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END* The consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n#### *C A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S*\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):\n\n| | Cash and | | Short- | | | Long- |\n| --- | --- | --- | --- | --- | --- | --- |\n| | cash | | term | | | term |\n| (In thousands) | equivalents | | investments | | investments | |\n| Y E A R - E N D 2 0 0 3 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ 31,000 | | $ | – | | $ 2,396 |\n| U.S. government securities | – | | | – | | – |\n| Certificates of deposit | – | | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | – | | | 4,259 | | – |\n| Money market preferred stock | – | | | – | | – |\n| Asset- and mortgage-backed securities | – | | | 60,949 | | 12,835 |\n| Cash and money market accounts | 107,982 | | | – | | – |\n| Total | $138,982 | | | $ 65,208 | | $ 15,631 |\n| Y E A R - E N D 2 0 0 2 | | | | | | |\n| Held-to-maturity securities | | | | | | |\n| Municipal bonds | $ | 82,300 | $ | 1,900 | $ | 5,396 |\n| U.S. government securities | | – | | – | | 11,995 |\n| Certificates of deposit | | – | | – | | 400 |\n| Available-for-sale securities | | | | | | |\n| U.S. treasury notes | | – | | 3,478 | | – |\n| Money market preferred stock | | – | | 11,000 | | – |\n| Asset- and mortgage-backed securities | | – | | – | | 7,098 |\n| Cash and money market accounts | | 56,865 | | – | | – |\n| Total | $ | 139,165 | $ | 16,378 | $ 24,889 | |\n\nThe 2001 cash and cash equivalents generally consisted of cash and commercial paper.\n\n#### *R E C E I V A B L E S*\n\nAccounts receivable are presented net of an allowance for doubtful accounts of $10,859,000, $9,570,000, and $16,576,000 for 2003, 2002, and 2001, respectively. The allowance for receivables is developed based on several factors including overall customer credit quality, historical write-off experience and specific account analyses that", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "from the prior year was primarily due to the above-mentioned improvement in manufacturing variances. The decline in gross profit percentage in 2002 from the prior year was primarily due to the unfavorable shift in product mix.\n\nOperating expenses were $15.3 million in 2003, compared with $14.5 million in 2002 and $16.0 million in 2001. The increase in operating expenses in 2003 from 2002 was primarily attributable to increased general and administrative (\"G&A\") and selling (\"Selling\") expenses. G&A expenses consist primarily of salaries and other related expenses of administrative, executive and financial personnel and outside professional fees. The increase in G&A expenses in 2003 is primarily attributable to increased insurance costs, compensation and other taxes. The Company anticipates that G&A expenses are likely to increase in the foreseeable future but at a rate less than the anticipated rate of increase in revenues. Selling expenses consist primarily of salaries, commissions and other related expenses for sales and marketing personnel, marketing, advertising and promotional expenses. The increase in Selling expenses in 2003 is primarily related to increased compensation costs and travel related expenses. The Company anticipates that Selling expenses are likely to increase in the foreseeable future but at a rate less than the anticipated rate of increase in revenues. Research and development (\"R&D\") expenses consist primarily of salaries and other related expenses of the research and development personnel as well as costs associated with regulatory expenses. The Company anticipates that R&D expenses will continue at the current level for the foreseeable future. The decrease in operating expenses in 2002 from 2001 was primarily attributable to decreased G&A and Selling expenses partially offset by increased R&D expenses. G&A expenses for 2002 were $857,000 lower than G&A expenses for 2001, primarily due to a decrease in amortization expense as a result of a reduction in goodwill amortization in 2002 due to the adoption of SFAS No. 142 as discussed in Note 2 to the Company's Consolidated Financial Statements included herein. Additionally, G&A expenses were lower in 2002 compared to 2001 primarily as a result of reduced depreciation and cost containment programs related to supplies, communication costs and professional fees. The decrease in Selling expenses of $905,000 in 2002 from 2001 was primarily related to reduced outside services (primarily related to clinical studies), reduced compensation costs and continuing cost reduction efforts. R&D expenses were $269,000 higher for 2002 compared with 2001. This increase was primarily related to increased product development activities.\n\nThe Company's operating income for 2003 was $6.9 million, compared with $5.8 million in 2002 and $5.8 million in 2001. Revenue growth, manufacturing efficiency improvements, cost containment and cost reduction activities were the major contributors to the operating income improvements during 2003. Revenue growth, cost containment and cost reduction activities during 2002 were offset by lower gross margins compared with 2001, which combined to cause relatively flat operating results.\n\nInterest expense was $195,000 in 2003 compared to $432,000 in 2002 and $300,000 in 2001. The decrease in 2003 is primarily related to lower average borrowings during 2003 as compared with 2002. The increase in 2002 is primarily related to higher average borrowings during 2002 as compared with 2001 partially offset by a significant reduction in interest rates in 2002. The higher average borrowings during 2002 is primarily related to borrowing of funds under the Company's credit facility in late December 2001 in connection with its repurchase of outstanding common stock of the Company under a tender offer. The other income in 2001 was primarily related to the Company's one-time pre-tax gain of $428,000 on the sale of a patent.\n\nIncome tax expense in 2003 totaled $1.9 million, compared with $1.4 million in 2002 and $1.8 million in 2001. The effective tax rates for 2003, 2002 and 2001 were 27.8 percent, 25.7 percent and 29.7 percent, respectively. Benefits from tax incentives for exports and R&D expenditures totaled $350,000 in 2003, $408,000 in 2002 and $404,000 in 2001. The higher effective tax rate in 2003 is primarily a result of benefits from tax incentives for exports and R&D expenditures being a lesser percentage of taxable income in 2003 than in 2002. The lower effective tax rate in 2002 is primarily a result of benefits from tax incentives for exports and R&D expenditures being a larger percentage of taxable income in 2002 than in 2001 and the utilization of capital loss carryforwards in 2002.\n\nThe Company believes that 2004 revenues will be higher than 2003 revenues and that the cost of goods sold, gross profit, operating income and income from continuing operations will each be higher in 2004 than in 2003. The Company further believes that it will have continuing volume growth in most of its product lines in 2004, complemented by the introduction of new products, and that it will achieve a double-digit annual rate of growth in earnings per share from continuing operations for the next several years.\n\n### **DISCONTINUED OPERATIONS**\n\nDuring 1997, the Company sold all of its natural gas operations. The financial statements presented herein reflect the Company's natural gas operations as discontinued operations for all periods presented. The financial statements also reflect an after-tax gain on disposal of these discontinued operations of $ .2 million, or $ .10 per basic and $ .09 per diluted share, in both 2003 and 2002, and $5.5 million, or $2.70 per basic and $2.42 per diluted share, in 2001.\n\nIn addition to the initial consideration received in 1997 upon the sale of the natural gas operations, certain annual contingent deferred payments of up to $250,000 per year were to be paid to the Company over an eight-year period which began in 1999, with the amount paid each year to be dependent upon revenues received by the purchaser from certain gas transportation contracts. The Company received deferred payments of $250,000 each, before tax, from the purchaser in April 2003, 2002 and 2001 which are reflected in each year as a gain from discontinued operations of $165,000, net of tax. The 2001 gain also includes a $5,327,000 non-cash gain from reversal of a reserve established when the Company disposed of its natural gas operations in 1997. This reversal in the third quarter of 2001 followed the resolution of an outstanding contingency related to the sale of those assets.", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## I N V E S T O R I N F O R M A T I O N\n\n#### **S C H E D U L E O F Q U A R T E R L Y R E S U L T S**\n\nThe Company operates on a fiscal year ending on the Saturday nearest December 31. Quarterly results are typically announced within 25 days after the end of each quarter, and audited results are typically announced within 40 days after year-end.\n\n#### **F I S C A L 2 0 0 4 Q U A R T E R - E N D D A T E S**\n\n1st Quarter: Saturday, April 3 2nd Quarter: Saturday, July 3 3rd Quarter: Saturday, October 2 4th Quarter: Saturday, January 1\n\n#### **A N N U A L M E E T I N G**\n\nThe Company's annual shareholders' meeting will be held at 10:30 a.m. on May 4, 2004, at the Holiday Inn, Highways 61 & 38 North, Muscatine, Iowa. Shareholders and other interested investors are encouraged to attend the meeting.\n\n#### **I N V E S T O R R E L A T I O N S**\n\nSend inquiries to: Investor Relations HON INDUSTRIES Inc. 414 East Third Street Muscatine, IA 52761 Telephone: 563.264.7400 Fax: 563.264.7655 E-mail: investorrelations@honi.com\n\n#### **C O R P O R A T E H E A D Q U A R T E R S**\n\nHON INDUSTRIES Inc. 414 East Third Street P.O. Box 1109 Muscatine, IA 52761-0071 Telephone: 563.264.7400 Fax: 563.264.7217 Website: www.honi.com\n\n#### **I N D E P E N D E N T P U B L I C A C C O U N T A N T S**\n\nPricewaterhouseCoopers LLP One North Wacker Drive Chicago, IL 60606\n\n#### **C O M M O N S T O C K**\n\nHON INDUSTRIES common stock trades on the New York Stock Exchange under the symbol: HNI. Stock price quotations can be found in major daily newspapers and *The Wall Street Journal*.\n\n#### **T R A N S F E R A G E N T**\n\nShareholders may report a change of address or make inquiries by writing or calling:\n\nComputershare Investor Services, LLC 2 North LaSalle Street Chicago, IL 60602 Telephone: 312.588.4991\n\n#### **F O R W A R D - L O O K I N G S T A T E M E N T S**\n\nStatements in this report that are not strictly historical, including statements as to plans, objectives, and future financial performance, are \"forward-looking\" statements that are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements involve known and unknown risks, which may cause the Company's actual results in the future to differ materially from expected results. These risks include, among others:\n\n**•** competition within the office furniture and fireplace industries, including competition from imported products and competitive pricing;\n\n**•** increases in the cost of raw materials, including steel, which is the Company's largest raw material category;\n\n**•** increases in the cost of health care benefits provided by the Company;\n\n**•** reduced demand for the Company's storage products caused by changes in office technology; including the change from paper record storage to electronic record storage;\n\n**•** the effects of economic conditions, on demand for office furniture, customer insolvencies and related bad debts and claims against the Company that it received preferential payments;\n\n**•** changes in demand and order patterns from the Company's customers, particularly its top ten customers, which represented approximately 36% of net sales in 2003;\n\n**•** issues associated with acquisitions and integration of acquisitions;\n\n**•** the ability of the Company to realize cost savings and productivity improvements from its cost containment and business simplification initiatives;\n\n**•** the ability of the Company to realize financial benefits from investments in new products;\n\n**•** the ability of the Company's distributors and dealers to successfully market and sell the Company's products;\n\n- **•** the availability and cost of capital to finance planned growth; and\n- **•** other risks, uncertainties, and factors described from time to time in the Company's filings with the Securities and Exchange Commission.\n\nWe caution the reader that the above list of factors may not be exhaustive. The Company does not assume any obligation to update any forward-looking statement, whether as a result of new information, future events or otherwise.\n\n K", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "| | Fiscal year 2002 (For the year ended Mar. 31, 2003) | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Japan | Other foreign | North America | Europe | countries | Total | Eliminations | Consolidated |\n| | | | | Millions of yen | | | |\n| Sales to third parties ¥2,554,374 ¥2,879,500 | | | ¥963,440 | ¥431,274 | ¥6,828,588 ¥ | — | ¥6,828,588 |\n| Inter-area sales and transfers 1,766,102 | | 32,763 | 26,765 | 4,174 | 1,829,804 | (1,829,804) | — |\n| Total sales 4,320,476 | | 2,912,263 | 990,205 | 435,448 | 8,658,392 | (1,829,804) | 6,828,588 |\n| Operating expenses 3,929,920 | | 2,607,699 | 968,253 | 418,682 | 7,924,554 | (1,833,196) | 6,091,358 |\n| Operating income ¥ 390,556 ¥ | | 304,564 | ¥ 21,952 | ¥ 16,766 | ¥ 733,838 ¥ | 3,392 | ¥ 737,230 |\n| Total assets ¥4,881,842 ¥3,463,261 | | | ¥502,028 | ¥140,849 | | ¥8,987,980 ¥(1,638,797) ¥7,349,183 | |\n\n#### Overseas sales\n\nOverseas sales, which include export sales of the Company and its domestic consolidated subsidiaries and sales (other than exports to Japan) of the foreign consolidated subsidiaries, for the years ended March 31, 2005, 2004 and 2003 are summarized as follows:\n\n| | Fiscal year 2004 (For the year ended Mar. 31, 2005) | | | |\n| --- | --- | --- | --- | --- |\n| | | | Other foreign | |\n| North America | | Europe | countries | Total |\n| | Millions of yen | | | |\n| Overseas sales ¥3,662,436 | | ¥1,269,204 | ¥1,401,592 | ¥6,333,232 |\n| Consolidated net sales | | | | 8,576,277 |\n| | Thousands of U.S. dollars | | | |\n| Overseas sales $34,228,374 | | $11,861,720 | $13,098,991 | $59,189,085 |\n| Consolidated net sales | | | | 80,152,122 |\n| Overseas sales as a percentage of consolidated net sales | 42.7% | 14.8% | 16.3% | 73.8% |\n\n| | Fiscal year 2003 (For the year ended Mar. 31, 2004) | | |\n| --- | --- | --- | --- |\n| North America | | Other foreign | |\n| | Europe | countries | Total |\n| | | Millions of yen | |\n| Overseas sales ¥3,222,497 | ¥1,201,035 | ¥773,248 | ¥5,196,780 |\n| Consolidated net sales | | | 7,429,219 |\n| Overseas sales as a percentage of consolidated net sales 43.4% | 16.2% | 10.4% | 70.0% |\n| | Fiscal year 2002 (For the year ended Mar. 31, 2003) | | |\n| North America | | Other foreign | Total |\n| | Europe | countries | |\n| | | Millions of yen | |\n| Overseas sales ¥2,785,334 | ¥974,872 | ¥763,368 | ¥4,523,574 |\n| Consolidated net sales | | | 6,828,588 |\n| Overseas sales as a percentage of consolidated net sales 40.8% | 14.3% | 11.1% | 66.2% |", - "page_start": 103, - "page_end": 103, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## T O O U R S H A R E H O L D E R S :\n\nL E F T : Stan A. Askren, P R E S I D E N T R I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect — in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\n We outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\n Although we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are leaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best — operational excellence. Our transformation continues:\n\n#### **B U I L D I N G B R A N D M A R K E T P O W E R**\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the \"perfect match\" with end-users in every segment we serve.\n\n### **A C H I E V I N G B E S T T O T A L C O S T A N D L E A N E N T E R P R I S E**\n\n\"Best total cost\" means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell — all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "#### **Impact on Operating Profit**\n\n#### **Net Cash Flow (automotive)**\n\n#### **Net Income**\n\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7 billion lower than last year. This was primarily due to a ¥5.3 billion decrease in financial costs and a ¥5.3 billion increase in equity in earnings of unconsolidated subsidiaries and affiliates, thanks mainly to Renault. Net extraordinary losses totaled ¥62.5 billion, ¥10.7 billion lower than last year, mainly due to the sale of the site of the former Murayama plant. Net income before taxes came to ¥793.2 billion. Income taxes totaled ¥258.0 billion, with an effective consolidated tax rate of 33 percent. Minority interests amounted to ¥22.9 billion, mainly from Yulon Nissan Motor. As a result, net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n#### **FINANCIAL POSITION**\n\n#### **Balance Sheet**\n\nIn 2004, total consolidated assets increased by 25.3 percent to ¥9,848.5 billion.\n\nCurrent assets increased by 36.4 percent, or ¥1,372.4 billion, to ¥5,139.4 billion. This increase included changes in the scope of consolidation by ¥271.1 billion and an increase in sales finance receivables by ¥840.6 billion thanks to increased sales in the U.S. Fixed assets increased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0 billion. Property, plant and equipment valuation increased by ¥593.6 billion, mainly due to capital expenditures of ¥477.5 billion and an increase in leased vehicles.\n\nCurrent liabilities increased by 28.1 percent, or ¥872.2 billion, to ¥3,974.7 billion. This increase included changes in the scope of consolidation of ¥144.4 billion and an increase in short-term borrowings for sales financing of ¥558.5 billion.\n\nIn 2004, total shareholder equity increased from ¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily due to net income of ¥512.3 billion, offset by dividends paid totaling ¥101.2 billion. Consolidated shareholder equity represented 29 percent of total revenues and 25 percent of total assets.\n\n#### **Cash Flow**\n\nCash from operating activities was ¥369.4 billion, below the previous year's level of ¥797.4 billion. This drop was primarily caused by a ¥331.2 billion increase in finance receivables in the U.S. and Japan. There were also increases in inventory and income tax paid.\n\nCash used for investing activities increased by ¥108.9 billion to ¥865.0 billion. This increase was mainly due to an increase of leased vehicles in the U.S.\n\nCash from financing activities totaled ¥521.0 billion, including an increase in short-term borrowing of ¥666.2 billion, offset by ¥94 billion for the payment of dividends and ¥26 billion for the acquisition of treasury stock.\n\nIn total, cash and cash equivalents increased by ¥95.6 billion to ¥289.8 billion from fiscal 2004.", - "page_start": 14, - "page_end": 14, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### *O F F I C E F U R N I T U R E*\n\nOffice furniture comprised 74% of consolidated net sales for 2003 and 76% of consolidated net sales for 2002 and 2001. Net sales for office furniture increased 2% in 2003 and decreased 6% in 2002. The increase in 2003 is due to the increased week from the Company's 52/53-week fiscal year. The office furniture industry has experienced an unprecedented three-year decline in shipments. The Business and Institutional Furniture Manufacturer's Association (BIFMA) reported 2003 shipments down over 5% and 2002 shipments down 19%. The Company's estimated share of the market based on reported office furniture shipments increased to 15.3% in 2003 compared to 14.4% in 2002 and 12.4% in 2001. This increase was achieved by providing strong brands, innovative products and services, and greater value to end-users.\n\nOperating profit as a percent of sales was 10.0% in 2003, 10.2% in 2002, and 8.2% in 2001. Included in 2003 were $15.2 million of net pretax charges related to the closure of two office furniture facilities, which impacted operating margins by 1.1 percentage points. Included in 2002 were $3.0 million of restructuring charges, which impacted operating margins by 0.2 percentage points, and 2001 included $22.5 million of restructuring charges, which impacted operating margins by 1.7 percentage points. The increase in operating margins is due to increased gross profit from the benefits of restructuring initiatives, rapid continuous improvement programs, and increased price realization, offset by additional investments in brand building and selling initiatives and increased freight expense.\n\n#### *H E A R T H P R O D U C T S*\n\nHearth products sales increased 9% in 2003 and decreased 3% in 2002, respectively. The growth in 2003 was attributable to strong housing starts, growth in market share in both the new construction and retail channels, strengthening alliances with key distributors and dealers, as well as focused new product introductions. The decrease in 2002 was mainly due to pruning out less profitable product lines.\n\nOperating profit as a percent of sales in 2003 was 12.1% compared to 10.8% and 9.2% in 2002 and 2001, respectively. The improved profitability in 2003 was the result of leveraging fixed costs over a higher sales volume and increased sales through company-owned distribution offset by increased freight costs and higher labor costs from increased use of overtime and temporary labor to meet record levels of demand. The increase in 2002 was mainly due to discontinuance of goodwill and indefinite-lived intangible amortization of approximately $7 million due to the adoption of SFAS 142.\n\n#### **Liquidity and Capital Resources**\n\nDuring 2003, cash flow from operations was $141.3 million, which along with funds from stock option exercises under employee stock plans, provided the funds necessary to meet working capital needs, invest in capital improvements, repay long-term debt, repurchase common stock, and pay increased dividends.\n\nCash, cash equivalents, and short-term investments totaled $204.2 million at the end of 2003 compared to $155.5 million at the end of 2002 and $78.8 million at the end of 2001. The Company used approximately $80 million of cash to acquire Paoli Inc. on January 5, 2004. These remaining funds, coupled with cash from future operations and additional long-term debt, if needed, are expected to be adequate to finance operations, planned improvements, and internal growth. The Company is not aware of any known trends or demands, commitments, events, or uncertainties that are reasonably likely to result in its liquidity increasing or decreasing in any material way.\n\nThe Company places special emphasis on the management and reduction of its working capital with a particular focus on trade receivables and inventory levels. The success achieved in managing receivables is in large part a result of doing business with quality customers and maintaining close communication with them. Trade receivables at year-end 2003 were virtually unchanged from the prior year. Trade receivable days outstanding have averaged approximately 37 to 38 days over the past three years. The Company's inventory turns were 23, 23, and 18 for 2003, 2002, and 2001, respectively. Increased imports of raw materials and finished goods may negatively affect inventory turns in the future but the Company is constantly looking for ways to add efficiency to its supply chain. The decrease in accounts payable and accrued expenses is due to timing of vendor and marketing program payments and the payment of additional purchase consideration and debenture earn out related to a prior acquisition. The Company also funded the retiree medical portion of its postretirement benefit obligation in 2003.\n\n#### *I N V E S T M E N T S*\n\nThe Company has investments in investment grade equity and debt securities. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet date. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. A table of holdings as of year-end 2003 and 2002 is", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## R E P O R T O F I N D E P E N D E N T A U D I T O R S\n\n#### **To the Board of Directors and Shareholders, HON INDUSTRIES Inc.:**\n\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders' equity, and cash flows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and December 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the Company's management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the adjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased operations. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\n\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and other intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, on December 30, 2001.\n\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were audited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclosures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other Intangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nPricewaterhouseCoopers LLP Chicago, Illinois February 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "| | | Millions of yen | |\n| --- | --- | --- | --- |\n| Fiscal year 2002 (For the year ended Mar. 31, 2003) | Automobile and Eliminations | Sales | Consolidated total |\n| | | Financing | |\n| Operating activities | | | |\n| Income before income taxes and minority interests | ¥634,818 | ¥ 59,806 | ¥694,624 |\n| Depreciation and amortization | 213,569 | 157,556 | 371,125 |\n| Decrease (increase) in finance receivables | 64,057 | (391,414) | (327,357) |\n| Others | (115,097) | (47,917) | (163,014) |\n| Net cash provided by (used in) operating activities | 797,347 | (221,969) | 575,378 |\n| Investing activities | | | |\n| Proceeds from sales of investment securities including shares of subsidiaries | 39,816 | 13,842 | 53,658 |\n| Proceeds from sales of property, plant and equipment | 94,828 | 3,871 | 98,699 |\n| Purchases of fixed assets | (376,429) | (1,500) | (377,929) |\n| Purchases of leased vehicles | (33,522) | (450,182) | (483,704) |\n| Proceeds from sales of leased vehicles | 15,644 | 243,431 | 259,075 |\n| Others | (46,720) | (18,453) | (65,173) |\n| Net cash used in investing activities | (306,383) | (208,991) | (515,374) |\n| Financing activities | | | |\n| (Decrease) increase in short-term borrowings | (369,506) | 315,196 | (54,310) |\n| (Decrease) increase in long-term borrowings | (81,106) | 91,044 | 9,938 |\n| Increase in bonds and debentures | 85,000 | — | 85,000 |\n| Proceeds from sales of treasury stock | 5,670 | — | 5,670 |\n| Others | (144,062) | 25,000 | (119,062) |\n| Net cash (used in) provided by financing activities | (504,004) | 431,240 | (72,764) |\n| Effect of exchange rate changes on cash and cash equivalents | 1,174 | (520) | 654 |\n| (Decrease) increase in cash and cash equivalents | (11,866) | (240) | (12,106) |\n| Cash and cash equivalents at beginning of the year | 272,742 | 6,911 | 279,653 |\n| Increase due to inclusion in consolidation | 2,297 | — | 2,297 |\n| Decrease due to exclusion from consolidation | (27) | — | (27) |\n| Cash and cash equivalents at end of the year | ¥263,146 | ¥ 6,671 | ¥269,817 |", - "page_start": 101, - "page_end": 101, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What operations were discontinued in 1997 by Atrion Corp ?", - "target_page": 17, - "target_passage": "During 1997, the Company sold all of its natural gas operations. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# CORPORATE INFORMATION\n\n# **Corporate Office:**\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800 www.atrioncorp.com\n\n## **Registrar and Transfer Agent**\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## **Form 10-K**\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to:\n\n> *Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002*\n\n## **Stock Information**\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or \"street\" name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | | Low | | Dividends |\n| --- | --- | --- | --- | --- | --- | --- |\n| March 31 | $ | 38.14 | $ | 26.91 | $ | — |\n| June 30 | | 32.51 | | 26.82 | | — |\n| September 30 | | 28.09 | | 18.31 | | — |\n| December 31 | | 23.90 | | 17.31 | | — |\n| 2003 Quarter Ended | | High | | Low | | Dividends |\n| March 31 | $ | 22.85 | $ | 17.95 | $ | — |\n| June 30 | | 30.80 | | 22.75 | | — |\n| September 30 | | 45.20 | | 26.80 | | .12 |\n| December 31 | | 50.00 | | 40.00 | | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Atrion Corporation One Allentown Parkway Allen, Texas 75002 972 • 390 • 9800 www.atrioncorp.com", - "page_start": 31, - "page_end": 31, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (\"Atrion Medical Products\"), Halkey-Roberts Corporation (\"Halkey-Roberts\") and Quest Medical, Inc. (\"Quest Medical\").\n\n### **PRINCIPLES OF CONSOLIDATION**\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the \"Company\"). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n### **FAIR VALUE**\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n### **ESTIMATES**\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n### **FINANCIAL PRESENTATION**\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n### **CASH AND CASH EQUIVALENTS**\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n### **TRADE RECEIVABLES**\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n### **INVENTORIES**\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | | DECEMBER 31, | |\n| --- | --- | --- | --- |\n| | 2003 | | 2002 |\n| Raw materials | $ 5,641 | $ | 6,082 |\n| Finished goods | 4,044 | | 2,818 |\n| Work in process | 1,629 | | 1,411 |\n| Total inventories | $ 11,314 | $ | 10,311 |\n\n### **INCOME TAXES**\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "#### **Discontinued Operations**\n\nA discontinued operation is a component of our business that has operations and cash flows that are clearly distinguished from the rest of Rogers and:\n\n- represents a separate major line of business\n- is part of a single coordinated plan to dispose of a separate major line of business, or\n- is a subsidiary we have acquired with the intention to re-sell.\n\nWhen we classify a component as a discontinued operation, we restate our comparative income and comprehensive income as though the operation had been discontinued from the start of the comparative year.\n\nSee note 6 for information about discontinued operations.\n\n#### **New Accounting Pronouncements Effective in 2013**\n\nWe adopted the following accounting changes for our 2013 consolidated financial statements on January 1, 2013.\n\n- IFRS 10, Consolidated Financial Statements\n- IFRS 11, Joint Arrangements\n- IFRS 12, Disclosure of Interest in Other Entities\n- IFRS 13, Fair Value Measurement\n- IAS 19, Employee Benefits (2011)\n- IAS 28, Investments in Associates and Joint Ventures\n- IAS 36, Impairment of Assets\n\nThe accounting pronouncements we adopted that had an impact on our financial results or require further explanation are explained as follows:\n\n- *IFRS 10, Consolidated Financial Statements (IFRS 10)* As a result of the adoption of IFRS 10, we have changed our approach to determining whether we have control over and consequently whether we consolidate our investees. IFRS 10 introduces a new control model that is applicable to all investees. Among other things, it requires the consolidation of an investee if we control the investee on the basis of de facto circumstances. In accordance with the transitional provisions of IFRS 10, we re-assessed the control conclusion for our investees at January 1, 2013. We made no changes in the current or comparative period as a result of this assessment.\n- *IFRS 11, Joint Arrangements (IFRS 11)* As a result of the adoption of IFRS 11, we have changed how we evaluate our interests in joint arrangements. Under IFRS 11, we classify our interests in joint arrangements as either joint operations or joint ventures depending on our right to the assets and obligations for the liabilities of the arrangements. When making this assessment, we consider the structure of the arrangements, the legal form of any separate vehicles, the contractual terms of the arrangements and other facts and circumstances. We have re-evaluated our involvement in our joint arrangements and have accounted for these either using the proportionate consolidation method, or the equity method depending on whether the investment is defined as a joint operation or a joint venture, respectively. The adoption of IFRS 11 was not material to the current or comparative year.\n- *IFRS 13, Fair Value Measurement (IFRS 13)* On January 1, 2013, we adopted IFRS 13, on a prospective basis, which provides a single source of guidance on how fair value is measured, replacing the fair value measurement guidance contained in individual IFRSs. IFRS 13 defines fair value and establishes a framework for measuring fair value. It does not introduce new fair value measurements or eliminate the practicability exceptions to fair value measurements that currently exist in certain standards. We have incorporated the relevant fair value requirements throughout these consolidated financial statements.\n- *IAS 19, Employee Benefits (2011) (IAS 19)* On January 1, 2013, we adopted IAS 19, which changes the basis for determining the income or expense related to defined benefit plans. This amendment eliminated the concept of return on plan assets and interest cost (income) and replaced it with a net interest cost that is calculated by applying the discount rate to the net liability (asset). The net interest cost takes into account any changes in the net defined benefit liability (asset) during the period as a result of contributions and benefit payments. The adoption of the amended standard resulted in an increase in finance costs of $7 million and a decrease in other comprehensive income, for a net effect of nil in comprehensive income for the year ended December 31, 2012 and did not have a material impact on net assets as at December 31, 2012. See note 22 for more information about our pension plans.\n- *IAS 36, Impairment of Assets (IAS 36)* In May 2013, the IASB amended IAS 36 to clarify the circumstances in which the recoverable amount of assets or cash-generating units is required to be disclosed, to clarify the disclosures required, and to introduce an explicit requirement to disclose the discount rate used in determining impairment (or reversals) where the recoverable amount (based on fair value less costs of disposal) is determined using a present value technique. The amendments are effective for annual periods beginning on or after January 1, 2014, with early adoption permitted. We early adopted this policy as of January 1, 2013 and made the required disclosures.\n\n#### **Recent Accounting Pronouncements**\n\nThe IASB has issued new standards and amendments to existing standards. These changes in accounting are not yet effective at December 31, 2013, and could have an impact on future periods.\n\n- *IAS 32, Financial Instruments: Presentation (IAS 32)* In December 2011, the IASB amended IAS 32 to clarify the meaning of when an entity has a current legally enforceable right of set-off. The amendments are effective for annual periods beginning on or after January 1, 2014 and are required to be applied retrospectively. We do not expect this to have a significant impact on our consolidated financial statements.\n- *IAS 39, Financial Instruments: Recognition and Measurement (IAS 39)* – In June 2013, the IASB amended IAS 39 to provide relief from discontinuing an existing hedging relationship when a novation that was not contemplated in the original hedging documentation meets specific criteria. The amendments are effective for annual periods beginning on or after January 1, 2014 and are required to be applied retrospectively. We are assessing the impact of this amendment on our consolidated financial statements.", - "page_start": 104, - "page_end": 104, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "and operate MGM Grand Australia. This transaction closed in July 2004 with net proceeds to the Company of $136 million.\n\nThe results of the Golden Nugget Subsidiaries, Online and MGM Grand Australia are classified as discontinued operations in the accompanying consolidated statements of income for all periods presented. Net revenues of discontinued operations were $45 million, $231 million and $222 million, respectively, for the years ended December 31, 2004, 2003 and 2002. Included in income from discontinued operations is an allocation of interest expense based on the ratio of the net assets of the discontinued operations to the total consolidated net assets and debt of the Company. Interest allocated to discontinued operations was $2 million, $9 million and $9 million for the years ended December 31, 2004, 2003 and 2002, respectively. Included in discontinued operations for the year ended December 31, 2003 is a loss on disposal of Online of $7 million relating primarily to unrecoverable costs of computer hardware and software. Included in the tax benefit from discontinued operations for the year ended December 31, 2003 is $2 million of previously unrecognized tax benefits relating to prior year operating losses of Online. Included in discontinued operations for the year ended December 31, 2004 is a gain on the sale of the Golden Nugget Subsidiaries of $8 million and a gain on sale of the MGM Grand Australia Subsidiaries of $74 million.\n\nThe following table summarizes the assets and liabilities of discontinued operations (the Golden Nugget Subsidiaries and Online) as of December 31, 2003, included as assets and liabilities held for sale in the accompanying consolidated balance sheet:\n\n| At December 31, 2003 (In thousands) | |\n| --- | --- |\n| Cash $ | 15,230 |\n| Accounts receivable, net | 6,024 |\n| Inventories | 4,321 |\n| Prepaid expenses and other | 5,174 |\n| Total current assets | 30,749 |\n| Property and equipment, net | 185,516 |\n| Other assets, net | 9,817 |\n| Total assets | 226,082 |\n| Accounts payable | 2,180 |\n| Other current liabilities | 20,885 |\n| Total current liabilities | 23,065 |\n| Long-term debt | 391 |\n| Total liabilities | 23,456 |\n| Net assets $ 202,626 | |", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income from discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the two months of its operations in 2003.\n\nThe Company adopted FAS 143 \"Accounting for Asset Retirement Obligations.\" effective January 1, 2003, and as a result recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating results in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\n\n#### **DISCONTINUED OPERATIONS**\n\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990's. The partnership's local customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December 31, 2002. The decline was the result of competition with digital technologies and increased competition from national carriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to transform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the partnership to one of the minority partners. The agreement was signed in November 2002, and closing was February 28, 2003. The Company's portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, $7.4 million and $6.7 million, respectively.\n\n#### **CONTINUING OPERATIONS**\n\n#### **2002 compared to 2001**\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million of wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 million or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS service revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which totaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The rate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 through April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from October 1, 2001 through December 31, 2001.\n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 million of rebates and discounts given at the time of sale, which became more pronounced during the year to meet industry competition for subscriber additions and subscriber retention.\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) service in August 2002. The impact of 3G 1X-network enhancements on revenues was not significant in 2002.\n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\n\nWireless revenues from the Company's paging operation were $0.3 million, a decrease of $0.1 million as the local customer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in 2002 from 3,190 subscribers to 2,940 subscribers.\n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. Telephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues was driven by a 38.4% increase in access minutes of use on the Company's network and an increased percentage of minutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the Federal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from *Investors Business Daily*, which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n# **We make products that meet the specific needs of niche markets.**\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.\n\n# 2003 Revenues by Product Line\n\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "# **BOARD OF DIRECTORS**\n\nEmile A. Battat *Chairman of the Board and President Atrion Corporation*\n\nRichard O. Jacobson *Chairman of the Board Jacobson Companies Des Moines, Iowa*\n\nJohn H. P. Maley *Chairman of the Board Compex Technologies, Inc. Minneapolis, Minnesota*\n\nHugh J. Morgan, Jr. *Private Investor, Former Chairman of the Board National Bank of Commerce of Birmingham Birmingham, Alabama*\n\nRoger F. Stebbing *President and Chief Executive Officer Stebbing and Associates, Inc. Signal Mountain, Tennessee*\n\nJohn P. Stupp, Jr. *President Stupp Bros., Inc. St. Louis, Missouri*\n\n# **EXECUTIVE OFFICERS**\n\nEmile A. Battat *Chairman of the Board and President*\n\nJeffery Strickland *Vice President and Chief Financial Officer, Secretary and Treasurer*", - "page_start": 29, - "page_end": 29, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "#### **(10) Asset Write Down**\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset write-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the C o m p a n y 's acquisition of Arkansas Systems, Inc. (\"Euronet USA\") in December 1998. The remaining $800,000 write-down related to the C o m p a n y 's ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the Budapest Bank ATM network in Hungary.\n\nAs a result of the Company's inability to achieve operating improvements, including software license and service orders for Euronet USA's traditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e q u a rters of 2000. The Company calculated the expected cash flows of the Company's Software Solutions Segment, which identified an i m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the p resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon the acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction payment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to the Company's Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h development and release of a new set of products that are independent of Euronet USA's traditional core product lines, including a new, p l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile phone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and solutions rather than Euronet USA's traditional ITM solution will be the primary source of software solutions revenues in the future.\n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows of the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible assets. The Company's estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t p rojections, and internal earnings targets, net of applicable taxes. The Company's discounted cash flow analysis indicated that the carry i n g value of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible assets prior to the write down was $11.2 million.\n\nThe asset write-down is disclosed as a separate operating expense item in the Company's Consolidated Statements of Operations and C o m p rehensive Loss.\n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets will be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and S e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company's standards. Specifically, these assets w e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its ATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value of ATM hard w a re, adjusting to its net realizable value.\n\n#### **(11) Notes Payable**\n\nOn June 22, 1998, the Company sold 243,211 units in a public offering, each consisting of DM 1,000 principal amount at maturity of 12 3/8% senior discount notes due on July 1, 2006 and 729,633 warrants to purchase 766,114 shares of common stock. Each warrant entitles the holder to purchase, on or after June 22, 1998 and prior to July 1, 2006, 1.05 shares of common stock at an exercise price of $5.00 per share. Cash i n t e rest on the notes will not be payable prior to July 1, 2002. Commencing January 1, 2003, cash interest will be payable semi-annually on J a n u a ry 1 and July 1 of each year. The notes and the warrants are separately transferable. The gross proceeds to the Company was DM 150.0 million (approximately $83.1 million) re p resenting an issue price of DM 616.75 per DM 1,000 principal amount at maturity. Of this amount, $1.7 million has been allocated to the warrants within stockholders' equity to reflect their fair market value on the date of issuance. Net p roceeds to the Company after underwriting discount and offering expenses were DM 145.1 million (approximately $81.3 million).\n\nPursuant to the Company's indenture, the Company is subject to certain restrictions and covenants, including, without limitation, covenants with respect to the following matters: (i) limitation on additional indebtedness; (ii) limitation on restricted payments; (iii) limitation on issuance and sales of capital stock of restricted subsidiaries; (iv) limitation on transactions with affiliates; (v) limitation on liens; (vi) limitation on guarantees of indebtedness by restricted subsidiaries; (vii) purchase of Euronet notes upon a change of control; (viii) limitation on sale of assets; (ix) limitation on dividends and other payment restrictions affecting restricted subsidiaries; (x) limitation on investments in u n restricted subsidiaries; (xi) limitation on lines of business; and (xii) provision of financial statements and re p o rts. The Company is in compliance with these covenants at December 31, 2000.\n\nDuring 1999, the Company re p u rchased notes with a face value of DM 22.0 million and 65,850 warrants for a total purchase price of $5.2 million. This re p u rchase was accounted for as an extinguishment of debt with a resulting $2.7 million (net of income taxes of $0) re c o g n i z e d as an extraord i n a ry gain on such extinguishment. The extinguishment gain re p resents the diff e rence between the allocated carrying value of the debt extinguished ($8.1 million) and the consideration paid ($5.0 million), offset by the write-off of the allocated unamortized deferre d financing costs ($300,000). Of the total purchase price of $5.2 million, $176,000 was allocated to the warrants based on their fair market value at the time of purchase and re c o rded as an adjustment to additional paid-in capital. Of the total extinguishment gain, $803,000 was re c o rded in the fourth quarter of 1999 relating to the purchase of notes with a face value of DM 7.6 million on December 13, 1999.", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "How much share of Atrion's revenues did its major customer representin in 2003 ? ", - "target_page": 21, - "target_passage": "The Company had one major customer which represented approximately $9.1 million (14.4 percent", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# CORPORATE INFORMATION\n\n# **Corporate Office:**\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800 www.atrioncorp.com\n\n## **Registrar and Transfer Agent**\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## **Form 10-K**\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to:\n\n> *Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002*\n\n## **Stock Information**\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or \"street\" name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | | Low | | Dividends |\n| --- | --- | --- | --- | --- | --- | --- |\n| March 31 | $ | 38.14 | $ | 26.91 | $ | — |\n| June 30 | | 32.51 | | 26.82 | | — |\n| September 30 | | 28.09 | | 18.31 | | — |\n| December 31 | | 23.90 | | 17.31 | | — |\n| 2003 Quarter Ended | | High | | Low | | Dividends |\n| March 31 | $ | 22.85 | $ | 17.95 | $ | — |\n| June 30 | | 30.80 | | 22.75 | | — |\n| September 30 | | 45.20 | | 26.80 | | .12 |\n| December 31 | | 50.00 | | 40.00 | | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from *Investors Business Daily*, which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n# **We make products that meet the specific needs of niche markets.**\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.\n\n# 2003 Revenues by Product Line\n\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (\"Atrion Medical Products\"), Halkey-Roberts Corporation (\"Halkey-Roberts\") and Quest Medical, Inc. (\"Quest Medical\").\n\n### **PRINCIPLES OF CONSOLIDATION**\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the \"Company\"). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n### **FAIR VALUE**\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n### **ESTIMATES**\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n### **FINANCIAL PRESENTATION**\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n### **CASH AND CASH EQUIVALENTS**\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n### **TRADE RECEIVABLES**\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n### **INVENTORIES**\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | | DECEMBER 31, | |\n| --- | --- | --- | --- |\n| | 2003 | | 2002 |\n| Raw materials | $ 5,641 | $ | 6,082 |\n| Finished goods | 4,044 | | 2,818 |\n| Work in process | 1,629 | | 1,411 |\n| Total inventories | $ 11,314 | $ | 10,311 |\n\n### **INCOME TAXES**\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "| For the year ended December 31, | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Revenues from continuing operations | $ | 62,803,000 | $ | 59,533,000 |\n| Operating income | | 6,923,000 | | 5,782,000 |\n| Income from continuing operations | | 4,892,000 | | 4,065,000 |\n| Earnings per diluted share from continuing operations | $ | 2.66 | $ | 2.18 |\n| Weighted average diluted shares outstanding | | 1,839,000 | | 1,863,000 |\n| As of December 31, | | 2003 | | 2002 |\n| Total assets | $ | 60,050,000 | $ | 60,807,000 |\n| Working capital | | 13,803,000 | | 14,787,000 |\n| Long-term debt | | 4,287,000 | | 10,337,000 |\n| Stockholders' equity | $ | 44,604,000 | $ | 41,691,000 |", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "In recent years, the economic climate has presented significant challenges to growth—and, in some cases, survival—for American businesses. The companies that have fared well are those with solid financial foundations and sound growth strategies that provide a measure of protection against the changing winds of the economy. Atrion is one of those companies. For the past five years, we have produced earnings per share growth of more than 15 percent each year. Despite fluctuations in our markets and product demand, we have continued to return value to our stockholders through strong earnings growth, year after year. As a leading provider of medical devices and components to niche markets in the health care industry, we are committed to doing everything we can to continue that level of performance.\n\n| FINANCIAL HIGHLIGHTS | | 1 |\n| --- | --- | --- |\n| LETTER TO STOCKHOLDERS | | 2 |\n| FINANCIAL INFORMATION | | 7 |\n| CORPORATE INFORMATION | 28 | |", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "significant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.\n\nThe shift in originating traffic is the result of implementing software capable of identifying actual interstate and intrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate and intrastate traffic types by the interexchange carriers.\n\nThe following table shows the access traffic minutes of use for the two years of 2003 and 2002.\n\n| Minutes of use (in thousands) | 2003 2003 | | | 2002 2002 2002 | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| (net of intercompany usage) | | | | | | | |\n| | Originating Originating | | Terminating Terminating | Originating Originating | Originating | Terminating | Terminating Terminating |\n| Interstate | 29,373 | | 87,539 | 42,929 | 42,929 | 63,959 | 63,959 |\n| Intrastate | 37,190 | | 49,103 | 22,684 | 22,684 | 36,712 | 36,712 |\n| Total | 66,563 | | 136,642 | 65,613 | 65,613 | 100,671 | 100,671 |\n| Access revenue (in thousands) | 2003 2003 | | | | 2002 2002 | 2002 | |\n| (net of intercompany usage) | As reported As reported | | Pro forma Pro forma | As reported As reported | As reported | Pro forma | Pro forma Pro forma |\n| Traffic sensitive (1) | $ 4,274 | | $ 4,974 | $ 4,676 | $ 4,676 | $ 3,976 | $ 3,976 |\n| Special access revenues | | 1,606 | 1,606 | 1,247 | 1,247 | 1,247 | 1,247 |\n| Carrier common line settlement | 5,750 | | 5,750 | 4,978 | 4,978 | 4,978 | 4,978 |\n| Total | 11,630 $ | | $ 12,330 | $ 10,901 | $ 10,901 | $ 10,201 | $ 10,201 |\n\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing dispute adjustment and the impact of the NECA settlement adjustments.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "| (IN THOUSANDS, EXCEPT PER SHARE AMOUNTS) | | 2003 | | FOR THE YEAR ENDED DECEMBER 31, 2002 | | 2001 |\n| --- | --- | --- | --- | --- | --- | --- |\n| Revenues | $ | 62,803 | $ | 59,533 | $ | 57,605 |\n| Cost of Goods Sold | | 40,564 | | 39,236 | | 35,777 |\n| Gross Profit | | 22,239 | | 20,297 | | 21,828 |\n| Operating Expenses: | | | | | | |\n| Selling | | 5,594 | | 5,343 | | 6,248 |\n| General and administrative | | 7,576 | | 6,992 | | 7,849 |\n| Research and development | | 2,146 | | 2,180 | | 1,911 |\n| | | 15,316 | | 14,515 | | 16,008 |\n| Operating Income | | 6,923 | | 5,782 | | 5,820 |\n| Interest Income | | 69 | | 78 | | 77 |\n| Interest Expense | | (195) | | (432) | | (300) |\n| Other Income (Expense), net | | (26) | | 40 | | 468 |\n| Income from Continuing Operations before Provision for Income Taxes | | 6,771 | | 5,468 | | 6,065 |\n| Income Tax Provision | | (1,879) | | (1,403) | | (1,803) |\n| Income from Continuing Operations | | 4,892 | | 4,065 | | 4,262 |\n| Gain on Disposal of Discontinued Operations, net of tax | | 165 | | 165 | | 5,492 |\n| Cumulative Effect of Accounting Change, net of tax | | — | | (1,641) | | — |\n| Net Income | $ | 5,057 | $ | 2,589 | $ | 9,754 |\n| Income Per Basic Share: | | | | | | |\n| Continuing operations | $ | 2.86 | $ | 2.37 | $ | 2.10 |\n| Discontinued operations | | .10 | | .10 | | 2.70 |\n| Cumulative effect of accounting change | | — | | (.96) | | — |\n| Net Income Per Basic Share | $ | 2.96 | $ | 1.51 | $ | 4.80 |\n| Weighted Average Basic Shares Outstanding | | 1,711 | | 1,711 | | 2,033 |\n| Income Per Diluted Share: | | | | | | |\n| Continuing operations | $ | 2.66 | $ | 2.18 | $ | 1.88 |\n| Discontinued operations | | .09 | | .09 | | 2.42 |\n| Cumulative effect of accounting change | | — | | (.88) | | — |\n| Net Income Per Diluted Share | $ | 2.75 | $ | 1.39 | $ | 4.30 |\n| Weighted Average Diluted Shares Outstanding | | 1,839 | | 1,863 | | 2,272 |\n\nThe accompanying notes are an integral part of these statements.", - "page_start": 9, - "page_end": 9, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands, except per share amounts*\n\n| | 2003 | | 2002 | 2001 | |\n| --- | --- | --- | --- | --- | --- |\n| Operating revenues: | | | | | |\n| Wireless (Notes 7 and 8) | $ 69,872 | | $ 57,867 | $ 36,133 | |\n| Wireline | 29,022 | | 28,755 | 27,486 | |\n| Other | 6,967 | | 6,352 | 5,103 | |\n| Total operating revenues | $ 105,861 | | $ 92,974 | $ 68,722 | |\n| Operating expenses: | | | | | |\n| Cost of goods and services (Note 7) | $ 10,943 | | $ 10,502 | $ 7,410 | |\n| Network operating costs (Note 8) | 33,630 | | 32,512 | 26,756 | |\n| Depreciation and amortization | 16,631 | | 14,482 | 11,263 | |\n| Selling, general and administrative (Note 7) | 26,029 | | 26,140 | 16,869 | |\n| Total operating expenses | $ 87,233 | | $ 83,636 | $ 62,298 | |\n| Operating income | $ 18,628 | $ | 9,338 | $ 6,424 | |\n| Other income (expense): | | | | | |\n| Interest expense | $ (3,510) | $ | (4,195) | $ (4,127) | |\n| Net gain (loss) on investments (Note 3) | (443) | | (10,004) | 12,943 | |\n| Non-operating income (expense), net | 390 | | (141) | 265 | |\n| | $ (3,563) | | $ (14,340) | $ 9,081 | |\n| Income (loss) before income taxes, cumulative effect of a | | | | | |\n| change in accounting and discontinued operations | $ 15,065 | $ | (5,002) | $ 15,505 | |\n| Income tax provision (benefit) (Note 6) | 5,304 | | (2,109) | 5,811 | |\n| Income (loss) from continuing operations | $ 9,761 | $ | (2,893) | $ 9,694 | |\n| Discontinued operations, net of income taxes (Note 2) | 22,389 | | 7,412 | 6,678 | |\n| Cumulative effect of a change in accounting, | | | | | |\n| net of income taxes (Note 1) | (76) | | - | | - |\n| Net income | $ 32,074 | $ | 4,519 | $ 16,372 | |\n| Income (loss) per share: | | | | | |\n| Basic Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.29 | $ | (0.38) | $ 1.29 | |\n| Discontinued operations | 2.95 | | 0.98 | 0.89 | |\n| Cumulative effect of a change in accounting, net of | | | | | |\n| income taxes | (0.01) | | - | | - - |\n| | $ 4.23 | $ | 0.60 | $ 2.18 | |\n| Weighted average shares outstanding, basic | 7,577 | | 7,542 | 7,523 | |\n| Diluted Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.28 | $ | (0.38) | $ 1.28 | |\n| Discontinued operations | 2.94 | | 0.98 | 0.88 | |\n| Cumulative effect of a change in accounting, net | (0.01) | | - - | - | |\n| | $ 4.22 | $ | 0.60 | $ 2.17 | |\n| Weighted average shares, diluted | 7,608 | | 7,542 | 7,549 | |\n| See accompanying notes to consolidated financial statements. | | | | | |", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the components of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n\n| | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Core price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.3% | 1.8% | 1.4% |\n| Fuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .2 | .2 | Ì |\n| Recycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .5 | .1 | .4 |\n| Total price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.0 | 2.1 | 1.8 |\n| Core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6 | 2.1 | 1.6 |\n| Non-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .1 | Ì | .4 |\n| Total volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.7 | 2.1 | 2.0 |\n| Total internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 6.7 | 4.2 | 3.8 |\n| AcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9 | 1.8 | .8 |\n| Taxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Ì | .5 | .2 |\n| Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.6% | 6.5% | 4.8% |\n\n(a) Represents new taxes levied on landÑll volumes in certain states that are passed on to customers.\n\n- ' *2004:* During the year ended December 31, 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. During the year ended December 31, 2004, we experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our internal growth from our core operations was 5.9% in 2004.\n- ' *2003:* During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an increase in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing increased at a more rapid pace due to our broad-based pricing initiative.\n\nDuring 2003, the economic slowdown which began during 2001 continued to negatively impact our business. However, during 2003, our revenue growth from core volume continued to be positively impacted by long-term franchise and municipal contracts that were secured during 2002. Our internal growth from core operations was 3.9% in 2003.\n\n- ' *2002:* The economic slowdown which began in 2001 continued to negatively impact the portion of our business servicing the manufacturing sector and non-residential construction industry during 2002. Volumes attributable to manufacturing and construction activity continued to weaken during 2002.\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase in recycling commodity prices in the early part of 2002.\n\nDespite the weakness we experienced in the aspects of our business noted above, our internal growth from core operations for 2002 was 3.0%. During 2002, we secured several long-term franchise and municipal contracts. We also beneÑted from the geographic mix of our business which favors highgrowth markets.\n\n- ' *2005 Outlook:* We anticipate internal growth from core operations to be in the range of 4.0% to 4.5% during 2005 assuming no deterioration or improvement in the overall economy from that experienced during the fourth quarter of 2004. However, our price and volume growth may remain Öat or may decline in 2005 depending upon economic conditions and our success in implementing pricing initiatives.\n*Cost of Operations.* Cost of operations was $1,714.4 million, $1,605.4 million and $1,472.9 million, or, as a percentage of revenue, 63.3%, 63.8% and 62.3%, for the years ended December 31, 2004, 2003 and 2002, respectively.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What was Atrion's gross profit in 2003 (in thousands) ? ", - "target_page": 10, - "target_passage": "Gross Profit 22,239", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "# CORPORATE INFORMATION\n\n# **Corporate Office:**\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800 www.atrioncorp.com\n\n## **Registrar and Transfer Agent**\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## **Form 10-K**\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to:\n\n> *Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002*\n\n## **Stock Information**\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or \"street\" name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | | Low | | Dividends |\n| --- | --- | --- | --- | --- | --- | --- |\n| March 31 | $ | 38.14 | $ | 26.91 | $ | — |\n| June 30 | | 32.51 | | 26.82 | | — |\n| September 30 | | 28.09 | | 18.31 | | — |\n| December 31 | | 23.90 | | 17.31 | | — |\n| 2003 Quarter Ended | | High | | Low | | Dividends |\n| March 31 | $ | 22.85 | $ | 17.95 | $ | — |\n| June 30 | | 30.80 | | 22.75 | | — |\n| September 30 | | 45.20 | | 26.80 | | .12 |\n| December 31 | | 50.00 | | 40.00 | | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from *Investors Business Daily*, which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n# **We make products that meet the specific needs of niche markets.**\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.\n\n# 2003 Revenues by Product Line\n\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "| For the year ended December 31, | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Revenues from continuing operations | $ | 62,803,000 | $ | 59,533,000 |\n| Operating income | | 6,923,000 | | 5,782,000 |\n| Income from continuing operations | | 4,892,000 | | 4,065,000 |\n| Earnings per diluted share from continuing operations | $ | 2.66 | $ | 2.18 |\n| Weighted average diluted shares outstanding | | 1,839,000 | | 1,863,000 |\n| As of December 31, | | 2003 | | 2002 |\n| Total assets | $ | 60,050,000 | $ | 60,807,000 |\n| Working capital | | 13,803,000 | | 14,787,000 |\n| Long-term debt | | 4,287,000 | | 10,337,000 |\n| Stockholders' equity | $ | 44,604,000 | $ | 41,691,000 |", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (\"Atrion Medical Products\"), Halkey-Roberts Corporation (\"Halkey-Roberts\") and Quest Medical, Inc. (\"Quest Medical\").\n\n### **PRINCIPLES OF CONSOLIDATION**\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the \"Company\"). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n### **FAIR VALUE**\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n### **ESTIMATES**\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n### **FINANCIAL PRESENTATION**\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n### **CASH AND CASH EQUIVALENTS**\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n### **TRADE RECEIVABLES**\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n### **INVENTORIES**\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | | DECEMBER 31, | |\n| --- | --- | --- | --- |\n| | 2003 | | 2002 |\n| Raw materials | $ 5,641 | $ | 6,082 |\n| Finished goods | 4,044 | | 2,818 |\n| Work in process | 1,629 | | 1,411 |\n| Total inventories | $ 11,314 | $ | 10,311 |\n\n### **INCOME TAXES**\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\n*This is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.*\n\nTo the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "| (IN THOUSANDS, EXCEPT PER SHARE AMOUNTS) | | 2003 | | FOR THE YEAR ENDED DECEMBER 31, 2002 | | 2001 |\n| --- | --- | --- | --- | --- | --- | --- |\n| Revenues | $ | 62,803 | $ | 59,533 | $ | 57,605 |\n| Cost of Goods Sold | | 40,564 | | 39,236 | | 35,777 |\n| Gross Profit | | 22,239 | | 20,297 | | 21,828 |\n| Operating Expenses: | | | | | | |\n| Selling | | 5,594 | | 5,343 | | 6,248 |\n| General and administrative | | 7,576 | | 6,992 | | 7,849 |\n| Research and development | | 2,146 | | 2,180 | | 1,911 |\n| | | 15,316 | | 14,515 | | 16,008 |\n| Operating Income | | 6,923 | | 5,782 | | 5,820 |\n| Interest Income | | 69 | | 78 | | 77 |\n| Interest Expense | | (195) | | (432) | | (300) |\n| Other Income (Expense), net | | (26) | | 40 | | 468 |\n| Income from Continuing Operations before Provision for Income Taxes | | 6,771 | | 5,468 | | 6,065 |\n| Income Tax Provision | | (1,879) | | (1,403) | | (1,803) |\n| Income from Continuing Operations | | 4,892 | | 4,065 | | 4,262 |\n| Gain on Disposal of Discontinued Operations, net of tax | | 165 | | 165 | | 5,492 |\n| Cumulative Effect of Accounting Change, net of tax | | — | | (1,641) | | — |\n| Net Income | $ | 5,057 | $ | 2,589 | $ | 9,754 |\n| Income Per Basic Share: | | | | | | |\n| Continuing operations | $ | 2.86 | $ | 2.37 | $ | 2.10 |\n| Discontinued operations | | .10 | | .10 | | 2.70 |\n| Cumulative effect of accounting change | | — | | (.96) | | — |\n| Net Income Per Basic Share | $ | 2.96 | $ | 1.51 | $ | 4.80 |\n| Weighted Average Basic Shares Outstanding | | 1,711 | | 1,711 | | 2,033 |\n| Income Per Diluted Share: | | | | | | |\n| Continuing operations | $ | 2.66 | $ | 2.18 | $ | 1.88 |\n| Discontinued operations | | .09 | | .09 | | 2.42 |\n| Cumulative effect of accounting change | | — | | (.88) | | — |\n| Net Income Per Diluted Share | $ | 2.75 | $ | 1.39 | $ | 4.30 |\n| Weighted Average Diluted Shares Outstanding | | 1,839 | | 1,863 | | 2,272 |\n\nThe accompanying notes are an integral part of these statements.", - "page_start": 9, - "page_end": 9, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## F I N A N C I A L H I G H L I G H T S\n\n| (In thousands, except for per share data) | 2003 | | 2002 | | Change |\n| --- | --- | --- | --- | --- | --- |\n| I N C O M E S T A T E M E N T D A T A | | | | | |\n| Net sales | $ 1,755,728 | | $ 1,692,622 | | 3.7% |\n| Gross profit | 639,215 | | 599,879 | | 6.6% |\n| Gross profit as a % of: | | | | | |\n| Net sales | 36.4% | | 35.4% | | — |\n| Selling and administrative expenses | 480,744 | | 454,189 | | 5.8% |\n| Restructuring related charges | 8,510 | | 3,000 | | 183.7% |\n| Operating income | 149,961 | | 142,690 | | 5.1% |\n| Net income | 98,105 | | 91,360 | | 7.4% |\n| Net income as a % of: | | | | | |\n| Net sales | 5.6% | | 5.4% | | — |\n| Average shareholders' equity | 14.5% | | 14.7% | | — |\n| Per common share: | | | | | |\n| Net income – basic | $ | 1.69 | $ | 1.55 | 9.0% |\n| Net income – diluted | | 1.68 | | 1.55 | 8.4% |\n| Book value – basic | | 12.19 | | 11.08 | 10.0% |\n| Cash dividends | | 0.52 | | 0.50 | 4.0% |\n| B A L A N C E S H E E T D A T A | | | | | |\n| Current assets | | $ 462,122 | $ 405,054 | | 14.1% |\n| Total assets | | 1,021,826 | 1,020,552 | | 0.1% |\n| Current liabilities | | 245,816 | | 298,680 | (17.7%) |\n| Current ratio | | 1.88 | | 1.36 | — |\n| Long-term debt and capital lease obligations | $ | 4,126 | $ | 9,837 | (58.1%) |\n| Debt/capitalization ratio | | 0.6% | | 1.5% | — |\n| Shareholders' equity | | $ 709,889 | $ 646,893 | | 9.7% |\n| Average shareholders' equity | | 678,391 | | 619,787 | 9.5% |\n| Working capital | | 216,306 | | 106,374 | 103.3% |\n| O T H E R D A T A | | | | | |\n| Capital expenditures | $ | 34,842 | $ | 25,885 | 34.6% |\n| Cash flow from operations | | 141,274 | 202,391 | | (30.2%) |\n| Weighted-average shares outstanding during year – basic | 58,178,739 | | 58,789,851 | | (1.0%) |\n| Price/earnings ratio at year-end | 26 | | 18 | | — |\n| Number of shareholders at year-end | 6,416 | | 6,777 | | (5.3%) |\n| Members (employees) at year-end | 8,926 | | 8,828 | | 1.1% |", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands, except per share amounts*\n\n| | 2003 | | 2002 | 2001 | |\n| --- | --- | --- | --- | --- | --- |\n| Operating revenues: | | | | | |\n| Wireless (Notes 7 and 8) | $ 69,872 | | $ 57,867 | $ 36,133 | |\n| Wireline | 29,022 | | 28,755 | 27,486 | |\n| Other | 6,967 | | 6,352 | 5,103 | |\n| Total operating revenues | $ 105,861 | | $ 92,974 | $ 68,722 | |\n| Operating expenses: | | | | | |\n| Cost of goods and services (Note 7) | $ 10,943 | | $ 10,502 | $ 7,410 | |\n| Network operating costs (Note 8) | 33,630 | | 32,512 | 26,756 | |\n| Depreciation and amortization | 16,631 | | 14,482 | 11,263 | |\n| Selling, general and administrative (Note 7) | 26,029 | | 26,140 | 16,869 | |\n| Total operating expenses | $ 87,233 | | $ 83,636 | $ 62,298 | |\n| Operating income | $ 18,628 | $ | 9,338 | $ 6,424 | |\n| Other income (expense): | | | | | |\n| Interest expense | $ (3,510) | $ | (4,195) | $ (4,127) | |\n| Net gain (loss) on investments (Note 3) | (443) | | (10,004) | 12,943 | |\n| Non-operating income (expense), net | 390 | | (141) | 265 | |\n| | $ (3,563) | | $ (14,340) | $ 9,081 | |\n| Income (loss) before income taxes, cumulative effect of a | | | | | |\n| change in accounting and discontinued operations | $ 15,065 | $ | (5,002) | $ 15,505 | |\n| Income tax provision (benefit) (Note 6) | 5,304 | | (2,109) | 5,811 | |\n| Income (loss) from continuing operations | $ 9,761 | $ | (2,893) | $ 9,694 | |\n| Discontinued operations, net of income taxes (Note 2) | 22,389 | | 7,412 | 6,678 | |\n| Cumulative effect of a change in accounting, | | | | | |\n| net of income taxes (Note 1) | (76) | | - | | - |\n| Net income | $ 32,074 | $ | 4,519 | $ 16,372 | |\n| Income (loss) per share: | | | | | |\n| Basic Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.29 | $ | (0.38) | $ 1.29 | |\n| Discontinued operations | 2.95 | | 0.98 | 0.89 | |\n| Cumulative effect of a change in accounting, net of | | | | | |\n| income taxes | (0.01) | | - | | - - |\n| | $ 4.23 | $ | 0.60 | $ 2.18 | |\n| Weighted average shares outstanding, basic | 7,577 | | 7,542 | 7,523 | |\n| Diluted Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.28 | $ | (0.38) | $ 1.28 | |\n| Discontinued operations | 2.94 | | 0.98 | 0.88 | |\n| Cumulative effect of a change in accounting, net | (0.01) | | - - | - | |\n| | $ 4.22 | $ | 0.60 | $ 2.17 | |\n| Weighted average shares, diluted | 7,608 | | 7,542 | 7,549 | |\n| See accompanying notes to consolidated financial statements. | | | | | |", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 15. Quarterly Results (unaudited)**\n\n#### *(in thousands except for per share data)*\n\n| For the year ended December 31, 2003 | First | | Second | | Third | | Fourth | | Total | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Revenues | $ 24,947 | | $ 24,844 | | $ 27,582 | | $ 28,488 | | $ 105,861 | |\n| Operating income | 4,150 | | 2,402 | | 4,976 | | 7,100 | | 18,628 | |\n| Income from | | | | | | | | | | |\n| Continuing operations | 1,931 | | | 1,044 | | 2,717 | | 4,069 | | 9,761 |\n| Income from discontinued | | | | | | | | | | |\n| operations, net of taxes | 22,628 | | | - | | (23) | | (216) | | 22,389 |\n| Cumulative effect of change in | | | | | | | | | | |\n| accounting | (76) | | | - | | - | | - | | (76) (76) |\n| Net income (a) | $ 24,483 | | $ | 1,044 | $ | 2,694 | $ | 3,853 | $ | 32,074 |\n| Income (loss) per share – | | | | | | | | | | |\n| Continuing operations-diluted | $ | 0.26 | $ | 0.14 | $ | 0.36 | $ | 0.53 | $ | 1.28 |\n| Discontinued operations -diluted | | 2.99 2.98 | | - | | - | | (0.03) | | 2.94 |\n| Cumulative effect of change in | | | | | | | | | | |\n| accounting – diluted | | (0.01) | | - | | - | - | | (0.01) | |\n| Net income per share – basic | $ | 3.24 | $ 0.14 | | $ 0.36 | | $ 0.51 | | $ 4.23 | |\n| Net income per share - diluted | | 3.23 | | 0.14 | | 0.35 | | 0.50 | | 4.22 |\n\n| For the year ended December 31, 2002 | | First | Second | | Third | | Fourth | | Total |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Revenues | | $ 20,697 | $ 22,186 | | $ 24,631 | | $ 25,460 | $ | 92,974 |\n| Operating income | | 2,316 | 2,617 | | 2,371 | | 2,034 | | 9,338 |\n| Income (loss) from | | | | | | | | | |\n| Continuing operations | | 370 | (3,984) | | 383 | | 338 | | (2,893) |\n| Income from Discontinued | | | | | | | | | |\n| operations, net of taxes | | 1,786 | 1,870 | | 1,841 | | 1,915 | | 7,412 |\n| Net income (b) | $ | 2,156 | $ (2,114) | $ | 2,224 | $ | 2,253 | $ | 4,519 |\n| Income (loss) per share – | | | | | | | | | |\n| Continuing operations -diluted | $ | 0.05 | $ (0.53) | $ | 0.05 | $ | 0.04 | $ | (0.38) (0.38) |\n| Discontinued operations -diluted | | 0.24 | 0.25 | | 0.24 | | 0.25 | | 0.98 0.98 |\n| Net income per share – basic | $ | 0.29 | $ (0.28) | $ | 0.29 | $ | 0.30 | $ | 0.60 0.60 |\n| Net income per share - diluted | | 0.29 | (0.28) | | 0.29 | | 0.30 | | 0.60 0.60 |\n\n(a) Fourth quarter results of 2003 include favorable adjustments to revenue and expenses totaling $2.5 million, related to true-ups of management's estimates and settlements of disputes with Sprint and a $0.4 million benefit related to a change in vacation benefit accrual for employees.\n\n(b) Second quarter results of 2002 include the loss of $4.9 million, net of tax effects on the other than temporary writedown of the VeriSign stock.\n\nPer share earnings may not add to the full year values as each per share calculation stands on its own.", - "page_start": 39, - "page_end": 39, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "We exceeded last year's earnings by more than 15%.\n\nAgain.\n\n2003 ANN UAL REPOR T", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_ATRI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What the name of the first bridge buildt over Danube ?", - "target_page": 16, - "target_passage": "he Chain Bridge was the first bridge over the Danube", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "The name of the city has taken the forms *Lugdon*, *Luon*, and since the 13th century, *Lyon*. The Gallic *Lugdun* or *Lugdunon* that was Latinized in Roman as Lugdunum is composed of two words. The first may be the name of the Celtic god Lug (in charge of order and law), or the derived word *lugon*, meaning \"crow\" (the crow being the messenger of Lug), but might also be another word *lug*, meaning \"light\". The second is *dunos* ('fortress', 'hill'). The name thus may designate the hill of Fourvière, on which the ancient city of Lyon is founded, but could mean \"hill of the god Lug\", \"hill of the crows\" or \"shining hill\".[21] [22]\n\nAlternatively Julius Pokorny associates the first part of the word with the Indo-European radical **lūg* ('dark, black, swamp'), the basis of the toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian *Łužica*), and several places in the Czech Republic named Lužice;[23] it could then also be compared to Luze in Franche-Comté and various hydronyms such as Louge.\n\nFurther down, in the current Saint-Vincent district, was the Gallic village of Condate, probably a simple hamlet of sailors or fishermen living on the banks of the Saône. *Condate* is a Gallic word meaning \"confluence\", from which the Confluence district gets its name.\n\nIn Roman times the city was called *Caput Galliæ*, meaning \"capital of the Gauls\". As an homage to this title, the Archbishop of Lyon is still called the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed *Commune-Affranchie* (\"Emancipated Commune\") on 12 October 1793 by a decree of the Convention Nationale. It resumed its name in 1794, after the end of the Terror.\n\nLyon is called *Liyon* in Franco-Provençal. [24]\n\n#### **Ancient Lyon**\n\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate ordered the creation of a settlement for Roman refugees of war with the Allobroges. These refugees had been expelled from Vienne and were now encamped at the confluence of the Saône and Rhône rivers. The foundation was built on Fourvière hill and officially called *Colonia Copia Felix Munatia*, a name invoking prosperity and the blessing of the gods. The city became increasingly referred to as *Lugdunum* (and occasionally *Lugudunum*[25] ).[26] The earliest translation of this Gaulish place-name as \"Desired Mountain\" is offered by the 9th-century *Endlicher Glossary*. [27] In contrast, some modern scholars have proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god Lugus (cognate with Old Irish *Lugh*, Modern Irish *Lú*), and *dúnon* (hillfort).\n\nThe Romans recognised that Lugdunum's strategic location at the convergence of two navigable rivers made it a natural communications hub. The city became the starting point of main Roman roads in the area, and it quickly became the capital of the province, Gallia Lugdunensis. Two Emperors were born in this city: Claudius, whose speech is preserved in the Lyon Tablet in which he justifies the nomination of Gallic Senators, and Caracalla.\n\n| Country | France |\n| --- | --- |\n| Region | Auvergne-Rhône-Alpes |\n| Metropolis | Lyon Metropolis |\n| Arrondissement | Lyon |\n| Subdivisions | 9 arrondissements |\n| Government | |\n| • Mayor (2020– | [2] Grégory Doucet |\n| 2026) | (EELV) |\n| 1 Area | 47.87 km2 (18.48 sq mi) |\n| [3]) • Urban (2020 | 1,141.4 km2 |\n| | (440.7 sq mi) |\n| [4] • Metro (2020 ) | 4,605.8 km2 |\n| | (1,778.3 sq mi) |\n| [5] Population (2022) | 520,774 |\n| • Rank | 3rd in France |\n| • Density | 11,000/km2 |\n| | (28,000/sq mi) |\n| • Urban (Jan. | 1,702,921 |\n| [6] 2021 ) | |\n| • Urban density | 1,500/km2 (3,900/sq mi) |\n| • Metro (Jan. | 2,308,818 |\n| [7] 2021 ) | |", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "# **High-resolution genomic history of early medieval Europe**\n\nhttps://doi.org/10.1038/s41586-024-08275-2\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\nCheck for updates\n\n**Leo Speidel1,2,3** ✉**, Marina Silva1 , Thomas Booth1 , Ben Raffield4 , Kyriaki Anastasiadou1 , Christopher Barrington5 , Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1** ✉\n\nMany known and unknown historical events have remained below detection thresholds of genetic studies because subtle ancestry changes are challenging to reconstruct. Methods based on shared haplotypes1,2 and rare variants3,4 improve power but are not explicitly temporal and have not been possible to adopt in unbiased ancestry models. Here we develop Twigstats, an approach of time-stratifed ancestry analysis that can improve statistical power by an order of magnitude by focusing on coalescences in recent times, while remaining unbiased by population-specifc drift. We apply this framework to 1,556 available ancient whole genomes from Europe in the historical period. We are able to model individual-level ancestry using preceding genomes to provide high resolution. During the frst half of the frst millennium ce, we observe at least two diferent streams of Scandinavian-related ancestry expanding across western, central and eastern Europe. By contrast, during the second half of the frst millennium ce, ancestry patterns suggest the regional disappearance or substantial admixture of these ancestries. In Scandinavia, we document a major ancestry infux by approximately 800 ce, when a large proportion of Viking Age individuals carried ancestry from groups related to central Europe not seen in individuals from the early Iron Age. Our fndings suggest that time-stratifed ancestry analysis can provide a higher-resolution lens for genetic history.\n\nAncient genome sequencing has revolutionized our ability to reconstruct expansions, migrations and admixture events in the ancient past and understand their impact on human genetic variation today. However, tracing history using genetic ancestry has remained challenging, particularly in historical periods for which the richest comparative information from history and archaeology often exists. This is because ancestries in many geographical regions are often so similar as to be statistically indistinguishable with current approaches. One example is northern and central Europe since the start of the Iron Age around 500 bce, a period for which many long-standing questions remain, such as the nature of large-scale patterns of human migration during the fourth to sixth centuries ce, their impact on the Mediterranean world and later patterns of human mobility during the Viking Age (around 750–1050 ce).\n\nSeveral recent studies have documented substantial mobility and genetic diversity in these time periods, suggesting stable population structure despite high mobility5 , and have revealed genetic variation in Viking Age Scandinavia6–8 , early medieval England3,9 , early medieval Hungary10,11 and Iron Age and medieval Poland12. However, previous studies mostly used large modern cohorts to study ancestry change through time and space. This is because the differentiation between Iron Age groups in central and northern Europe is an order of magnitude lower (fixation index (*F*ST) = 0.1–0.7%; Extended Data Fig. 1) than, for example, the more commonly studied hunter-gatherer, early farmer and steppe-pastoralist groups that shaped the ancestry landscape of Stone Age and Bronze Age Europe13–16 (*F*ST = 5–9% (refs. 13,17)). Modern populations provide more power to detect differences, but their genetic affinity to ancient individuals may be confounded by later gene flow, that is, after the time of the ancient individual(s)18. The most principled approach is thus to build ancestry models in which source and 'outgroup/reference' populations are older than, or at least contemporary with, the target genome or group that we are trying to model18. However, this has been challenging, due to the limited statistical power offered by the thousands-fold lower sample sizes and reduced sequence quality of ancient genomes.\n\nReconstructing genetic histories and ancestry models from ancient DNA (aDNA) data commonly uses methods based on *f*-statistics13,19–22. Their popularity is rooted in a number of favourable properties, such as enabling analyses of lower-quality aDNA data, relative robustness to ascertainment and theoretical guarantees of unbiasedness, including in the presence of population bottlenecks21,23. Approaches derived from *f*-statistics, such as qpAdm13, are close to unique in enabling the unbiased fitting of admixture models, including identifying the number of such events and the closest representatives of sources13,14,23. However, *f*-statistics have not always had sufficient power to reconstruct events that involve closely related ancestries, despite increasing sample sizes6,24. Methods that identify haplotypes, or shared segments of DNA that are not broken down by recombination, have previously been shown to have more power than those using individual\n\n1 Ancient Genomics Laboratory, Francis Crick Institute, London, UK. 2 Genetics Institute, University College London, London, UK. 3 iTHEMS, RIKEN, Wako, Japan. 4 Department of Archaeology and Ancient History, Uppsala University, Uppsala, Sweden. 5 Bioinformatics and Biostatistics, Francis Crick Institute, London, UK. 6 Centre for Palaeogenetics, Stockholm University, Stockholm, Sweden. 7 Department of Archaeology and Classical Studies, Stockholm University, Stockholm, Sweden. 8 Department of History, King's College London, London, UK. ✉e-mail: leo.speidel@riken.jp; pontus.skoglund@crick.ac.uk", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "1,600,000 m 2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48] *Cité Internationale*, created by the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide headquarters of Interpol is located there. The district of *Confluence*, in the south of the historic centre, is a new pole of economical and cultural development.\n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 provided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon ranked first in France for hostels business. The festivals most important for attracting tourists are the *Fête des lumières*, the *Nuits de Fourvière* every summer, the *Biennale d'art contemporain* and the *Nuits Sonores*.\n\n# **Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco-Provençal. The Lyonnais dialect was replaced by the French language as the importance of the city grew. However some \"frenchified\" Franco-Provençal words can also be heard in the French of the Lyonnais, who call their little boys and girls \"gones\" and \"fenottes\" for example.[49]\n\n- The Lumière brothers pioneered cinema in the town in 1895. The Institut Lumière, built as Auguste Lumiere's house, and a fascinating piece of architecture in its own right, holds many of their first inventions and other early cinematic and photographic artifacts.\nGuignol, created in the early 19th C., associated with the silk-workers\n\n8 December each year is marked by the Festival of Lights (la Fête des lumières), a celebration of thanks to the Virgin Mary, who purportedly saved the city from a deadly plague in the Middle Ages. During the event, the local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale light shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean.\n\n- The Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting audiences from around the world.\n- The Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house was re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named after him.\n- Lyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the city. This old tradition is now finding a contemporary expression, for example in the art of Guillaume Bottazzi.[50][51]\n- The Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North America, was founded in Lyon in 1821.\n- The African Museum of Lyon is one of the oldest museums situated in Lyon.[52]\n- The Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance movement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the French resistance and many members were shot in Place Bellecour in the town centre. The exhibition is largely a series of , mini-biographies of those involved.\n- Lyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program.\n\n## **UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and strategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the Renaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture from the 12th century to modern times.[53]", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia4.pdf" - }, - { - "text": "higher resolution using earlier genomes. Several other individuals from these Longobard burials (Longobard_earlyMED(II)) show no detectable ancestry from northern Europe and, instead, are more closely related to Iron Age groups in continental central Europe, putatively representing descendants of local people buried in a Longobard style. Our results are consistent with attestations that the Longobards originated in the areas of present-day northern Germany or Denmark, but that by the sixth century ce they incorporated multiple different cultural identities, and mixed ancestries. Present-day populations of Hungary do not appear to derive detectable ancestry from early medieval individuals from Longobard contexts, and are instead more similar to Scythian-related ancestry sources (Extended Data Fig. 6), consistent with the later impact of Avars, Magyars and other eastern groups58.\n\nIn southern Germany, the genetic ancestry of individuals from early medieval Bavaria probably associated with the historical Germanic-language-speaking Baiuvarii59 cannot be modelled as deriving ancestry solely from earlier groups in Iron Age central Germany (*P* ≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the fifth century ce59, but their origins remain unresolved. Our current best model indicates a mixture with ancestry derived from EIA Peninsular Scandinavia and central Europe, suggesting an expansion of Scandinavian-related ancestry producing a regional ancestry shift (Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ancestries appear by the Late Antiquity (approximately fourth century ce), where a clear diversification of ancestry can be observed compared with preceding time periods (Fig. 3d). However, no individuals with near 100% Scandinavian ancestry can be observed in the sampling data available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a tight cluster in our MDS analysis (Fig. 3e), shifted relative to available preceding Bronze Age individuals from Ireland and Orkney, and adjacent to, but distinct from, available individuals in Iron Age and Roman central Europe. However, two first- to second-century ce burials from a Roman military fortress site in Austria (Klosterneuburg)5 carry ancestry that is currently indistinguishable from Iron Age or Roman populations of Britain, to the exclusion of other groups (qpWave cladality *P* = 0.11). One option is that they had ancestry from Britain; alternatively, currently unsampled populations from western continental Europe carried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between ancestries from Iron Age Britain and northern Europe in early medieval England9 , halving standard errors from 9% with SNPs to 4% when using time stratification (point estimates 80% and 79% Iron Age Britain-related ancestry, respectively). We used this improved resolution to demonstrate that an earlier Roman individual (6DT3) dating to approximately second to fourth century ce from the purported gladiator or military cemetery at Driffield Terrace in York (Roman *Eboracum*), England60, who was previously identified as an ancestry outlier61,62, specifically carried approximately 25% EIA Scandinavian Peninsula-related ancestry (Fig. 2c). This documents that people with Scandinavian-related ancestry already were in Britain before the fifth century ce, after which there was a substantial influx associated with Anglo-Saxon migrations9 . Although it is uncertain whether this individual was a gladiator or soldier, individuals and groups from northern Europe are indeed recorded in Roman sources both as soldiers and as enslaved gladiators63,64.\n\nAcross Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups—the one with individuals primarily from the northern parts of Scandinavia in the EIA—with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from EIA southern Scandinavia—as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain—or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n### **Influx into pre-Viking Age Scandinavia**\n\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 ce–300 ce) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century ce (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected (*P* = 1 × 10−17 using Twigstats; *P* = 7.5 × 10−4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 ce–300 ce)6 , an individual from the southern tip of Sweden (around 500 ce)16, individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 ce)7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium ce.\n\nTo assess the full extent of the impact of this ancestry influx into Scandinavia, we next aimed to understand the ancestry of individuals in Scandinavia during the Viking Age. Previous studies have suggested that there was a diversity of ancestries in Scandinavia during this period6,7,65, due to increased maritime mobility, but have not reported per-individual ancestry estimates based on preceding ancestry. We analysed each individual's ancestry using a rotational qpAdm scheme (Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which showed increased power in distinguishing models when restricted to recent coalescences with Twigstats (more than 80% of accepted one-source models in Twigstats were also accepted one-source models using all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across Scandinavia. In Denmark, 25 out of 53 Viking Age individuals had detectable (*z-*score > 1) central European-related ancestry (CentralEurope. IronRoman or Portugal.IronRoman) in their best accepted qpAdm models. In Sweden 20 out of 62 individuals had detectable central European-related ancestry, concentrated almost entirely in southern regions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed in only 2 out of 24 individuals, indicating a wide-ranging impact of incoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "## **Fig. 3 | Time transects across six geographical regions in Europe.**\n\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze Age to the present day in Poland (**a**), southeastern Europe (**b**), central Europe (**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample locations of all available ancient genomes with at least 0.5× coverage from\n\nmedieval individuals (*P* ≪ 1 × 10−32). Instead, the majority of individuals from medieval Poland can be modelled only as a mixture of ancestries related to Roman Iron Age Lithuania, which is similar to ancestries of individuals from middle to late Bronze Age Poland (44%, 95% confidence interval 36–51%), an ancestry component related to Hungarian Scythians or Slovakian La Tène individuals (49%, 95% confidence interval 41–57%) and potentially a minority component of ancestry related to Sarmatians from the Caucasus (*P* = 0.13) (Fig. 2c). Four out of twelve individuals from medieval Poland, three of whom are from the late Viking Age6 , carried detectable Scandinavian-related ancestry. Some of the ancestry detected in individuals from later medieval Poland may have persisted during the late first millennium ce in the cremating portion of the population, but regardless, this points to large-scale ancestry transformation in medieval Poland (Fig. 3a). Future data could shed light on the extent to which this reflects the influence of groups speaking Slavic languages in the region.\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same MDS model as in Fig. 2a for each time period. For each geographic region, the early medieval period is highlighted in orange and the area in the MDS corresponding to Scandinavian and central European ancestries is highlighted in an orange box.\n\nIn present-day Slovakia, individuals associated with the Iron Age La Tène period appear close to Hungarian Scythians in the two dimensions of our MDS analysis, and are modelled as a mixture of central and eastern European ancestry. However, a first-century ce burial of a 50–60-year-old woman from Zohor is modelled only with Scandinavian-related ancestry, providing evidence of ancestry related to the Scandinavian EIA appearing southwest of the range of the Wielbark archaeological complex5,57 (Fig. 3b). Later early medieval individuals from Slovakia have partial Scandinavian-related ancestry, providing evidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related ancestry components in several burials dating to the sixth century ce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). This is consistent with the original study10, which reported affinity to present-day groups from northwestern Europe (GBR, CEU and FIN in the 1000 Genomes Project (1000GP))10 but which we can resolve with", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup *f*3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. **b**, The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in **a**. The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. **c**, Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries ce56. Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries ce, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable shown in black boxes. Sources are highlighted in **a** and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01, unless a −log10[*P* value] is shown next to the model. If models satisfy *P* > 0.05, we show all such models; otherwise, we show only the model with the largest *P* value. **d**, The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in **c** that have a feasible model (*P* > 0.01). In **c**,**d**, we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region12. With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 10 | Ancestry models of farflung Viking individuals. a**, MDS of each farflung Viking group plotted on top of preceding Iron age and Roman individuals. **b**, All accepted qpAdm models using Twigstats-1000 for\n\nevery non-Scandinavian Viking individual computed in a rotational qpAdm with source groups identical to Fig. 4. We plot one standard error.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed3.pdf" - }, - { - "text": "- 31. Braudel 1984 p. 327\n- 32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01 150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011 50.htm) on 19 January 2011. Retrieved 3 April 2011.\n- 33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli sh_1). *Chrd.lyon.fr*. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) on 24 January 2011. Retrieved 21 December 2017.\n- 34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal. com/article/273644). *Digitaljournal.com*.\n- 35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2), Larousse, 1999 p. 53 ISBN 2-03-505047-2\n- 36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n- 37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). *unesco.org*. UNESCO World Heritage Centre. Retrieved 31 July 2015.\n- 38. Gregory, Stanley. \"Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http s://www.jstor.org/stable/25636095).\" *Erdkunde*, vol. 8, no. 4, 1954, pp. 246–252. *JSTOR.*\n- 39. \"Données climatiques de la station de Lyon: Relevés de 2016 Lyon\" (https://web.archive.org/web/20161004 055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France. Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October 2016. Retrieved 2 October 2016.\n- 40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF). *Fiche Climatologique: Statistiques 1991–2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n- 41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). *meteo-lyon.net* (in French). Météo Villes. Retrieved 7 September 2023.\n- 42. \"Lyon–Bron (07480) WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm alsNOAALyonBron) 8 February 2019, at the Wayback Machine\n- 43. \"Normes et records 1961–1990: Lyon-Bron (69) altitude 198m\" (https://web.archive.org/web/201603032035 26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February 2019.\n- 44. \"St-Irénée France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). *sacreddestinations.com*.\n- 45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin ema.fr/en/). *Musée Miniature et Cinéma*.\n- 46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved 16 January 2023.\n- 47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde. fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). *Le Monde*. France. Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n- 48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2 315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html) on 24 April 2010. Retrieved 3 April 2011.\n- 49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais*, Lyon 1864\n- 50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives. htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24 January 2010. Retrieved 25 January 2010.\n- 51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.\n- 52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19 February 2009. Retrieved 5 February 2009.\n- 53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website. Retrieved 26 November 2009.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| con·terr | pgemini invent | Fraunhofer EOKUS | | | | | the Lisboncou |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Newsletter FAQ Search Contact Cookies Legal notice | | | | | English (en) | | |\n| | | | | | Search site content .. | Q | |\n| | EUI pean Data Portal > Co | | | | | | |\n| Providing Data + | What we do - LI | Data + | | Using Data + | Resources - | | |\n| | Contact | | | | | | |\n| Your email address* | Your name* | | | | | | |\n| | Please choose an issue type: | | | | | | |\n| | General information request | | | | | | |\n| | Summary * | | | | | | |\n| | Description* | | | | | | |\n| Drop your file to upload here | | | | | | | |\n| or Browse | | | | | | | |\n| | What code is in the image ? * | | | | | | |\n| | Enter the characters shown in the image | | | | | | |\n| | Submit | | | | | | |\n| Call us between 09:30 - 17:30 (CET) | | | EN: +352 31 44 01-448 | | | | |\n| FR: +352 31 44 01-449 | | | email: help@europeandataportal.eu | | | | |", - "page_start": 48, - "page_end": 48, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "- 158. Marek, Miroslav. \"Capet 40\" (http://genealogy.euweb.cz/capet/capet40.html). *euweb.cz*. Archived (https://web.archi ve.org/web/20131014145729/http://www.genealogy.euweb.cz/capet/capet40.html) from the original on 14 October 2013. Retrieved 13 February 2009.\n- 159. \"Suzanne de Mésenge\" (http://roglo.eu/roglo?lang=es;i=337437). *roglo.eu*. Archived (https://web.archive.org/web/ 20160411124656/http://roglo.eu/roglo?lang=es;i=337437) from the original on 11 April 2016. Retrieved 14 September 2009.\n\n#### **Works cited**\n\nAnselme de Sainte-Marie, Père (1726). *Histoire généalogique et chronologique de la maison royale de France* (http s://gallica.bnf.fr/ark:/12148/bpt6k76026j) [*Genealogical and chronological history of the royal house of France*] (in French). Vol. 1 (3rd ed.). Paris: La compagnie des libraires. Archived (https://web.archive.org/web/2022033108174 8/https://gallica.bnf.fr/ark:/12148/bpt6k76026j) from the original on 31 March 2022. Retrieved 30 August 2018.\n\nAntoine, Michel (1989). *Louis XV* (in French). Paris: Fayard. ISBN 978-2-2130-2277-2.\n\nBailey, Gauvin Alexander (2018). *Architecture and Urbanism in the French Atlantic Empire: State, Church and Society, 1604–1830*. Kingston, Ontario: McGill-Queen's University Press. ISBN 978-0-7735-5376-7.\n\n- Barentine, John C. (2016). *Uncharted Constellations: Asterisms, Single-Source and Rebrands*. Springer Publishing. ISBN 978-3-3192-7619-9.\nBarnes, Linda L. (2005). *Needles, Herbs, Gods, and Ghosts: China, Healing, and the West to 1848*. Harvard University Press. ISBN 978-0-6740-1872-3.\n\n- Beem, Charles (2018). *Queenship in Early Modern Europe* (https://books.google.com/books?id=301GEAAAQBAJ). Red Globe Press. ISBN 978-1-1370-0506-9. Archived (https://web.archive.org/web/20231124053309/https://book s.google.com/books?id=301GEAAAQBAJ) from the original on 24 November 2023. Retrieved 30 October 2023.\nBély, Lucien (2001). *The History of France*. Paris: Editions Jean-Paul Gisserot. ISBN 978-2-8774-7563-1.\n\n- Black, Jeremy (2011). *Beyond the Military Revolution: War in the Seventeenth Century World*. Palgrave Macmillan. ISBN 978-0-2302-5156-4.\n- Blanning, Tim (2008). *The Pursuit of Glory: The Five Revolutions That Made Modern Europe*. Penguin Books. ISBN 978-0-1431-1389-8.\n\nBluche, François (1986). *Louis XIV* (in French). Paris: Hachette Littératures. ISBN 978-2-0101-3174-5.\n\n- Bluche, François (1990). *Louis XIV*. Translated by Greengrass, Mark. New York: Franklin Watts. p. 11. ISBN 978-0- 5311-5112-9.\n- Bluche, François (2005). *Dictionnaire du Grand Siècle 1589–1715* (in French). Fayard. ISBN 978-2-2136-2144-9.\n- Bryant, Mark (2004). \"Partner, Matriarch, and Minister: Mme de Maintenon of France, Clandestine Consort, 1680– 1715\". In Campbell Orr, Clarissa (ed.). *Queenship in Europe 1660–1815: The Role of the Consort*. Cambridge University Press. pp. 77–106. ISBN 978-0-5218-1422-5.\n- Buckley, Veronica (2008). *Madame de Maintenon: The Secret Wife of Louis XIV*. London: Bloomsbury. ISBN 978-0- 7475-8098-0.\n\nBurke, Peter (1992). \"The Fabrication of Louis XIV\". *History Today*. **42** (2).\n\n- Claydon, Tony (2007). *Europe and the Making of England, 1660–1760*. Cambridge University Press. ISBN 978-0- 5218-5004-9.\n- Delon, Michel (2013). *Encyclopedia of the Enlightenment* (https://books.google.com/books?id=QEpJAgAAQBAJ). Routledge. ISBN 978-1-1359-5998-2.\n\nDunlop, Ian (2000). *Louis XIV*. London: Pimlico. ISBN 978-0-7126-6709-8.\n\nDurant, Will; Durant, Ariel (1963). *The Story of Civilization*. Vol. 8: The Age of Louis XIV. Boston: Simon & Schuster.\n\nDvornik, Francis (1962). *The Slavs in European History and Civilization* (https://books.google.com/books?id=LACpYP -g1y8C). Rutgers University Press. ISBN 978-0-8135-0799-6. Archived (https://web.archive.org/web/20231017044 641/https://books.google.com/books?id=LACpYP-g1y8C) from the original on 17 October 2023. Retrieved 21 August 2021.\n\nEdmunds, Martha (2002). *Piety and Politics*. University of Delaware Press. ISBN 0-8741-3693-8.\n\nEdwards (2007). \"Edict of Versailles (1787)\" (https://books.google.com/books?id=6_2wkP4j-EsC&pg=PA212). In Fremont-Barnes, Gregory (ed.). *Encyclopedia of the Age of Political Revolutions and New Ideologies, 1760–1815*. Greenwood Publishing. ISBN 978-0-3130-4951-4.\n\n- Fraser, Antonia (2006). *Love and Louis XIV: The Women in the Life of the Sun King*. New York: Random House, Inc. ISBN 978-1-4000-3374-4.\n- Frost, Robert (2000). *The Northern Wars; State and Society in Northeastern Europe 1558–1721*. Routledge. ISBN 978-0-5820-6429-4.\n- Gaudelus, Sébastien (2000). \"La Mise en Spectacle De La Religion Royale: Recherches sur la Devotion de Louis XIV\" (https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133). *Histoire, Économie et Société* (in French). **19** (4): 513–526. doi:10.3406/hes.2000.2133 (https://doi.org/10.3406%2Fhes.2000.2133). Archived (http s://web.archive.org/web/20200522101239/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133) from the original on 22 May 2020. Retrieved 9 October 2020.", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the total amount of operating expenses of 2000 by Network Wordwide in 2000 ?", - "target_page": 17, - "target_passage": "Total operating expenses increased to $88.1 million for the year ended December 31, 2000", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "on the Company's ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y i n t roduced to the market. The Company's re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e marketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total f i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company's accounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. Technological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and testing activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , and technical perf o rmance re q u i rements.\n\n**Operating Loss** The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 million for the year ended December 31, 1999 as a result of the factors discussed above\n\n#### Corporate Services Segment\n\n**Operating Expenses** Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 f rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| Salaries and benefits | $ | 3 , 8 1 3 | $ | 3 , 3 3 5 |\n| Selling, general and administrative | | 3 , 8 4 1 | | 3 , 2 7 0 |\n| D e p reciation and amort i z a t i o n | | 2 0 8 | | 1 4 5 |\n| Total direct operating expenses | $ | 7 , 8 6 2 | $ | 6 , 7 5 0 |\n\nThe Company's expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these i n c reased expenditures.\n\n#### **Non-Operating Results for the Years Ended December 31, 2000 and 1999**\n\n**Interest Income** I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December 31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash as a result of negative cash flow from operations and capital expenditure s .\n\n**Interest Expense** I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended December 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange rate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the C o m p a n y 's Notes Payable for a full year in 1999 in comparison to 6 months' accretion in 1998.\n\n**Foreign Exchange Gain/Loss** The Company had a net foreign exchange loss of $3.2 million for the year ended December 31, 2000, as c o m p a red to $2.1 million for the year ended December 31, 1999, and $1.9 million for the year ended December 31, 1998. Exchange gains and losses that result from re - m e a s u rement of certain Company assets and liabilities are re c o rded in determining net loss. A portion of the assets and liabilities of the Company are denominated in Euros, including capital lease obligations, notes payable (including the Notes issued in the C o m p a n y 's public bond offering), cash and cash equivalents, investments, and forw a rd foreign exchange contracts. It is the Company's policy to attempt to match local currency receivables and payables. The foreign currency denominated assets and liabilities give rise to foreign exchange gains and losses as a result of U.S. dollar to local currency exchange movements.\n\n**Extraordinary Gain** In 1999 the Company re c o rded an extraord i n a ry gain of $2.8 million (net of income taxes of $0) following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $8.1 million less the consideration paid of $5.0 million, offset by the write-off of allocated unamortized deferred financing costs of $300,000. The Company has not re t i red the bonds re p u rchased.\n\nIn addition, the Company re p u rchased 97,023 warrants that were attached to the notes payable. Accord i n g l y, approximately $176,000 was allocated to the carrying value of the warrants which reduced additional paid-in capital.\n\nIn 1998 the Company re c o rded an extraord i n a ry gain of $2.9 million (net of income taxes of $1.5 million), following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $10.2 million less the consideration paid of $5.5 million, offset by the write-off of allocated unamortized deferred financing costs of $400,000. The Company has not re t i red the bonds re p u rchased.\n\n**Net Loss** The Company's net loss increased to $49.6 million for the year ended December 31, 2000, as compared to $30.9 million for the year ended December 31, 1999 and $28.4 million for the year ended December 31, 1998, as a result of the factors discussed above.\n\n#### LI Q U I D I T Y A N D CA P I TA L RE S O U R C E S\n\nSince its inception, the Company has sustained negative cash flows from operations and has financed its operations and capital expenditure s primarily through the proceeds from the 1998 issue of Deutsche Mark denominated notes payable, the Company's 1997 public equity off e r i n g , equipment lease financing and private placements of equity securities. The net proceeds of such transactions, together with revenues fro m operations and interest income have been used to fund aggregate net losses of approximately $123.8 million, investments in pro p e rt y, plant and equipment of approximately $52.8 million and acquisitions of $24.6 million.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands, except per share amounts*\n\n| | 2003 | | 2002 | 2001 | |\n| --- | --- | --- | --- | --- | --- |\n| Operating revenues: | | | | | |\n| Wireless (Notes 7 and 8) | $ 69,872 | | $ 57,867 | $ 36,133 | |\n| Wireline | 29,022 | | 28,755 | 27,486 | |\n| Other | 6,967 | | 6,352 | 5,103 | |\n| Total operating revenues | $ 105,861 | | $ 92,974 | $ 68,722 | |\n| Operating expenses: | | | | | |\n| Cost of goods and services (Note 7) | $ 10,943 | | $ 10,502 | $ 7,410 | |\n| Network operating costs (Note 8) | 33,630 | | 32,512 | 26,756 | |\n| Depreciation and amortization | 16,631 | | 14,482 | 11,263 | |\n| Selling, general and administrative (Note 7) | 26,029 | | 26,140 | 16,869 | |\n| Total operating expenses | $ 87,233 | | $ 83,636 | $ 62,298 | |\n| Operating income | $ 18,628 | $ | 9,338 | $ 6,424 | |\n| Other income (expense): | | | | | |\n| Interest expense | $ (3,510) | $ | (4,195) | $ (4,127) | |\n| Net gain (loss) on investments (Note 3) | (443) | | (10,004) | 12,943 | |\n| Non-operating income (expense), net | 390 | | (141) | 265 | |\n| | $ (3,563) | | $ (14,340) | $ 9,081 | |\n| Income (loss) before income taxes, cumulative effect of a | | | | | |\n| change in accounting and discontinued operations | $ 15,065 | $ | (5,002) | $ 15,505 | |\n| Income tax provision (benefit) (Note 6) | 5,304 | | (2,109) | 5,811 | |\n| Income (loss) from continuing operations | $ 9,761 | $ | (2,893) | $ 9,694 | |\n| Discontinued operations, net of income taxes (Note 2) | 22,389 | | 7,412 | 6,678 | |\n| Cumulative effect of a change in accounting, | | | | | |\n| net of income taxes (Note 1) | (76) | | - | | - |\n| Net income | $ 32,074 | $ | 4,519 | $ 16,372 | |\n| Income (loss) per share: | | | | | |\n| Basic Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.29 | $ | (0.38) | $ 1.29 | |\n| Discontinued operations | 2.95 | | 0.98 | 0.89 | |\n| Cumulative effect of a change in accounting, net of | | | | | |\n| income taxes | (0.01) | | - | | - - |\n| | $ 4.23 | $ | 0.60 | $ 2.18 | |\n| Weighted average shares outstanding, basic | 7,577 | | 7,542 | 7,523 | |\n| Diluted Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.28 | $ | (0.38) | $ 1.28 | |\n| Discontinued operations | 2.94 | | 0.98 | 0.88 | |\n| Cumulative effect of a change in accounting, net | (0.01) | | - - | - | |\n| | $ 4.22 | $ | 0.60 | $ 2.17 | |\n| Weighted average shares, diluted | 7,608 | | 7,542 | 7,549 | |\n| See accompanying notes to consolidated financial statements. | | | | | |", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "The results of segment operations expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of Operations section below.\n\n| (In thousands) | R e v e n u e s | | | | Operating Loss | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Year ended December 31, | 2 0 0 0 | | 1 9 9 9 | | 2 0 0 0 | | 1 9 9 9 |\n| Network Serv i c e s | | | | | | | |\n| Central Euro p e | $ | 1 8 , 5 9 9. | $ | 1 2 , 6 6 4. | $ ( 3 , 0 7 0 ) | $ | ( 8 , 0 1 9 ) |\n| We s t e rn Euro p e | | 1 6 , 6 1 5. | | 1 2 , 6 3 7. | ( 2 , 2 8 6 ) | | ( 3 , 8 4 0 ) |\n| O t h e r | | 1 , 7 0 0. | | 1 , 2 0 2. | ( 7 0 9 ) | | ( 1 , 0 4 8 ) |\n| Total Network Serv i c e s | | 3 6 , 9 1 4. | | 2 6 , 5 0 3. | ( 6 , 0 6 5 ) | | ( 1 2 , 9 0 7 ) |\n| S o f t w a re Solutions | | 1 6 , 0 0 6. | | 1 5 , 1 4 9. | ( 2 1 , 4 6 9 ) | | ( 7 , 1 4 1 ) |\n| Corporate Serv i c e s | | —. | | —. | ( 7 , 8 6 2 ) | | ( 6 , 7 5 0 ) |\n| Inter segment eliminations | | (180) | | ( 1 8 0 ) | —. | | —. |\n| Total | $ | 5 2 , 7 4 0. | $ | 4 1 , 4 7 2. | $ ( 3 5 , 3 9 6 ) | | $ ( 2 6 , 7 9 8 ) |\n\n#### **Segment Results of Operations for the Years Ended December 31, 2000 and 1999**\n\n#### **Comparison of Operation Results for the Years Ended December 31, 2000 and 1999**\n\n#### Network Services Segment\n\n**Revenues** Total segment revenues increased by $10.4 million or 39% to $36.9 million for the year ended December 31, 2000 from $26.5 million for the year ended December 31, 1999. The increase in revenues is due primarily to the significant increase in transaction volume and an incre a s e in the number of ATMs operated by the Company during these periods. The Company had 2,283 ATMs installed as of December 31, 1999 and p rocessed 32.9 million transactions for the year ended December 31, 1999. As of December 31, 2000, the Company's owned and operated AT M network increased by 351 ATMs, or 15%, to a total of 2,634 ATMs, of which 72% are owned by the Company and 28% are owned by banks or other financial institutions but operated by the Company through management agreements. The Company processed 52.7 million transactions for\n\nthe year ended December 31, 2000, an increase of 19.8 million transactions, or 60%, over the year ended December 31, 1999.\n\nRevenues for the Central European Sub-segment totaled $18.6 million for the year ended December 31, 2000 as compared to $12.7 million for the year ended December 31, 1999, an increase of 47%. The increase in revenues is largely the result of an increase in the number of ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and incre a s e d transaction volumes.\n\nRevenues for the We s t e rn European Sub-segment totaled $16.6 million for the year ended December 31, 2000 as compared to $12.6 million for the year ended December 31, 1999, an increase of 31%. The increase in revenues is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction volumes.\n\nRevenues for the Other ATM Operations Sub-segment were $1.7 million for the year ended December 31, 2000 as compared to $1.2 million for the year ended December 31, 1999, an incre a s e\n\nof 41%. The revenues from this segment are the result of the acquisition of the Dash network located in the United States in August 1999.\n\nOf total segment revenue, approximately 87% is attributable to those ATMs owned by the Company for the year ended December 31, 2000 and 94% for the year ended December 31, 1999. Of total transactions processed, approximately 78% is attributable to those ATMs owned by the Company for the year ended December 31, 2000 and 76% for the year ended December 31, 1999. The Company believes the shift from a larg e l y p ro p r i e t a ry, Euronet Worldwide owned ATM network to a more balanced mix between pro p r i e t a ry ATMs and customer-owned ATMs is a positive development and will provide higher marginal re t u rns on investments.\n\nTransaction fees charged by the Company vary for the three types of ATM transactions that are currently processed on the Company's ATMs: cash withdrawals, balance inquiries and transactions not completed because the relevant card issuer does not give authorization. Transaction fees for cash withdrawals vary from market to market but generally range from $0.60 to $1.75 per transaction while transaction fees for the other two types of transactions are generally substantially less. Transaction fees payable under the electronic re c h a rge solutions sold by the Company are included in Network Services Segment revenues and vary substantially from market to market and based upon the specific prepaid solution and the denomination of prepaid hours purchased. Generally the range of transaction fees vary from $1.10 to $1.80 per prepaid mobile re c h a rg e p u rchase.\n\n**Operating Expenses** Total segment operating expenses increased to $43.0 million for the year ended December 31, 2000 from $39.4 million for the year ended December 31, 1999. The increases are due primarily to costs associated with the growth in the numbers of ATMs and expansion of the Company's operations during the period.", - "page_start": 17, - "page_end": 17, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "**Operating Loss** The total Network Services Segment operating loss decreased to $6.1 million for the year ended December 31, 2000 from $12.9 million for the year ended December 31, 1999, an improvement of 53%, as a result of the factors discussed above. The Central European Subsegment re c o rded an operating loss of $3.1 million for the year ended December 31, 2000 compared to a loss of $8.0 million for the year ended December 30, 1999, an improvement of 61%, as a result of the factors discussed above. The We s t e rn European Sub-segment operating loss d e c reased to $2.3 million for year ended December 31, 2000 compared to a loss of $3.8 million for the year ended December 31, 1999, an i m p rovement of 39%, as a result of the factors discussed above. The Other ATM Operations Sub-segment incurred an operating loss of $700,000 for the year ended December 31, 2000 compared to a loss of $1.0 million for the year ended December 31, 1999, an improvement of 30%, as a result of the factors discussed above.\n\n#### Software Solutions Segment\n\n**Software Solutions Revenue** Revenues from the Software Solutions Segment totaled $16.0 million before inter-segment eliminations for the year ended December 31, 2000 as compared to revenue of $15.1 for the year ended December 31, 1999. Software revenues are grouped into four b road categories: software license fees, professional service fees, maintenance fees and hard w a re sales. Software license fees are the initial fees c h a rged by the Company for the licensing of its pro p r i e t a ry application software to customers. Professional service fees are charged for customization, installation and consulting services provided to customers. Software maintenance fees are the ongoing fees charged to customers for the maintenance of the software products. Hard w a re sales revenues are derived from the sale of computer products and are re p o rted net of cost of sales. The components of software solutions revenue for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| S o f t w a re license fees | $ | 4 , 1 1 7 | $ | 2 , 4 3 0 |\n| P rofessional service fees | | 6 , 8 6 7 | | 8 , 2 9 8 |\n| Maintenance fees | | 4 , 4 8 7 | | 4 , 0 5 1 |\n| H a rd w a re sales | | 5 3 5 | | 3 7 0 |\n| Total direct operating expenses | $ | 1 6 , 0 0 6 | $ | 1 5 , 1 4 9 |\n\nThe increases in software license fees from 1999 to 2000 can be attributed to an increased number of software sales contracts signed in 2000 as c o m p a red to 1999, primarily in the first half of the year 2000. Sales of the Company's core software products have dropped off substantially in the third and fourth quarter of 2000 and are expected to be soft again during 2001. The Company believes that revenues of the Software Solutions Segment will increasingly be derived from the Company's new set of software solutions, including its wireless banking solutions. The decreases in professional service fees from 1999 to 2000 can be attributed to increased efficiency in the installation of software.\n\n**Software Sales Backlog** The Company defines \"software sales backlog\" as fees specified in contracts which have been executed by the Company and for which the Company expects recognition of the related revenue within one year. At December 31, 2000 the revenue backlog was $3.5 million, as compared to December 31, 1999 the revenue backlog was $3.1 million. The increase in backlog from December 31, 1999 re s u l t s principally from growth in software sales. It is management's intention to continue to focus on expediting delivery and implementation of software in an eff o rt to reduce backlog while continuing sales growth.\n\nT h e re can be no assurance that the contracts included in backlog will actually generate the specified revenues or that the revenues will be generated within the one-year period.\n\n**Operating Expenses** S o f t w a re Solutions Segment operating expenses consist primarily of salaries and benefits, selling, general and administrative, and depreciation and amortization. In addition, the Company re c o rded a $11.2 million one-time write down of goodwill and other identifiable intangible assets associated with the Company's purchase of Euronet USA in December 1998 (see Note 10 to Consolidated Financial Statements – Asset Write Down). Total segment operating expenses increased to $37.5 million for the year ended December 31, 2000 from $22.3 million for the year ended December 31, 1999. The components of software solutions operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| D i rect operating costs | $ | 8 0 0 | $ | 1 , 0 8 9 |\n| Salaries and benefits | | 1 8 , 0 0 4 | | 1 3 , 9 5 3 |\n| Selling, general and administrative | | 5 , 2 6 6 | | 4 , 5 6 5 |\n| D e p reciation and amort i z a t i o n | | 2 , 2 1 5 | | 2 , 6 8 3 |\n| Asset write down | | 1 1 , 1 9 0 | | — |\n| Total direct operating expenses | $ | 3 7 , 4 7 5 | $ | 2 2 , 2 9 0 |\n\nThe Company has made planned increases in staff in order to increase sales, accelerate development of certain software enhancements and re d u c e d e l i v e ry times for software. These staff increases have resulted in a significant increase in salaries and benefits, which has contributed to the net losses of the Software Solutions Segment for the years ended December 31, 2000 and 1999. In January 2001, a reduction in the work force took place with the objective being to reduce costs to bring them more in line with the anticipated revenue.\n\nThe Company has an ongoing commitment to the development, maintenance and enhancement of its products and services. As a result of this commitment the Company has invested substantial amounts in re s e a rch and development. In part i c u l a r, the Company has invested and will continue to invest in new software products that will serve as the underlying application software that permits additional features and transactions", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "| | | | | Business | | | Corporate items and | | Consolidated | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Year ended December 31, 2012 | Wireless | Cable | | Solutions | | Media | eliminations | | totals | |\n| Operating revenue | $ 7,280 | $ 3,358 | | $ 351 | | $ 1,620 | $ | (123) | $ 12,486 | |\n| Operating costs 1 | 4,217 | | 1,753 | 262 | | 1,430 | | (10) | 7,652 | |\n| Adjusted operating profit | 3,063 | | 1,605 | 89 | | 190 | | (113) | 4,834 | |\n| Restructuring, acquisition and other expenses | | | | | | | | | | 92 |\n| Stock-based compensation expense 1 | | | | | | | | | | 77 |\n| Depreciation and amortization | | | | | | | | | | 1,819 |\n| Impairment of assets | | | | | | | | | | 80 |\n| Operating income | | | | | | | | | | 2,766 |\n| Finance costs | | | | | | | | | | (671) |\n| Other income | | | | | | | | | | 250 |\n| Income before income taxes | | | | | | | | | $ | 2,345 |\n| Additions to property, plant and equipment | $ 1,123 | $ | 832 | $ | 61 | $ 55 | $ | 71 | $ | 2,142 |\n| Goodwill | $ 1,146 | $ 1,000 | | $ 215 | | $ 854 | $ | – | $ | 3,215 |\n| Total assets | $ 9,769 | $ 4,719 | | $ 835 | | $ 2,157 | $ 2,138 | | $ 19,618 | |\n\n1 Included in operating costs on the consolidated statements of income.\n\n#### **Revenue by Product**\n\n| | | 2013 | | 2012 |\n| --- | --- | --- | --- | --- |\n| Wireless: | | | | |\n| Postpaid | $ | 6,470 | $ | 6,402 |\n| Prepaid | | 278 | | 317 |\n| Network revenue | | 6,748 | | 6,719 |\n| Equipment sales | | 522 | | 561 |\n| Total Wireless | | 7,270 | | 7,280 |\n| Cable: | | | | |\n| Television | | 1,809 | | 1,868 |\n| Internet | | 1,159 | | 998 |\n| Cable telephony | | 498 | | 477 |\n| Service revenue | | 3,466 | | 3,343 |\n| Equipment sales | | 9 | | 15 |\n| Total Cable | | 3,475 | | 3,358 |\n| Business Solutions: | | | | |\n| Next generation | | 213 | | 162 |\n| Legacy | | 149 | | 183 |\n| Service revenue | | 362 | | 345 |\n| Equipment sales | | 12 | | 6 |\n| Total Business Solutions | | 374 | | 351 |\n| Media: | | | | |\n| Advertising | | 762 | | 784 |\n| Subscription | | 316 | | 264 |\n| Retail | | 305 | | 276 |\n| Other | | 321 | | 296 |\n| Total Media | | 1,704 | | 1,620 |\n| Corporate items and intercompany eliminations | | (117) | | (123) |\n| | | $ 12,706 | | $ 12,486 |\n\n#### NOTE 4: OPERATING COSTS\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Cost of equipment sales and direct channel subsidies | $ 1,541 | $ 1,605 |\n| Merchandise for resale | 190 | 173 |\n| Other external purchases | 4,126 | 4,138 |\n| Employee salaries and benefits and stock-based | | |\n| compensation | 1,940 | 1,813 |\n| | $ 7,797 | $ 7,729 |\n\n#### NOTE 5: FINANCE COSTS\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Interest on long-term debt | $ 734 | $ 691 |\n| Interest on pension liability | 14 | 7 |\n| Foreign exchange loss (gain) | 23 | (9) |\n| Change in fair value of derivative instruments | (16) | 1 |\n| Capitalized interest | (25) | (28) |\n| Other | 12 | 9 |\n| | $ 742 | $ 671 |\n\n#### NOTE 6: DISCONTINUED OPERATIONS\n\n| | 2012 |\n| --- | --- |\n| Operating revenue | $ 18 |\n| Operating costs | (30) |\n| Restructuring, acquisition and other expenses | (30) |\n| Loss before income taxes | (42) |\n| Income tax recovery | 10 |\n| Loss from discontinued operations for the year | $ (32) |\n\nWe discontinued our Video segment in the second quarter of 2012 and reported the Video results of operations as discontinued operations at that time.\n\nAs of June 2012, Rogers' stores no longer offered video and game rentals or sales at its retail locations. Certain of these stores continue to serve customers' wireless and cable needs.\n\nThe Video segment did not have any results from discontinued operations in 2013 or any significant assets or liabilities as at December 31, 2013 and 2012. Cash flows from operating activities for the segment for 2013 were nil (2012 – $2 million). The Video segment did not have any cash flows from investing or financing activities for the years ended December 31, 2013 and 2012.", - "page_start": 106, - "page_end": 106, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "increased $0.5 million or 12.7%, due to new assets deployed in the operation. There was no amortization of goodwill in 2003 or 2002, compared to goodwill amortization of $360 thousand expensed in 2001, due to the required accounting change.\n\nSelling, general and administrative expenses were $26.0 million, down $0.1 million or 0.4%. Customer support costs were $8.7 million, an increase of $0.9 million or 11.4%. The growth in Sprint wireless subscribers is primarily responsible for this change. Advertising expense was $4.6 million, an increase of $0.3 million or 6.4%. The change is primarily due to increased marketing efforts in support of the PCS operations in both the Quad State and Central Penn markets. PCS sales staff expenses were $2.8 million, an increase of $0.1 million or 1.5% compared to 2002. Other sales staff expenses increased $0.3 million to $1.3 million as the Company worked to expand its other services in areas outside its historically defined service area. Bad debt expense decreased $2.6 million or 58.3%.\n\nAdministrative expenses increased $1.0 million or 17.1%. This increase is a result of increased professional fees, insurance and pension costs. During 2003, the Company added several positions to expand the management team to support the Company's growing operations.\n\nBad debt expense decreased $2.6 million to $1.8 million or 58.3%. This decrease was due to more restrictive credit terms for new PCS subscribers (limiting the high credit risk customers who obtained service), lower churn in the PCS operation and improvement in the interexchange carrier segment of the business. This expense is net of normal recoveries and includes a recovery of $0.2 million for an interexchange carrier settlement the Company received in 2003 which was written off in 2002.\n\nOperating income grew to $18.6 million, an increase of $9.3 million or 100%. Revenue growth, primarily in the PCS operation in addition to the reduced bad debt expenses, adjustments of management estimates, and the settlement of disputed items with Sprint, all contributed to the operating income improvements. The Company's operating margin was 17.6%, compared to 10.0% in 2002.\n\nOther income (expense) is comprised of non-operating income and expenses, interest expense and gain or loss on investments. Collectively, the net impact of these items to pre-tax income was an expense of $3.6 million for 2003, compared to expense of $14.3 million from 2002. The 2002 results were primarily the results of the previously disclosed $9.0 million loss recorded on the sale of the VeriSign stock.\n\nInterest expense was $3.5 million, a decrease of $0.7 million or 16.3%. The Company's average debt outstanding decreased approximately $4.8 million. Long-term debt (inclusive of current maturities), was $43.3 million at year-end 2003, versus $52.0 million at year-end 2002. The Company did not borrow any money on its revolving facilities in 2003.\n\nNet losses on investments were $0.4 million, compared to a loss of $10.1 million from 2002. Results in 2002 include the sale of the VeriSign, Inc. stock for a loss of $9.0 million. See Note 3 to the consolidated financial statements.\n\nNon-operating income was a gain of $0.4 million, an increase of $0.5 million, due to an increase in patronage equity earned from CoBank, the Company's primary lender, and due to interest income from the proceeds on the sale of the Virginia 10 RSA Limited partnership, offset by losses recorded for the Company's portfolio of investments.\n\nThe Company provided for income taxes of $5.3 million in 2003, which is an effective tax rate of 35.2% due to the effect of state tax apportionment rules and reduction in the liability for tax exposures. On a normalized basis the Company would have recorded taxes at an effective tax rate of approximately 39%. Last year's effective tax rate was 42.2% due to the impact of net operating loss carry forwards generated in several states with higher tax rates. The Company currently operates in four states. Due to apportionment rules and geographic operations of subsidiaries where the Company's profits and losses arise, the Company is generating profits in states with lower tax rates, while generating losses in states with higher tax rates. The Company cautions readers that the current effective tax rate may not be the same rate at which tax benefits or tax expenses are recorded in the future. The Company's state apportionments, profits and losses and state tax rates may change, therefore changing the effective rate at which taxes are provided for or at which tax benefits accrue. In the near term, under existing operating results and current tax rates, the Company anticipates a normalized effective tax rate will be approximately 39%.\n\nNet income from continuing operations was $9.8 million, an increase of $12.7 million from 2002. The results are primarily made up of the improvement in the PCS operation and the one-time impact of the losses on the sale of VeriSign stock in 2002.", - "page_start": 49, - "page_end": 49, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Key Achievements**\n\n#### **Higher Operating Revenue and Adjusted Operating Profit**\n\n- Consolidated operating revenue was 2% higher this year compared to 2012, led by an increase in data revenue at Wireless, higher Internet revenue at Cable, higher Next Generation revenue at Business Solutions and higher subscriber revenue at Media. Revenue grew by 3% in Cable, 7% in Business Solutions and 5% in Media, while revenue at Wireless remained unchanged as the increase in data revenue was offset by the decrease in voice revenue.\n- Consolidated adjusted operating profit rose 3% this year to $4,993 million, with consolidated adjusted operating profit margins of 39.3%, resulting from higher revenue, the realization of cost efficiencies and shifts in the mix of revenue from products and services sold.\n- Postpaid Wireless subscriber growth continued with net additions of 228,000 and lower churn of 1.24%.\n- Cable high-speed Internet subscribers grew by 97,000 and cable telephony lines grew by 79,000, while television households decreased by 87,000 compared to 2012.\n\n#### **Strong Cash Flow**\n\n- Pre-tax free cash flow, defined as adjusted operating profit less spending on property, plant and equipment, and interest on longterm debt (net of capitalized interest), increased by 1% compared to 2012 to $2,044 million due to a 3% increase in adjusted operating profit offset by higher spending on property, plant and equipment. After-tax cash flow decreased by 6% from 2012 levels to $1,548 due to a 31% increase in cash taxes.\n#### **Strong Balance Sheet and Liquidity Position**\n\n- Issued and fully hedged US$2.5 billion of ten and thirty year senior notes at some of the lowest coupon rates ever achieved for Rogers corporate debt, in two separate offerings comprising:\n\t- US$500 million of 3.00% senior notes due 2023 and US$500 million of 4.50% senior notes due 2043\n\t- US$850 million of 4.10% senior notes due 2023 and US$650 million of 5.45% senior notes due 2043\n- Our overall weighted average cost of debt was 5.50% at December 31, 2013 compared to 6.10% at December 31, 2012 and the weighted average term to maturity on our debt was 11.3 years, compared to 9.2 years at December 31, 2012.\n\n- Ended the year with $4.5 billion of available liquidity, comprised of $2.3 billion cash on hand, $2 billion available under our bank credit facility and $0.2 billion available under our $0.9 billion accounts receivable securitization program.\n- In May 2013, each of Fitch Ratings and Standard and Poor's Ratings Services upgraded RCI's senior unsecured debt to BBB+ (from BBB) with a stable outlook, while Moody's Investors Service's comparable rating is Baa1 with a stable outlook remained unchanged from last year.\n\n#### **Growing Dividends**\n\n- We increased our annualized dividend rate in February 2013 by 10% to $1.74 per Class A Voting and Class B Non-Voting share and paid a quarterly dividend of $0.435 per share during 2013. We further increased our annualized dividend on February 12, 2014, by 5% to $1.83.\n#### **New CEO**\n\n- Guy Laurence joined Rogers in December 2013, as our new President and Chief Executive Officer, succeeding Nadir Mohamed who retired from Rogers. Mr. Laurence brings 30 years of global experience in the telecommunications and media industries.\n#### **Significant Developments**\n\n- Exclusive 12-year licensing agreement to broadcast national NHL games, beginning with the 2014-2015 season was signed. The agreement grants Rogers the exclusive distribution rights of all national regular season and playoff games within Canada, in multiple languages, across all platforms. At the same time, we executed separate agreements to sublicence certain of these broadcasting rights to TVA Sports and CBC.\n- Strategic acquisitions of Score Media Inc. (theScore), Mountain Cablevision Ltd. (Mountain Cable), Blackiron Data ULC (Blackiron) and Pivot Data Centres were completed.\n- Rogers First Rewards, a new loyalty program allowing customers to earn points on their eligible purchases and redeem them online for a wide selection of Rogers products and services, was launched in the Greater Toronto Area, Ottawa, Kingston, Sudbury and other cities throughout Ontario. We also received regulatory approval to launch a Rogers credit card which augments this loyalty program and will accelerate the rate at which customers earn points.\n\n**ADJUSTED OPERATING PROFIT BY SEGMENT**\n\n#### (IN MILLIONS OF DOLLARS) **CONSOLIDATED TOTAL ASSETS**\n\n(IN MILLIONS OF DOLLARS)", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "| Note | | Consolidated | Company | |\n| --- | --- | --- | --- | --- |\n| | 2000 | 1999 | 2000 | 1999 |\n| | $ | $ | $ | $ |\n| 10. PROPERTY, PLANT AND | | | | |\n| EQUIPMENT | | | | |\n| Leasehold buildings and improvements | | | | |\n| Independent valuation 1998 | 8,500,000 | 8,500,000 | – | – |\n| Accumulated depreciation | (302,619) | (100,319) | – | – |\n| | 8,197,381 | 8,399,681 | – | – |\n| Leasehold buildings and improvements | | | | |\n| under construction | | | | |\n| At cost | 1,485,886 | 538,303 | – | – |\n| Accumulated depreciation | (373) | (373) | – | – |\n| | 1,485,513 | 537,930 | – | – |\n| Vessels - at cost | 7,748,302 | 4,939,456 | – | – |\n| Accumulated depreciation | (625,559) | (416,918) | – | – |\n| | 7,122,743 | 4,522,538 | – | – |\n| Vessels - hire purchase - at cost | 6,184,865 | 4,356,257 | – | – |\n| Accumulated depreciation | (580,619) | (179,414) | – | – |\n| | 5,604,246 | 4,176,843 | – | – |\n| Plant and equipment - at cost | 2,621,336 | 1,813,810 | – | – |\n| Accumulated depreciation | (816,726) | (350,918) | – | – |\n| | 1,804,610 | 1,462,892 | – | – |\n| Plant and equipment - hire purchase | | | | |\n| - at cost | 347,785 | 347,785 | – | – |\n| Accumulated depreciation | (127,314) | (75,249) | – | – |\n| | 220,471 | 272,536 | – | – |\n| Total property, plant and equipment | 24,434,964 | 19,372,420 | – | – |\n\nThe revaluation of Leasehold buildings and improvements was performed on the basis of market value with reference to continued use and was not performed in accordance with a regular revaluation policy.\n\nAggregate depreciation is charged directly to the profit and loss account as disclosed in Note 2. Potential capital gains tax was not taken into account in the revaluation of leasehold buildings and improvements.", - "page_start": 48, - "page_end": 48, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "increased again on July 1, 2002 to $6.50, and comparable rate increases also impacted business subscribers. Tied to the SLC rate increases were declines in rates charged to interexchange carriers for interstate minutes of use. The 2002 results reflect a significantly larger increase in network usage, which more than offset the decline in rates.\n\nFacility lease revenue contributed $5.7 million to wireline revenues, a decrease of $0.8 million or 12.6% from 2001. The decrease was primarily the result of declining lease rates associated with competitive pricing pressure, and the economic downturn in the telecommunications industry.\n\nBilling and collection services contributed $0.4 million to wireline revenues, which was the same as 2001 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a greater proportion of their bills directly to their customers.\n\nWireline revenues from cable television services were $4.3 million, an increase of $0.5 million or 14.5%. In December 2001, the Company increased its basic service charge by $6.00 per month, which produced $0.3 million of the increase in cable television revenue. The remaining $0.2 million was generated by an increased penetration of digital services and increased pay per view sales.\n\nWithin other revenues, Internet and 511Virginia contract revenues from the Virginia Department of Transportation, were $5.1 million in 2002, an increase of $1.2 million or 30.4%. The Company had 18,050 dial-up Internet subscribers at December 31, 2002, compared to 17,423 subscribers at the end of 2001. Total Internet service revenue was $4.2 million, an increase of $0.6 million or 15.7%. Services provided under the 511Virginia contract contributed $0.9 million to other revenues, an increase of $0.6 million. Telecommunications equipment sales, services and lease revenues were $1.2 million, a nominal increase over 2001 results.\n\nTotal operating expenses were $83.6 million, an increase of $21.3 million or 34.3%. The continued growth in the PCS operation was principally responsible for the change.\n\nCost of goods and services was $10.5 million, an increase of $3.1 million or 41.8%. The PCS cost of goods sold was $8.3 million, an increase of $2.8 million or 50.2%. This change is due primarily to higher volumes of handsets sold through Company owned stores and PCS handset subsidies paid to third-party retailers. The cable television programming (cost of service) expense was $1.4 million, an increase of $0.1 million or 4.6%. The other cost of goods sold increased $0.3 million, compared to the same period in 2001.\n\nNetwork operating costs were $32.5 million, an increase of $5.8 million or 21.5%. Line and switching costs were $9.7 million, an increase of $2.6 million or 37.4%, due principally to the impact of the expanded PCS network. Travel expense, generated by the Company's PCS subscribers' use of minutes on other providers' portions of the Sprint wireless network, was $10.7 million, an increase of $0.9 million or 8.4%. The increase in customer travel usage more than offset the travel rate explained above in travel revenue. Plant specific costs were $9.6 million, which include the operation, and maintenance of the networks increased $2.3 million or 30.7%. Tower, building, and land rentals, as well as PCS equipment maintenance, were major contributors to the increase in plant specific expenses. Other network costs such as power, network administration, and engineering, were $2.7 million, the same as in 2001.\n\nDepreciation and amortization expense was $14.5 million, an increase of $3.2 million or 28.6%. The PCS operation had depreciation expense of $8.6 million, an increase of $3.6 million or 72.7%. The PCS operation added 53 additional base stations during 2002.\n\nSelling, general and administrative expenses were $26.1 million, an increase of $9.3 million or 55.0%. Customer support costs were $7.8 million, an increase of $2.8 million or 55.3%. The growth in Sprint wireless subscribers was the primary driver for this increase. Advertising expense was $4.3 million, an increase of $1.5 million or 55.8%. This change was primarily due to the stepped-up and ongoing marketing efforts to support the PCS operations in the Quad State market and particularly the Central Penn market. PCS sales staff expenses were $2.7 million, an increase of $0.7 million or 32.7%. The increase was principally due to the full year operations of the three retail locations and adding additional sales staff.\n\nThe Company experienced significant bad debt losses in its PCS operations related to the Sprint Clear PaySM program. The program was initially targeted at customers in sub-prime credit classes and did not require a deposit upon activation of service. As a result of default rates that exceeded projections, the Company experienced a substantial increase in bad debt expense, which rose from $1.2 million in 2001 to $4.4 million in 2002. The reinstatement of deposit requirements in April 2002 caused some moderation in bad debt expense by the end of the year. Total PCS bade debt expense for 2002 was $3.7 million of this expense is associated with several large telecommunications customers who filed bankruptcies in 2002. program. sm", - "page_start": 51, - "page_end": 51, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Summary of Unaudited Quarterly Results of Operations** (continued)\n\n| | | First | Second | Third | | Fourth |\n| --- | --- | --- | --- | --- | --- | --- |\n| (In thousands, except per share data) | | Quarter | Quarter | Quarter | | Quarter |\n| YEAR-END 2001: | | | | | | |\n| Net sales | | $ 461,997 | $ 444,196 | $ 459,352 | | $ 426,893 |\n| Cost of products sold | | 311,711 | 292,789 | 298,427 | | 278,213 |\n| Gross profit | | 150,286 | 151,407 | 160,925 | | 148,680 |\n| Selling and administrative expenses | | 119,050 | 118,983 | 114,759 | | 111,414 |\n| Restructuring-related charges | | – | 24,000 | – | | – |\n| Operating income | | 31,236 | 8,424 | 46,166 | | 37,266 |\n| Interest income (expense) – net | | (2,700) | (1,832) | (1,375) | | (924) |\n| Income before income taxes | | 28,536 | 6,592 | 44,791 | | 36,342 |\n| Income taxes | 10,273 | | 2,373 | 16,125 | | 13,083 |\n| Net income | $ | 18,263 | $ 4,219 | $ 28,666 | $ | 23,259 |\n| Net income per common share – basic and diluted | $ | .31 | $ .07 | $ .48 | $ | .40 |\n| Weighted-average common shares outstanding – basic | | 59,448 | 59,205 | 59,048 | | 58,651 |\n| As a Percentage of Net Sales | | | | | | |\n| Net sales | | 100.0% | 100.0% | 100.0% | | 100.0% |\n| Gross profit | | 32.5 | 34.1 | 35.0 | | 34.8 |\n| Selling and administrative expenses | | 25.8 | 26.8 | 25.0 | | 26.1 |\n| Restructuring-related charges | | – | 5.4 | – | | – |\n| Operating income | | 6.8 | 1.9 | 10.1 | | 8.7 |\n| Income taxes | | 2.2 | 0.5 | 3.5 | | 3.1 |\n| Net income | | 4.0 | 0.9 | 6.2 | | 5.4 |\n\n#### **Investor Information**\n\n54\n\n#### *C O M M O N S T O C K M A R K E T P R I C E S A N D D I V I D E N D S ( U N A U D I T E D ) Q U A R T E R L Y 2 0 0 3 – 2 0 0 2*\n\n#### *COMMON STOCK MARKET PRICE AND PRICE/EARNINGS RATIO (UNAUDITED) FISCAL YEARS 2003 – 1993*\n\n| | | | Dividends | |\n| --- | --- | --- | --- | --- |\n| 2003 by Quarter | High | Low | per Share | |\n| 1st | $ 29.38 | $ 24.65 | $ | .13 |\n| 2nd | 31.67 | 27.27 | | .13 |\n| 3rd | 38.60 | 30.15 | | .13 |\n| 4th | 44.12 | 36.65 | | .13 |\n| Total Dividends Paid | | | $ | .52 |\n| | | | Dividends | |\n| 2002 by Quarter | High | Low | per Share | |\n| 1st | $ 29.12 | $ 24.55 | $ .125 | |\n| 2nd | 30.85 | 25.45 | .125 | |\n| 3rd | 28.67 | 23.80 | .125 | |\n| 4th | 29.20 | 22.88 | .125 | |\n| Total Dividends Paid | | | $ .500 | |\n\n| | | Market Price* | Diluted | Price/Earnings Ratio | |\n| --- | --- | --- | --- | --- | --- |\n| | | | Earnings | | |\n| Year | High | Low | per Share* | High | Low |\n| 2003 | 44.12 | 24.65 | 1.68 | 26 | 15 |\n| 2002 | 30.85 | 22.88 | 1.55 | 20 | 15 |\n| 2001 | 28.85 | 19.96 | 1.26 | 23 | 16 |\n| 2000 | 27.88 | 15.56 | 1.77 | 16 | 9 |\n| 1999 | 29.88 | 18.75 | 1.44 | 21 | 13 |\n| 1998 | 37.19 | 20.00 | 1.72 | 22 | 12 |\n| 1997 | 32.13 | 15.88 | 1.45 | 22 | 11 |\n| 1996 | 21.38 | 9.25 | 1.13 | 19 | 8 |\n| 1995 | 15.63 | 11.50 | .67 | 23 | 17 |\n| 1994 | 17.00 | 12.00 | .87 | 20 | 14 |\n| 1993 | 14.63 | 10.75 | .70 | 21 | 15 |\n| Eleven-Year Average | | | | 21 | 13 |\n\n**Adjusted for the effect of stock splits*", - "page_start": 54, - "page_end": 54, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the share of revenues of Netwrok Wordwide made in Poland and Hungary in 2000 ?", - "target_page": 24, - "target_passage": "In 2000, 30% of the Company’s revenues were generated in Poland and Hungary", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "The subsidiaries of Euronet Services Inc., all of which are, directly or indire c t l y, wholly owned are:\n\n- EFT Services Holding B.V., incorporated in the Netherlands\n- Euronet Banktechnikai Szolgaltato Kft. (\"Bank Tech\"), incorporated in Hungary\n- Euronet Adminisztracios Szolgaltato Kft. (\"Administrative Services\") (formerly SatComNet), incorporated in Hungary\n- Bankomat 24/Euronet Sp. z o.o. (\"Bankomat\"), incorporated in Poland\n- EFT-Usluge d o.o., incorporated in Croatia\n- Euronet Services GmbH, incorporated in Germany\n- EFT Services France SAS, incorporated in France\n- Euronet Services spol. s.r.o., incorporated in the Czech Republic\n- Euronet Services SRL, incorporated in Romania\n- Euronet Services (UK) Limited, incorporated in the United Kingdom\n- Euronet USA Inc. (formerly Arkansas Systems, Inc.) (\"Euronet USA\") incorporated in Arkansas, United States of America\n- EFT Network Services LLC (\"Dash\"), incorporated in Arkansas, United States of America\n- Euronet Holding N.V., incorporated in the Netherlands Antilles (in liquidation)\n- Euronet Eft Services Hellas, incorporated in Greece\n\n#### **( 2 ) Financial Position and Basis of Preparation**\n\nThe Company generated an operating loss of $35.4 million and negative cash flows from operations of $16.4 million for the year ended December 31, 2000, primarily due to the significant costs associated with its investment in delivery, support, re s e a rch and development in its s o f t w a re subsidiary which was acquired in December 1998. Based on the Company's current business plan and financial projections, the Company expects to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its ATM network will result in additional revenues without a corresponding incre a s e in expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will p rovide continued revenue growth without significantly increasing direct operating expenses or capital investments. In the Software Solutions Segment, the Company expects reduced operating expenses and improved operating perf o rmance due to a cost re s t ructuring pro g r a m i n t roduced in the first quarter of 2001. The Company believes that the credit facility (see note 13), certain asset sales and cash and cash equivalents at December 31, 2000 will provide the Company with sufficient cash re s o u rces until it achieves positive cash flow.\n\nBased on the above, management is confident that the Company will be able to continue as a going concern. Accord i n g l y, these consolidated financial statements have been pre p a red on a going concern basis which contemplates the continuation and expansion of trading activities as well as the realization of assets and liquidation of liabilities in the ord i n a ry course of business.\n\n#### **( 3 ) S u m m a ry of Significant Accounting Policies and Practices**\n\n- (a) Basis of presentation\nThe accompanying consolidated financial statements have been pre p a red in accordance with generally accepted accounting principles in the United States of America.\n\nAll significant intercompany balances and transactions have been eliminated.\n\n- (b) Foreign currencies\nF o reign currency transactions are re c o rded at the exchange rate prevailing on the date of the transactions. Assets and liabilitiesdenominated in foreign currencies are re m e a s u red at rates of exchange on the balance sheet date. Resulting gains and losses on f o reign currency transactions are included in the consolidated statement of operations and comprehensive loss.\n\nThe financial statements of foreign subsidiaries where the local currency is the functional currency are translated to U.S. dollars using (i) exchange rates in effect at period end for assets and liabilities, and (ii) average exchange rates during the period for results of operations. Adjustments resulting from translation of such financial statements are reflected in accumulated other comprehensive income as aseparate component of consolidated stockholders' equity.\n\nThe financial statements of foreign subsidiaries where the functional currency is the U.S. dollar are re m e a s u red using historical exchangerates for nonmonetary items while current exchange rates are used for monetary items. Foreign exchange gains and losses arising from the re m e a s u rement are re p o rted in the consolidated statement of operations and comprehensive loss.\n\n- (c) Cash equivalents\nFor the purposes of the consolidated statements of cash flows, the Company considers all highly liquid debt instruments purchased with an original maturity of three months or less to be cash equivalents.\n\n(d) Investment securities\n\nThe Company has classified its investment securities as held-to-maturity or available-for-sale. Held-to-maturity securities are those securities in which the Company has the ability and intent to hold the security to maturity. All securities not included in held-to-maturity a re classified as available-for sale.", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "#### **(10) Asset Write Down**\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset write-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the C o m p a n y 's acquisition of Arkansas Systems, Inc. (\"Euronet USA\") in December 1998. The remaining $800,000 write-down related to the C o m p a n y 's ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the Budapest Bank ATM network in Hungary.\n\nAs a result of the Company's inability to achieve operating improvements, including software license and service orders for Euronet USA's traditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e q u a rters of 2000. The Company calculated the expected cash flows of the Company's Software Solutions Segment, which identified an i m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the p resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon the acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction payment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to the Company's Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h development and release of a new set of products that are independent of Euronet USA's traditional core product lines, including a new, p l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile phone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and solutions rather than Euronet USA's traditional ITM solution will be the primary source of software solutions revenues in the future.\n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows of the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible assets. The Company's estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t p rojections, and internal earnings targets, net of applicable taxes. The Company's discounted cash flow analysis indicated that the carry i n g value of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible assets prior to the write down was $11.2 million.\n\nThe asset write-down is disclosed as a separate operating expense item in the Company's Consolidated Statements of Operations and C o m p rehensive Loss.\n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets will be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and S e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company's standards. Specifically, these assets w e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its ATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value of ATM hard w a re, adjusting to its net realizable value.\n\n#### **(11) Notes Payable**\n\nOn June 22, 1998, the Company sold 243,211 units in a public offering, each consisting of DM 1,000 principal amount at maturity of 12 3/8% senior discount notes due on July 1, 2006 and 729,633 warrants to purchase 766,114 shares of common stock. Each warrant entitles the holder to purchase, on or after June 22, 1998 and prior to July 1, 2006, 1.05 shares of common stock at an exercise price of $5.00 per share. Cash i n t e rest on the notes will not be payable prior to July 1, 2002. Commencing January 1, 2003, cash interest will be payable semi-annually on J a n u a ry 1 and July 1 of each year. The notes and the warrants are separately transferable. The gross proceeds to the Company was DM 150.0 million (approximately $83.1 million) re p resenting an issue price of DM 616.75 per DM 1,000 principal amount at maturity. Of this amount, $1.7 million has been allocated to the warrants within stockholders' equity to reflect their fair market value on the date of issuance. Net p roceeds to the Company after underwriting discount and offering expenses were DM 145.1 million (approximately $81.3 million).\n\nPursuant to the Company's indenture, the Company is subject to certain restrictions and covenants, including, without limitation, covenants with respect to the following matters: (i) limitation on additional indebtedness; (ii) limitation on restricted payments; (iii) limitation on issuance and sales of capital stock of restricted subsidiaries; (iv) limitation on transactions with affiliates; (v) limitation on liens; (vi) limitation on guarantees of indebtedness by restricted subsidiaries; (vii) purchase of Euronet notes upon a change of control; (viii) limitation on sale of assets; (ix) limitation on dividends and other payment restrictions affecting restricted subsidiaries; (x) limitation on investments in u n restricted subsidiaries; (xi) limitation on lines of business; and (xii) provision of financial statements and re p o rts. The Company is in compliance with these covenants at December 31, 2000.\n\nDuring 1999, the Company re p u rchased notes with a face value of DM 22.0 million and 65,850 warrants for a total purchase price of $5.2 million. This re p u rchase was accounted for as an extinguishment of debt with a resulting $2.7 million (net of income taxes of $0) re c o g n i z e d as an extraord i n a ry gain on such extinguishment. The extinguishment gain re p resents the diff e rence between the allocated carrying value of the debt extinguished ($8.1 million) and the consideration paid ($5.0 million), offset by the write-off of the allocated unamortized deferre d financing costs ($300,000). Of the total purchase price of $5.2 million, $176,000 was allocated to the warrants based on their fair market value at the time of purchase and re c o rded as an adjustment to additional paid-in capital. Of the total extinguishment gain, $803,000 was re c o rded in the fourth quarter of 1999 relating to the purchase of notes with a face value of DM 7.6 million on December 13, 1999.", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The Company re c o rded an $800,000 write-down of certain ATM hard w a re assets associated with the p u rchase of the Budapest Bank ATM network in May 2000 and the Service Bank ATM network in M a rch 1999 (see Note 10 to the Consolidated Financial Statements – Asset Write Down). In addition, the Company re c o rded a one-time gain in its Central European Sub-segment of $1.2 million. The gain is related to a change in Hungarian law that eliminates a major portion of the Company's liability for import taxes on ATM hard w a re to the Hungarian government. The gain is included as an element of direct operating costs.\n\nThe operating expenses for the Central European Sub-segment totaled $21.7 million for the year ended December 31, 2000 as compared to $20.7 million for the year ended December 31, 1999, an i n c rease of 5%. The increase in operating expenses is largely the result of an increase in the number of ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and increased transaction volumes.\n\nThe operating expenses for the We s t e rn European Sub-segment totaled $18.9 million for the year\n\nended December 31, 2000 as compared to $16.5 million for the year ended December 31, 1999, an increase of 15%. The increase in operating expenses is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction volumes.\n\nThe operating expenses for the Other ATM Operations Sub-segment were $2.4 million for the year ended December 31, 2000 as compared to $2.2 million for the year ended December 31, 1999, an increase of 9%. The operating expenses from this segment are the result of the acquisition of the Dash network located in the United States in August 1999 and the unallocated costs associated with the Company's processing facilities.\n\nD i rect operating costs in the Network Services Segment consist primarily of: ATM installation costs; ATM site rentals; and costs associated with maintaining ATMs, ATM telecommunications, interest on network cash and cash delivery and security services to ATMs. Such costs increased to $24.4 million for the year ended December 31, 2000 from $21.9 million for the year ended December 31, 1999. The increase in direct operating costs is primarily attributable to costs associated with operating the increased number of ATMs in the network during the periods. Also, i n t e rcompany allocations were made to charge the ATM operations with transaction switching and bank connection fees associated with the operations central processing center in Budapest. These allocations totalled $3.5 million and $2.9 million for the years ended December 31, 2000 and 1999, re s p e c t i v e l y. Direct operating costs for 2000 include a one-time gain of $1.2 million due to a change in Hungarian law that eliminates a major portion of the Company's liability for import taxes on ATM hard w a re. Direct operating costs also include a $657,000 gain realized in 1999 f rom the sale of the Croatian network assets. The components of direct operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| ATM communication | $ | 4 , 1 8 3 | $ | 3 , 9 8 2 |\n| ATM cash filling and interest on network cash | | 7 , 4 2 6 | | 5 , 9 0 0 |\n| ATM maintenance | | 3 , 9 8 7 | | 2 , 9 6 7 |\n| ATM site re n t a l | | 2 , 2 5 8 | | 2 , 4 2 1 |\n| ATM installation | | 6 7 5 | | 7 8 3 |\n| Transaction processing and ATM monitoring | | 5 , 2 4 2 | | 4 , 2 0 5 |\n| O t h e r | | 6 0 0 | | 1 , 6 6 3 |\n| Total direct operating expenses | $ | 2 4 , 3 7 1 | $ | 2 1 , 9 2 1 |\n\nAs a percentage of network revenue, direct operating costs fell from 83% for the year ended December 31, 1999 to 66% for the year ended December 31, 2000. On a per ATM basis the direct operating costs fell from $12,782 per ATM for the year ended December 31, 1999 to $9,807 per ATM for the year ended December 31, 2000, an improvement of 23%. On a per transaction basis the direct operating costs fell from $0.66 per transaction for the year ended December 31, 1999 to $0.46 per transaction for the year ended December 31, 2000, an improvement of 30%.\n\nSegment salaries and benefits increased to $7.4 million for the year ended December 31, 2000 from $7.2 million for the year ended December 31, 1999, an increase of 3%. The increase in the year-on-year expenses reflect the continued expansion of the operations to We s t e rn Euro p e a n markets with significantly higher labor costs than Central Europe as well as some increases in staff levels at the processing center re q u i red to maintain quality service in line with the rising transaction volumes. As a percentage of Network Services Segment revenue, salaries and benefits fell from 27% for the year ended December 31, 1999 to 20% for the year ended December 31, 2000.\n\nSelling, general and administrative costs allocated to the Network Services Segment decreased to $2.4 million for the year ended December 31, 2000 from $2.9 million for the year ended December 31, 1999. The $500,000 cost decrease for the year ended December 31, 2000 results fro m the net effect of (1) a $600,000 increase in the allocation of costs from the selling, general and administrative line of the Budapest pro c e s s i n g center to the operating cost line, as discussed above, from $2.9 million for the year ended December 31, 1999 to $3.5 for the year ended December 31, 2000 and (2) a $100,000 increase in costs associated with the expansion of the Company's network operations.\n\nD e p reciation and amortization increased to $8.0 million for the year ended December 31, 2000 from $7.4 million for the year ended December 31, 1999. The increases are due primarily to the increase in the number of owned ATMs as discussed pre v i o u s l y. The Company also re c o rded an $800,000 write-down of certain ATM hard w a re assets for the year ended December 31, 2000, as previously discussed.", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "*\"In 2000 we took great pride in Euronet's Fast 500 ranking by Deloitte & Touche as the second fastest growing technology company in North America.\"* \n\nDuring 2000, we failed to meet our revenue target for our software division. In the Fourth Quarter, we initiated the steps necessary to rightsize our software business and to bring costs in line with ongoing revenue expectations. However, owning this software division gives us control of software development. It also provides the expertise and\n\nflexibility to adapt to emerging transaction needs and to bring new payment solutions quickly to market, which enhances our outsourcing opportunities. The software business is very valuable to Euronet and completes our service offering. We expect it to be a\n\npositive contributor to our bottom line going forward.\n\nSince founding Euronet in 1994, we've worked hard to establish the company as a leader in the field of secure electronic financial transactions and to grow our presence worldwide. So in 2000 we took great pride in Euronet being ranked by Deloitte &\n\nTouche as the second fastest growing technology company in North America based on our five-year revenue growth of 66,790%.\n\nWe're continuing to build on our recurring revenue stream through transaction channels that reinforce our strengths as an electronic payments processor.\n\n> Today, we're expanding the reach of our ATM networks, delivering innovative new mobile operator services and tapping the promise of mobile commerce with an expanding suite of wireless solutions. Based on this strong foundation,\n\nour future has more potential than ever before.\n\nWe're excited about the possibilities ahead as we continue to form the digital bridges that will position Euronet Worldwide as a global leader in secure electronic financial transactions.\n\nMichael J. Brown *Chairman & CEO*\n\nDaniel R. Henry *Chief Operating Officer*", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "guarantees for financial instruments and as deposits with customs officials. The decrease resulted primarily from the settlement of the forw a rd f o reign exchange contracts using restricted cash and a release of restricted cash resulting from the posting of a surety bond with the Hungarian banking institution that supplies cash to the Company's ATM network in Hungary.\n\n**Trade Accounts** Trade accounts receivable increased to $9.5 million at December 31, 2000 from $7.9 million at December 31, 1999 due primarily to sales from the Software Solutions Segment and increased Network Services Segment revenues.\n\n**P r o p e r t y, Plant and Equipment** Net pro p e rt y, plant and equipment decreased to $31.7 million at December 31, 2000 from $36.7 million at December 31, 1999. This decrease is due primarily to a reduction in the rate of installation of ATMs and fixed asset additions. Fixed asset d e p reciation was in excess of fixed asset additions, and the write-off of $800,000 in ATM hard w a re further reduced the net fixed asset position.\n\n**Intangible Assets** The decrease in net intangible assets to $2.6 million at December 31, 2000 from $16.3 million at December 31, 1999 is due primarily to the $11.2 million write-down of goodwill and other identifiable intangible assets associated with the Software Solutions Segment (see Note 9 to the Consolidated Financial Statements – Intangibles). In addition, the decrease is the result of amortization of purchased intangibles a c q u i red in the Euronet USA acquisition in 1998, and the SBK and Dash acquisitions in 1999.\n\n**Current Liabilities** C u rrent liabilities decreased to $20.5 million at December 31, 2000 from $26.9 million at December 31, 1999. This decre a s e is due primarily to decreases in accrued expenses, billings in excess of costs and estimated earnings on software installation costs and settlement of the forw a rd foreign exchange contracts.\n\n**Capital Lease** Total capital lease obligations including current installments increased to $11.5 million at December 31, 2000 from $10.6 million at December 31, 1999. This increase is due primarily to additional capital leases resulting from the Company's purchase of Budapest Bank's AT M network, consisting of 147 ATMs on May 1, 2000.\n\n**Notes Payable** Notes payable increased to $77.2 million at December 31, 2000 from $72.8 million at December 31, 1999. This is the result of several transactions as follows:\n\n| | (in millions) | |\n| --- | --- | --- |\n| Balance at December 31, 1999 | $ | 7 2 . 8. |\n| U n realized foreign exchange gain (DEM vs. US$) | | (4.4) |\n| A c c retion of bond intere s t | | 8 . 8. |\n| Balance at December 31, 2000 | $ | 7 7 . 2. |\n\n**S t o c k h o l d e r's Deficit** Stockholders' deficit increased to $44.8 million at December 31, 2000 from $9.5 million at December 31, 1999. This is due to the net loss for the year ended December 31, 2000 of $49.6 million which was offset by an increase in additional paid in capital of $14.4 million due to the sale of 1,882,723 shares of common stock for proceeds of $13.0 million, the issue of $400,000 of warrants and the exercise of 390,231 stock options for proceeds of $900,000.\n\n#### **Year 2000 Compliance**\n\nThe Company's European and U.S. Year 2000 compliance teams re p o rted no material Year 2000 problems during the advent of the year 2000, either with Euro n e t 's own systems or the systems of its customers. The Company is unaware of any material Year 2000 complications to date.\n\n#### **Impact of New Accounting Pronouncements Not Yet Adopted**\n\n**S FAS 133** The Company is re q u i red to adopt Statement of Financial Accounting Standard (SFAS) No. 133 \"Accounting for Derivative I n s t ruments and Hedging Activities\" as amended by SFAS No. 138 for US GAAP re p o rting as of 1 January 2001. SFAS 133 and 138 establish accounting and re p o rting standards for derivative instruments, including certain derivative instruments embedded in other contracts (collectively re f e rred to as derivatives).\n\nIn accordance with SFAS No. 133, entities are re q u i red to carry all derivative instruments on the balance sheet at fair value. The accounting for movements in fair value of derivatives depends upon whether it has been designated and qualifies as part of a hedging relationship and, if so, the reason for holding it. If certain conditions are met, the Company may elect to designate a derivative instrument as a hedge of exposures. If the hedged exposure is a fair value exposure, movements in fair value are recognized in earnings with the offsetting gain or loss on the hedged item attributable to the hedged risk. If the hedged exposure is a cash flow exposure, the effective portion of the movement in fair value of the derivative i n s t rument is initially re p o rted as a component of other comprehensive income and subsequently reclassified into earnings at the time the f o recasted transaction impacts earnings. Amounts excluded from the assessment of hedge effectiveness as well as the ineffective portion of movements in fair value of the derivative instrument are re p o rted in earnings in the current period. Accounting for foreign currency hedges is similar to the accounting for fair value and cash flow hedges. If a derivative instrument is not designated as a hedge, movements in the fair value of derivative instruments are recognized in earnings.\n\nUnder the provisions of SFAS No. 133, the method that the Company will use to assess effectiveness of a hedge, as well as the measure m e n t a p p roach for determining the ineffectiveness of a hedge, must be established at the inception of a hedge. The Company formally documents all relationships between hedging instruments and hedged items as well as its risk management objective and strategy for entering into the transaction. This process includes linking derivatives designated as fair value or cash flow hedges to specific assets, liabilities or firm commitments on forecasted transactions. This process is repeated on a periodic basis. If at any time the Company determines a hedge is no longer eff e c t i v e , hedge accounting is immediately discontinued and the derivative is marked to market with any gain or loss re c o rded in earnings.\n\nThe Company adopted the provisions of SFAS No. 133 on 1 January 2001 and this had no impact on the Company's consolidated financial statements as the Company does not have any derivative financial instruments. Future changes in the fair value for any remaining trading securities will be re c o rded through earnings. Changes in fair value of available for sale securities will be re c o rded in other comprehensive income.", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "At December 31, 2000 the Company had cash and cash equivalents of $7.2 million and working capital of $3.6 million. The Company had $2.1 million of restricted cash held as security with respect to cash provided by banks participating in Euro n e t 's ATM network, to cover guarantees on financial instruments and as deposits with customs officials (See Note 7 to the Consolidated Financial Statements – Restricted cash). In addition to the assets held on the balance sheet at December 31, 1999 the Company held re p u rchased notes payable with a face value of 48.4 million Deutsche Marks ($23.3 million as at December 31, 2000 based on a USD to DM rate of 1:2.08) and a fair market value at December 31, 2000 of $9.3 million (See Note 20 to the Consolidated Financial Statements – Financial instruments).\n\nOn June 28, 2000 the Company entered into an unsecured revolving credit agreement (the \"Credit Agreement\") providing a facility of up to $4.0 million from three shareholders as follows: DST Systems in the amount of $2.4 million; Hungarian-American Enterprise Fund in the amount of $1.0 million; and Michael J. Brown in the amount of $600,000. The facility was available to be drawn upon until December 28, 2000, with repayment of any draws being due June 28, 2001. On December 28, 2000 the facility was amended and renewed for a further six months and is available to be drawn until June 28, 2001 with repayments of any draws being due December 28, 2001. Draws on the facility will accrue intere s t at 10 percent per annum, payable quart e r l y. A \"commitment\" fee was paid for the initial facility of 100,000 warrants issued pro- rata to the lenders with a warrant strike price set at the average share price, as quoted on NASDAQ for 10 trading days prior to the warrant issue date, less 10 percent. An additional fee of 100,000 warrants, on the same terms, was paid for the subsequent extension of the facility. Wa rrants are to be issued on similar terms and conditions for each draw on the facility at the rate of 80,000 warrants for each $1.0 million of funds drawn. As of M a rch 1, 2001, the Company had not made any draws under the Credit Agreement.\n\nOn Febru a ry 25, 2000 the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the C o m p a n y. Closing under those agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in transactions exempt from registration under the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price of each s h a re was $6.615, which re p resents ninety percent of the average closing price for the ten trading days prior to and including Febru a ry 15, 2000. The aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for each two s h a res of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euronet common stock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement.\n\nIn April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the C o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the exemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of $12.50, expiring in each case on the one year anniversary date of the subscription agreement.\n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s w e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million.\n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between 8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the Consolidated Financial Statements - Leases.)\n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company intends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This strategy should reduce the Company's reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and capital lease payments for 2001 are expected to be approximately $6.2 million in the Company's existing markets, notably We s t e rn and Central E u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company's strategy may re q u i re additional capital expenditures.\n\nBased on the Company's current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M network will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t operating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m commenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The Company believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it achieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements.\n\n#### BA L A N C E SH E E T IT E M S\n\n**Cash and Cash Equivalents** The decrease of cash and cash equivalents to $7.2 million at December 31, 2000 from $15.0 million at December 31, 1999 is due primarily to the net effects of working capital movements, foreign exchange gains and losses, the settlement of a forw a rd fore i g n exchange contract, private placement of common shares, capital expenditures and capital lease payments, and operating losses for the year ended December 31, 2000. (See Note 21 to the Consolidated Financial Statements – Reconciliation of net loss to net cash used in operating activities and the Consolidated Statements of Cash Flows.)\n\n**Restricted Cash** Restricted cash decreased to $2.1 million at December 31, 2000 from $10.9 million at December 31, 1999. The majority of restricted cash was held as security with respect to cash provided in Hungary by banks participating in Euro n e t 's ATM network, to cover", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "**Euronet Worldwide Annual Report 2000**\n\nSECURE FINANCIAL TRANSACTIONS AN Y TIME, AN Y PLACE", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## **To Our Shareholders**\n\n*In our report to you last year, we noted that Euronet's success has been built in large part on the question \"Would you like another transaction?\" The answer from our clients and their customers was a resounding \"Yes!\"* \n\n*To reflect the rapid changes taking place in financial transactions worldwide, even that question has evolved. So in 2000, we also began asking \"How would you like your next transaction?\"*\n\nIn 2000, Euronet Worldwide focused on providing ways people can access their financial accounts and transactions through various electronic touchpoints. New secure transaction types and touchpoints—ATMs, point-of-sale (POS) devices, the Internet and mobile phones—continued to fuel transaction growth every month. In 2000, we processed a record 52.7 million billable transactions, a 60% increase over 1999, and in December 2000, our transaction levels exceeded 5 million per month and continue to accelerate.\n\n> Taken together, our transaction growth and expanding number of consumer touchpoints translated into an accelerating and recurring revenue stream, which greatly improved our bottom line. Our 2000 revenue of $52.7 million represented a 27% increase over the company's 1999 revenue of $41.5 million. Euronet's 2000 EBITDA also improved $2.4 million, or 14.5%, over 1999.\n\n> > This year we continued to focus on our core business of ATM driving and transaction processing, and we pursued new transactions through our mobile and Internet banking solutions. We also implemented our bill payment initiative, starting with electronic payments for prepaid mobile airtime. We are pleased to report that in 2000 our Network Services business turned EBITDA positive and posted revenue of $36.9 million, an increase of 39% over 1999 revenue.\n\n> > > Additional milestones were reached through several new strategic partnerships we announced late in the year. Gemplus, Sila Communications and Aether Systems chose Euronet mobile products to supplement their product offerings, proving the strength of Euronet's mobile products. Teaming up with these partners will further increase the sales penetration of our suite of mobile payment solutions around the world.", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## **Bridging electronic payments in emerging markets**\n\n*New business solutions are thriving as traditional banking environments transition rapidly from cash to electronic payments and transactions.*\n\nhile credit is used for electronic transactions in Western Europe and North America, the model is quite different in many \"cash-based\" economies around the world. And that's where Euronet continues to look for new opportunities – particularly in the emerging W\n\n## **The Promise of Emerging Markets**\n\nExpanding Poland's Payment Infrastructure\n\nAlthough still under-\n\ndeveloped compared to western economies, Poland is one of the most dynamic and promising markets in all of Europe.\n\nSince entering Poland in 1995, Euronet Worldwide has become one of the largest transaction processing service providers in the country, establishing a network of over 600 ATMs and providing software to eight major banks. Our agreement for electronic airtime distribution with all three mobile phone operators in the country – ERA GSM, Plus GSM and IDEA Centertel – further confirms that Euronet is embedded in the financial payments fabric in Poland.\n\nmarkets of Central Europe, the Middle East, Africa, Asia-Pacific, Latin America and the Caribbean.\n\nAlthough bank card use is just starting in these markets, the demand for non-cash payment is gaining momentum. The foundation for this marketplace is rapidly taking shape with greater technology support, well-designed infrastructure and rapidly growing networks, as well as a critical mass of users. So the shift to new electronic payment channels is on, and the number of electronic financial transactions has grown tremendously.\n\nEuronet Worldwide continuously monitors cash-based economies to identify their readiness to embrace electronic payment and transaction alternatives. With ATM, point-of-sale (POS), interactive voice response (IVR), Internet, mobile solutions and other innovative payment options, we can play a vital role in developing the electronic payments fabric of these countries.\n\nIn Greece, we are delivering ATM outsourcing solutions for a number of multinational banks with Greek operations. For Credigen Bank in Hungary, we are helping to open up the consumer credit market to a new base of shoppers who can perform POS and ATM transactions over Euronet's network. And in the Czech Republic we are providing outsourcing services for ABN AMRO's Visa Charge Card Program.\n\nLooking ahead, we see great potential for extending Euronet's brand into cash-based markets and for connecting a new world of users to dynamic transaction services.", - "page_start": 11, - "page_end": 11, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "**Operating Loss** The total Network Services Segment operating loss decreased to $6.1 million for the year ended December 31, 2000 from $12.9 million for the year ended December 31, 1999, an improvement of 53%, as a result of the factors discussed above. The Central European Subsegment re c o rded an operating loss of $3.1 million for the year ended December 31, 2000 compared to a loss of $8.0 million for the year ended December 30, 1999, an improvement of 61%, as a result of the factors discussed above. The We s t e rn European Sub-segment operating loss d e c reased to $2.3 million for year ended December 31, 2000 compared to a loss of $3.8 million for the year ended December 31, 1999, an i m p rovement of 39%, as a result of the factors discussed above. The Other ATM Operations Sub-segment incurred an operating loss of $700,000 for the year ended December 31, 2000 compared to a loss of $1.0 million for the year ended December 31, 1999, an improvement of 30%, as a result of the factors discussed above.\n\n#### Software Solutions Segment\n\n**Software Solutions Revenue** Revenues from the Software Solutions Segment totaled $16.0 million before inter-segment eliminations for the year ended December 31, 2000 as compared to revenue of $15.1 for the year ended December 31, 1999. Software revenues are grouped into four b road categories: software license fees, professional service fees, maintenance fees and hard w a re sales. Software license fees are the initial fees c h a rged by the Company for the licensing of its pro p r i e t a ry application software to customers. Professional service fees are charged for customization, installation and consulting services provided to customers. Software maintenance fees are the ongoing fees charged to customers for the maintenance of the software products. Hard w a re sales revenues are derived from the sale of computer products and are re p o rted net of cost of sales. The components of software solutions revenue for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| S o f t w a re license fees | $ | 4 , 1 1 7 | $ | 2 , 4 3 0 |\n| P rofessional service fees | | 6 , 8 6 7 | | 8 , 2 9 8 |\n| Maintenance fees | | 4 , 4 8 7 | | 4 , 0 5 1 |\n| H a rd w a re sales | | 5 3 5 | | 3 7 0 |\n| Total direct operating expenses | $ | 1 6 , 0 0 6 | $ | 1 5 , 1 4 9 |\n\nThe increases in software license fees from 1999 to 2000 can be attributed to an increased number of software sales contracts signed in 2000 as c o m p a red to 1999, primarily in the first half of the year 2000. Sales of the Company's core software products have dropped off substantially in the third and fourth quarter of 2000 and are expected to be soft again during 2001. The Company believes that revenues of the Software Solutions Segment will increasingly be derived from the Company's new set of software solutions, including its wireless banking solutions. The decreases in professional service fees from 1999 to 2000 can be attributed to increased efficiency in the installation of software.\n\n**Software Sales Backlog** The Company defines \"software sales backlog\" as fees specified in contracts which have been executed by the Company and for which the Company expects recognition of the related revenue within one year. At December 31, 2000 the revenue backlog was $3.5 million, as compared to December 31, 1999 the revenue backlog was $3.1 million. The increase in backlog from December 31, 1999 re s u l t s principally from growth in software sales. It is management's intention to continue to focus on expediting delivery and implementation of software in an eff o rt to reduce backlog while continuing sales growth.\n\nT h e re can be no assurance that the contracts included in backlog will actually generate the specified revenues or that the revenues will be generated within the one-year period.\n\n**Operating Expenses** S o f t w a re Solutions Segment operating expenses consist primarily of salaries and benefits, selling, general and administrative, and depreciation and amortization. In addition, the Company re c o rded a $11.2 million one-time write down of goodwill and other identifiable intangible assets associated with the Company's purchase of Euronet USA in December 1998 (see Note 10 to Consolidated Financial Statements – Asset Write Down). Total segment operating expenses increased to $37.5 million for the year ended December 31, 2000 from $22.3 million for the year ended December 31, 1999. The components of software solutions operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| D i rect operating costs | $ | 8 0 0 | $ | 1 , 0 8 9 |\n| Salaries and benefits | | 1 8 , 0 0 4 | | 1 3 , 9 5 3 |\n| Selling, general and administrative | | 5 , 2 6 6 | | 4 , 5 6 5 |\n| D e p reciation and amort i z a t i o n | | 2 , 2 1 5 | | 2 , 6 8 3 |\n| Asset write down | | 1 1 , 1 9 0 | | — |\n| Total direct operating expenses | $ | 3 7 , 4 7 5 | $ | 2 2 , 2 9 0 |\n\nThe Company has made planned increases in staff in order to increase sales, accelerate development of certain software enhancements and re d u c e d e l i v e ry times for software. These staff increases have resulted in a significant increase in salaries and benefits, which has contributed to the net losses of the Software Solutions Segment for the years ended December 31, 2000 and 1999. In January 2001, a reduction in the work force took place with the objective being to reduce costs to bring them more in line with the anticipated revenue.\n\nThe Company has an ongoing commitment to the development, maintenance and enhancement of its products and services. As a result of this commitment the Company has invested substantial amounts in re s e a rch and development. In part i c u l a r, the Company has invested and will continue to invest in new software products that will serve as the underlying application software that permits additional features and transactions", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "Under which name was the Applied company initially fouded ?", - "target_page": 6, - "target_passage": "The Company was founded in 1923 by Joseph M. Bruening as The Ohio Ball Bearing Company", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "### OVERVIEW\n\nWith more than 4,600 associates across North America, Applied Industrial Technologies (\"Applied,\" the \"Company,\" \"We,\" \"Us\" or \"Our\") is a leading industrial distributor serving MRO and OEM customers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers. We have a long tradition of growth dating back to 1923, the year our business was founded in Cleveland, Ohio. At June 30, 2012, business was conducted in the United States, Canada, Mexico and Puerto Rico from 476 facilities.\n\nWhen reviewing the discussion and analysis set forth below, please note that the majority of SKUs we sell in any given year were not sold in the prior year, resulting in the inability to quantify certain commonly used comparative metrics analyzing sales, such as changes in product mix and volume.\n\nOur fiscal 2012 sales were $2.4 billion, an increase of $162.6 million or 7.3% compared to the prior year. Net sales from acquired businesses added $16.6 million or 0.7% to the current year. Gross margin of 27.6% compares to 27.7% in the prior year. Our operating margin increased to 7.1% compared to the prior year's 6.8%. Our earnings per share was $2.54 versus $2.24 in fiscal year 2011, an increase of 13.4%.\n\nOur consolidated balance sheet remains strong. Shareholders' equity is $672.1 million, up from $633.6 million at June 30, 2011. Working capital increased $31.4 million from June 30, 2011 to $435.6 million at June 30, 2012. Our current ratio remains strong at 2.9 to 1, consistent with the June 30, 2011 level.\n\nApplied monitors several economic indices that have been key indicators for industrial economic activity in the United States. These include the Industrial Production and Manufacturing Capacity Utilization (MCU) indices published by the Federal Reserve Board and the Purchasing Managers Index (PMI) published by the Institute for Supply Management (ISM). Historically, our performance correlates well with the MCU which measures productivity and calculates a ratio of actual manufacturing output versus potential full capacity output. When manufacturing plants are running at a high rate of capacity, they tend to wear out machinery and require replacement parts. Our sales tend to lag the MCU by up to six months.\n\nIndustrial production increased 0.4% in June after having declined 0.2% in May. In the manufacturing sector, outputs advanced 0.7% in June, reversing a decline of 0.7% in May and increased at an annual rate of 1.4% in the second quarter. In June, capacity utilization for manufacturing moved up 0.4% to 77.7%, a rate 13.9 percentage points above its trough in June of 2009 and was still 1.1 percentage points below its long-run average. The ISM PMI registered 49.7 in June, the first time this indicator dropped below 50 (its expansionary threshold) since July 2009. We remain optimistic about the U.S. industrial economy for our fiscal 2013.\n\n## YEAR ENDED JUNE 30, 2012 vs. 2011\n\nThe following table is included to aid in review of Applied's statements of consolidated income.\n\n| | Year Ended June 30, | | Change in $'s Versus |\n| --- | --- | --- | --- |\n| | As a % of Net Sales | | Prior Period |\n| | 2012 | 2011 | % Increase |\n| Net Sales | 100.0% | 100.0 % | 7.3 % |\n| Gross Profit | 27.6% | 27.7 % | 6.7 % |\n| Selling, Distribution & Administrative | 20.5% | 20.9 % | 5.1 % |\n| Operating Income | 7.1% | 6.8 % | 11.7 % |\n| Net Income | 4.6% | 4.4 % | 12.4 % |\n\nNet sales in fiscal 2012 were $2.4 billion, which was $162.6 million or 7.3% above the prior year, driven by improvements in the industrial economy as well as a continued focus on profitable sales growth. Incremental net sales from companies acquired since the prior year period contributed approximately $16.6 million or 0.7%. Currency translation decreased fiscal year sales by approximately $1.8 million or 0.1%. In local currency, net sales from our Canadian operations were up 12.2% from fiscal 2011, including 2.8% from acquisitions. In local currency, net sales from our Mexican operations were up 25.9%. The number of selling days in fiscal 2012 was the same as in fiscal 2011.\n\nNet sales of our Service Center Based Distribution segment increased $133.8 million, or 7.6%, compared to fiscal year 2011 led by improvements in the industrial economy as well as a continued focus on profitable sales growth, with acquisitions adding $16.6 million or 0.9%. Net sales of our Fluid Power Businesses segment increased $28.8 million or 6.5%, also driven by improvements in the industrial economy as well as a continued focus on profitable sales growth.\n\nThe sales product mix for fiscal 2012 was 70.8% industrial products and 29.2% fluid power products compared to 70.5% industrial and 29.5% fluid power in the prior year.\n\nAt June 30, 2012, we had a total of 476 operating facilities in the U.S., Canada and Mexico versus 474 at June 30, 2011.\n\n1\n\n25358_AIT_Report_WT.indd 5 8/23/12 8:33 AM", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "*PURPOSE PRODUCT PERFORMANCE PEOPLE*\n\nApplied Industrial Technologies is a leading industrial distributor that offers more than four million parts to serve the needs of MRO and OEM customers in virtually every industry. In addition, Applied® provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers.\n\n**Headquarters:** Cleveland, Ohio, USA\n\n**Operating Facilities:** More than 500 in the United States, Canada, Mexico, Puerto Rico, Australia and New Zealand\n\n**E-Commerce:** www.Applied.com\n\n**Distribution Centers:** 9\n\n**Stock Keeping Units (SKUs) Available to Customers:** More than 4 million\n\n**Product Manufacturers:** More than 2,000\n\n**Stock Ticker Symbol:** AIT, listed on the New York Stock Exchange\n\n**Employee Associates:** Approximately 4,900\n\nData current as of August 1, 2012\n\n25358_AIT_Report_WT.indd 2 8/23/12 8:32 AM\n\nThis report contains statements that are forward-looking, as that term is defined by the Securities and Exchange Commission in its rules, regulations and releases. Applied intends that such forward-looking statements be subject to the safe harbors created thereby. All forwardlooking statements are based on current expectations regarding important risk factors, including those identified on page 12 of this report and in our Annual Report on Form 10-K for the fiscal year ended June 30, 2012. Accordingly, actual results may differ materially from those expressed in the forward-looking statements, and the making of such statements should not be regarded as a representation by Applied or any other person that results expressed therein will be achieved.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "(In thousands, except per share amounts)\n\n## NOTE 1: BUSINESS AND ACCOUNTING POLICIES\n\n#### Business\n\nApplied Industrial Technologies, Inc. and subsidiaries (the \"Company\" or \"Applied\") is a leading industrial distributor serving Maintenance Repair Operations (MRO) and Original Equipment Manufacturing (OEM) customers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers. Although the Company does not generally manufacture the products it sells, it does assemble and repair certain products and systems.\n\n#### Consolidation\n\nThe consolidated financial statements include the accounts of Applied Industrial Technologies, Inc. and its subsidiaries. Intercompany transactions and balances have been eliminated in consolidation. The financial results of the Company's Canadian and Mexican subsidiaries are included in the consolidated financial statements for the twelve months ended May 31.\n\n#### Statements of Consolidated Comprehensive Income\n\nAccounting Standards Codification (ASC) Topic 220 \"Comprehensive Income\" requires the reporting of comprehensive income in addition to net income. Effective for fiscal 2012 and retrospective for fiscal 2011 and 2010, the Company has elected to include a statement of consolidated comprehensive income as part of its basic consolidated financial statements. Prior to inclusion of the statement of consolidated comprehensive income, comprehensive income, other comprehensive income and the components of other comprehensive income were reported as part of the statement of consolidated shareholders' equity.\n\n#### Foreign Currency\n\nThe financial statements of the Company's Canadian and Mexican subsidiaries are measured using local currencies as their functional currencies. Assets and liabilities are translated into U.S. dollars at current exchange rates, while income and expenses are translated at average exchange rates. Translation gains and losses are reported in other comprehensive income (loss) in the statements of consolidated comprehensive income. Gains and losses resulting from transactions denominated in foreign currencies are included in the statements of consolidated income as a component of other expense (income), net.\n\n#### Estimates\n\n5\n\nSTATEMENTS OF CONSOLIDATED SHAREHOLDERS' EQUITY\n\nCommon Stock\n\n**Balance at July 1, 2009** 42,284 $ 10,000 $ 136,895 $ 560,574 $ (191,518 ) $ (7,849 ) $ 508,102 Net income 65,903 65,903 Other comprehensive income (loss) 1,801 1,801 Cash dividends — $0.60 per share (25,416 ) (25,416 ) Purchases of common stock for treasury (160 ) (3,929 ) (3,929 )\n\nExercise of stock appreciation rights and options 214 1,499 1,372 2,871 Deferred compensation plans 11 68 187 255\n\nand options 3,020 3,020 Other share-based compensation expense 2,106 2,106 Other 27 (403 ) 309 420 326 **Balance at June 30, 2010** 42,376 10,000 143,185 601,370 (193,468 ) (6,048 ) 555,039 Net income 96,759 96,759 Other comprehensive income (loss) 11,107 11,107 Cash dividends — $0.70 per share (29,751 ) (29,751 ) Purchases of common stock for treasury (190 ) (6,085 ) (6,085 )\n\nExercise of stock appreciation rights and options 379 (109 ) 706 597 Deferred compensation plans 6 102 119 221\n\nand options 2,473 2,473 Other share-based compensation expense 3,158 3,158 Other 31 (502 ) 43 504 45 **Balance at June 30, 2011 42,602 10,000 148,307 668,421 (198,224 ) 5,059 633,563** Net income **108,779 108,779** Other comprehensive income (loss) **(9,628 ) (9,628 )** Cash dividends — $0.80 per share **(33,800 ) (33,800 )** Purchases of common stock for treasury **(997 ) (31,032 ) (31,032 )** \n\nExercise of stock appreciation rights and options **250 (1,853 ) 1,448 (405 )** Performance share awards **91 (2,664 ) 714 (1,950 )** Deferred compensation plans **9 128 156 284** \n\nand options **2,058 2,058** Other share-based compensation expense **4,308 4,308** Other **12 (214 ) (40 ) 208 (46 ) Balance at June 30, 2012 41,967 $ 10,000 $ 150,070 $ 743,360 $ (226,730 ) $ (4,569 ) $ 672,131** \n\nAdditional Paid-In Capital\n\nIncome Retained for Use in the Business\n\nTreasury Sharesat Cost\n\nAccumulated Other Comprehensive Income (Loss)\n\nTotal' Shareholders' Equity'\n\nShares of Common Stock Outstanding\n\n(In thousands, except per share amounts)\n\nFor the Years Ended June 30, 2012, 2011 and 2010\n\nCompensation expense — stock appreciation rights\n\nCompensation expense — stock appreciation rights\n\nCompensation expense — stock appreciation rights\n\nSee notes to consolidated financial statements.\n\nTreasury shares issued for:\n\nTreasury shares issued for:\n\nTreasury shares issued for:\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amount of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amount of revenues and expenses during the period. Actual results may differ from the estimates and assumptions used in preparing the consolidated financial statements.\n\n#### Cash and Cash Equivalents\n\nThe Company considers all short-term, highly liquid investments with maturities of three months or less at the date of purchase to be cash equivalents. Cash and cash equivalents are carried at cost, which approximates fair value.\n\n#### Marketable Securities\n\nThe primary marketable security investments of the Company include money market and mutual funds held in a rabbi trust for a non-qualified compensation plan. These are included in other assets in the consolidated balance sheets, are classified as trading securities, and reported at fair value based on quoted market prices. Unrealized gains and losses are recorded in other expense (income), net in the statements of consolidated income and reflect changes in the fair value of the investments during the period.\n\n25358_AIT_Report_WT.indd 19 8/23/12 8:33 AM\n\n#### Concentration of Credit Risk\n\nThe Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a significant concentration of credit risk exists in its accounts receivable.", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "### Customers: *Expanding Our Value-Add*\n\nAt every level of the organization, our associates are committed to our customers' success. Simply stated, we keep industry running – productively – and our efforts and performance are regularly acknowledged. For the twelfth consecutive year, we earned Supplier of the Year status from Vulcan Materials Company for our strong execution in the areas of product quality, service, support, ease of transaction and value. And, just recently, Applied was named the recipient of Excellence, Innovation, and Sustainability awards from Eastman Chemical Company. This marks the first time in Eastman Chemical history that one company was selected to receive all three awards in a single year.\n\nWhile our Company is proud of these past achievements and our associates have earned well-deserved recognition for their hard work and dedication, we are not satisfied. We are committed to expanding our product offering, fully leveraging our service capabilities and delivering value-added solutions to our existing customers – and to new customers.\n\nNaturally, our success is greatly aided by the partnerships with our suppliers. We represent leading manufacturers with the highest quality brands – delivering innovative solutions for our customers' needs. Across our collective supply chain, we are committed to expanding our value-add and to generating success for our customers.\n\n## Acquisitions: *Extending Our Reach*\n\nStrategic acquisitions continue to play an important role in our overall growth strategy, as demonstrated in fiscal 2012. In August 2011, we entered the Montreal market with the acquisition of Chaines-Plus. In February 2012, we purchased two additional Quebec distributors – Solutions Industrielles Chicoutimi and Spécialités Industrielles Harvey – as part of our continuing strategy to expand in Eastern Canada. Together, these businesses distribute bearings, power transmission products, fluid power, and electrical components, in addition to providing various repair services.\n\nAcross our collective supply chain, we are committed to expanding our value-add and generating success for our customers.\n\n### **Net Income Per Share** (Dollars)\n\n* The goodwill impairment charge in fiscal 2009 reduced net income per share by $0.54.\n\n25358_AIT_Report_WT.indd 2 8/23/12 8:33 AM\n\n### **Shareholders' Equity** (Dollars in Millions)", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "### **SHAREHOLDER INFORMATION**\n\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most financial listings as \"AppliedIndlTch.\"\n\n#### **RESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:**\n\n#### **BB&T CAPITAL MARKETS**\n\nHolden Lewis, 703/471-3894\n\n**CJS SECURITIES** Jonathan Tanwanteng, 914/287-7600 **CLEVELAND RESEARCH COMPANY** Adam Uhlman, 216/649-7241\n\n#### **KEYBANC CAPITAL MARKETS** Jeffrey D. Hammond, 216/689-0236\n\n**SIDOTI & CO.** Joseph Mondillo, 212/894-3339 **GREAT LAKES REVIEW – Division of Wellington Shields & Co.** Elliott Schlang, 216/767-1340\n\n#### **SHAREHOLDER INQUIRIES**\n\nRequests to transfer Applied Industrial Technologies, Inc. shares and all correspondence regarding address change information, duplicate mailings, missing certificates, failure to receive dividend checks in a timely manner or to participate in the Company's direct stock purchase program should be directed to the Company's transfer agent and registrar:\n\n#### **COMPUTERSHARE TRUST COMPANY, N.A.**\n\n250 Royall Street Canton, MA 02021 800/988-5291\n\n#### **INVESTOR RELATIONS INQUIRIES SHOULD BE DIRECTED TO:**\n\n**MARK O. EISELE** Vice President – Chief Financial Officer & Treasurer Applied Industrial Technologies 1 Applied Plaza Cleveland, OH 44115-5014 Telephone: 216/426-4000, Fax: 216/426-4845\n\n#### **STEPHENS INC.**\n\nMatt Duncan, 501/377-3723 **WELLS FARGO SECURITIES, LLC**\n\nAllison Poliniak-Cusic, 212/214-5062 **WUNDERLICH SECURITIES**\n\nBrent D. Rakers, 901/251-2236\n\n#### **ANNUAL REPORT ON FORM 10-K**\n\n**The Applied Industrial Technologies, Inc. Annual Report on Form 10-K for the fiscal year ended June 30, 2012, including the financial statements and schedules thereto, is available at our website at www.Applied.com. It is also available without charge upon written request to the Vice President – Chief Financial Officer & Treasurer at the address shown.**\n\n#### **ANNUAL MEETING**\n\nThe Annual Meeting of Shareholders will be held at 10:00 a.m., Tuesday, October 23, 2012, at the Corporate Headquarters of Applied Industrial Technologies, 1 Applied Plaza, East 36th and Euclid Avenue, Cleveland, Ohio 44115.\n\n### **COMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN**\n\nApplied Industrial Technologies, Inc., Standard & Poor's 500, and Peer Group (Performance Results from 7/1/2007 through 6/30/2012)\n\n> Assumes $100 invested at the close of trading 6/30/07 in Applied Industrial Technologies, Inc. common stock, Standard & Poor's 500, and Peer Group.\n\n> Cumulative total return assumes reinvestment of dividends.\n\nThe returns of the companies in the Peer Group are weighted based on the companies' relative stock market capitalization.\n\nPeer Group companies selected on a line-of-business basis include: DXP Enterprises, Inc.; Fastenal Company; Genuine Parts Company; W. W. Grainger, Inc.; Kaman Corporation; Lawson Products, Inc.; MSC Industrial Direct Co., Inc.; and WESCO International, Inc.\n\n| | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 |\n| --- | --- | --- | --- | --- | --- | --- |\n| Applied Industrial Technologies, Inc. | $100.00 | $83.63 | $70.22 | $92.62 | $133.17 | $141.07 |\n| Standard & Poor's 500 | 100.00 | 86.88 | 64.11 | 73.36 | 95.88 | 101.10 |\n| Peer Group | 100.00 | 86.96 | 74.77 | 100.34 | 148.47 | 170.81 |\n\n25358_AIT_Report_WT.indd 45 8/23/12 8:33 AM\n\nSource: Value Line Publishing LLC", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Corporate Headquarters 1 Applied Plaza Cleveland, Ohio 44115 216/426-4000 **Applied.com**\n\n25358_AIT_Report_WT.indd 46 8/23/12 8:33 AM", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "### YEAR ENDED JUNE 30, 2011 vs. 2010\n\nThe following table is included to aid in review of Applied's statements of consolidated income.\n\n| | Year Ended June 30, As a % of Net Sales | | Change in $'s Versus Prior Period |\n| --- | --- | --- | --- |\n| | 2011 | 2010 | % Increase |\n| Net Sales | 100.0 % | 100.0 % | 16.9 % |\n| Gross Profit | 27.7 % | 27.2 % | 18.9 % |\n| Selling, Distribution & Administrative | 20.9 % | 21.4 % | 14.0 % |\n| Operating Income | 6.8 % | 5.8 % | 37.0 % |\n| Net Income | 4.4 % | 3.5 % | 46.8 % |\n\nNet sales in fiscal 2011 were $2.2 billion, which was $319.6 million or 16.9% above the prior year driven by improvements in the industrial economy. Incremental net sales from companies acquired in fiscal 2011 contributed approximately $40.8 million or 1.8%. Currency translation increased fiscal year 2012 sales by approximately $16.3 million or 0.7%. In local currency, net sales from our Canadian operations were up 23.1% from fiscal 2010, including 8.4% from acquisitions. In local currency, net sales from our Mexican operations were up 17.9%. The number of selling days in fiscal 2011 was the same as in fiscal 2010.\n\nNet sales of our Service Center Based Distribution segment increased $234.3 million, or 15.2%, compared to fiscal year 2010 led by improvements in the industrial economy, with acquisitions adding $40.8 million or 2.7%. Net sales of our Fluid Power Businesses segment increased $85.4 million or 23.9%, driven by improvements in the industrial economy.\n\nThe sales product mix for fiscal 2011 was 70.5% industrial products and 29.5% fluid power products compared to 71.7% industrial and 28.3% fluid power in the prior year.\n\nAt June 30, 2011, we had a total of 474 operating facilities in the U.S., Canada and Mexico versus 455 at June 30, 2010. The increase in operating facilities represented 11 new locations due to acquisitions, the opening of 2 new locations, the impact of redefining certain shop operations which added 11 locations, and the merger of 5 locations with other locations.\n\nOur gross profit margin increased to 27.7% in fiscal 2011 from 27.2% in fiscal 2010. LIFO benefits had a negative 1.0% impact on gross profit margin in fiscal 2011 versus fiscal 2010. LIFO benefits recorded during fiscal year 2011 totaled $5.3 million which provided an overall benefit in our gross profit percent of 0.2%. This compares to a LIFO benefit of $23.5 million in fiscal 2010 which added 1.2% to gross profit. Our focused efforts on\n\n2\n\nexpenses as a percent of sales helped offset the reduction in gross profit. Management continues to seek opportunities to take advantage of economies of scale to improve the SD&A\n\nInterest expense, net, decreased $1.7 million during fiscal 2012 compared with the prior year. We repaid all of our outstanding\n\nOther expense (income), net, represents certain non-operating items of income and expense. This was $1.6 million of expense in fiscal 2012 compared to income of $3.8 million of income in fiscal 2011. Current year expense primarily consists of foreign currency transaction losses of $1.6 million. Fiscal 2011 included $2.0 million of unrealized gains on investments held by nonqualified deferred compensation trusts and recognition of a $1.7 million gain from death benefits received under two life\n\nIncome tax expense as a percent of income before taxes was 34.8% for fiscal 2012 and 36.7% for fiscal 2011. The impact of lower effective tax rates and higher income in foreign jurisdictions favorably reduced our rate when compared to the U.S. federal statutory rate by 1.8%. Further reducing our rate compared to the U.S. federal statutory rate is a permanent dividend deduction benefit of 0.5%. These reductions compared to the U.S. federal rate were offset by the impact of state and local taxes which\n\nIn fiscal 2011, the impact of lower effective tax rates and higher income in foreign jurisdictions favorably reduced our rate when compared to the U.S. federal statutory rate by 1.0%. Further reducing our rate compared to the U.S federal statutory rate is a\n\nreductions compared to the U.S. federal rate were offset by the impact of state and local taxes and by provision made for U.S. income tax on a portion of undistributed earnings not considered permanently reinvested in our Canadian subsidiaries which increased the rate by 2.8% and 1.8%, respectively.\n\nWe expect our income tax rate for fiscal 2013 to be in the range\n\nAs a result of the factors addressed above, net income for fiscal 2012 increased $12.0 million or 12.4% from the prior year. Net income per share increased at a slightly higher rate of 13.4% due\n\nThe number of Company associates was 4,664 at June 30, 2012\n\npermanent dividend deduction benefit of 0.5%. These\n\ndebt in fiscal 2011 which lowered interest expense.\n\nexpenses in this segment.\n\ninsurance policies.\n\nincreased the rate by 2.5%.\n\nof 34.0% to 35.0%.\n\nto stock repurchases in fiscal 2012.\n\nand 4,640 at June 30, 2011.\n\nOur gross profit margin was 27.6% in fiscal 2012 versus 27.7% in fiscal 2011. Positive impacts as a result of higher supplier purchasing incentives offset the impact of lower LIFO layer liquidation benefits recognized in the current year ($3.4 million of LIFO layer liquidation benefits in fiscal 2012 versus $12.3 million\n\nSelling, distribution and administrative expenses (SD&A) consist of associate compensation, benefits and other expenses associated\n\nmanagement, and providing marketing and distribution of the Company's products, as well as costs associated with a variety of administrative functions such as human resources, information technology, treasury, accounting, legal, and facility related expenses. SD&A increased $23.7 million or 5.1% during fiscal 2012 compared to the prior year, and as a percent of sales decreased to 20.5% from 20.9% in fiscal 2011. Enterprise Resource Planning (ERP) project cash expenses were $18.3 million ($9.8 million above the prior year period). SD&A of businesses acquired since the prior year period added $5.6 million. Effective\n\nwith selling, purchasing, warehousing, supply chain\n\nDecember 31, 2011, the Executive Organization and Compensation Committee of the Board of Directors froze participant benefits (credited service and final average earnings) and entry into the Supplemental Executive Retirement Benefits Plan (SERP) which constituted a plan curtailment. As a result, we recognized $3.1 million in prior service costs upon curtailment of the plan in the second quarter of fiscal 2012. We also incurred one-time expenses associated with our CEO transition of $1.4 million in fiscal 2012. The translation impact of our foreign subsidiaries into U.S. dollars had an unfavorable impact of $0.5\n\nOperating income increased 11.7% to $168.4 million during fiscal 2012 from $150.8 million during 2011. As a percent of sales, operating income increased to 7.1% in the current year from 6.8% in 2011. The $17.6 million increase in operating income during fiscal 2012 primarily reflects higher sales levels and the impact of leverage on increased sales as we kept our SD&A to\n\n20.5% of sales in 2012 versus 20.9% in fiscal 2011.\n\n(representing 0.2% of the improvement).\n\nOperating income as a percentage of sales for the Service Center Based Distribution segment increased to 7.1% in fiscal 2012 from 6.5% in fiscal 2011, this increase is attributable to improved gross profit margins (representing 0.4% of the improvement) and higher sales levels without a commensurate increase in SD&A\n\nThe Fluid Power Businesses segment operating income decreased slightly to 9.2% in fiscal 2012 from 9.5% in fiscal 2011. This reduction is attributable to lower net gross profit margins primarily from one vertical market within one of our Fluid Power Businesses (representing 0.5% of the reduction). Lower SD&A\n\nmillion on SD&A in the year.\n\nin fiscal 2011).\n\n3\n\n25358_AIT_Report_WT.indd 7 8/23/12 8:33 AM\n\nselling products at a higher gross profit margin led to an approximate 0.9% improvement in gross profit margins. Other positive impacts on margins were an increase of approximately 0.4% from businesses acquired during the fiscal year and an increase of approximately 0.2% due to lower scrap expense.\n\nSD&A increased $56.7 million or 14.0% during fiscal 2011 compared to fiscal year 2010, and as a percent of sales decreased to 20.9% from 21.4% in fiscal 2010. Associate compensation and benefits, including amounts tied to financial performance, increased $27.4 million. Acquisitions added $18.4 million of SD&A compared to fiscal year 2010, including additional amortization expense of $1.4 million. Incremental expenses associated with the development of a new ERP platform totaled $8.6 million. Foreign currency translation had an unfavorable impact of $3.1 million in fiscal 2011.\n\nOperating income increased 37.0% to $150.8 million during fiscal 2011 from $110.1 million during 2010. As a percent of sales, operating income increased to 6.8% in fiscal 2011 from 5.8% in 2010. The $40.7 million increase in operating income during fiscal 2011 primarily reflects higher sales levels, improved gross profit margins and the impact of leverage on increased sales as we kept our SD&A to 20.9% of sales in 2011 versus 21.4% in fiscal 2010.\n\nOperating income as a percentage of sales for the Service Center Based Distribution segment increased to 6.5% in fiscal 2011 from 5.0% in fiscal 2010, this increase is attributed to higher sales levels without a commensurate increase in SD&A (representing 0.9% of the improvement) and improved gross profit margins (representing 0.6% of the improvement).\n\nThe Fluid Power Businesses segment operating income increased to 9.5% in fiscal 2011 from 7.5% in fiscal 2010, attributed to higher sales levels without a commensurate increase in SD&A (representing 1.5% of the improvement) and improved gross profit margins (representing 0.5% of the improvement).\n\nInterest expense, net, decreased $3.8 million during fiscal 2011 compared with the prior year. We repaid all of our outstanding debt in fiscal 2011 which lowered interest expense.\n\nOther expense (income), net, was $3.8 million of income in fiscal 2011 compared to income of $0.4 million in fiscal 2010. Fiscal 2011 included $2.0 million of unrealized gains on investments held by non-qualified deferred compensation trusts and recognition of a $1.7 million gain from death benefits received under two life insurance policies.", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "During December 1998, the Company re p u rchased notes with a face value of DM 26.4 million and 31,173 warrants for a total purc h a s e price of $5.5 million. This re p u rchase was accounted for as an extinguishment of debt with a resulting $2.9 million (net of income taxes of $1.5 million) recognized as an extraord i n a ry gain on such extinguishment. The extinguishment gain (pre-tax) re p resents the diff e re n c e between the allocated carrying value of the debt extinguished ($10.2 million) and the consideration paid ($5.5 million), offset by the writeo ff of the allocated unamortized deferred financing costs ($341,000).\n\nThe following table provides the composition of notes payable at December 31:\n\n| | 2 0 0 0 | | 1 9 9 9 | |\n| --- | --- | --- | --- | --- |\n| | | | (in thousands) | |\n| Principal amount | $ | 9 3 , 8 1 9. | $ | 1 0 0 , 1 1 3. |\n| U n a m o rtized discount | | ( 1 6 , 6 2 8 ) | | ( 2 7 , 3 1 3 ) |\n| C a rrying balance | $ | 7 7 , 1 9 1. | $ | 7 2 , 8 00. |\n\nThe effective interest rate relating to the aforementioned notes payable was 13.09% for 2000 and 1999. The interest expense was a p p roximately $8.8 million and $9.5 million for the years ended December 31, 2000 and 1999, re s p e c t i v e l y.\n\n#### **(12) Private Placement of Common Shares**\n\nIn July 2000, the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. Closing with respect to such sale took place on July 14, 2000 and August 29, 2000. These agreements were signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price of each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million.\n\nIn April 2000, the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common share s of the Company. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 shares took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt fro m registration under the United States Securities Act of 1933 (the \"Act\") pursuant the exemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of proceeds to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the accre d i t e d investors were issued one warrant, expiring in each case on the one year anniversary date of the subscription agreement, to purchase a share of Euronet common stock at a weighted average exercise price of $12.50.\n\nIn Febru a ry 2000, the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the C o m p a n y. Closing under these agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price of each share was $6.615, which re p resents 90% of the average closing price for the ten trading days prior to and including Febru a ry 15, 2000. The aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euro n e t common stock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement.\n\n#### **(13) Credit Facility**\n\nOn June 28, 2000 the Company entered into an unsecured revolving credit agreement (the \"Credit Agreement\") providing a facility of up to $4.0 million from three shareholders as follows: DST Systems in the amount of $2.4 million; Hungarian-American Enterprise Fund in the amount of $1.0 million; and Michael J. Brown in the amount of $600,000. The facility was available to be drawn upon until December 28, 2000, and repayment of any draws was due June 28, 2001. On December 28, 2000 the facility was amended and renewed for a further six months and is available to be drawn until June 28, 2001 with repayment of any draws being due December 28, 2001. Draws on the facility will accrue interest at 10 percent per annum, payable quart e r l y. A \"commitment\" fee was paid for the initial facility of 100,000 warr a n t s issued pro-rata to the lenders with a warrant strike price set at the average share price, as quoted on NASDAQ for 10 trading days prior to the warrant issue date, less 10 percent. An additional fee of 100,000 warrants, on the same terms, was paid for the subsequent extension of the facility. Wa rrants are to be issued on similar terms and conditions for each draw on the facility at the rate of 80,000 warrants for each $1.0 million of funds drawn. As of March 1, 2001, the Company had not made any draws under the Credit Agreement.\n\n#### **(14) Forward Foreign Exchange Contracts**\n\nOn May 26, 1999, the Company entered into foreign currency call options with Merrill Lynch to purchase Euro 79.3 million for $85.9 million and foreign currency put options to sell $83.6 million for Euro 79.3 million on May 26, 2000 (the \"Settlement Date\"). Under such contracts, the Company would be re q u i red to make a cash payment to Merrill Lynch on May 31, 2000, should the Euro weaken against the US Dollar and fall below $1.055 (the \"Floor Rate\") on the Settlement Date. At the same time, should the Euro strengthen against the U.S. dollar and rise above $1.0835 to the Euro (the \"Ceiling Rate\") the Company would receive a cash payment from Merrill Lynch depending upon the Euro/Dollar exchange rate on such Settlement Date.", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "#### **22. SUBSEQUENT EVENTS**\n\nOn 25 August 2000 the Company announced that it had reached two agreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company at an issue price of 30 cents each (Shares).\n\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000 Shares by 29 September 2000, followed by, if approved of by shareholders at the Company's annual general meeting, a further 3,441,666 within 7 days of that meeting.\n\nOn Mr Bradley being appointed a Director of the Company, in order to comply with the requirements of the Corporations Law and the ASX Listing Rules, the Company and Mr Bradley agreed to defer the first issue of Shares, making both issues conditional on shareholder approval.\n\nThe second agreement was with Clough Engineering Limited, pursuant to which it agreed to take a placement of 3,225,000 Shares by 29 September 2000, followed by, if approved of by shareholders at the Company's annual general meeting, 6,775,000 shares, within 7 days of that meeting.\n\nOn 15 June 2000 the Company announced that with effect from 1 July 2000 it acquired a 50% interest in OIS MOC Joint Venture Pty Ltd, to be paid for by the issue of 800,000 Shares in the Company. OIS MOC Joint Venture Pty Ltd owns the goodwill of a successful labour hire company. That company is to be renamed Mermaid Labour and Management Limited (MLML).\n\nMLML offers a full labour hire service inclusive of industrial relations consultancy, negotiating agreements and awards and were appropriate, provides ongoing management of the labour force.\n\nThe financial effect of the above events have not been reflected in these financial statements.\n\n# **2000 1999 Cents per Cents per Share Share** Basic earnings per share (0.62) 8.09 Diluted earnings per share (0.21) 8.05 **2000 1999 No. No.** Weighted average number of ordinary shares on issue used in the calculation of basic earnings per share 43,000,000 30,356,164\n\n#### **23. EARNINGS PER SHARE**", - "page_start": 56, - "page_end": 56, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "on the Company's ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y i n t roduced to the market. The Company's re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e marketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total f i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company's accounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. Technological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and testing activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , and technical perf o rmance re q u i rements.\n\n**Operating Loss** The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 million for the year ended December 31, 1999 as a result of the factors discussed above\n\n#### Corporate Services Segment\n\n**Operating Expenses** Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 f rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| Salaries and benefits | $ | 3 , 8 1 3 | $ | 3 , 3 3 5 |\n| Selling, general and administrative | | 3 , 8 4 1 | | 3 , 2 7 0 |\n| D e p reciation and amort i z a t i o n | | 2 0 8 | | 1 4 5 |\n| Total direct operating expenses | $ | 7 , 8 6 2 | $ | 6 , 7 5 0 |\n\nThe Company's expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these i n c reased expenditures.\n\n#### **Non-Operating Results for the Years Ended December 31, 2000 and 1999**\n\n**Interest Income** I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December 31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash as a result of negative cash flow from operations and capital expenditure s .\n\n**Interest Expense** I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended December 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange rate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the C o m p a n y 's Notes Payable for a full year in 1999 in comparison to 6 months' accretion in 1998.\n\n**Foreign Exchange Gain/Loss** The Company had a net foreign exchange loss of $3.2 million for the year ended December 31, 2000, as c o m p a red to $2.1 million for the year ended December 31, 1999, and $1.9 million for the year ended December 31, 1998. Exchange gains and losses that result from re - m e a s u rement of certain Company assets and liabilities are re c o rded in determining net loss. A portion of the assets and liabilities of the Company are denominated in Euros, including capital lease obligations, notes payable (including the Notes issued in the C o m p a n y 's public bond offering), cash and cash equivalents, investments, and forw a rd foreign exchange contracts. It is the Company's policy to attempt to match local currency receivables and payables. The foreign currency denominated assets and liabilities give rise to foreign exchange gains and losses as a result of U.S. dollar to local currency exchange movements.\n\n**Extraordinary Gain** In 1999 the Company re c o rded an extraord i n a ry gain of $2.8 million (net of income taxes of $0) following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $8.1 million less the consideration paid of $5.0 million, offset by the write-off of allocated unamortized deferred financing costs of $300,000. The Company has not re t i red the bonds re p u rchased.\n\nIn addition, the Company re p u rchased 97,023 warrants that were attached to the notes payable. Accord i n g l y, approximately $176,000 was allocated to the carrying value of the warrants which reduced additional paid-in capital.\n\nIn 1998 the Company re c o rded an extraord i n a ry gain of $2.9 million (net of income taxes of $1.5 million), following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $10.2 million less the consideration paid of $5.5 million, offset by the write-off of allocated unamortized deferred financing costs of $400,000. The Company has not re t i red the bonds re p u rchased.\n\n**Net Loss** The Company's net loss increased to $49.6 million for the year ended December 31, 2000, as compared to $30.9 million for the year ended December 31, 1999 and $28.4 million for the year ended December 31, 1998, as a result of the factors discussed above.\n\n#### LI Q U I D I T Y A N D CA P I TA L RE S O U R C E S\n\nSince its inception, the Company has sustained negative cash flows from operations and has financed its operations and capital expenditure s primarily through the proceeds from the 1998 issue of Deutsche Mark denominated notes payable, the Company's 1997 public equity off e r i n g , equipment lease financing and private placements of equity securities. The net proceeds of such transactions, together with revenues fro m operations and interest income have been used to fund aggregate net losses of approximately $123.8 million, investments in pro p e rt y, plant and equipment of approximately $52.8 million and acquisitions of $24.6 million.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "By how much does Applied company plan to contribute to its pension benefits between 2018 and 2022 ?", - "target_page": 36, - "target_passage": "2018 through 2022 15,200", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "#### (In thousands, except per share amounts)\n\n#### Salary Continuation Benefits\n\nThe Company has agreements with certain retirees of acquired companies to pay monthly retirement benefits through fiscal 2020.\n\nThe following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in\n\nJune 30, **2012** 2011 Projected benefit obligations **$ 47,151** $ 53,490 Accumulated benefit obligations **47,151** 43,528 Fair value of plan assets **6,439** 6,056\n\nYear Ended June 30, **2012--** 2011-- 2010-- **2012--** 2011-- 2010-- Service cost **$ 289** $ 460 $ 574 **$ 30** $ 39 $ 52 Interest cost **2,047** 2,232 2,911 **237** 235 259 Expected return on plan assets **(396 )** (385 ) (351 ) — — — Recognized net actuarial loss (gain) **644** 1,449 924 **(72 )** (83 ) (87 ) Amortization of prior service cost **412** 710 797 **139** 139 148 Recognition of prior service cost upon plan curtailment **3,117** — — — — — Net periodic cost **$ 6,113** $ 4,466 $ 4,855 **$ 334** $ 330 $ 372\n\nThe estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $735 and $83, respectively. The estimated net actuarial gain and prior service cost for the retiree health care benefits that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $(53) and $107, respectively.\n\nThe discount rate is used to determine the present value of future payments. In general, the Company's liability increases as the discount rate decreases and decreases as the discount rate increases. The Company computes a weighted-average discount rate taking into account anticipated plan payments and the associated interest rates from the Citigroup Pension Discount Yield Curve. The weighted-average actuarial assumptions used to determine benefit obligations and net periodic benefit cost for the plans were\n\nJune 30, **2012** 2011 **2012** 2011\n\nDiscount rate **2.8 %** 4.5 % **4.0 %** 5.5 % Rate of compensation increase **N/A** 5.5 % **N/A** N/A\n\nDiscount rate **3.5 %** 4.3 % **5.5 %** 5.5 % Expected return on plan assets **7.5 %** 7.5 % **N/A** N/A Rate of compensation increase **5.5 %** 5.5 % **N/A** N/A\n\nDue to freezing participant benefits in the SERP plan, the rate of compensation increase is no longer applicable. The assumed health care cost trend rates used in measuring the accumulated benefit obligation for retiree health care benefits were 7.5% and 8% as of\n\nEffect on total service and interest cost components of periodic expense $ 48 $ (39 ) Effect on postretirement benefit obligation 854 (701 )\n\nA one-percentage point change in the assumed health care cost trend rates would have had the following effects as of June 30,\n\nPension Benefits\n\nPension Benefits Retiree Health Care Benefits\n\nPension Benefits Retiree Health Care Benefits\n\nOne-Percentage Point Increase Decrease\n\nexcess of plan assets:\n\nAssumptions\n\nas follows:\n\nAssumptions used to determine benefit obligations at year end:\n\nJune 30, 2012 and 2011, respectively, decreasing to 5% by 2018.\n\n2012 and for the year then ended:\n\nAssumptions used to determine net periodic benefit cost:\n\nThe net periodic costs are as follows:\n\nRetiree Health Care Benefits \n\n> The Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. Premium payments are based upon current insurance rates for the type of coverage provided and are adjusted annually. Certain monthly health care premium payments are partially subsidized by the Company. Additionally, in conjunction with a fiscal 1998 acquisition, the Company assumed the obligation for a postretirement medical benefit plan which provides health care benefits to eligible retired associates at no cost to the individual.\n\nThe Company uses a June 30 measurement date for all plans.\n\nThe following table sets forth the changes in benefit obligations and plan assets during the year and the funded status for the postemployment plans at June 30:\n\n| | | | | Pension Benefits | | | Retiree Health Care Benefits | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | 2012 | | 2011 | | 2012 | | 2011. |\n| Change in benefit obligation: | | | | | | | | |\n| Benefit obligation at beginning of the year | $ | 53,490 | $ | 51,114 | $ | 4,667 | $ | 4,593 |\n| Service cost | | 289 | | 460 | | 30 | | 39 |\n| Interest cost | | 2,047 | | 2,232 | | 237 | | 235 |\n| Plan participants' contributions | | — | | — | | 47 | | 37 |\n| Benefits paid | | (4,144 ) | | (1,856 ) | | (256 ) | | (227 ) |\n| Amendments | | 150 | | 151 | | — | | — |\n| Actuarial loss (gain) during year | | 4,179 | | 1,389 | | 423 | | (10 ) |\n| Curtailment | | (8,860 ) | | — | | — | | — |\n| Benefit obligation at end of year | $ | 47,151 | $ | 53,490 | $ | 5,148 | $ | 4,667 |\n| Change in plan assets: | | | | | | | | |\n| Fair value of plan assets at beginning of year | $ | 6,056 | $ | 5,229 | $ | — | $ | — |\n| Actual (loss) gain on plan assets | | (30 ) | | 984 | | — | | — |\n| Employer contributions | | 4,557 | | 1,699 | | 209 | | 190 |\n| Plan participants' contributions | | — | | — | | 47 | | 37 |\n| Benefits paid | | (4,144 ) | | (1,856 ) | | (256 ) | | (227 ) |\n| Fair value of plan assets at end of year | $ | 6,439 | $ | 6,056 | $ | — | $ | — |\n| Funded status at end of year | $ | (40,712 ) | $ | (47,434 ) | $ | (5,148 ) | $ | (4,667 ) |\n\nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the postemployment plans were as follows:\n\n| | | | | Pension Benefits | | | Retiree Health Care Benefits | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| June 30, | | 2012 | | 2011 | | 2012 | | 2011. |\n| Amounts recognized in the consolidated balance sheets: | | | | | | | | |\n| Other current liabilities | $ | 6,018 | $ | 4,151 | $ | 220 | $ | 220 |\n| Postemployment benefits | | 34,694 | | 43,283 | | 4,928 | | 4,447 |\n| Net amount recognized | | 40,712 | $ | 47,434 | $ | 5,148 | $ | 4,667 |\n| Amounts recognized in accumulated other comprehensive income (loss): | | | | | | | | |\n| Net actuarial (loss) gain | | (10,112 ) | $ | (15,012 ) | $ | 398 | $ | 892 |\n| Prior service cost | | (279 ) | | (3,808 ) | | (135 ) | | (274 ) |\n| Total amounts recognized in accumulated other comprehensive income (loss) | | (10,391 ) | $ | (18,820) | $ | 263 | $ | 618 |\n\n25358_AIT_Report_WT.indd 32 8/23/12 8:33 AM", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## 24. Employee benefits and share-based payments continued\n\nSet out below are summaries of options under the plans.\n\n| | | Exercise | Balance | Granted | Expired | Balance | Vested and exercisable at |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | price | start of year | during year | during year | end of year | end of year |\n| Grant date | Expiry date | $ | Number | Number | Number | Number | Number |\n| Year ended 30 June 2013 – Employees | | | | | | | |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 481,000 | – | (481,000) | – | – |\n| Total | | | 481,000 | – | (481,000) | – | – |\n| Weighted average exercise price | | | $6.00 | – | $6.00 | – | – |\n| Year ended 30 June 2012 – Employees | | | | | | | |\n| 07 Jul 2006 | 01 Jul 2011 | $6.00 | 50,000 | – | (50,000) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $4.68 | 58,535 | – | (58,535) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 566,001 | – | (85,001) | 481,000 | 481,000 |\n| Total | | | 674,536 | – | (193,536) | 481,000 | 481,000 |\n| Weighted average exercise price | | | $5.89 | – | $5.60 | $6.00 | $6.00 |\n\nThe fair value of shares issued on the exercise of options is the weighted average price at which the Company's shares were traded on the Australian Securities Exchange on the day prior to the exercise of the options.\n\nThe weighted average remaining contractual life of share options outstanding at the end of the period was 2.59 years (2012: 2.95 years).\n\n| Year ended 30 June 2013 – Other | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 415,000 | – | (415,000) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $7.00 | 500,000 | – | (500,000) | – | – |\n| 26 Aug 2011 | 25 Aug 2014 | $10.36 | 1,500,000 | – | – | 1,500,000 | 1,500,000 |\n| 23 Sep 2011 | 22 Sep 2016 | $10.50 | 3,333,334 | – | – | 3,333,334 | 3,333,334 |\n| Total | | | 5,748,334 | – | (915,000) | 4,833,334 | 4,833,334 |\n| Weighted average exercise price | | | $9.83 | | $6.55 | $10.46 | $10.46 |\n| Year ended 30 June 2012 – Other | | | | | | | |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 415,000 | – | – | 415,000 | 415,000 |\n| 04 Apr 2008 | 03 Apr 2013 | $7.00 | 500,000 | – | – | 500,000 | 500,000 |\n| 26 Aug 2011 | 25 Aug 2014 | $10.36 | – | 1,500,000 | – | 1,500,000 | 1,500,000 |\n| 23 Sep 2011 | 22 Sep 2016 | $10.50 | – | 3,333,334 | – | 3,333,334 | 3,333,334 |\n| Total | | | 915,000 | 4,833,334 | – | 5,748,334 | 5,748,334 |\n| Weighted average exercise price | | | $6.55 | $10.46 | | $9.83 | $9.83 |\n\n#### Executive Rights Plan\n\nOn 1 July 2012, the Company introduced an Executive Rights Plan which involves the grant of two types of rights being performance rights and deferred rights. Subject to the satisfaction of the performance condition at the end of a three year measurement period in respect of performance rights and the service condition at the end of the three year vesting period in respect of deferred rights, the rights will vest. The first $1,000 of value per individual award is settled by cash with the balance settled by shares.", - "page_start": 97, - "page_end": 97, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The accumulated benefit obligation for the pension plan was $4,801,000 and $4,170,000 at December 31, 2003 and 2002, respectively. The components of net periodic pension cost for 2003, 2002 and 2001 were as follows (in thousands):\n\n| | | | | YEAR ENDED DECEMBER 31, | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | 2003 | | 2002 | | 2001 |\n| COMPONENTS OF NET PERIODIC PENSION COST: | | | | | | |\n| Service cost | $ | 214 | $ | 320 | $ | 369 |\n| Interest cost | | 298 | | 307 | | 296 |\n| Expected return on assets | | (349) | | (405) | | (477) |\n| Prior service cost amortization | | (37) | | 7 | | 6 |\n| Actuarial loss | | 128 | | 28 | | — |\n| Transition amount amortization | | (44) | | (44) | | (44) |\n| Net periodic pension cost | $ | 210 | $ | 213 | $ | 150 |\n\n## Actuarial assumptions used to determine benefit obligations at December 31 were as follows:\n\n| | 2003 | 2002 |\n| --- | --- | --- |\n| Discount rate | 6.50% | 7.00% |\n| Rate of compensation increase | 5.00% | 5.00% |\n\n## Actuarial assumptions used to determine net periodic pension cost were as follows:\n\n| | | YEAR ENDED DECEMBER 31, | |\n| --- | --- | --- | --- |\n| | 2003 | 2002 | 2001 |\n| Discount rate | 7.00% | 7.25% | 7.25% |\n| Expected long-term return on assets | 8.00% | 9.00% | 9.00% |\n| Rate of compensation increase | 5.00% | 5.00% | 5.00% |\n\nThe Company's expected long-term rate of return assumption is based upon the plan's actual long-term investment results as well as the long-term outlook for investment returns in the marketplace at the time the assumption is made. The reduction in the Company's assumption for this expected return rate in the beginning of 2003 to 8 percent from 9 percent reflected the major downturn in returns on debt and equity investments that occurred in the investment markets in 2001 and 2002.\n\nThe Company's pension plan assets at December 31, 2003 and 2002 were invested in the following asset categories:\n\n| | 2003 | 2002 |\n| --- | --- | --- |\n| ASSET CATEGORY: | | |\n| Equity securities | 73% | 64% |\n| Debt securities | 25% | 28% |\n| Other | 2% | 8% |\n| Total | 100% | 100% |", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## EMPLOYEE RETIREMENT AND BENEFIT PLANS\n\n11\n\nA noncontributory defined benefit retirement plan is maintained for all regular employees of the Company except those of Quest Medical. This plan was amended effective January 1, 1998 to become a cash balance pension plan. The Company's funding policy is to make the annual contributions required by applicable regulations and recommended by its actuary. The Company uses a December 31 measurement date for the plan.\n\nThe changes in the plan's projected benefit obligation (\"PBO\") as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN BENEFIT OBLIGATION: | | | | |\n| Benefit obligation, January 1 | $ | 4,170 | $ | 4,599 |\n| Service cost | | 214 | | 320 |\n| Interest cost | | 298 | | 307 |\n| Amendments | | —- | | (616) |\n| Actuarial (gain)/loss | | 529 | | (93) |\n| Benefits paid | | (333) | | (347) |\n| Benefit obligation, December 31 | $ | 4,878 | $ | 4,170 |\n\nIn December 2002, the plan was amended to reduce benefit accruals for future service by plan participants by approximately 50 percent. This amendment caused a reduction in the PBO of approximately $616,000, and is reflected as a reduction in pension expense over the estimated employee service lives.\n\nThe changes in the fair value of plan assets, funded status of the plan and the status of the prepaid pension benefit recognized, which is included in the Company's balance sheets as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| CHANGE IN PLAN ASSETS: | | | | |\n| Fair value of plan assets, January 1 | $ | 4,383 | $ | 4,550 |\n| Actual return on plan assets | | 963 | | (750) |\n| Employer contributions | | 400 | | 930 |\n| Benefits paid | | (333) | | (347) |\n| Fair value of plan assets, December 31 | $ | 5,413 | $ | 4,383 |\n| Funded status of plan | $ | 535 | $ | 213 |\n| Unrecognized actuarial loss | | 1,941 | | 2,154 |\n| Unrecognized prior service cost | | (502) | | (539) |\n| Unrecognized net transition obligation | | (88) | | (132) |\n| Net amount recognized as other assets | $ | 1,886 | $ | 1,696 |", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Net periodic pension cost for the years ended December 31, 2002, 2001, and 2000, included:\n\n| | | Year Ended December 31, | |\n| --- | --- | --- | --- |\n| | 2002 | 2001 | 2000 |\n| Service cost - benefits earned during the period | $ 994,630 | $ 847,620 | $ 845,372 |\n| Interest cost on projected benefit obligation | 983,977 | 970,710 | 816,583 |\n| Expected return on plan assets | (880,562) | (1,153,733) | (1,058,787) |\n| Amortization of unrecognized net loss | 116,722 | - | - |\n| Amortization of prior-service cost | 17,960 | 17,961 | 17,961 |\n| Other | (59,405) | (58,954) | 58,779 |\n| Net periodic pension cost | $1,173,322 | $ 623,604 | $ 679,908 |\n\nThe following table sets forth the rates used in the actuarial calculations of the present value of benefit obligations and the rate of return on plan assets:\n\n| | 2002 | 2001 | 2000 |\n| --- | --- | --- | --- |\n| Weighted average discount rate | 6.9% | 6.9% | 7.5% |\n| Rate of increase in future compensation levels | 4% | 4% | 4% |\n| Expected long-term rate of return on assets | 6.5% | 8.5% | 8.5% |\n\nAs of December 31, 2002 and 2001, the fair value of the plan's assets included Company common stock valued at approximately $468,000 and $297,000, respectively.\n\nThe Company also provides a profit sharing plan, which covers substantially all full-time employees. The profit sharing plan is a defined contribution plan and allows employees to contribute up to 5% of their base annual salary. Employees are fully vested to the extent of their contributions and become fully vested in the Company's contributions over a seven-year vesting period. Costs related to the Company's defined contribution plan totaled approximately $2,681,000, $1,858,000 and $1,874,000 in 2002, 2001 and 2000, respectively, and are included in salaries and employee benefits in the accompanying consolidated statements of earnings. As of December 31, 2002 and 2001, the fair value of the plan's assets included Company common stock valued at approximately $14,323,000 and $10,881,000, respectively.\n\n#### 13. DIVIDENDS FROM SUBSIDIARIES:\n\nAt December 31, 2002, approximately $20,728,000 was available for the declaration of dividends by the Company's subsidiary banks without the prior approval of regulatory agencies.\n\n#### 14. REGULATORY MATTERS:\n\nThe Company is subject to various regulatory capital requirements administered by the federal banking agencies. Failure to meet minimum capital requirements can initiate certain mandatory, and possibly additional discretionary, actions by regulators that, if undertaken, could have a direct material effect on the Company's financial statements. Under capital adequacy guidelines and the regulatory framework for prompt corrective action, each of Bankshares' subsidiaries must meet specific capital guidelines that involve quantitative measures of the subsidiaries' assets, liabilities, and certain off-balance-sheet items as calculated under regulatory accounting practices. The subsidiaries' capital amounts and classification are also subject to qualitative judgments by the regulators about components, risk weightings, and other factors.", - "page_start": 86, - "page_end": 86, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **Note 9. Retirement Plans (Continued)**\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 thousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively.\n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named executives. The plan was established to provide retirement benefits in addition to those provided under the Retirement Plan that covers all employees. The following table presents the actuarial information for the plan.\n\n| | 2003 2003 | |\n| --- | --- | --- |\n| Change in benefit obligation: | (in thousands) (in thousands) | |\n| Benefit obligation, beginning | $ $ | - |\n| Service cost | | 22 |\n| Interest cost | | 23 |\n| Actuarial loss | | 278 |\n| Plan adoption | | 546 |\n| Benefit obligation, ending | $ 869 | |\n| Funded status | $ (869) | |\n| Unrecognized net loss | 278 | |\n| Additional minimum liability | (380) | |\n| Intangible asset | 380 | |\n| Unrecognized prior service cost | 521 | |\n| Accrued benefit cost | $ (70) | |\n| Components of net periodic benefit costs: | | |\n| Service cost | $ 22 | |\n| Interest cost | 23 | |\n| Amortization of prior service costs | 25 | |\n| Net periodic benefit cost | $ 70 | |\n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted of the following at December 31, 2003:\n\n| | 2003 |\n| --- | --- |\n| Discount rate | 6.00% |\n| Rate of increase in compensation levels | 4.50% |\n\n#### **Note 10. Stock Incentive Plan**\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the \"Plan\"), providing for the grant of incentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options to purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all grants has been at the current market price at the time of the grant. The grants have generally provided that one-half of the options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five years after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period beginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant after each anniversary date through the eighth year, with the options expiring after ten years.\n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the following weighted average assumptions:", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "### NOTE 11: LEASES\n\nPlan Assets\n\nallocation as of June 30:\n\nEquity securities do not include any Company common stock.\n\nfive years and in the aggregate for the subsequent five years:\n\nthe target asset allocation of the pension portfolio.\n\nAsset Class:\n\nCash Flows\n\nEmployer Contributions\n\nEstimated Future Benefit Payments\n\nThe fair value of each major class of plan assets for the Company's Qualified Benefit Retirement Plan are valued using quoted market prices in active markets for identical instruments, or Level 1 in the fair value hierarchy. Following are the fair values and target\n\nEquity securities 40 – 70% **$ 3,735** $ 3,876 Debt securities 20 – 50% **2,382** 1,756 Other 0 – 20% **322** 424 Total 100% **$ 6,439** $ 6,056\n\nThe Company has established an investment policy and regularly monitors the performance of the assets of the trust maintained in conjunction with the Qualified Defined Benefit Retirement Plan. The strategy implemented by the trustee of the Qualified Defined Benefit Retirement Plan is to achieve long-term objectives and invest the pension assets in accordance with ERISA and fiduciary standards. The long-term primary objectives are to provide for a reasonable amount of long-term capital, without undue exposure to risk; to protect the Qualified Defined Benefit Retirement Plan assets from erosion of purchasing power; and to provide investment results that meet or exceed the actuarially assumed long-term rate of return. The expected long-term rate of return on assets assumption was developed by considering the historical returns and the future expectations for returns of each asset class as well as\n\nThe Company expects to contribute $6,000 to its pension benefit plans and $240 to its retiree health care benefit plans in\n\nThe following benefit payments, which reflect expected future service, as applicable, are expected to be paid in each of the next\n\n2013 $ 6,200 $ 240 2014 5,900 240 2015 5,700 240 2016 4,500 240 2017 1,700 260 2018 through 2022 15,200 1,420\n\n2013. Contributions do not equal estimated future payments as certain payments are made from plan assets.\n\nDuring Fiscal Years Pension Benefits\n\nTarget Allocation Fair Value\n\n**2012** 2011\n\nRetiree Health Care\n\nBenefits\n\nThe Company leases its corporate headquarters facility along with many service center and distribution center facilities, vehicles and equipment under non-cancelable lease agreements accounted for as operating leases. The minimum annual rental commitments under non-cancelable operating leases as of June 30, 2012 are as follows:\n\n| During Fiscal Years | | |\n| --- | --- | --- |\n| 2013 | $ | 23,500 |\n| 2014 | | 18,000 |\n| 2015 | | 14,300 |\n| 2016 | | 9,600 |\n| 2017 | | 5,100 |\n| Thereafter | | 11,100 |\n| Total minimum lease payments | $ | 81,600 |\n\nRental expenses incurred for operating leases, principally from leases for real property, vehicles and computer equipment were $31,200 in 2012, $31,400 in 2011 and $30,700 in 2010.\n\n### NOTE 12: SEGMENT AND GEOGRAPHIC INFORMATION\n\nThe Company's reportable segments are: Service Center Based Distribution and Fluid Power Businesses. The Service Center Based Distribution segment provides customers with solutions to their maintenance, repair and original equipment manufacturing needs through the distribution of industrial products including bearings, power transmission components, fluid power components, industrial rubber products, linear motion products, safety products, general maintenance and a variety of mill supply products. The Fluid Power Businesses segment distributes fluid power components and operates shops that assemble fluid power systems and components, performs equipment repair, and offers technical advice to customers.\n\nThe accounting policies of the Company's reportable segments are generally the same as those described in Note 1. Sales primarily from the Fluid Power Businesses segment to the Service Center Based Distribution segment of $18,097, $17,665 and $14,006, in fiscal 2012, 2011 and 2010, respectively, have been eliminated in the table below.\n\n#### Segment Financial Information\n\n| | Service Center | | Fluid Power | |\n| --- | --- | --- | --- | --- |\n| | Based Distribution | | Businesses | Total |\n| Year Ended June 30, 2012 | | | | |\n| Net sales | $ | 1,904,564 | $ 470,881 | $ 2,375,445 |\n| Operating income for reportable segments | | 135,240 | 43,236 | 178,476 |\n| Assets used in the business | | 731,915 | 230,268 | 962,183 |\n| Depreciation and amortization of property | | 9,403 | 1,833 | 11,236 |\n| Capital expenditures | | 24,339 | 1,682 | 26,021 |\n| Year Ended June 30, 2011 | | | | |\n| Net sales | $ | 1,770,798 | $ 442,051 | $ 2,212,849 |\n| Operating income for reportable segments | | 115,798 | 41,793 | 157,591 |\n| Assets used in the business | | 700,486 | 214,445 | 914,931 |\n| Depreciation and amortization of property | | 9,152 | 2,082 | 11,234 |\n| Capital expenditures | | 19,392 | 1,039 | 20,431 |\n| Year Ended June 30, 2010 | | | | |\n| Net sales | $ | 1,536,543 | $ 356,665 | $ 1,893,208 |\n| Operating income for reportable segments | | 77,029 | 26,794 | 103,823 |\n| Assets used in the business | | 690,970 | 200,550 | 891,520 |\n| Depreciation and amortization of property | | 9,336 | 2,129 | 11,465 |\n| Capital expenditures | | 6,389 | 827 | 7,216 |\n\n25358_AIT_Report_WT.indd 35 8/23/12 8:33 AM", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "#### w. Employee benefits continued\n\nto maturity and currency that match, as closely as possible, the estimated future cash outflows.\n\n#### (iii) Cash bonuses\n\nCash bonuses are expensed in the statement of comprehensive income at reporting date.\n\nA liability is recognised for the amount expected to be paid if the Group has a present legal or constructive obligation to pay this amount as a result of past service provided by the Directors or employees and the obligation can be estimated reliably.\n\n#### (iv) Retirement benefit obligations\n\nContributions to defined contribution superannuation plans are recognised as an expense in the statement of comprehensive income as they become payable.\n\n#### (v) Share-based payment transactions\n\nThe Group provides benefits to employees (including Directors) in the form of share-based payments, whereby employees render services in exchange for shares or rights over shares (\"equity settled transactions\").\n\nThe fair value of these equity settled transactions is recognised as an employee benefit expense with a corresponding increase in equity. The fair value is measured at grant date and recognised over the period during which the employees become unconditionally entitled.\n\nThe fair value at grant date is determined using a Black-Scholes option pricing model that takes into account the exercise price, the term of the option, the share price at the grant date, the expected price volatility of the underlying share, the expected dividend yield and the risk free interest rate for the term of the option.\n\nUpon the exercise of the equity settled reward, the related balance of the share-based payments reserve is transferred to share capital.\n\n#### x. Dividends\n\nDividends are recognised as a liability in the period in which they are declared.\n\n#### y. Earnings per share\n\n#### (i) Basic earnings per share\n\nBasic earnings per share is calculated by dividing:\n\n- 〉 the profit attributable to owners of the Company, excluding any costs of servicing equity other than ordinary shares; and\n- 〉 by the weighted average number of ordinary shares outstanding during the financial year, adjusted for bonus elements in ordinary\n\nshares issued during the year and excluding treasury shares.\n\n#### (ii) Diluted earnings per share\n\nDiluted earnings per share adjusts the figures used in the determination of basic earnings per share to take into account:\n\n- 〉 the after income tax effect of interest and other financing costs associated with dilutive potential ordinary shares; and\n- 〉 the weighted average number of additional ordinary shares that would have been outstanding assuming the conversion of all dilutive potential ordinary shares.\n\n#### z. Contributed equity\n\nIssued ordinary share capital is classified as equity and is recognised at the fair value of the consideration received by the Group. Incremental costs directly attributable to the issue of shares and share options are recognised as a deduction, net of tax from the proceeds.\n\n#### aa. Goods and Services Tax (GST)\n\nRevenues, expenses and assets are recognised net of the amount of associated GST, unless the GST incurred is not recoverable from the taxation authority. In this case it is recognised as part of the cost of acquisition of the asset or as part of the expense.\n\nReceivables and payables are stated inclusive of the amount of GST receivable or payable. The net amount of GST recoverable from, or payable to, the taxation authority is included with other receivables or payables in the statement of financial position.\n\nCash flows are presented on a gross basis. The GST components of the cash flows arising from investing or financing activities which are recoverable from, or payable to the taxation authority, are presented as operating cash flows.\n\nCommitments and contingencies are disclosed net of the amount of GST recoverable from, or payable to, the taxation authority.\n\n#### bb. Operating segment reporting\n\nOperating segments are reported in a manner consistent with the internal reporting provided to the chief operating decision maker. The chief operating decision maker, who is responsible for allocating resources and assessing performance of the operating segments, has been identified as the Board of Directors.\n\nSegment results that are reported to the Board of Directors include items directly attributable to a segment as well as those that can be\n\nallocated on a reasonable basis. The operating segments are disclosed in Note 4.\n\n#### cc. New accounting standards and interpretations\n\n- (i) New and amended standards adopted by the Group\nThe Group did not adopt any new or revised accounting standards, amendments or interpretations from 1 July 2012 which had an effect on the financial position or performance of the Group.\n\n#### (ii) New accounting standards and interpretations not yet adopted\n\nThe Group has not elected to early adopt any new standards, amendments or interpretations that are issued but are not yet effective. Certain new accounting standards and interpretations have been published that are not mandatory for 30 June 2013 reporting periods and have not yet been applied in the financial statements. The Group's assessment of the impact of these new standards and interpretations is set out below.\n\n- 〉 AASB 9 *Financial Instruments* (effective for annual reporting periods beginning on or after 1 January 2015). AASB 9 addresses the classification, measurement and derecognition of financial assets and financial liabilities. The standard is not applicable until 1 January 2015 but is available for early adoption. When adopted, the standard will affect in particular the Group's accounting for its available-for-sale financial assets, since AASB 9 only permits the recognition of fair value gains and losses in other comprehensive income if they relate to equity investments that are not held for trading.\nThere will be no impact on the Group's accounting for financial liabilities, as the new requirements only affect the accounting for financial liabilities that are designated at fair value through profit or loss and the Group does not have any such liabilities. The de-recognition rules have been transferred from AASB 139 Financial Instruments: Recognition and Measurement and have not been changed.\n\n- 〉 AASB 10 *Consolidated Financial Statements* (effective for annual reporting periods commencing on or after 1 January 2013). AASB 10 establishes a new control model which broadens the situations when an entity is considered to be controlled by another entity and includes new guidance for applying the model to specific situations, including when acting as a manager may give control, the impact of potential voting rights and when holding less than a majority voting", - "page_start": 75, - "page_end": 75, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Dollar and share amounts in millions except per share, per option and per unit amounts\n\n## **NOTE 5: SELF-INSURANCE**\n\nOur self-insurance reserves are summarized as follows:\n\n| | January 31, 2015 | February 1, 2014 |\n| --- | --- | --- |\n| Workers' compensation | $70 | $66 |\n| Employee health and welfare | 23 | 23 |\n| General liability | 16 | 16 |\n| Total self-insurance reserve | $109 | $105 |\n\nOur workers' compensation policies have a retention per claim of $1 or less and no policy limits.\n\nWe are self-insured for the majority of our employee health and welfare coverage and we do not use stop-loss coverage. Participants contribute to the cost of their coverage through both premiums and out-of-pocket expenses and are subject to certain plan limits and deductibles.\n\nOur general liability policies, encompassing employment practices liability and commercial general liability, have a retention per claim of $3 or less and a policy limit up to $30 and $150, respectively.\n\n#### **NOTE 6: 401(k) PLAN**\n\nWe provide a 401(k) plan for our employees that allows for employee elective contributions and discretionary company contributions. Employee elective contributions are funded through voluntary payroll deductions. Our discretionary company contribution is funded in an amount determined by our Board of Directors each year. Our expense related to company contributions totaled $77, $77 and $83 in 2014, 2013 and 2012.\n\n#### **NOTE 7: POSTRETIREMENT BENEFITS**\n\nWe have an unfunded defined benefit Supplemental Executive Retirement Plan (\"SERP\"), which provides retirement benefits to certain officers and select employees. The SERP has different benefit levels depending on the participant's role in the company. At the end of 2014, we had 59 participants in the plan, including 27 officers and select employees eligible for SERP benefits, 31 retirees and 1 beneficiary. This plan is non-qualified and does not have a minimum funding requirement.", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "What does Applied has to say regarding the potential creadit risk it could be exposed to ?", - "target_page": 21, - "target_passage": "The Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a significant concentration of credit risk exists in its accounts receivable", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "These factors can also affect our objectives, strategies and intentions. Many of these factors are beyond our control or our current expectations. Should one or more of these risks, uncertainties or other factors materialize, our objectives, strategies or intentions change, or any other factors or assumptions underlying the forward-looking information prove incorrect, our actual results and our plans could vary significantly from what we currently foresee.\n\nAccordingly, we warn investors to exercise caution when considering statements containing forward-looking information and that it would be unreasonable to rely on such statements as creating legal rights regarding our future results or plans. We are under no obligation (and we expressly disclaim any such obligation) to update or alter any statements containing forward-looking information or the factors or assumptions underlying them, whether as a result of new information, future events or otherwise, except as required by law. All of the forward-looking information in this MD&A is qualified by the cautionary statements herein.\n\n#### BEFORE MAKING AN INVESTMENT DECISION\n\nBefore making any investment decisions and for a detailed discussion of the risks, uncertainties and environment associated with our business, fully review \"Regulation in Our Industry\" and \"Governance and Risk Management\", in this MD&A, as well as our various other filings with Canadian and US securities regulators which can be found at sedar.com and sec.gov.\n\n#### FOR MORE INFORMATION\n\nYou can find more information about us, including our Information Circular and Annual Information Form, on our website (rogers.com/ investors), on SEDAR (sedar.com) and on EDGAR (sec.gov), or you can e-mail us at investor.relations@rci.rogers.com. Information on or connected to these and any other websites referenced in this document is not part of this MD&A.\n\nYou can also go to rogers.com/investors for information about our governance practices, corporate social responsibility reporting, a glossary of communications and media industry terms, and additional information about our business.", - "page_start": 28, - "page_end": 28, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### RISKS AND UNCERTAINTIES AFFECTING OUR BUSINESS\n\nThis section describes the principal risks and uncertainties that could have a material adverse effect on our business and financial results.\n\n#### GENERAL RISKS\n\n#### **Economic Conditions**\n\nOur businesses are affected by general economic conditions and consumer confidence and spending. Recessions, declines in economic activity and economic uncertainty can erode consumer and business confidence and reduce discretionary spending. Any of these factors can negatively affect us through reduced advertising, lower demand for our products and services, decreased revenue and profitability, higher churn and bad debt expense. A significant portion of our broadcasting, publishing and digital revenues come from the sale of advertising.\n\nPoor economic conditions can also have an impact on our pension plans because there is no assurance that the plans will be able to earn the assumed rate of return. Capital market volatility may result in changes in the discount rates and other variables, requiring us to make contributions in the future that differ significantly from current contributions and assumptions being used in the actuarial valuation process.\n\n#### **Substantial Competition**\n\nThere is no assurance that our current or future competitors will not provide services that are superior to ours or at lower prices, adapt more quickly to evolving industry trends or changing market requirements, enter markets we operate in, or introduce competing services. Any of these factors could reduce our business market share or revenues, or increase churn.\n\nWe expect to have ongoing re-pricing of products and services with our existing subscribers as we extend lower wireless pricing offers to attract and retain customers. As such, wireless penetration of the population deepens, new wireless customers may generate lower average monthly revenue and this could slow revenue growth.\n\nWireless could face increased competition due to recent changes to foreign ownership and control of wireless licences.\n\n- Foreign telecommunication companies could enter the Canadian market by acquiring wireless licences or a holder of wireless licences. If companies with significantly greater capital resources enter the Canadian market, it could reduce our wireless market share. See \"Foreign ownership and control\" in \"Regulation in Our Industry\" for details.\n- Industry Canada's new policy regarding the transfer of spectrum licenses, combined with 2012 legislation that allows foreign ownership of wireless providers with less than 10% market share, could make it harder for incumbent wireless carriers to acquire additional spectrum, including the completion of our previously announced arrangements with Shaw and Videotron, while making it less expensive for foreign wireless carriers to enter the Canadian wireless market. This could increase the intensity of competition in the Canadian wireless sector.\n\nIn addition, the CRTC *Broadcasting Distribution Regulations* do not allow cable operators to obtain exclusive contracts in buildings where it is technically feasible to install two or more systems.\n\n#### TECHNOLOGY RISKS\n\n#### **Competing Technologies**\n\nSeveral technologies may affect the way our services are delivered, including:\n\n- broadband\n- IP-based voice, data and video delivery services\n- increased use of optical fibre technologies to businesses and, or residences\n- broadband wireless access and wireless services using a radio frequency spectrum that we may have limited access to.\n\nThese technologies may also lead to significantly different cost structures for users and therefore affect the long-term viability of some of our current technologies. Some of the new technologies may allow competitors to enter our markets with similar products or services at lower costs, and they may be larger and have greater access to financial resources than we have.\n\nImprovements in the quality of streaming video over the Internet, coupled with the increasing availability of television shows and movies online are anticipated to increase competition for Canadian cable television systems. If changes in technology are made to any alternative Canadian multi-channel broadcasting distribution system, our cable services may face increased competition. In addition, wireless Internet is, in some instances, replacing traditional wireline Internet as the technology for wireless Internet continues to develop.\n\nThe growing use of PVRs could affect our ability to generate television advertising revenues because viewers can skip advertising aired on the television networks. The emergence of subscriber-based satellite and digital radio products could change radio audience listening habits and have a negative effect on the results of our radio stations. Certain audiences are also migrating to the Internet as more video and audio content becomes available.\n\n#### **Dependence on Information Technology Systems**\n\nOur businesses depend on information technology systems for day-today operations. If we are unable to operate our systems or make enhancements to accommodate customer growth and new products and services or our systems go down, it could have an adverse effect on our ability to acquire new subscribers, service customers, manage subscriber churn, produce accurate and timely subscriber invoices, generate revenue growth and manage operating expenses. This could have an adverse impact on our results and financial position.\n\nMost of our employees and critical elements of our network infrastructure and information technology systems are concentrated in various physical facilities. If we cannot access one or more of these facilities because of a natural or manmade disaster or otherwise, our operations may be significantly affected to the extent that it may be difficult for us to recover without a significant interruption in service or negative impact to our revenue or customer base.\n\n#### **Information Security Risk**\n\nSecurity is essential to maintaining efficient, reliable business processes and to enabling sustained business growth. Technology advancements and the people using these technologies introduce new information security risks. Cyber threats are maturing with time and their sophistication and effectiveness are increasing. A security breach could result in loss of revenue, reputation, and resources, or handing", - "page_start": 77, - "page_end": 77, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "The figure below displays the relation between **major risks** and the **health outcome in DALYs**. The estimates of DALYS that are attributable to work vary between 6.8 million years (ICOH) and 4.4 million years (WHO/ILO), both for the EU27.\n\nPutting the absolute numbers of WHO/ILO in relation to the EU27 population above 16 years this results in approximately **1,172 lost life years per 100,000 working-age population** (WHO/ILO). ICOH calculates in absolute numbers 6.8 million lost life years for the labour force population, resulting **in 3,364 DALYs per 100,000 labour force**.\n\nIt can be concluded that despite methodological differences the estimates **do not vary that much if the same reference population** is used in the calculation. Future research will contribute to a better attribution of the impact of work on these diseases. **In the future, relevant disease groups will be incorporated in these estimates**, that is, the impact of work on the prevalence of **mental diseases** and of communicable diseases caused by biological agents needs to be incorporated.\n\nThe next table shows the **difference between major occupational risk factors and deaths** at the EU27 level and the global level. At EU27 level asbestos-related cancers are clearly the most frequent reason for work-related deaths with nearly 60% of all cases; the two next main causes are COPD (15.9%) and CVD (12.3%). The global situation is quite different. CVD account for nearly 40%, COPD for 24% and injuries for 19%.", - "page_start": 83, - "page_end": 83, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "*PURPOSE PRODUCT PERFORMANCE PEOPLE*\n\nApplied Industrial Technologies is a leading industrial distributor that offers more than four million parts to serve the needs of MRO and OEM customers in virtually every industry. In addition, Applied® provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers.\n\n**Headquarters:** Cleveland, Ohio, USA\n\n**Operating Facilities:** More than 500 in the United States, Canada, Mexico, Puerto Rico, Australia and New Zealand\n\n**E-Commerce:** www.Applied.com\n\n**Distribution Centers:** 9\n\n**Stock Keeping Units (SKUs) Available to Customers:** More than 4 million\n\n**Product Manufacturers:** More than 2,000\n\n**Stock Ticker Symbol:** AIT, listed on the New York Stock Exchange\n\n**Employee Associates:** Approximately 4,900\n\nData current as of August 1, 2012\n\n25358_AIT_Report_WT.indd 2 8/23/12 8:32 AM\n\nThis report contains statements that are forward-looking, as that term is defined by the Securities and Exchange Commission in its rules, regulations and releases. Applied intends that such forward-looking statements be subject to the safe harbors created thereby. All forwardlooking statements are based on current expectations regarding important risk factors, including those identified on page 12 of this report and in our Annual Report on Form 10-K for the fiscal year ended June 30, 2012. Accordingly, actual results may differ materially from those expressed in the forward-looking statements, and the making of such statements should not be regarded as a representation by Applied or any other person that results expressed therein will be achieved.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "on occupation and sector, between 15% and 30% of workers are exposed to such risks. No or very minor decreases of these risks could be seen during the past 15 years.\n\nIn both the ESENER and the EWCS surveys52 there is a similar share of 'Yes responses' when asked for the presence of such risks.53 In ESENER a set of questions is related to the risks present in the enterprise. The figure below shows the responses from ESENER 2014 and ESENER 2019 regarding physical health risks.54\n\n#### **Figure 16: Exposure to physical risks – ESENER, EWCS and LFS**", - "page_start": 38, - "page_end": 38, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "### **Risk Factors**\n\n*This Annual Report on Form 10-K includes \"\"forward-looking statements'' within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, including, in particular, certain statements about our plans, strategies and prospects. Although we believe that our plans, intentions and expectations reÖected in or suggested by such forward-looking statements are reasonable, we cannot assure you that such plans, intentions or expectations will be achieved. Important factors that could cause our actual results to diÅer materially from our forward-looking statements include those set forth in this Risk Factors section. All forward-looking statements attributable to us or any persons acting on our behalf are expressly qualiÑed in their entirety by the cautionary statements set forth below. Unless the context requires otherwise, all references to the \"\"company,'' \"\"we,'' \"\"us'' or \"\"our'' include Republic Services, Inc. and its subsidiaries.*\n\n*If any of the following risks, or other risks not presently known to us or that we currently believe to not be signiÑcant, develop into actual events, then our business, Ñnancial condition, results of operations, cash Öows or prospects could be materially adversely aÅected.*\n\n### **We operate in a highly competitive industry and may be unable to compete eÅectively.**\n\nWe operate in a highly competitive business environment. Some of our competitors have signiÑcantly larger operations and may have signiÑcantly greater Ñnancial resources than we do. In addition, the solid waste industry is constantly changing as a result of consolidation which may create additional competitive pressures in our business environment.\n\nWe also compete with municipalities that maintain their own waste collection or disposal operations. These municipalities may have a Ñnancial advantage over us as a result of the availability of tax revenue and tax-exempt Ñnancing.\n\nWe compete for collection accounts primarily on the basis of price and the quality of services. From time to time our competitors may reduce the price of their services in an eÅort to expand their market share or to win a competitively bid municipal contract.\n\nIn each market in which we own or operate a landÑll, we compete for solid waste volume on the basis of disposal or \"\"tipping'' fees, geographical location and quality of operations. Our ability to obtain solid waste volume for our landÑlls may be limited by the fact that some major collection companies also own or operate landÑlls to which they send their waste. In markets in which we do not own or operate a landÑll, our collection operations may operate at a disadvantage to fully integrated competitors.\n\nAs a result of these factors, we may have diÇculty competing eÅectively from time to time.\n\n### **Economic conditions could adversely aÅect our business, operations and internal growth.**\n\nIn the past, economic slowdowns have negatively impacted the portion of our collection business servicing the manufacturing sector and the non-residential construction industry. LandÑll volumes attributable to manufacturing and construction activity were also impacted. A slowdown in the economy in any of the markets we service could adversely aÅect volumes, pricing and operating margins in our collection, transfer and disposal operations.\n\n### **An increase in the price of fuel may adversely aÅect our business.**\n\nOur operations are dependent upon fuel, which we generally purchase in the open market on a daily basis. During 2003 and 2004, we experienced increases in the cost of fuel. A portion of this increase was passed on to our customers. However, because of the competitive nature of the waste industry, there can be no assurances that we will be able to pass on current or any future increases in fuel prices to our customers. Due to political instability in oil-producing countries, fuel prices may continue to increase signiÑcantly in 2005. A signiÑcant increase in fuel costs could adversely aÅect our business.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **Our Ñnancial statements are based upon estimates and assumptions that may diÅer from actual results.**\n\nOur Ñnancial statements have been prepared in accordance with U.S. generally accepted accounting principles and necessarily include amounts based on estimates and assumptions made by us. Actual results could diÅer from these amounts. SigniÑcant items subject to such estimates and assumptions include the carrying value of long-lived assets, the depletion and amortization of landÑll development costs, accruals for Ñnal capping, closure and post-closure costs, valuation allowances for accounts receivable, liabilities for potential litigation, claims and assessments, and liabilities for environmental remediation, deferred taxes and self-insurance.\n\nWe cannot assure you that our reserves for landÑll and environmental costs will be adequate to cover the requirements of existing environmental regulations, future changes or interpretations of existing regulations, or the identiÑcation of adverse environmental conditions previously unknown to us.\n\n### **Changes in insurance markets may impact our Ñnancial results.**\n\nDue to the variable condition of the insurance market, we have experienced, and may continue to experience in the future, increased self-insurance retention levels and increased premiums. As we assume more risk for self-insurance through higher retention levels, we may experience more variability in our selfinsurance reserves and expense.\n\n### **We depend on key personnel.**\n\nOur future success depends on the continued contributions of several key employees and oÇcers. We do not maintain key man life insurance policies on any of our oÇcers. The loss of the services of key employees and oÇcers, whether such loss is through resignation or other causes, or the inability to attract additional qualiÑed personnel, could have a material adverse eÅect on our Ñnancial condition, results of operations and growth prospects.\n\n### **Compliance with environmental and other laws and regulations may impede our growth.**\n\nWe may need to spend considerable time, eÅort and capital to keep our facilities in compliance with federal, state and local requirements regulating health, safety, environment, zoning, land use and transportation. In addition, some of our waste operations that cross state boundaries could be adversely aÅected if the federal government, or the state or locality in which these waste operations are located, imposes fees on, or otherwise limits or prohibits, the transportation or disposal of solid waste. If environmental laws become more stringent, our environmental capital expenditures and costs for environmental compliance may increase in the future. In addition, due to the possibility of unanticipated events or regulatory developments, the amounts and timing of future environmental expenditures could vary substantially from those we currently anticipate. Because of the nature of our operations, we have in the past, currently are, and may in the future be named as a potentially responsible party in connection with the investigation or remediation of environmental conditions. We cannot assure you that the resolution of any such investigations will not have a material adverse eÅect on our Ñnancial condition, results of operations or cash Öows. A signiÑcant judgment or Ñne against our company, or our loss of signiÑcant permits or licenses, could have a material adverse eÅect on our Ñnancial condition, results of operations, cash Öows or prospects.\n\n### **Regulatory approval to develop or expand our landÑlls and transfer stations may be delayed or denied.**\n\nOur plans include developing new landÑlls and transfer stations, as well as expanding the disposal and transfer capacities of certain of our landÑlls and transfer stations, respectively. Various parties, including citizens' groups and local politicians, sometimes challenge these projects. Responding to these challenges has, at times, increased our costs and extended the time associated with establishing new facilities and expanding existing facilities. In addition, failure to receive regulatory and zoning approval may prohibit us from establishing new facilities and expanding existing facilities.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "# **Item 7A. Quantitative and Qualitative Disclosures About Market Risk.**\n\nDollars in millions\n\n#### **INTEREST RATE RISK**\n\nWe are exposed to interest rate risk primarily from changes in short-term interest rates. As of January 31, 2015, we had cash and cash equivalents of $827, which generate interest income at variable rates, and gross credit card receivables of $2,284, which generate finance charge income at a combination of fixed and variable rates. Interest rate fluctuations can affect our interest income, credit card revenues and interest expense. See Note 3: Accounts Receivable in Item 8: Financial Statements and Supplementary Data for additional information.\n\nWe use sensitivity analyses to measure and assess our interest rate risk exposure. For purposes of presenting the potential earnings effect of a reasonably possible hypothetical change in interest rates from our reporting date, we utilized two sensitivity scenarios: (i) linear growth of approximately 225 basis points over the year and (ii) linear decline of approximately 15 basis points over the year, due to the fact that current interest rates are near historically low levels. Other key parameters and assumptions in our sensitivity analyses include the average cash and cash equivalents balance, average credit card receivables balance and no new floating rate debt. The first hypothetical scenario would result in an approximate $15 increase in future earnings, while the second hypothetical scenario would not have a material effect on future earnings.\n\nFor our long-term fixed-rate debt of $3,131, our exposure to interest rate risk is limited to changes in the fair value of our debt. As our debt is primarily fixed-rate, changes in interest rates do not impact our cash flows. However, changes in interest rates increase or decrease the fair value of our debt, depending on whether market rates are lower or higher than our fixed-rates. As of January 31, 2015, the fair value of our fixed-rate debt was $3,693. See Note 8: Debt and Credit Facilities and Note 9: Fair Value Measurements in Item 8: Financial Statements and Supplementary Data for additional information.\n\n#### **FOREIGN CURRENCY EXCHANGE RISK**\n\nThe majority of our revenues, expenses and capital expenditures are transacted in U.S. Dollars. Our U.S. operation periodically enters into merchandise purchase orders denominated in British Pounds or Euros. From time to time, we may use forward contracts to hedge against fluctuations in foreign currency prices. As of January 31, 2015, our outstanding forward contracts did not have a material impact on our consolidated financial statements.\n\nAs of January 31, 2015, we have opened one full-line store in Canada and have announced plans to open five additional full-line stores in Canada over the next few years. The functional currency of our Canadian operations is the Canadian Dollar. We translate assets and liabilities into U.S. Dollars using the exchange rate in effect at the balance sheet date, while we translate revenues and expenses using a weighted-average exchange rate for the period. We record these translation adjustments as a component of accumulated other comprehensive loss on the Consolidated Balance Sheets in Item 8: Financial Statements and Supplementary Data. Our Canadian operations enter into merchandise purchase orders denominated in U.S. Dollars for approximately half of its inventory. As sales in Canada are denominated in the Canadian Dollar, gross profit for our Canadian operations can be impacted by foreign currency fluctuations.\n\nIn addition, our U.S. operations incurred certain expenditures denominated in Canadian Dollars and our Canadian operations incurred certain expenditures denominated in U.S. Dollars. This activity results in transaction gains and losses that arise from exchange rate fluctuations and are recorded as gains or losses in the Consolidated Statements of Earnings in Item 8: Financial Statements and Supplementary Data. As of January 31, 2015, activities associated with foreign currency exchange risk have not had a material impact on our consolidated financial statements.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "# **NOTE 33 – FINANCIAL RISK MANAGEMENT continued**\n\nThe Company has the following commitments related to its financial liabilities (US$'000):\n\n| | Less than 1 | | 1 – 5 | More than |\n| --- | --- | --- | --- | --- |\n| Year ended 31 December 2014 | Total | year | years | 5 years |\n| Trade and other payable | 46,861 | 46,861 | - | - |\n| Accrued expenses | 72,333 | 72,333 | - | - |\n| Derivative financial liabilities | 130 | 130 | | |\n| Credit facilities payments, including | | | | |\n| interest | 147,994 | 5,502 | 142,492 | - |\n| Total | 267,318 | 124,826 | 142,492 | - |\n| | | Less than 1 | 1 – 5 | More than |\n| Year ended 31 December 2013 | Total | year | years | 5 years |\n| Trade and other payable | 62,811 | 62,811 | - | - |\n| Accrued expenses | 66,273 | 66,273 | - | - |\n| Derivative financial liabilities | 366 | 335 | 31 | - |\n| Credit facilities payments, including | | | | |\n| interest | 37,037 | 1,600 | 35,437 | - |\n| Total | 166,487 | 131,019 | 35,468 | - |\n\n# **e) Market Risk**\n\nMarket risk is the risk that the fair value of future cash flows of a financial instrument will fluctuate because of changes in market prices. Market risk comprises three types of risk: commodity price risk, interest rate risk and foreign currency risk. Financial instruments affected by market risk include loans and borrowings, deposits, trade receivables, trade payables, accrued liabilities and derivative financial instruments.\n\n# *Commodity Price Risk*\n\nThe Group is exposed to the risk of fluctuations in prevailing market commodity prices on the mix of oil and gas products it produce.\n\n### *Commodity Price Risk Sensitivity Analysis*\n\nThe table below summarises the impact on profit before tax for changes in commodity prices on the fair value of derivative financial instruments. The impact on equity is the same as the impact on profit before tax as these derivative financial instruments have not been designated as hedges and are and therefore adjusted to fair value through profit and loss. The analysis assumes that the crude oil and natural gas price moves $10 per barrel and $0.50 per mcf, with all other variables remaining constant, respectively.", - "page_start": 101, - "page_end": 101, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "If **a risk assessment is conducted just for compliance purposes**, and not used appropriately for the successful management of OSH and reduction of accidents and occupational diseases, the risk assessment may lose its dynamic nature, and findings may be neither implemented nor communicated appropriately to employees.\n\nThe **types of risks included in risk assessments** are related to the risk profiles of different sectors, for example, it is likely that risk assessments in heavy industries and manual occupations focus more on safety risks. However, while sectoral risk profiles will naturally bias the identification of risks, smaller establishments seem to have **less of a focus on MSDs or psychosocial risk factors**, which would suggest that they are less well recognised or understood, in particular for MSEs.415 Establishments also report that psychosocial risk factors are more difficult to manage than other OSH risks, while as business size grows, so does the proportion of respondents who perceive psychosocial risks as more difficult to manage than other OSH risks.416\n\nESENER 2019 shows that a **reluctance to talk openly** about these issues seems to be the main difficulty for addressing psychosocial risks (60% of establishments in the EU27). This, as with all the other difficulties considered (lack of awareness among staff/management and lack of expertise or specialist support), is reported in all enterprise sizes but more frequently as establishment size grows.\n\nSpecifically, among those establishments that report having to deal with difficult customers, patients or pupils, 51% of those employing 20 or more workers report having a procedure in place to deal with possible cases of threats, abuse or assaults by clients, patients or other external persons. This share rises to 74% among establishments in human health and social work activities.\n\nThe development of concrete outputs such as measures to better manage risks that can result in **musculoskeletal diseases** has actually seen a decline between 2014 and 2019, as follows:\n\n- 85% to 77% on the measure of 'provision of equipment to help with the lifting or moving of loads or other physical heavy work';417\n- 73% to 67% concerning 'provision of ergonomic equipment'; and\n- 66% to 60% regarding 'encouraging regular breaks for people in uncomfortable or static postures including prolonged sitting'.418", - "page_start": 127, - "page_end": 127, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "To what system of logic do OWL ontologies belong to ?", - "target_page": 7, - "target_passage": "OWL ontologies are an implementation of Description Logic (DL) which is a decidable subset of First Order Logic", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Chapter 1 Introduction 4 |\n| --- |\n| 1.1 Licensing 4 |\n| 1.2 Conventions 4 |\n| Chapter 2 Requirements and the Protégé User Interface 6 |\n| Chapter 3 What are OWL Ontologies? 6 |\n| 3.1 Components of OWL Ontologies 6 |\n| 3.1.1 Individuals 7 |\n| 3.1.2 Properties 8 |\n| 3.1.3 Classes 8 |\n| Chapter 4 Building an OWL Ontology 10 |\n| 4.1 Named Classes 13 |\n| 4.2 Using a Reasoner 15 |\n| 4.4 Using Create Class Hierarchy 17 |\n| 4.5 Create a PizzaTopping Hierarchy 19 |\n| 4.6 OWL Properties 22 |\n| 4.7 Inverse Properties 23 |\n| 4.8 OWL Object Property Characteristics 24 |\n| 4.8.1 Functional Properties 24 |\n| 4.8.2 Inverse Functional Properties 25 |\n| 4.8.3 Transitive Properties 25 |\n| 4.8.4 Symmetric and Asymmetric Properties 25 |\n| 4.8.5 Reflexive and Irreflexive Properties 26 |\n| 4.8.6 Reasoners Automatically Enforce Property Characteristics 26 |\n| 4.9 OWL Property Domains and Ranges 26 |\n| 4.10 Describing and Defining Classes 29 |\n| 4.10.1 Property restrictions 29 |\n| 4.10.2 Existential Restrictions 31 |\n| 4.10.3 Creating Subclasses of Pizza 33 |\n| 4.10.4 Detecting a Class that can't Have Members 37 |\n| 4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) 38 |\n| 4.12 Universal Restrictions 41 |\n| 4.13 Automated Classification and Open World Reasoning 42 |", - "page_start": 2, - "page_end": 2, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n#### 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see: https://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n#### 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this. The term used for any such construct in Protégé and in this document is an *Entity*. Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "# A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins Edition 3.0 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nREADS 36,030\n\n**Preprint** · April 2021\n\n0\n\n| CITATIONS | |\n| --- | --- |\n| 0 | |\n| 1 author: | |\n| | Michael Debellis |\n| | 21 PUBLICATIONS   194 CITATIONS |\n| | SEE PROFILE |\n\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that these superclass-subclass relationships (aka subsumption relationships) can be computed automatically by a reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – classes are represented as ovals, like sets in Venn diagrams.\n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an individual for it to be a member of the class. How to formulate these descriptions will be explained as the tutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## **OLAF : Ontology Learning Applied Framework**\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically **extracting and structuring knowledge** relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a **modular ontology learning framework** considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with **full automation** in mind. An implementation as an **opensource and collaborative python library** is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n## **STATE OF THE ART**\n\n| System | Overview | Pros and cons |\n| --- | --- | --- |\n| | It is the reference in the field as it defines a | Ontologies can be exported in |\n| Text2Onto, | representation-agnostic structure with modular | various formats. GATE system |\n| 2005, [1] | steps and takes into account uncertainty. The | adds great visualisations. But it is |\n| | system is implemented as a GATE module. | not maintained since 2011. |\n| | It focuses on multiword terms to construct a | It considers only multiword |\n| | \"lexicalised ontology\" by adapting an agglomerative | terms and relies on WordNet |\n| OntoGain, | clustering and an FCA method. It implements 4 | and POS tags. It does not |\n| 2010, [2] | steps: text preprocessing, concept extraction (C/NC | distinguish between terms and |\n| | value), taxonomy construction, and non-taxonomic | concepts and implements |\n| | relation acquisition (rule-based and probabilistic). | different adaptable approaches. |\n| | It focuses on \"lexicalised ontologies\" and uses seed | It relies on WordNet and POS |\n| OntoLearn | knowledge. It implements 5 steps: terminology | tags and does not distinguish |\n| (Reloaded), | extraction, hypernym graph construction, domain | between terms and concepts. |\n| 2013, [3] | filtering of hypernyms, hypernym graph pruning and | It implements different |\n| | edge recovery. | adaptable approaches. |\n\n## **OLAF IN A PRACTICAL CONTEXT**\n\n## **ONTOLOGY LEARNING FRAMEWORK ARCHITECTURE**\n\nOur framework provides several algorithms for the different stages of the pipeline. The algorithms are taken from external libraries or directly implemented in the framework. The goal is to have as many methods as possible to cover the maximum needs.\n\nMost ontology learning systems do not consider the targeted ontologybased system. Though an ideal ontology should model a domain in an application-independent manner, in practice, **concepts and relations represented largely depend on one or more business use cases**. As we designed our framework with industry application in mind, we need to consider it within its **real-world usage context**.\n\n> We choose **Python** as it eases access to the vast python community and its library ecosystem, particularly **NLP tools** and numerous **Machine Learning (ML) libraries**.\n\nWe designed the proposed framework focusing on **automation** with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the **learned ontology final production use case**. We implement the framework as an open-source and openaccess python library. We aim to **gather feedback and grow a community** to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing **axiom extraction** and **automatic ontology evaluation**. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI: 10.1162/COLI_a_00146 3.\n\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "## Chapter 4 Building an OWL Ontology\n\nThis chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost everyone is familiar with.\n\n_____________________________________________________________________________________\n\n#### **Exercise 1: Create a new OWL Ontology**\n\n1. Start Protégé. When Protégé opens for the first time each day it puts up a screen of all the available plugins. You can also bring this up at any time by using File>Check for plugins. You won't need any plugins at this point of the tutorial so just click the Not now button.\n\n2. The Protégé user-interface consists of several tabs such as Active ontology, Entities, etc. When you start Protégé you should be in the Active Ontology tab. This is for overview information about the entire ontology. Protégé always opens with a new untitled ontology you can start with. Your ontology should have an IRI something like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology-27 Edit the name of the ontology (the part after the last \"/\" in this case untitled-ontology-27) and change it to something like PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the IRI after I edited the default that Protégé generated for me. Your IRI will look different and will be based on your name or the name of your organization.\n\n3. Now you want to save your new ontology. Select File>Save. This should bring up a window that says: Choose a format to use when saving the 'PizzaTutorial' ontology. There is a drop down menu of formats to use. The default RDF/XML Syntax should be selected by clicking the OK button. This should bring up the standard dialog your operating system uses for saving files. Navigate to the folder you want to use and then type in the file name, something like Pizza Tutorial and select Save.\n\n____________________________________________________________________________________\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if something goes wrong you don't lose your work. At certain points in the tutorial where saving is especially important the tutorial will prompt you to do so but it is a good idea to save your work often, not just when prompted.\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé any class, individual, object property, data property, annotation property, or rule is referred to as an entity. The term name in OWL can actually refer to two different concepts. It can be the last part of the IRI3 or it can refer to the annotation property (usually rdfs:label) used to provide a more user friendly name for the entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the parameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will work appropriately.\n\n3 An IRI is similar to a URL. This will be discussed in detail below in chapter 7.", - "page_start": 10, - "page_end": 10, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 9 Queries: Description Logic and SPARQL\n\nNow that we have some individuals in our ontology, we can do some interesting queries. There are several tools for doing queries in Protégé.\n\n#### 9.1 Description Logic Queries\n\nTo start with the most straight forward one based on what you have already learned are Description Logic (DL) queries. These are essentially the same kind of statements you have been using to define classes. However, in addition to using such statements to define a class you can use it as a query.\n\n_____________________________________________________________________________________\n\n#### **Exercise 33: Try Some Description Logic Queries**\n\n1. To begin with navigate to the DL Query tab. If it doesn't exist create it using: Window>Tabs>DL Query.\n\n2. At the top right of this tab you should see a view that says DL query: and below it Query (class expression).\n\n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, superclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping some (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness Hot. At first you may not see anything but don't worry there is one more step.\n\n4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it should already be checked by default) and Instances. Now your UI should look like figure 9.1. You may notice that owl:Nothing shows up as a subclass. Don't worry that is actually expected. Remember that owl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as owl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don't want to see owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing.\n\n5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with this last query you are taking advantage of the transitive order you defined for the instances of the Spiciness class in chapter 6.\n\n6. You can also do queries for strings in the names of your entities. For example, first do a query simply with Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the classes and individuals with *Hot* in their name.\n\n_____________________________________________________________________________________", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all possible inferences because some inferences can take a long time for large and complex ontologies. In this tutorial we will always be dealing with small and simple ontologies so we want to see everything the reasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of inferences that the reasoner can perform. If they aren't all checked then check them all. You may receive a warning that some inferences can take a lot of time, but you can ignore those since your ontology will be small.\n\n#### 4.3 Disjoint Classes\n\nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say that these classes are *disjoint*. I.e., no individual can be an instance of more than one of those classes. In set theory terminology the intersection of these three classes is the empty set: owl:Nothing.\n\n_____________________________________________________________________________________\n\n_____________________________________________________________________________________\n\n#### **Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other**\n\n1. Select the class Pizza in the class hierarchy.\n\n2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red circle in figure 4.6.\n\n3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class hierarchy for now (we will use the expression editor later). This gives you an interface to select a class that is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and select PizzaBase and PizzaTopping. Select OK.\n\n4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping. You should see that they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint with the other two.\n\n_____________________________________________________________________________________", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Active ontology × Entities × Classes × | Object properties × | Data properties × | Individuals by class × | |\n| --- | --- | --- | --- | --- |\n| Class hierarchy Class hierarchy (inferred) | | | Annotations Usage | |\n| Class hierarchy: CheesyPizza | | 20508 | Annotations: CheesyPizza | 00500 |\n| | | Asserted ▼ | Annotations | |\n| owl:Thing | | | | |\n| Pizza | | | | |\n| CheesyPizza | | | | |\n| NamedPizza | | | | |\n| AmericanaHotPizza | | | Description: CheesyPizza | 20500 |\n| AmericanaPizza | | | | |\n| MargheritaPizza | | | Equivalent To | |\n| SohoPizza | | | Pizza | |\n| PizzaBase | | | and (hasTopping some | |\n| DeepPanBase | | | CheeseTopping) | |\n| ThinAndCrispyBase | | | | |\n| PizzaTopping | | | | |\n| CheeseTopping | | | | |\n| MozzarellaTopping | | | | |\n| ParmesanTopping | | | | |\n| MeatTopping | | | | |\n| HamTopping | | | General class axioms | |\n| PepperoniTopping | | | | |\n| SalamiTopping | | | | |\n| SpicyBeefTopping | | | SubClass Of (Anonymous Ancestor) | |\n| SeafoodTopping | | | Base some PizzaBase | |\n| AnchovyTopping | | | | |\n| PrawnTopping | | | | |\n| TunaTopping | | | | |\n| Vegetable Topping | | | | |\n| | | | | SERVICE . = |\n\nFigure 4.21 CheesyPizza as a Defined Class\n\nFigure 4.22 Classes Inferred by the Reasoner to be subclasses of CheesyPizza", - "page_start": 40, - "page_end": 40, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "Concerning ontologies, what is an anonymous class ?", - "target_page": 30, - "target_passage": "They are created by the reasoner when you use class expressions. For example, if you define the range of a property to be PizzaTopping or PizzaBase then the reasoner will create an anonymous class representing the intersection of those two classes", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### 4.10.4 Detecting a Class that can't Have Members\n\nNext, we are going to use the reasoner to detect a class with a definition that means it can never have any members. In the current version of Protégé when the reasoner detects an inconsistency or problem on some operating systems the UI can occasionally lock up and be hard to use. So to make sure you don't lose any of your work save your ontology using File>Save.\n\nSometimes it can be useful to create a class that we think should be impossible to instantiate to make sure the ontology is modeled as we think it is. Such a class is called a Probe Class.\n\n_____________________________________________________________________________________\n\n#### **Exercise 19: Add a Probe Class called ProbeInconsistentTopping**\n\n1. Select the class CheeseTopping from the class hierarchy.\n\n2. Create a subclass of CheeseTopping called ProbeInconsistentTopping.\n\n3. Click on the Add icon (+) next to the SubClass Of field in the Description view for ProbeInconsistentTopping.\n\n4. Select the Class hierarchy tab from the dialogue that pops up. This will bring up a small view that looks like the class hierarchy tab you have been using to add new classes. Use this to navigate to and select the class VegetableTopping. Click on OK.\n\n5. Make sure to save your current ontology file. Now run the reasoner. You should see that ProbeInconsistentTopping is now highlighted in red indicating it is inconsistent.\n\n6. Click on ProbeInconsistentTopping to see why it is highlighted in red. Notice that at the top of the Description view you should now see owl:Nothing under the Equivalent To field. This means that the probe class is equivalent to owl:Nothing. The owl:Nothing class is the opposite of owl:Thing. Whereas all individuals are instances of owl:Thing, no individual can ever be an instance of owl:Nothing. The owl:Nothing class is equivalent to the empty set in set theory.\n\n7. There should be a ? icon just to the right of owl:Nothing. As with any inference of the reasoner it is possible to click on the new information and generate an explanation for it. Do that now, click on the ? icon. This should generate a new window that looks like figure 4.20. The explanation is that ProbeInconsistentTopping is a subclass of CheeseTopping and VegetableTopping but those two classes are disjoint.\n\n8. Click OK to dismiss the window. Delete the class ProbeInconsistentTopping by selecting it and then clicking on the delete class icon at the top of the classes view (see figure 4.4).\n\n_____________________________________________________________________________________\n\n9. Synchronize the reasoner.", - "page_start": 37, - "page_end": 37, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n#### 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see: https://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n#### 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this. The term used for any such construct in Protégé and in this document is an *Entity*. Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Chapter 1 Introduction 4 |\n| --- |\n| 1.1 Licensing 4 |\n| 1.2 Conventions 4 |\n| Chapter 2 Requirements and the Protégé User Interface 6 |\n| Chapter 3 What are OWL Ontologies? 6 |\n| 3.1 Components of OWL Ontologies 6 |\n| 3.1.1 Individuals 7 |\n| 3.1.2 Properties 8 |\n| 3.1.3 Classes 8 |\n| Chapter 4 Building an OWL Ontology 10 |\n| 4.1 Named Classes 13 |\n| 4.2 Using a Reasoner 15 |\n| 4.4 Using Create Class Hierarchy 17 |\n| 4.5 Create a PizzaTopping Hierarchy 19 |\n| 4.6 OWL Properties 22 |\n| 4.7 Inverse Properties 23 |\n| 4.8 OWL Object Property Characteristics 24 |\n| 4.8.1 Functional Properties 24 |\n| 4.8.2 Inverse Functional Properties 25 |\n| 4.8.3 Transitive Properties 25 |\n| 4.8.4 Symmetric and Asymmetric Properties 25 |\n| 4.8.5 Reflexive and Irreflexive Properties 26 |\n| 4.8.6 Reasoners Automatically Enforce Property Characteristics 26 |\n| 4.9 OWL Property Domains and Ranges 26 |\n| 4.10 Describing and Defining Classes 29 |\n| 4.10.1 Property restrictions 29 |\n| 4.10.2 Existential Restrictions 31 |\n| 4.10.3 Creating Subclasses of Pizza 33 |\n| 4.10.4 Detecting a Class that can't Have Members 37 |\n| 4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) 38 |\n| 4.12 Universal Restrictions 41 |\n| 4.13 Automated Classification and Open World Reasoning 42 |", - "page_start": 2, - "page_end": 2, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "#### **Exercise 3: Add a Comment Annotation to Your Ontology**\n\n1. Make sure you are in the Active Ontology tab. In the view just below the Ontology IRI and Ontology Version IRI fields find the Annotations option and click on the + sign. This will bring up a menu to create a new annotation on the ontology.\n\n_____________________________________________________________________________________\n\n2. The rdfs:comment annotation should be highlighted by default. If it isn't highlighted click on it. Then type a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain.\n\n_____________________________________________________________________________________\n\n3. Click OK. Your Active Ontology tab should like Figure 4.3.\n\nFigure 4.4: The Class Hierarchy View Options\n\n#### 4.1 Named Classes\n\nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in the Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the Class hierarchy view as shown in Figure 4.5. 4 All empty ontologies contains one class called owl:Thing. OWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing all individuals. Because of this all classes are subclasses of owl:Thing.\n\n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the Class hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or to create them as independent tabs.", - "page_start": 13, - "page_end": 13, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Active ontology × Entities × Classes × | Object properties × | Data properties × | Individuals by class × | |\n| --- | --- | --- | --- | --- |\n| Class hierarchy Class hierarchy (inferred) | | | Annotations Usage | |\n| Class hierarchy: CheesyPizza | | 20508 | Annotations: CheesyPizza | 00500 |\n| | | Asserted ▼ | Annotations | |\n| owl:Thing | | | | |\n| Pizza | | | | |\n| CheesyPizza | | | | |\n| NamedPizza | | | | |\n| AmericanaHotPizza | | | Description: CheesyPizza | 20500 |\n| AmericanaPizza | | | | |\n| MargheritaPizza | | | Equivalent To | |\n| SohoPizza | | | Pizza | |\n| PizzaBase | | | and (hasTopping some | |\n| DeepPanBase | | | CheeseTopping) | |\n| ThinAndCrispyBase | | | | |\n| PizzaTopping | | | | |\n| CheeseTopping | | | | |\n| MozzarellaTopping | | | | |\n| ParmesanTopping | | | | |\n| MeatTopping | | | | |\n| HamTopping | | | General class axioms | |\n| PepperoniTopping | | | | |\n| SalamiTopping | | | | |\n| SpicyBeefTopping | | | SubClass Of (Anonymous Ancestor) | |\n| SeafoodTopping | | | Base some PizzaBase | |\n| AnchovyTopping | | | | |\n| PrawnTopping | | | | |\n| TunaTopping | | | | |\n| Vegetable Topping | | | | |\n| | | | | SERVICE . = |\n\nFigure 4.21 CheesyPizza as a Defined Class\n\nFigure 4.22 Classes Inferred by the Reasoner to be subclasses of CheesyPizza", - "page_start": 40, - "page_end": 40, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all possible inferences because some inferences can take a long time for large and complex ontologies. In this tutorial we will always be dealing with small and simple ontologies so we want to see everything the reasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of inferences that the reasoner can perform. If they aren't all checked then check them all. You may receive a warning that some inferences can take a lot of time, but you can ignore those since your ontology will be small.\n\n#### 4.3 Disjoint Classes\n\nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say that these classes are *disjoint*. I.e., no individual can be an instance of more than one of those classes. In set theory terminology the intersection of these three classes is the empty set: owl:Nothing.\n\n_____________________________________________________________________________________\n\n_____________________________________________________________________________________\n\n#### **Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other**\n\n1. Select the class Pizza in the class hierarchy.\n\n2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red circle in figure 4.6.\n\n3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class hierarchy for now (we will use the expression editor later). This gives you an interface to select a class that is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and select PizzaBase and PizzaTopping. Select OK.\n\n4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping. You should see that they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint with the other two.\n\n_____________________________________________________________________________________", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 8 A Larger Ontology with some Individuals\n\nThe rest of the tutorial requires some data loaded into your ontology. So far, we have mostly been dealing with defining classes and properties. This type of information is known in the semantic web community as T-Box information. The T stands for Terminological. Individuals or instances are known as A-Box. The A stands for Assertional as in specific facts that are asserted about the domain. Typically, there will be a much larger amount of A-Box information than T-Box. The A-Box information is often uploaded from spreadsheets, relational databases or other sources. One tool that is not covered in this tutorial that is useful is called Cellfie. Cellfie is a tool that can take data from spreadsheets and upload it into an ontology mapping the table-based data into objects and property values. For a tutorial on Cellfie see: https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial\n\nIn addition to using Cellfie, you can use the Individuals by class tab introduced in chapter 5 to create new instances and to create object and data property values for those instances as you did with the Hot and Medium individuals in chapter 6. However, that can be tedious so to spare you that uninteresting work I've developed a version of the Pizza ontology that has many individuals already created. That ontology should be identical to the ontology you have developed so far except with many additional individuals. You can find this populated Pizza ontology at: https://tinyurl.com/PizzaWDataV2 Go to this URL and download the file to your local machine and then use File>Open. Before you do that, it is probably a good idea to close the current file so that there is no possible confusion between the Pizza ontology you developed and the new one with extra data.", - "page_start": 62, - "page_end": 62, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "We have described the class Pizza to be to be a subclass of Thing and a subclass of the things that have a base which is some kind of PizzaBase. Notice that these are necessary conditions — if something is a Pizza it is *necessary* for it to be a member of the class Thing (in OWL, everything is a member of the class Thing) and *necessary* for it to have a kind of PizzaBase. More formally, for something to be a Pizza it is necessary for it to be in a relationship with an individual that is a member of the class PizzaBase via the property hasBase.\n\n#### 4.10.3 Creating Subclasses of Pizza\n\nIt's now time to add some different kinds of pizzas to our ontology. We will start off by adding a MargheritaPizza, which is a pizza that has toppings of mozzarella and tomato. In order to keep our ontology tidy, we will group our different pizzas under the class NamedPizza.\n\n#### **Exercise 14: Create Subclasses of Pizza: NamedPizza and MargheritaPizza**\n\n1. Select Pizza from the class hierarchy on the Classes tab.\n\n2. Click on the Add subclass icon at the top left of the Classes tab (look back at figure 4.4 if you aren't certain). You can also move your mouse over the icons and you will see a little pop-up hint for each icon.\n\n_____________________________________________________________________________________\n\n3. Protégé will prompt you for the name of the new subclass. Call it NamedPizza.\n\n4. Repeat steps 1-3 this time starting with NamedPizza to create a subclass of NamedPizza. Call it MargheritaPizza.\n\n5. Add a comment to the class MargheritaPizza using the Annotations view. This is above the Description view. Add the comment: A pizza that only has Mozzarella and Tomato toppings. Remember that annotation properties are meta-data that can be asserted about any entity whereas object and data properties can only be asserted about individuals. There are a few predefined annotation properties that are included in all Protégé ontologies such as the comment property.\n\nHaving created the class MargheritaPizza we now need to specify the toppings that it has. To do this we will add two restrictions to say that a MargheritaPizza has the toppings MozzarellaTopping and TomatoTopping.\n\n_____________________________________________________________________________________\n\n#### **Exercise 15: Create Restrictions that define a MargheritaPizza**\n\n1. Select MargheritaPizza from the class hierarchy on the Classes tab.\n\n2. Click on the Add icon (+) next to the SubClass Of field in the Description view for Pizza.\n\n3. This again brings up the restriction dialogue. This time rather than use the Object restriction creator we will use the Class expression editor tab. Select that tab.\n\n_____________________________________________________________________________________\n\n4. Type hasTopping some Mo into the field. Rather than type the rest of the name of the topping now hit (hold down the control key and hit the space bar). Protégé should auto-complete the name for you and the field should now contain: hasTopping some MozzarellaTopping. This is a useful technique for any part of the Protégé UI. Whenever you enter the name of some entity you can do", - "page_start": 33, - "page_end": 33, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Class hierar 团田目回区 | | DL Query Snap SPARQL Query | | | |\n| --- | --- | --- | --- | --- | --- |\n| Asserted | | DL query: | | | ■■□网 |\n| owl:Thing | | Query (class expression) | | | |\n| Person | Customer | Customer and purchasedPizza some ( hasTopping some (hasSpiciness value Hot)) | | | |\n| Pizza | Employee | | | | |\n| PizzaBase | | Execute Add to ontology | | | |\n| PizzaTopping | | | | | |\n| Spiciness | | | | | |\n| | | Query results | | | |\n| | | Superclasses (3 of 3) | | Query for | |\n| | | Customer | | Direct superclasses | |\n| | | Person | ? | Superclasses | |\n| | | owl:Thing | | Equivalent classes | |\n| | | Subclasses (1 of 1) | | Direct subclasses | |\n| | | owl:Nothing | 2 | V Subclasses | |\n| | | | | Instances | |\n| | | Instances (4 of 4) | | | |\n| | | Customer1 | | | |\n| | | Customer4 | | Result filters | |\n| | | Customer8 | | Name contains | |\n| | | Customer9 | | | |\n| | | | Reasoner active | V Show Inferences | 를 |\n\nFigure 9.1 The DL Query Tab\n\n#### 9.2 SPARQL Queries\n\nSPARQL is a powerful language, and one could write a whole book about it. In fact, there are books written about it. The best one I have seen is the O'Reilly book Learning SPARQL by Bob DuCharme. This is an excellent book that not only goes into SPARQL but into topics such as RDF/RDFS and how triples are used to represent all information in OWL. I will only touch on those issues here, there is much more to say about them and DuCharme's book is a great place to learn more. If some of the following is a bit hard to understand don't be discouraged. This is just an attempt to give a very high level introduction to something that requires significant study to really understand.\n\nEssentially SPARQL is to the Semantic Web and Knowledge Graphs as SQL is to relational databases. Just as SQL can do more than just query, it can also assert new information into a database, so SPARQL can as well. The current SPARQL plugins for Protégé are somewhat limited and don't support the statements such as INSERT for entering new data so we will just cover the basics of using SPARQL as a query language but keep in mind there is a lot more to it than what we briefly cover here.\n\n#### 9.21 Some SPARQL Pizza Queries\n\nTo start with go to the SPARQL Query tab. If it isn't already there you can as always add it using Window>Tabs>SPARQL Query. This tab consists of two views, the top which holds the query and the bottom which holds the results. There should be some text already there. It may look confusing, but we'll explain it. Just to start with hit the Execute button at the bottom of the tab. You should see a bunch of classes and class expressions returned.", - "page_start": 67, - "page_end": 67, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Figure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza\n\n#### 4.14 Defining an Enumerated Class\n\nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. The idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a specific code library. One of the first and most common design patterns was the Model-View-Controller pattern first used in Smalltalk and now almost the default standard for good user interface design. Since there are significant differences between OWL and standard OOP the many excellent books on OOP design patterns don't directly translate into OWL design patterns. Also, since the use of OWL is more recent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP community has. However, there are already many design patterns that have been documented for OWL and that can provide users with ways to save time and to standardize their designs according to best practices.\n\nOne of the most common OWL design patterns is an enumerated class. When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value. We will show an example of such an enumerated class by creating a new", - "page_start": 44, - "page_end": 44, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "When to use an enumerated class in OWL ontologies ?", - "target_page": 46, - "target_passage": "When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| 4.14 Defining an Enumerated Class 44 |\n| --- |\n| 4.15 Adding Spiciness as a Property 45 |\n| 4.16 Cardinality Restrictions 46 |\n| Chapter 5 Datatype Properties 48 |\n| 5.1 Defining a Data Property 48 |\n| 5.2 Customizing the Protégé User Interface 50 |\n| Chapter 6 Adding Order to an Enumerated Class 58 |\n| Chapter 7 Names: IRI's, Labels, and Namespaces 60 |\n| Chapter 8 A Larger Ontology with some Individuals 62 |\n| 8.1 Get Familiar with the Larger Ontology 63 |\n| Chapter 9 Queries: Description Logic and SPARQL 66 |\n| 9.1 Description Logic Queries 66 |\n| 9.2 SPARQL Queries 67 |\n| 9.21 Some SPARQL Pizza Queries 67 |\n| 9.22 SPARQL and IRI Names 70 |\n| Chapter 10 SWRL and SQWRL 72 |\n| Chapter 11 SHACL 76 |\n| 11.1 OWA and Monotonic Reasoning 76 |\n| 11.2 The Real World is Messy 76 |\n| 11.3 Basic SHACL Concepts 77 |\n| 11.4 The Protégé SHACL Plug-In 77 |\n| Chapter 12 Web Protégé 83 |\n| Chapter 13 Conclusion: Some Personal Thoughts and Opinions 88 |\n| Chapter 14 Bibliography 89 |\n| 14.1 W3C Documents 89 |\n| 14.2 Web Sites, Tools, And Presentations 89 |\n| 14.3 Papers 89 |\n| 14.4 Books 90 |\n| 14.5 Vendors 90 |", - "page_start": 3, - "page_end": 3, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Figure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza\n\n#### 4.14 Defining an Enumerated Class\n\nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. The idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a specific code library. One of the first and most common design patterns was the Model-View-Controller pattern first used in Smalltalk and now almost the default standard for good user interface design. Since there are significant differences between OWL and standard OOP the many excellent books on OOP design patterns don't directly translate into OWL design patterns. Also, since the use of OWL is more recent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP community has. However, there are already many design patterns that have been documented for OWL and that can provide users with ways to save time and to standardize their designs according to best practices.\n\nOne of the most common OWL design patterns is an enumerated class. When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value. We will show an example of such an enumerated class by creating a new", - "page_start": 44, - "page_end": 44, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 6 Adding Order to an Enumerated Class\n\nIn this chapter we will expand on the enumerated class that we created to model spiciness in chapter 4.14. This chapter will highlight some of the power of object properties in OWL. We are going to create an ordering for the instances of Spiciness. I.e., Hot isSpicierThan Medium which isSpicierThan Mild. To start go to the Object properties tab. Create a new property that is a sub-property of owl:topObjectProperty. Call this property isSpicierThan. Make its domain and range the Spiciness class. Make the property transitive. Transitive means that if X isSpicierThan Y and Y isSpicierThan Z then X isSpicierThan Z. This is of course similar to the greater than and less than relations in math. Create another property called isMilderThan. Make one property the inverse of the other. It doesn't matter which one, you only have to specify that one property is the inverse of another, and the reasoner will realize that both are inverses. Run the reasoner. You will see that the reasoner has inferred the domain and range for isMilderThan than as well as the fact that it is transitive and the inverse of isSpicierThan.\n\nFigure 6.1 Setting isSpicierThan property in the Individuals by class tab", - "page_start": 58, - "page_end": 58, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 9 Queries: Description Logic and SPARQL\n\nNow that we have some individuals in our ontology, we can do some interesting queries. There are several tools for doing queries in Protégé.\n\n#### 9.1 Description Logic Queries\n\nTo start with the most straight forward one based on what you have already learned are Description Logic (DL) queries. These are essentially the same kind of statements you have been using to define classes. However, in addition to using such statements to define a class you can use it as a query.\n\n_____________________________________________________________________________________\n\n#### **Exercise 33: Try Some Description Logic Queries**\n\n1. To begin with navigate to the DL Query tab. If it doesn't exist create it using: Window>Tabs>DL Query.\n\n2. At the top right of this tab you should see a view that says DL query: and below it Query (class expression).\n\n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, superclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping some (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness Hot. At first you may not see anything but don't worry there is one more step.\n\n4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it should already be checked by default) and Instances. Now your UI should look like figure 9.1. You may notice that owl:Nothing shows up as a subclass. Don't worry that is actually expected. Remember that owl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as owl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don't want to see owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing.\n\n5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with this last query you are taking advantage of the transitive order you defined for the instances of the Spiciness class in chapter 6.\n\n6. You can also do queries for strings in the names of your entities. For example, first do a query simply with Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the classes and individuals with *Hot* in their name.\n\n_____________________________________________________________________________________", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n#### 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see: https://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n#### 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this. The term used for any such construct in Protégé and in this document is an *Entity*. Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nREADS 36,030\n\n**Preprint** · April 2021\n\n0\n\n| CITATIONS | |\n| --- | --- |\n| 0 | |\n| 1 author: | |\n| | Michael Debellis |\n| | 21 PUBLICATIONS   194 CITATIONS |\n| | SEE PROFILE |\n\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "#### **Exercise 3: Add a Comment Annotation to Your Ontology**\n\n1. Make sure you are in the Active Ontology tab. In the view just below the Ontology IRI and Ontology Version IRI fields find the Annotations option and click on the + sign. This will bring up a menu to create a new annotation on the ontology.\n\n_____________________________________________________________________________________\n\n2. The rdfs:comment annotation should be highlighted by default. If it isn't highlighted click on it. Then type a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain.\n\n_____________________________________________________________________________________\n\n3. Click OK. Your Active Ontology tab should like Figure 4.3.\n\nFigure 4.4: The Class Hierarchy View Options\n\n#### 4.1 Named Classes\n\nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in the Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the Class hierarchy view as shown in Figure 4.5. 4 All empty ontologies contains one class called owl:Thing. OWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing all individuals. Because of this all classes are subclasses of owl:Thing.\n\n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the Class hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or to create them as independent tabs.", - "page_start": 13, - "page_end": 13, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "#### 4.10.4 Detecting a Class that can't Have Members\n\nNext, we are going to use the reasoner to detect a class with a definition that means it can never have any members. In the current version of Protégé when the reasoner detects an inconsistency or problem on some operating systems the UI can occasionally lock up and be hard to use. So to make sure you don't lose any of your work save your ontology using File>Save.\n\nSometimes it can be useful to create a class that we think should be impossible to instantiate to make sure the ontology is modeled as we think it is. Such a class is called a Probe Class.\n\n_____________________________________________________________________________________\n\n#### **Exercise 19: Add a Probe Class called ProbeInconsistentTopping**\n\n1. Select the class CheeseTopping from the class hierarchy.\n\n2. Create a subclass of CheeseTopping called ProbeInconsistentTopping.\n\n3. Click on the Add icon (+) next to the SubClass Of field in the Description view for ProbeInconsistentTopping.\n\n4. Select the Class hierarchy tab from the dialogue that pops up. This will bring up a small view that looks like the class hierarchy tab you have been using to add new classes. Use this to navigate to and select the class VegetableTopping. Click on OK.\n\n5. Make sure to save your current ontology file. Now run the reasoner. You should see that ProbeInconsistentTopping is now highlighted in red indicating it is inconsistent.\n\n6. Click on ProbeInconsistentTopping to see why it is highlighted in red. Notice that at the top of the Description view you should now see owl:Nothing under the Equivalent To field. This means that the probe class is equivalent to owl:Nothing. The owl:Nothing class is the opposite of owl:Thing. Whereas all individuals are instances of owl:Thing, no individual can ever be an instance of owl:Nothing. The owl:Nothing class is equivalent to the empty set in set theory.\n\n7. There should be a ? icon just to the right of owl:Nothing. As with any inference of the reasoner it is possible to click on the new information and generate an explanation for it. Do that now, click on the ? icon. This should generate a new window that looks like figure 4.20. The explanation is that ProbeInconsistentTopping is a subclass of CheeseTopping and VegetableTopping but those two classes are disjoint.\n\n8. Click OK to dismiss the window. Delete the class ProbeInconsistentTopping by selecting it and then clicking on the delete class icon at the top of the classes view (see figure 4.4).\n\n_____________________________________________________________________________________\n\n9. Synchronize the reasoner.", - "page_start": 37, - "page_end": 37, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that these superclass-subclass relationships (aka subsumption relationships) can be computed automatically by a reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – classes are represented as ovals, like sets in Venn diagrams.\n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an individual for it to be a member of the class. How to formulate these descriptions will be explained as the tutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "There are no mandatory naming conventions for OWL entities. In chapter 7, we will discuss names and labels in more detail. A best practice is to select one set of naming conventions and then abide by that convention across your organization. For this tutorial we will follow the standard where class and individual names start with a capital letter for each word and do not contain spaces. This is known as CamelBack notation. For example: Pizza, PizzaTopping, etc. Also, we will follow the standard that class names are always singular rather than plural. E.g., Pizza rather than Pizzas, PizzaTopping rather than PizzaToppings.\n\n#### 4.2 Using a Reasoner\n\nYou may notice that one or more of your classes is highlighted in red as in Figure 4.5. This is because we haven't run the reasoner yet so Protégé has not been able to verify that our new classes have no inconsistencies. When just creating classes and subclasses in a new ontology there is little chance of an inconsistency. However, it is a good idea to run the reasoner often. When there is an inconsistency the sooner it is discovered the easier it is to fix. One common mistake that new users make is to do a lot of development and then run the reasoner only to find that there are multiple inconsistencies which can make debugging significantly more difficult. So let's get into the good habit of running the reasoner often. Protégé comes with some reasoners bundled in and others available as plugins. Since we are going to write some SWRL rules later in the tutorial, we want to use the Pellet reasoner. It has the best support for SWRL at the time this tutorial is being written.\n\n#### **Exercise 5: Install and Run the Pellet Reasoner**\n\n1. Check to see if the Pellet reasoner is installed. Click on the Reasoner menu. At the bottom of the menu there will be a list of the installed reasoners such as Hermit and possibly Pellet. If Pellet is visible in that menu then select it and skip to step 3.\n\n_____________________________________________________________________________________\n\n2. If Pellet is not visible then do File>Check for plugins and select Pellet from the list of available plugins and then select Install. This will install Pellet and you should get a message that says it will take effect the next time you start Protégé. Do a File>Save to save your work then quit Protégé and restart it. Then go to File>Open recent. You should see your saved Pizza tutorial in the list of recent ontologies. Select it to load it. Now you should see Pellet under the Reasoner menu and be able to select it so do so.\n\n3. With Pellet selected in the Reasoner menu execute the command Reasoner>Start reasoner. The reasoner should run very quickly since the ontology is so simple. You will notice that the little text message in the lower right corner of the Protégé window has changed to now say Reasoner active. The next time you make a change to the ontology that text will change to say: Reasoner state out of sync with active ontology. With small ontologies the reasoner runs very quickly, and it is a good idea to get into the habit of running it often, as much as after every change.\n\n4. It is possible that one or more of your classes will still be highlighted in red after you run the reasoner. If that happens do: Window>Refresh user interface and any red highlights should go away. Whenever your user interface seems to show something you don't expect the first thing to do is to try this command.", - "page_start": 15, - "page_end": 15, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Howcan I specify to Content Manager OnDemand to store the data on the server on which the program runs ?", - "target_page": 121, - "target_passage": "Local: Content Manager OnDemand stores data in a primary storage node on the server on which the data loading program runs", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Content Manager OnDemand servers manage control information and index data, store and retrieve documents and resource group files, and process query requests from Content Manager OnDemand Client programs. The documents can be on disk and tape storage volumes. New reports can be loaded into Content Manager OnDemand every day. This way, Content Manager OnDemand can retrieve the latest information that is generated by application programs.\n\nWhen a user submits a query, the client program sends a search request to the Content Manager OnDemand library server. The library server returns a list of the documents that match the query to the user. When the user selects a document for viewing, the client program retrieves a copy of the document from the object server where the document is stored, opens a viewing window, and displays the document.\n\nFull text search allows users to search the full content of stored documents. For example, users can perform wildcard searches, fuzzy (or similar) searches, proximity searches, and boolean searches.\n\nDocuments or reports can also be automatically distributed to users through email or network printers. The distributions can be scheduled to occur at the time that the data is loaded or at specific times during the day.\n\n# **1.2 Content Manager OnDemand concepts**\n\nIn this section, we examine basic concepts of Content Manager OnDemand:\n\n- -Report and document\n- -Application, application group, folder, and cabinet\n\n# **1.2.1 Background information of an example company**\n\nAs we examine these concepts, we use an example company. Our fictitious company is called AFinancial Co. AFinancial Co is one of the largest custodians of financial transactions in the world. It is one of the leaders in managing customer assets, providing financial services and foreign exchange services. It is also one of the leading credit card providers in the world.\n\nThe timely delivery of information and reports is fundamental to maintaining this leadership status. Products and services that provide real-time, online access to a customer's account and fund information are key to competitive differentiation and are key to customer retention. AFinancial Co's customers want personalized fund information, in various standard formats, which are delivered through both web and desktop interfaces.\n\n# **1.2.2 Reports and documents**\n\nA *report* is one or more pages of data that is typically generated on a periodic basis by a computer software system. Content Manager OnDemand *documents* represent indexed groups of pages from a report. A Content Manager OnDemand document can be a logical section of a large report, such as an individual account statement within a report of thousands of statements. A Content Manager OnDemand document can also represent a physical portion of a large report. For example, if a large report does not contain logical groups of pages, such as transaction logs, Content Manager OnDemand can divide the report into groups of pages. The groups of pages are individually indexed and can be retrieved much more efficiently than the entire report.", - "page_start": 29, - "page_end": 29, - "source_file": "sg246915.pdf" - }, - { - "text": "Figure 1-1 Content Manager OnDemand system overview\n\nContent Manager OnDemand Client programs provide authorized users with high-speed access to the archived data that runs on the user devices (workstations) that are attached to the network and communicate with the Content Manager OnDemand servers.\n\nA Content Manager OnDemand server consists of multiple components that can be installed on a single system or multiple systems. In all cases, the installation appears to the users as a single server. The installation and is administered by the Content Manager OnDemand administrator as a single system.\n\nThe Content Manager OnDemand server includes the following components:\n\n- - A single library server: The library server manages a database that contains the information about the users of the system, and the reports and data that are stored on the system.\n- - One or more object servers: The object servers manage the data on disk or tape storage devices.\n- - One or more archive servers: The archive server stores the archived data objects. Depending on the operating system, the archive servers might be IBM Tivoli® Storage Manager, object access method (OAM), or Archive Storage Manager (ASM).\n\nThe library server and the object server can be packaged separately or as a single executable file.\n\n#### **Content Manager OnDemand Client programs**\n\nContent Manager OnDemand Client programs operate on various environments, including personal computers that are running on Windows, web browsers, and mobile devices. By using the client program, users can search for and retrieve reports that are stored on the system. Specifically, users can construct queries and search for reports, retrieve documents from Content Manager OnDemand, view, print, and fax copies or pages of documents, and attach electronic notes to the pages of a document.", - "page_start": 28, - "page_end": 28, - "source_file": "sg246915.pdf" - }, - { - "text": "# **10.1 Introduction**\n\nFor this chapter, unless explicitly stated otherwise, the term \"data\" is used to refer to the report data, the extracted documents or segments, and their related indexes and the extracted resources.\n\nA Content Manager OnDemand system logically stores data in *application groups*. An application group is defined by the Content Manager OnDemand administrator. It consists of data that has the same indexing, data storage, and expiration requirements. The application group definition also specifies where the report and document data are stored, how long the data is stored, and how the data expires. The method or methods that can be used to expire the data are a function of the application group parameters that are defined before the data is loaded into Content Manager OnDemand. In a Content Manager OnDemand system, data typically goes through a lifecycle of loading, storing, migration, and an expiration process.\n\n# **10.2 Loading and storing the data**\n\nThe Content Manager OnDemand architecture allows the control and management of the data throughout its lifecycle. The data lifecycle begins with running an efficient load process. Each load process invocation ingests report data for a specified application group.\n\nDuring a load process, Content Manager OnDemand stores report (document) data, its resources, and index data, as shown in Figure 10-1.\n\nFigure 10-1 Data and index storage locations\n\nThe Content Manager OnDemand load process identifies, segments, and compresses groups of documents into storage objects that are then stored in the Content Manager OnDemand archive, as illustrated in Figure 10-1. To improve the efficiency of the storage process, Content Manager OnDemand aggregates the stored documents (typically a few kilobytes in size) into storage objects. This aggregation provides efficient, high-volume storage, retrieval, and expiration performance.", - "page_start": 243, - "page_end": 243, - "source_file": "sg246915.pdf" - }, - { - "text": "# **2.3 Implementing a Content Manager OnDemand instance on a multiplatform UNIX environment**\n\nIn this section, we describe how to set up a single instance in a Content Manager OnDemand for a multiplatform UNIX environment. Always refer to the product documentation of your release for the specific steps to follow.\n\n# **2.3.1 Defining a single instance**\n\nBy default, the initial instance on any library server is named archive. Creating a single instance can be summarized by the following steps:\n\n- 1. Creating a user\n- 2. Creating a DB2 instance\n- 3. Installing IBM Global Security Kit\n- 4. Setting up Secure Sockets Layer (SSL)\n- 5. Storing user IDs and passwords in a stash file\n- 6. Installing and configuring Tivoli Storage Manager\n- 7. Configuring the instance\n- 8. Creating a Content Manager OnDemand database\n- 9. Initializing the system log and system load facility\n\n# **Creating a user**\n\nNew installations (instances) of Content Manager OnDemand can be configured to run under a user other than the root user. If you plan to run an instance under a user other than root, complete the following steps:\n\n- 1. Create the user for the Content Manager OnDemand instance owner that is a member of the database owners group.\n- 2. Give the user administrator authority to the database.\n- 3. Set permissions for the cache storage file systems.\n- 4. Set permissions for the Content Manager OnDemand configuration and script files.\n- 5. Give the instance owner permission to write to the system console.\n- 6. Specify the instance owner in the ARS.INI file.\n\nIf you plan to run a distributed library and object server system, with one or more object servers on different workstations or nodes than the library server, you must also configure Content Manager OnDemand on the object servers.\n\nTo configure Content Manager OnDemand on the object servers, complete the following steps:\n\n- 1. Create a group and user for the Content Manager OnDemand instance owner.\n- 2. Give ownership of the cache storage file systems that are listed in the ARS.CACHE file to the group and user for the Content Manager OnDemand instance owner.", - "page_start": 42, - "page_end": 42, - "source_file": "sg246915.pdf" - }, - { - "text": "# **2.1 Introduction**\n\nA *Content Manager OnDemand instance* is a logical server environment. The base system components are a library server and one or more object servers. Optional components include one or more archive managers and one or more Full Text servers.\n\n# **2.2 Architecture and platform**\n\nBefore you begin your installation and configuration, it is important to understand the general architecture of the Content Manager OnDemand server to help you determine the type of configuration that meets your business requirements. As illustrated in Figure 2-1, from an architectural perspective, the base Content Manager OnDemand server consists of two components: a library server and one or more object servers. The library server contains the database system tables and the application group data tables. The object server contains the stored reports and documents.\n\nFigure 2-1 Architectural view of Content Manager OnDemand\n\nData is loaded and retrieved from the Content Manager OnDemand server through a network connection (TCP/IP). The advantages of this design are listed:\n\n- -The instance components can be physically distributed across the network.\n- - System users (client systems) can be anywhere on the network. By using the Internet, the clients can be anywhere in the world.\n- - The \"load process\" can run either on the library server, the object server, or on any other system (containing the appropriate software) that is attached by network to both the library and object server.\n- - This design also allows the library server and object servers to be placed on the same system (or logical partition (LPAR)) or on two (or more) systems (LPARs).", - "page_start": 39, - "page_end": 39, - "source_file": "sg246915.pdf" - }, - { - "text": "# **17**\n\n# **Chapter 17. Content Federation Services for Content Manager OnDemand and IBM Enterprise Records**\n\nIn this chapter, we describe how to enable records management for an IBM Content Manager OnDemand (Content Manager OnDemand) solution. By default, report and document expiration are controlled by the storage managers that are integrated with Content Manager OnDemand. By using the storage managers, you can assign a retention period at data capture time. IBM Enterprise Records enhances retention capabilities with the flexibility to assign event-based retention and make a report or document an official compliant record to meet numerous government regulations.\n\nIn this chapter, we cover the following topics:\n\n- - Content Federation Services for Content Manager OnDemand and IBM Enterprise Records overview\n- - Administration of Content Federation Services for Content Manager OnDemand for Enterprise Records\n- -Content Federation Services for Content Manager OnDemand architecture\n- -Deployment considerations", - "page_start": 388, - "page_end": 388, - "source_file": "sg246915.pdf" - }, - { - "text": "# **1.1 Overview of Content Manager OnDemand**\n\nTo compete in today's global business environment, businesses must increase both the efficiency and effectiveness of their operations. Conflicting business requirements, such as increasing productivity while reducing costs and increasing personalization yet at the same time expanding to larger customer bases, can be achieved only through more streamlined and coordinated processes. Content Manager OnDemand helps address these issues by securely storing information and managing its delivery on demand whenever and wherever it is needed.\n\nContent Manager OnDemand is the leading report archive system and it is used by thousands of organizations worldwide. The high scalability and high-speed information archiving and retrieving benefit any organization that requires instant access to information, hardcopy replacement, or long-term archival of data. A Content Manager OnDemand system can support small office environments and large enterprise installations with hundreds or thousands of system users. It can dramatically improve productivity and customer service in many businesses by providing fast access to information that is stored in the system.\n\nContent Manager OnDemand is a robust report management system to perform the following tasks:\n\n- - *Capture*: Captures various data types from various sources through a batch capture system or interactively through custom-built interfaces.\n- -*Store*: Stores data for immediate retrieval.\n- -*Search*: Indexes data so that users can easily and quickly find the information.\n- -*Full Text Search*: Allows searching the full text of stored documents.\n- - *Integrate*: Enables organizations to integrate Content Manager OnDemand into their existing software stack by using components, such as OnDemand Web Enablement Kit (ODWEK). Organizations can also enable access through federated searches to other IBM Enterprise Content Management data and third-party products.\n- - *Display*: Supports multiple viewers for different data types, providing fast access for browsing and printing the retrieved data. For example, by using ready-for-use products, such as IBM Content Navigator, users can search and access Content Manager OnDemand, other IBM Enterprise Content Management data stores, and third-party products.\n- -*Distribute*: Distributes data to selected users (through email or print).\n- -*Manage*: Expires or archives data based on defined policies.\n- - *Archive*: Provides data archives online, near-line, or offline, enabling rapid archiving of data to the storage system.\n- - *Control*: Controls system and data access, allowing only authorized users to access specified data.\n\nIn summary, Content Manager OnDemand enables you to gain control of your information by providing access to your business' data, as needed, regardless of the size of the business or the hardware platform. Content Manager OnDemand improves your organization's bottom line by helping you become more efficient and responsive.\n\nFigure 1-1 on page 5 presents an overview of the Content Manager OnDemand (OnDemand) system.", - "page_start": 27, - "page_end": 27, - "source_file": "sg246915.pdf" - }, - { - "text": "Even though the various components can be distributed across the network, the Content Manager OnDemand Instance appears as a \"single system\" to both the administrator and the users.\n\n# **2.2.1 Configuration consideration**\n\nThe basic Content Manager OnDemand configuration is to install the library server and object server on the same machine. This design is the default and most common configuration. However, under certain conditions, it might be beneficial to distribute the library server, the object server, and the load process to different systems.\n\nConsider the following information to help you decide whether to run one or more of the load processes on one or more separate systems:\n\n- - Reducing system resource (processor or memory) consumption competition on the library and object server system.\n- - Reducing the network traffic time by running the load process on the system on which the load data is created.\n- -Better performance for a certain index or load process to run on another system.\n- -More convenient to operate and manage the data because the data is in a smaller set.\n\nThe considerations for separate object servers are listed:\n\n- -Distributing the workload among multiple systems.\n- -Distributing the data storage among multiple systems.\n- - Storing the data closer to where it will be accessed from. For example, your main operations (library server and object server) are in the US but many of your users are in China and France. You can install an object server in France to keep French data and another object server in China to store Chinese data. The original object server can remain in the US where the US data is kept.\n\nThe considerations for distributed library server, object servers, and load processes are listed:\n\n- - Using different operating systems. For example, the library server might be on a z/OS system while an object server can be on an AIX system and another object server can be on a Linux system.\n- - All of the system components must be at the same release level of Content Manager OnDemand, for example, Content Manager OnDemand 9.5.\n\n# **2.2.2 Library server and object server functions**\n\nFunctionality is distributed between the library server and object servers in the following manner:\n\n- - Library server:\n\t- Manages access to the administration definitions\n\t- Provides data integrity\n\t- Maintains data archive index information, configuration, and user account information\n\t- Controls access to data archives on object servers\n\t- Directs query, retrieve, and print requests from the clients\n\t- Routes store, retrieve, and delete requests from the clients", - "page_start": 40, - "page_end": 40, - "source_file": "sg246915.pdf" - }, - { - "text": "# **17.1 Content Federation Services for Content Manager OnDemand and IBM Enterprise Records overview**\n\nIBM FileNet Content Federation Services enables organizations to access content from numerous heterogeneous repositories anywhere in the enterprise and federate this information to provide a single enterprise source for critical business content. Content Federation Services for Content Manager OnDemand enables enterprises to perform federation, search, retrieve, and records management functions across Content Manager OnDemand repositories.\n\nIBM Enterprise Records positions your business to provide legally compliant records that meet government regulations at the time of inquiry that follow your corporate record policy file plan.\n\nContent Manager OnDemand handles a high volume of document ingestion to the system, typically of a static nature, such as credit card or bank statements. Each document ingestion might contain thousands of individual documents or pages. Content Manager OnDemand offers a retention feature so that you can set the document retention for a fixed period at the document ingestion time, for example, an investment company that applies a simple retention policy of eight years to all of their customer statements.\n\nContent Manager OnDemand does not apply an event-based retention policy that is based on, for example, the date that the customer closed an account. In this scenario, the clock does not begin the eight-year period until the customer closes the account. By enabling records federation services by using Content Federation Services for Content Manager OnDemand, you can manage Content Manager OnDemand content in a manner that is consistent with your organization's records retention policies.\n\nWhen Content Manager OnDemand content is federated and declared as a record in Enterprise Records, Content Manager OnDemand content can be tied to dynamic retention policies, such as account closure, policy termination, contract execution, or any other event. In these circumstances, records federation services can allow your organization to retain content for a certain amount of time, starting on the date of the event. Companies must design their policies carefully to manage a large collection of data correctly when the company deals with various regulatory policies and litigation.\n\nWhen it is time to expire data, with federated and declared content by using Content Federation Services for Content Manager OnDemand, Content Manager OnDemand can delete the original load (which contained multiple documents) and at the same time reingest those documents that must be retained.\n\nWhen you use Enhanced Retention Management, you enable the holding documents immediately and prevent expiration. Although this feature is powerful, it does not position your business to make a Content Manager OnDemand captured report or document a compliant record to meet government regulations. You must enable the feature that meets your business requirements:\n\n- - Use Enhanced Retention Management in Content Manager OnDemand to hold documents and prevent expiration.\n- - Use Enterprise Records to make documents into compliant records and to enable them for event-based expiration.\n\nA situation might exist where both features are enabled because of many different line-of-business requirements.", - "page_start": 389, - "page_end": 389, - "source_file": "sg246915.pdf" - }, - { - "text": "# **17.2 Administration of Content Federation Services for Content Manager OnDemand for Enterprise Records**\n\nConfigure Content Manager OnDemand for Content Federation Services to declare records by using Enterprise Records. You must disable expiration processes by the storage manager so that it cannot expire data. You must also convert application groups with an expiration type of DOCUMENT, SEGMENT, or STORAGE MANAGER to an expiration type of LOAD.\n\nTo configure Content Federation Services for Content Manager OnDemand, you must perform the following tasks:\n\n- -Enable Content Federation Services for Content Manager OnDemand.\n- -Identify the application groups where Content Federation will be enabled.\n- -Specify the application group field.\n- -Enable Content Federation permissions for the application group.\n- - Federate document metadata to Content Federation Services for Content Manager OnDemand.\n\nThese items are discussed in more detail in the following sections.\n\n# **17.2.1 Enabling Content Federation Services for Content Manager OnDemand**\n\nAll of the steps in this section assume that IBM FileNet P8 and FileNet Content Federation Services are installed correctly.\n\nIn this section, we describe the components in Content Manager OnDemand to enable the federation capabilities to allow record declaration in Enterprise Records. We assume that you are familiar with Content Manager OnDemand administration, so detailed steps are not provided in this chapter.\n\nFor more information about the installation and configuration of FileNet P8 and FileNet Content Federation Services, see Federated Content Management: Accessing Content from Disparate Repositories with IBM Content Federation Services and IBM Content Integrator, SG24-7742.\n\nTo use IBM FileNet P8 Content Federation Services for Content Manager OnDemand, you must enable the feature in Content Manager OnDemand by modifying the ars.cfg file and adding the following line:\n\nARS_SUPPORT_CFSOD=1\n\nIn Content Manager OnDemand for Windows, you can enable IBM FileNet P8 Content Federation Services for Content Manager OnDemand by using the Content Manager OnDemand Administrator Client Configurator. Figure 17-1 on page 368 shows the Content Manager OnDemand configuration setup for Content Federation Services for Content Manager OnDemand.", - "page_start": 390, - "page_end": 390, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Does the XML indexer of Content Manager OnDemand support large objects ?", - "target_page": 188, - "target_passage": "No", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- - **Problem**: Content Manager OnDemand indexing fails when only one field is defined for an application group.\n**Reason or resolution**: The Content Manager OnDemand file name indexing feature needs at minimum one index and a field value that are defined in the application indexer parameters.\n\nVerify that you are using a file name index with one field that is defined in the application group and no field or indexing parameter defined for the application. If these conditions are true, you must use a field. You can define a dummy literal index and field value in the application indexing parameter as a placeholder. This dummy value is not processed, but it allows the file name to be indexed successfully.\n\n- - **Problem**: Content Manager OnDemand does not break up the PDF file into separate reports when TRIGGERs are defined correctly and indexing is successful. For certain reports, the trigger is not honored and the reports are grouped.\n**Reason or resolution**: The field value *must change* for Content Manager OnDemand to indicate a report break. In Figure 18-2, there are several pages of a document. Page 1 is the TRIGGER, and the name is the field that is placed into the index.\n\n| Page 1 |\n| --- |\n| John Doe |\n| Page 2 |\n| John Doe |\n| ... |\n| ... |\n| Page 1 |\n| John Doe |\n| ... |\n| Page 1 |\n| John Smith |\n\nFigure 18-2 Sample document for indexing\n\nIn this example, because the string Page 2 does not match the TRIGGER, it is ignored, and that page is included in report 1. Moreover, the report does not break until the name John Smith is read because it is different from the name John Doe.\n\n- - **Problem**: When the user views a document that is loaded with large object (LOB), the client receives the message:\nViewer Page count does not match Load Page Count. Viewing may be adversely affected. Contact your system administrator.\n\nIf the user clicks OK, the document can be viewed in its entirety, except that the page number is incorrect.\n\n**Reason or resolution**: When a document is loaded as LOB, the Loader must count the pages, because a certain number of pages go into a LOB segment. When the client retrieves a LOB segment, the client also counts the pages that it receives from the server. The user will receive the message \"Viewer Page count does not match Load Page Count\" when the two page counts do not match.\n\nThis problem is usually caused by the user running ACIF to load a document that contains the form feed character x'0C'. ACIF does not support the form feed character as the start of a new page, but the line data viewer does support the form feed character as the start of a new page. Therefore, the viewer ends up with a different count of pages than the loader.\n\nIf you use the **asciinp** exit, ensure that the exit was not modified and recompile the exit.", - "page_start": 403, - "page_end": 403, - "source_file": "sg246915.pdf" - }, - { - "text": "- The *XML Indexer* allows the rapid increase in XML archiving mandates that are based on ISO 20022 standards with XML (including SEPA in Europe). The XML Indexer is optimized for high-volume batch archiving of XML, batch PDF, AFP, Line Data, and check images.\n- The *Full Text Indexer* provides the capability to index the full text of a document (or report). You can search through an indexed document.\n- - *Data loading programs* can be set up to automatically store report data into application groups and update the database. The data loading programs can run on any Content Manager OnDemand server.\n- - *Report Distribution Facility* provides an easy way to automatically group reports and portions of reports and distribute the reports to multiple users. Distributions can be printed, created as an output file, or emailed as an attachment.\n- - Both the archived reports and their resources are stored in the Content Manager OnDemand Archive. The Content Manager OnDemand system manages the stored data throughout its lifetime. It provides authorized users rapid access to the data and allows the data to be converted into different formats for display or print.\n- - A *server print* facility allows users to reprint a large volume of documents at high speed. Print servers, such as Infoprint (on AIX), can be started to manage the server print devices. These print servers are not part of Content Manager OnDemand and must be purchased separately.\n- - Content Manager OnDemand *management programs* maintain the Content Manager OnDemand database and documents in cache storage.\n- - A *system logging* facility provides administrators with tools to monitor server activity and respond to specific events as they occur. The interface to the system logging facility is through the system log folder and the system log user exit.", - "page_start": 35, - "page_end": 35, - "source_file": "sg246915.pdf" - }, - { - "text": "You must consider several factors when you use large object support:\n\n- - The report must be indexed with an indexing program that generates a large object by dividing large documents into smaller parts and defining the indexing information that is used to retrieve the documents.\n- - The amount of data per page and the number of pages that you divide documents into affects retrieval and viewing response time. The number of bytes per page typically dictates the number of pages that you can divide documents into. In general, the larger the page size in bytes, the smaller the number of pages that you can divide your documents into. For example, if the average page in the document contains 2.5 KB of data, choose 100 - 1000 pages per Large Object (LO) segment; if the average page in the document contains 50 KB of data, choose 1 - 100 pages per LO segment.\n- - The capacity of your network and the traffic in the network might determine the number of pages that you need to divide your documents into. Larger document sizes (large byte size even when compressed) require more network bandwidth (or more time if the bandwidth is not available) to transfer from a Content Manager OnDemand server to a client. The number of users that are concurrently accessing Content Manager OnDemand and the sizes of the documents that are being retrieved determine the overall load in the network.\n- - Response time requirements. The goal of Content Manager OnDemand large objects is to provide better performance and usability. Large object support clearly provides enhanced usability. However, you must implement large object support so that dividing your documents into parts provides better overall performance than other methods of segmenting the input data.\n\nWhen you choose a large object, Content Manager OnDemand displays the Number of Pages field. Specify the number of pages that you want Content Manager OnDemand to divide documents into in the Number of Pages field.\n\nTo generate large objects, the indexer that is specified on the Indexing Information page must be AFP Conversion and Indexing Facility (ACIF), OS/390, or OS/400. When you select the Large Object check box, Content Manager OnDemand automatically adds the INDEXOBJ=ALL parameter to the indexing parameters (which causes the indexing program to generate the large object indexing information).\n\n#### *Exporting an application*\n\nIt is not possible to export an application to application groups with different database fields or attributes. However, you can export applications to a different server if the application group on the target server is identical to the application group on the source server (the server on which the applications are defined).\n\nEnsure that no existing application has the same application ID in the target application group. For more information, see the section \"Adding items to a server\" in the IBM Content Manager OnDemand for Multiplatforms, V9.5, Administration Guide, SC19-3352.\n\n#### *Selecting font by line data graphical indexer*\n\nThe font that is used by the line data graphical indexer to display a document can be changed from within the line data graphical indexer at the Content Manager OnDemand Administrator Client.", - "page_start": 76, - "page_end": 76, - "source_file": "sg246915.pdf" - }, - { - "text": "# **7**\n\n# **Chapter 7. Indexing and loading**\n\nIn this chapter, we describe the various indexers that are available for IBM Content Manager OnDemand (Content Manager OnDemand).\n\nIn this chapter, we cover the following topics:\n\n- -Introduction\n- -Getting started with PDF indexing\n- -Getting started with ACIF indexing\n- -OS/390 indexer on z/OS and AIX\n- -OS/400 indexer on Content Manager OnDemand on IBM i\n- -User exits\n- -Additional references", - "page_start": 184, - "page_end": 184, - "source_file": "sg246915.pdf" - }, - { - "text": "XML data is loaded into Content Manager OnDemand by using the **arsload** command. For example, the following statement loads the bamboo.in file and its .res file (if found):\n\narsload -I localhost -u userName -p load.stach -g ci_stmts bamboo,in\n\nThe XML indexer uses the \"Generic XML Index File Format\" (GXIFF). The GXIFF format is functionally similar to the Generic Index File Format in that it allows the loading of any type of data into Content Manager OnDemand.\n\nFor more information about using the XML indexer, see IBM Content Manager OnDemand - Indexing Reference, SC19-3354.\n\n# **7.8 User exits**\n\nA *user exit* is a point during processing where control is handed from the indexer program to a user-written program. After the user-written program finishes, the control is handed back to the indexer program.\n\nThe ACIF indexer and the OS/390 indexer support multiple user exits. The OS/400, PDF, XML, and Generic indexers do not support any user exits.\n\nFor a description of the ACIF user exits in detail, see 11.2, \"ACIF exits\" on page 242.\n\nFor a description of the OS/390 indexer user exits, see 11.3, \"OS/390 indexer exits\" on page 248.\n\n# **7.9 Additional references**\n\nFor more information, see the following IBM developerWorks® articles:\n\n- - Creating PDF Indexing Parameters Using Floating Triggers: http://ibm.co/1FHsXDq\n- - Understanding the ACIF Input Exit for DB2 Content Manager OnDemand: http://ibm.co/1UUcCT0", - "page_start": 206, - "page_end": 206, - "source_file": "sg246915.pdf" - }, - { - "text": "# **13.3 Data retrieval performance**\n\nAll Content Manager OnDemand clients (such as the Windows client, CICS client, IBM Content Navigator, ODWEK application programming interfaces (APIs), and structured APIs) retrieve data from the Content Manager OnDemand server by using a standard proprietary Content Manager OnDemand protocol. From a Content Manager OnDemand server perspective, no difference exists between one client and another client.\n\n# **13.3.1 Data retrieval parameters**\n\nVarious parameters affect data retrieval performance.\n\n# **Folder parameters: General tab**\n\nIn the Content Manager OnDemand Administrator Client, under the Folder parameter and on the General tab, the following option is available:\n\n- - Note Search: If the Annotation flags in a document database are set to No in the Advanced tab of the General window of the Application Group, this option determines when Content Manager OnDemand searches the database for annotations and notifies users that annotations exist for the documents that match a query. Content Manager OnDemand provides three search and notification methods:\n\t- Hit List: Content Manager OnDemand searches for annotations when the user runs a query. When annotations exist for a document, the client programs display a note icon next to it in the document list. This method has a direct performance impact on the generation of the document list.\n\t- Retrieve: Content Manager OnDemand searches for annotations when the user selects a document for viewing. This method is the default and recommended value.\n\t- Note: Content Manager OnDemand searches for annotations when the user chooses the Note option while the user views a document.\n\n### **Folder parameters: Permissions tab**\n\nIn the Content Manager OnDemand Administrator Client, under Folder parameters and on the Permission tab, the following option is available:\n\n- - Max Hits: Determines the maximum number of hits that are retrieved and transmitted to the client. By reducing the maximum number of hits, users are forced to enter queries that better match the documents that they are searching for. By reducing the maximum number of hits, the system resources are used optimally both in performing the queries and in downloading the resulting document list.\n# **TCP/IP considerations**\n\nA known Windows configuration setting might affect performance when you connect to a Content Manager OnDemand server. During repeated searches and retrievals on a Content Manager OnDemand server, many Windows sockets are opened and closed. Two default Windows settings might affect heavy traffic between the client and the Content Manager OnDemand server:\n\n- - When an application closes a Windows socket, Windows places the socket's port into TIME_WAIT status for 240 seconds; during this time, the port cannot be reused.\n- -Windows limits the number of ports that an application can use to 5000.", - "page_start": 327, - "page_end": 327, - "source_file": "sg246915.pdf" - }, - { - "text": "# **7.1 Introduction**\n\nBefore documents can be loaded into Content Manager OnDemand, they must be indexed. These indexes can be created during the load process (OS/390 indexer), directly before the load process (Advanced Function Presentation (AFP) Conversion and Indexing Facility (ACIF), OS/400, XML, and Portable Document Format (PDF) indexers), or before the load process (Generic indexer). When the indexes are not created as part of the load process, they are stored in an *index file*. The index file contains the index values that are associated with the document and \"pointers\" to the documents. You cannot load documents into Content Manager OnDemand without index values.\n\nThe index values are text strings that occur in the documents, for example, \"John Doe\", or \"Account 1234\". One or more index values identify a unique document in Content Manager OnDemand.\n\nAn *indexer* extracts the index values and optionally stores them in the index file by examining the documents and copying the index values into the index file according to criteria that are specified by the user. Depending on the indexer that is used, the data and indexes are either directly loaded into Content Management OnDemand or are stored in a set of files that are then read by the load process to store the data to Content Manager OnDemand. The indexer creates the following files:\n\n- -Output file (.out file extension), which contains the documents to load\n- -Index file (.ind file extension), which contains the index values for the documents\n\nThe indexer might also create a resource file with a .res extension, which contains the resources that are extracted from the documents.\n\nOperationally, the loading process **arsload** calls the indexer that is specified on the Indexer Information tab for the specified application. Depending on the indexer type, **arsload** performs one of the following tasks:\n\n- - Creates a set of files that is then loaded by the **arsload** program into the Content Manager OnDemand System\n- - Directly passes the indexing and document information to the arsload program so that they can be loaded into the Content Manager OnDemand System\n\nOn Content Manager OnDemand for i, **arsload** is embedded within the (**ADDPRPTOND**) user interface. Therefore, run the Add Report to Content Manager OnDemand (**ADDPRPTOND**) command instead of **ARSLOAD**.\n\nIt is possible for the indexing to complete successfully but for the load to fail. The following reasons are the most common reasons for a loading failure:\n\n- -Using insufficient system resources\n- -Connecting to the wrong database\n- -Extracting the wrong index value from the document\n\nFor information about investigating and resolving common load failures, see 18.1.2, \"Indexing and loading issues\" on page 379.", - "page_start": 185, - "page_end": 185, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Document indexing**\n\n*Document indexing* is used for reports that contain logical items, such as customer name or number. Each of the items in a report can be individually indexed on values, such as account number, customer name, and balance. Content Manager OnDemand supports up to 128 index values per item. With document indexing, the user is not necessarily required to know about reports or report cycles to retrieve a document from Content Manager OnDemand.\n\n# **Report indexing**\n\n*Report indexing* is used for reports that contain many pages of the same type of data, such as a transaction log. Each line in the report usually identifies a specific transaction, and it is not cost-effective to index each line. Content Manager OnDemand stores the report as groups of pages and indexes each group.\n\nWhen reports include a sorted transaction value (for example, transaction date and number), Content Manager OnDemand can index the data on the transaction value. This indexing is done by extracting the beginning and ending transaction values for each group of pages and storing the values in the database. This type of indexing lets users retrieve a specific transaction value directly.\n\n# **1.3 Content Manager OnDemand server and its components**\n\nOn IBM z/OS® and Multiplatforms (MP) systems, the Content Manager OnDemand server can be implemented as a library server and one or more object servers that are on one or more nodes that are connected to a Internet Protocol network. For the Content Manager OnDemand system overview, see Figure 1-1 on page 5.\n\n# **1.3.1 Library server and object server**\n\nA Content Manager OnDemand *library server* maintains two sets of database tables:\n\n- - The first set of database tables contains indexes about the reports that are stored in the Content Manager OnDemand Archive.\n- - The second set of database tables contains information about the objects that are defined to the system, such as users, groups, printers, application groups, applications, folders, cabinets, and storage sets.\n\nThe database manager provides the database engine and utilities to administer the database. The library server processes client logons, queries, and print requests and updates to the database. The major functions that run on the library server are the request manager, the database manager, and the server print manager.\n\nA Content Manager OnDemand *object server* maintains documents on cache storage volumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM on z/OS systems, or ASM on IBM i systems, allow hierarchical storage management techniques to be applied to the stored documents. An object server loads data, retrieves documents, and expires documents. The major functions that run on an object server are the cache storage manager, data loading and maintenance programs, and optionally, the ASM.\n\nThe basic Content Manager OnDemand configuration is a library server and an object server on the same physical system or node. This single library or object server configuration supports the database functions and cache storage on one system. You can add an ASM to the single library or object server configuration to maintain documents on archive media.", - "page_start": 33, - "page_end": 33, - "source_file": "sg246915.pdf" - }, - { - "text": "Because this architecture enables a system to create tables when the maximum table size is reached, no logical limitation exists to the system; rather, the limitation is on the physical resources, such as processing power, disk space, object servers, and storage hardware.\n\n# **4.4 Search sequence**\n\nTo better understand the relationship between the various Content Manager OnDemand tables, we describe a search sequence within a Content Manager OnDemand system in this section. A search sequence scans through multiple Content Manager OnDemand tables. We describe the logical flow that the system goes through during a Content Manager OnDemand search.\n\nBy using the Content Manager OnDemand standard Windows client, you can open a search criteria window (see Figure 4-3). In our example, four index fields exist: Name, Account, Statement Date, and Balance. The example shows a search for a specific date and balance amount.\n\n| Search Criteria | | |\n| --- | --- | --- |\n| Name | Like | |\n| Account | Like | |\n| Statement Date | Equal To | 1994-03-07 |\n| Balance | Equal To | 104.18 |\n\nFigure 4-3 Content Manager OnDemand Client search criteria window\n\nAfter you enter these values, Content Manager OnDemand uses the date information and searches the segment table ARSEG to find the application group data table that contains that date. Content Manager OnDemand then searches the identified table_name (in our example HAA1) for the index values (1994-03-07 and 104.18) and finds the matching *Statement_date* and the *Balance* and returns these values to the client in a search result list.\n\nAny individual document from within this result list can then be retrieved for display on the client. Content Manager OnDemand locates the document in the archive by using the object name, document offset, and length. In the background, the document data is automatically decompressed before it is displayed.\n\nFigure 4-4 on page 85 shows the details of this search sequence from a folder.", - "page_start": 107, - "page_end": 107, - "source_file": "sg246915.pdf" - }, - { - "text": "# **13.1 Tuning Content Manager OnDemand to enhance performance**\n\nTwo components make up performance: throughput and response time:\n\n- - Throughput: The number of transactions (Content Manager OnDemand requests) that can be satisfied for each unit of time. The more transactions that are run for each unit of time, the higher the throughput. Higher throughput implies that more users can be served concurrently and more load jobs can be run in parallel. If the throughput values are low, the system might not be able to support the required number of users.\n- - Response time: The amount of time it takes to service a single transaction (Content Manager OnDemand request). Faster response times imply that the users are able to retrieve their data faster from the archive, which in turn leads to more satisfied users. If the response time is slow, users are dissatisfied with the system.\n\nA high performance system, such as Content Manager OnDemand, provides both high throughput and short response times.\n\nThe following sections describe the various components of a Content Manager OnDemand system and its architecture. They provide guidance about the parameters and configurations that you can change to improve performance.\n\nThe ability to separate the object server from the library server offers two main advantages:\n\n- -The ability to share workload by dedicating machines to individual tasks\n- - The ability to reduce the impact of retrieving a large piece of data over a network that is either slow or overloaded\n\n# **13.1.1 Content Manager OnDemand configuration**\n\nHow reports are defined, indexed, and stored within Content Manager OnDemand greatly influences the speed at which Content Manager OnDemand can retrieve them. Various hints and tips for the optimum way to define reports within Content Manager OnDemand are described in Chapter 3, \"Administration\" on page 45.\n\n# **13.1.2 System logging**\n\nUse Content Manager OnDemand system logging for usage monitoring, charge-back, or troubleshooting. Because system logging involves writing all of the selected log messages to disk, you incur an increase in both resource usage and response time. Logging increases both the amount of the processor that is used and the amount of I/O to disk. For this reason, select only the types of logging that you want performed for a particular application group. Depending on your system usage requirements, you might decide to perform any of the following tasks:\n\n- -Turn off all system logging.\n- - Record a minimal amount of information (only the information that is needed for reporting functions).\n- -Record all transactions.\n- -Record the log information to one or more external files by using the system log exit.\n- -Turn on system logging only while you troubleshoot the system.\n- -Turn on system logging once every time period to sample the system usage patterns.", - "page_start": 321, - "page_end": 321, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Considering storage efficiency, should I store my AFP documents as PDF to distribute them over the web ?", - "target_page": 232, - "target_passage": "If a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval tim", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **9.1 Overview of data conversion**\n\nTo work with data conversion, understand the data conversions that are required, and when and how to convert the data. Perform detailed planning before you build your solution so that you achieve a design that remains efficient for many years.\n\nIn this section, we describe why you might need data conversion, when to convert the data stream, and how to convert the data.\n\n# **9.1.1 Why convert data streams**\n\nYou might want to convert data streams for many reasons:\n\n- - Certain data streams, such as Hewlett-Packard (HP) Printer Command Language (PCL) or Xerox metacode, are printer-specific and cannot be displayed. Before you archive or display the documents, these data streams must be transformed into a compatible format.\n- - The archived data stream might need to comply with a company's internal rules or regulations. Therefore, the produced data streams must be transformed into the defined and required final format before they are archived.\n- - The documents might need to be accessible by a user that is outside of the company. The document must be displayed through standard tools that are available on any or at least most of the clients, such as an Internet browser or Adobe Acrobat Reader.\n- - The documents might need to be manipulated so that only part of the document is displayed in a personalized way.\n\n# **9.1.2 When to convert data streams**\n\nThe decision of *when* to convert data streams relies mainly on the use of the system. Typically, converting data at load time requires more time to process the print stream file, and converting data at retrieval time causes the user retrieval to be a little slower. The decision might depend on how many documents are retrieved, compared to how many documents are loaded daily. It might also depend on legal requirements about the format of stored data.\n\n# **AFP to PDF**\n\nIf a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval time. AFP documents are stored more efficiently than PDF documents.\n\nThe PDF print stream, when it is divided into separate customer statements, is larger than AFP because each statement contains its own set of structures that are required by the PDF architecture to define a document.\n\nElapsed time and processor time are also essential factors in the decision-making process. The amount of time (elapsed and CPU) that is needed to convert the document depends on how large the document is and how many resources or fonts are associated with the document.", - "page_start": 231, - "page_end": 231, - "source_file": "sg246915.pdf" - }, - { - "text": "- - For IBM i, depending on your retrieval patterns and system hardware configuration, it might be advantageous to *not* store a duplicate set of documents in the Content Manager OnDemand cache when you use ASM because ASM might already be using disk space. If the application group uses ASM, caches the data, and specifies the migration of data at load time, two copies of the data are stored during the load. One copy is stored in cache, and one copy is stored in the ASMREQUEST directory.\nTo avoid storing a duplicate set of documents in cache for non-AFP data, change Cache Data to No on the Storage Management tab of your application group definition. To avoid storing a duplicate set of documents in cache for AFP data, you might change Document Data to No Cache but leave Resource Data in cache for faster retrieval.\n\n- - For IBM i, every user that loads data must have a home directory. If users do not have a home directory, the temporary files are stored in the root directory of the integrated file system (IFS).\n- - If the data source is on a remote system, you can load the data into Content Manager OnDemand on the remote system and directly store the export data to the specified Content Manager OnDemand library and object server.\n\nOr, if the data source is on a remote system, you also can upload the data to the specified Content Manager OnDemand server through FTP and then load the data on the selected Content Manager OnDemand system.\n\n- - For Multiplatforms and z/OS, all file systems must be dedicated file systems that are mounted on their own mount points.\n- - For z/OS, when you load PDF reports (by using the PDF Indexer), placing the input report in the HFS or zFS causes the load to run nearly 50 times faster that compared to the input report that is placed in a VSAM file.\n\n# **13.2.3 Load testing**\n\nThe goal of load testing is to verify that, under stressful system conditions, the required amount of data can be loaded into the Content Manager OnDemand system within a time window.\n\nA general approach to load testing a system is described:\n\n- - Parallel loads: Run a single load and measure the load throughput. If the throughput does not meet the requirements, run two loads in parallel and measure the throughput. While the loads are run, collect system statistics to determine the system resources that are being used and any potential bottlenecks. Tune or acquire additional system resources as needed. Progressively increase the number of parallel loads until the required throughput is met.\n**Note:** For most users, a single load process meets the ingestion throughput requirements.\n\n- - Data types and exits: A different data type, and whether an exit is started during the load process, affects the load throughput. Test samples of the different types that represent the general loads.", - "page_start": 326, - "page_end": 326, - "source_file": "sg246915.pdf" - }, - { - "text": "# **13.4.1 PDF data**\n\nPortable Document Format (PDF) data is an increasingly common data type that can be archived within Content Manager OnDemand. The following key advantages are available by using this data type as a document format:\n\n- - It is a read-only format that does not require any external resources, such as images or fonts. It is self-contained.\n- - The viewer for PDF can be downloaded at no charge from the Adobe website and the browser plug-ins for PDF are also available at no charge.\n\nDuring PDF document creation, resources, such as images and custom fonts, are placed in the data stream once and then referenced many times from within the PDF file. If a large report is produced from many small documents, that report requires only one copy of the resources.\n\nHowever, when the PDF is indexed, the PDF Indexer creates many PDF documents from the input file. Each of these documents requires a certain number of PDF structures, which define a document. These documents are concatenated together in the .out file, and then loaded into Content Manager OnDemand as separate documents. Because the resources are extracted and placed into a separate resource file, they are not included in each document. For an illustration of the process, see Figure 13-3.\n\nFigure 13-3 PDF indexing\n\nIf no resources are collected, the size of the .out file, which contains all of the individual documents, might be larger than the original file. For tips about how to reduce the size of the output file, see 7.3.5, \"PDF indexing: Using internal indexes (Page Piece Dictionary)\" on page 173.", - "page_start": 331, - "page_end": 331, - "source_file": "sg246915.pdf" - }, - { - "text": "From a performance perspective, the use of the transaction data field for transaction-style line data optimizes indexing performance by reducing the number of index values to be inserted into the database. Therefore, the process of loading and retrieving these large reports is faster and the Content Manager OnDemand database is many times smaller.\n\n# **13.4.3 AFP data**\n\nAFP data is a multi-part data type. In addition to the variable data, external resources, such as images, fonts, and logos, are also referenced by the AFP data stream. When Content Manager OnDemand stores AFP data, the resources are also archived. When the data is viewed, the referenced resources are displayed.\n\nIt is a common misconception that if fonts are collected when the data is loaded, they are available for viewing in the Windows client. However, Windows does not recognize AFP fonts. It is not possible to use these fonts even if they are sent to the client as part of the resource. Windows clients require a mapping from AFP fonts to Adobe Type Manager (ATM) fonts or TrueType (TT) fonts. Content Manager OnDemand provides this mapping for most standard fonts. For more information about mapping custom fonts, see IBM Content Manager - Windows Client Customization Guide and Reference, SC27-0837.\n\nOne possibly useful implementation of storing fonts with the resource group is when server reprint is necessary. If the fonts are stored with the resource group, they can be retrieved from Content Manager OnDemand and used by AFP printers. However, if fonts are collected, they are also sent to the client as part of the resources group and then discarded. Storing the fonts with the resource group serves only to increase network traffic when transferring the resource to the workstation. A more practical option for server printing is to store the font in a fontlib and to keep only the reference (path) to the fontlib. Although the font is accessible on the server, Print Services Facility (PSF) or InfoPrint does not need the font to be inline (stored in the resource group). The use of this approach also allows all AFP data that references the font to use the single instance of the font without redundant inline storage.\n\nFigure 13-5 on page 311 shows the indexer information in the application where you can select the resources to collect with the Restype= parameter. Unless reprints to AFP printers with 100% fidelity is a requirement, do not collect the fonts.", - "page_start": 333, - "page_end": 333, - "source_file": "sg246915.pdf" - }, - { - "text": "You must consider several factors when you use large object support:\n\n- - The report must be indexed with an indexing program that generates a large object by dividing large documents into smaller parts and defining the indexing information that is used to retrieve the documents.\n- - The amount of data per page and the number of pages that you divide documents into affects retrieval and viewing response time. The number of bytes per page typically dictates the number of pages that you can divide documents into. In general, the larger the page size in bytes, the smaller the number of pages that you can divide your documents into. For example, if the average page in the document contains 2.5 KB of data, choose 100 - 1000 pages per Large Object (LO) segment; if the average page in the document contains 50 KB of data, choose 1 - 100 pages per LO segment.\n- - The capacity of your network and the traffic in the network might determine the number of pages that you need to divide your documents into. Larger document sizes (large byte size even when compressed) require more network bandwidth (or more time if the bandwidth is not available) to transfer from a Content Manager OnDemand server to a client. The number of users that are concurrently accessing Content Manager OnDemand and the sizes of the documents that are being retrieved determine the overall load in the network.\n- - Response time requirements. The goal of Content Manager OnDemand large objects is to provide better performance and usability. Large object support clearly provides enhanced usability. However, you must implement large object support so that dividing your documents into parts provides better overall performance than other methods of segmenting the input data.\n\nWhen you choose a large object, Content Manager OnDemand displays the Number of Pages field. Specify the number of pages that you want Content Manager OnDemand to divide documents into in the Number of Pages field.\n\nTo generate large objects, the indexer that is specified on the Indexing Information page must be AFP Conversion and Indexing Facility (ACIF), OS/390, or OS/400. When you select the Large Object check box, Content Manager OnDemand automatically adds the INDEXOBJ=ALL parameter to the indexing parameters (which causes the indexing program to generate the large object indexing information).\n\n#### *Exporting an application*\n\nIt is not possible to export an application to application groups with different database fields or attributes. However, you can export applications to a different server if the application group on the target server is identical to the application group on the source server (the server on which the applications are defined).\n\nEnsure that no existing application has the same application ID in the target application group. For more information, see the section \"Adding items to a server\" in the IBM Content Manager OnDemand for Multiplatforms, V9.5, Administration Guide, SC19-3352.\n\n#### *Selecting font by line data graphical indexer*\n\nThe font that is used by the line data graphical indexer to display a document can be changed from within the line data graphical indexer at the Content Manager OnDemand Administrator Client.", - "page_start": 76, - "page_end": 76, - "source_file": "sg246915.pdf" - }, - { - "text": "Another benefit to using ODF is that you can select and combine documents from different reports and organize them by defining their order and separating them by using banner pages.\n\nFigure 14-2 is an overview of the OnDemand Distribution Facility and its interaction with the Content Manager OnDemand server.\n\nFigure 14-2 Content Manager OnDemand Distribution Facility overview\n\nFigure 14-2 shows that the Content Manager OnDemand server and its operation did not change. Reports and documents are loaded into the server, and system users continue to view and print their documents normally. The only addition to the library server is a set of ODF tables that define the documents that are to be distributed to which users and when. The ODF process reads the ODF tables and collects the required documents and bundles them for each recipient. ODF then send out the \"bundles\" to the appropriate destinations (email, file, and print). Alternatively, ODF can send each recipient (based on system definitions) an email notification that the report and document were loaded and are available for viewing.\n\nDifferent organizations have different report and document load and retrieval patterns. In certain cases, documents are loaded and never retrieved. In other cases, a loaded document is retrieved multiple times by multiple users. In other cases, it is known that when a specific report or document is loaded, one or more copies must be distributed to one or more destinations. What benefit does automating this distribution process provide?\n\nThe biggest benefit is that as reports are loaded into Content Manager OnDemand regularly, they can be delivered automatically to one or more users as they are loaded. Also, after the distribution is set up, no other changes are required, such as changing the document selection criteria to identify the latest data that is loaded.\n\nFor example, suppose that your organization generates monthly statements for your customers. You must store these documents in Content Manager OnDemand, and you must print the statements and mail them to the customers. With ODF, you can set up a distribution that automatically retrieves these documents as they are loaded into Content Manager OnDemand and sends them to a spool file for printing.", - "page_start": 340, - "page_end": 340, - "source_file": "sg246915.pdf" - }, - { - "text": "Consider the following information about Table 7-1 on page 164:\n\n- - The Generic indexer requires the user to manually create an index file in the generic index format before the user starts the load process. The Generic indexer allows the capture of documents, index values, and resources that are identified to it. These documents, index values, and resources are then loaded into the Content Manager OnDemand archive and stored in the same manner as though they were loaded through any of the other indexers. An existing resource file can be loaded with a generic index file.\nFor more information about the generic index format, see IBM Content Manager OnDemand - Indexing Reference, SC19-3354.\n\n- - The ACIF, PDF, XML, and OS/400 indexers all generate intermediate files. These files are then used to load the indexes and data into the Content Management OnDemand system.\n- - The OS/390 indexer creates the index data while it loads the indexes and data into the Content Management OnDemand system.\n- - *Conversion* refers to a conversion by the indexer. Other products integrate with Content Manager OnDemand that also convert data.\n- - Because of the architecture of PDF documents, large object support for PDF documents is not possible.\n- - Starting with V9.5, the PDF Indexer runs in the PASE environment on IBM i. PASE is a prerequisite on IBM i for V9.5.\n- -Starting with V9.5, the PDF Indexer is no longer supported on z/OS.\n\n# **7.2 Getting started with PDF indexing**\n\nPDF is a standard that is specified by Adobe Systems, Incorporated, for the electronic distribution of documents. PDF files are compact. They can be distributed globally through email, the web, intranets, or CD-ROM, and viewed with Adobe Reader.\n\nPDF is a data type or file format that is platform (hardware, operating system)-independent. A PDF file contains a complete PDF document that is composed of text, graphics, and the resources that are referenced by that document.\n\nTwo PDF file layouts are possible:\n\n- -Non-Linear (not \"optimized\")\nThis file layout is optimized for space savings. Storing a PDF file by using a Non-Linear layout consumes less disk space than storing the same PDF file linearly. It is slower to access or display this type of layout because portions of the data that is required to assemble pages of the document are scattered throughout the PDF file, so the whole PDF file must be downloaded and accessed before the file can be displayed.\n\n- -Linear (\"optimized\" or \"web optimized\")\nIn this file format, the PDF file is created in a linear (in page order) fashion. This file format allows the PDF viewer to start displaying the PDF document pages when they are downloading without waiting for the whole PDF file to be downloaded.", - "page_start": 188, - "page_end": 188, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Installation**\n\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the client.\n\nIf you install the client after you install Adobe Acrobat, the installation program copies the application programming interface (API) file to the Acrobat plug-in directory.\n\nIf you install the client before you install Adobe Acrobat, you must copy the API file to the Acrobat plug-in directory manually.\n\nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat plug-in directory.\n\nThe default location of the ARSPDF32.API file is:\n\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF\n\nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat *x.y*\\Acrobat\\plug_ins. The variables x.y represent the version of Acrobat, for example, C:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug_ins.\n\n# **Graphical indexer example**\n\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports within the application component of Content Manager OnDemand in a similar way to defining them for line data. This section serves as an introduction to the PDF graphical indexer by stepping through an example of indexing a PDF document.\n\nThe example describes how to use the graphical indexer from the report wizard to create indexing information for an input file. The indexing information consists of a trigger that uniquely identifies the beginning of a document in the input file and the fields and indexes for each document. We elaborate on this example by clarifying several of the instructions, and throughout each step, we add important hints, tips, and explanations.\n\nThe process consists of these steps:\n\n- 1. Start the Administrator Client and log on to a server.\n- 2. Start the report wizard. Click the report wizard icon on the toolbar.\n- 3. In the Sample Data window, select **PDF** from the drop-down list of data types, and then click **Select Sample Data**.\n- 4. In the Open window, enter the name or full path name of your file in the space that is provided or use the **Browse** option to locate your PDF file.\n- 5. Click **Open**. The graphical indexer opens the input file in the report window.\n\nIf the PDF data fails to display, or an error message, such as the message that is shown in Figure 7-2, is displayed, you must follow the steps in \"Installation\" on page 169 to verify that the API file is in the correct Acrobat plug-in directory.\n\n| ARSADM32 | |\n| --- | --- |\n| × | Adobe Acrobat (AcroExch. App rc =- 2146959355) could not be loaded. |\n| | OK |\n\nFigure 7-2 Error message if PDF does not display", - "page_start": 192, - "page_end": 192, - "source_file": "sg246915.pdf" - }, - { - "text": "Depending on the data that you are working with, consider these options:\n\n- - For Line Data:\n\t- The line data applet supports annotations. It can work with large object (LOB) reports if the large object functionality is employed at load time.\n\t- The Ajax viewer and direct rendering capabilities of Content Navigator work only on shorter reports. Additionally, the viewing of annotations and large object documents is not supported.\n- - For AFP data:\n\t- The AFP plug-in is the best choice, because it is almost identical to the client. However, it does not support annotations.\n\nThe only viewers that use this functionality are the line data applet, the AFP plug-in viewer, and the Content Manager OnDemand Windows client.\n\n- AFP to PDF is a choice that does not require a plug-in rollout at the users' computers if the Acrobat plug-in is installed on their workstations. Font mappings must be configured at a central location. The additional workload on a rendering system and additional license costs must be considered. Large reports might not be able to be rendered or viewed.\n**Note:** The AFP viewer plug-in, which is available with ODWEK and Content Manager OnDemand, is a version of the AFP viewer plug-in from the InfoPrint Solutions Company. Although the standard InfoPrint viewer can be used for viewing AFP, the ODWEK version uses direct communication with the Content Manager OnDemand server, enabling segmented document transfer for LOB documents.\n\n# **Annotations**\n\nOnly the native ODWEK viewers and the Windows client support annotations. These viewers and Windows clients support annotations in the following ways:\n\n- - Line data applet: Supports text. Starting with version 9, the viewer can work with graphical annotations, also.\n- -Windows Client: Supports maximum capabilities for all data types.\n- - Other viewers, for example, the AFP plug-in viewer: Do not support and are not aware of annotations.\n\nWeb clients, such as Content Navigator or the ODWEK Java API, can work with annotations and provide access to them through the hit list. Graphical annotations cannot be accessed that way because they are not exposed through the Java API.\n\n# **Large object support**\n\nLarge object (LOB) support is the methodology for working with large reports. For more information about how LOB affects your reports, see \"Large object\" on page 52.\n\nFrom a viewer's perspective, if a large document is transferred, it generates high network traffic, resource consumption, and long wait times for users. If the viewer supports LOB documents, the viewer communicates with the server to transfer only the chunk of data that the user is looking at (for example, a 200 page chunk out of a 10,000 page report). If the user scrolls to a different chunk of pages, the viewer downloads only that relevant portion of the document that the user scrolled to.", - "page_start": 212, - "page_end": 212, - "source_file": "sg246915.pdf" - }, - { - "text": "The size of the input file and the output file can create problems during the load process:\n\n- -The temporary space that is used during indexing can be too small and the load fails.\n- - The maximum input file size that the PDF Indexer can process is 4 GB, but the recommended maximum size for a single document (after indexing) is 50 MB. If this size is exceeded, the system might run out of disk space or memory.\n\nCreate PDF data with the base 14 fonts, which do not need to be included in the PDF file. Because they are not included in the PDF file, they are not extracted during resource collection, which improves performance. For more information about the PDF data stream and fonts, see 7.3.1, \"PDF fonts and output file size\" on page 166.\n\n# **13.4.2 Line data**\n\nLine data (ASCII or EBCDIC text-based reports) is the most common type of data that is stored in Content Manager OnDemand. The type of line data that we describe here is a special form of transaction-style report, where it is necessary to search on a value that appears on every line of the report. This transaction data has a transaction number that appears on every line and must be sorted either by column or row and either ascending or descending.\n\nWhen you index transaction data, if each transaction number from each line of the report is treated as a database index, such as date or customer name, the database becomes large quickly. Content Manager OnDemand has a special type of field for transaction data, which is illustrated in Figure 13-4 by the boxed data on the left of the window.\n\n| CENTRAL ADJUSTMENTS DEPARTMENT | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| INCOMING | OUTGOING | KB | ENDPOINT | DT | ITEM | CASH LETTER | ROUTING |\n| SEQ NO. | ID | SEO | ID | | AMOUNT | AMOUNT | TRANSIT |\n| P000000072 | 21593.34 | | 1 0000-0032 TR | | 50.00 | 21593.34 | 0000-0371 |\n| P000000073 | 2151.39 | 1 0000-0194 | | TR | 50.00 | 2151.39 | 0000-0040 |\n| P000000074 | 2151.39 | | 2 0000-0194 TR | | 20.00 | 2151.39 | 0000-0040 |\n| P000000075 | 2151.39 | 3 0000-0194 | | TR | 10.00 | 2151.39 | 0000-0040 |\n| P000000076 | 2151.39 | বা | 0000-0194 TR | | 40.00 | 2151.39 | 0000-0040 |\n| P000000077 | 2151.39 | 5 0000-0194 | | THR | 296.00 | 2151.39 | 0000-0040 |\n| P000000078 | 2151.39 | 6 0000-0194 | | TR | 77.33 | 2151.39 | 0000-0040 |\n| P000000080 | 2151.39 | 7 0000-0194 | | TR | 127.00 | 2151.39 | 0000-0040 |\n| P000000081 | 2151.39 | 8 | 0000-0194 TR | | 25.00 | 2151.39 | 0000-0040 |\n| P000000082 | 2151.39 | | 9 0000-0194 TR | | 135.00 | 2151.39 | 0000-0040 |\n| P000000084 | 2151.39 | 10 0000-0194 | | TR | 300.00 | 2151.39 | 0000-0040 |\n| P000000085 | 2151.39 | 11 0000-0194 | | TIR | 25.00 | 2151.39 | 0000-0040 |\n| P000000086 | 2151.39 | 12 0000-0194 | | TR | 11.00 | 2151.39 | 0000-0040 |\n| P000000089 | 2151.39 | 13 0000-0194 | | TR | 206.00 | 2151.39 | 0000-0040 |\n| P000000091 | 8175.12 | | 1 0000-0372 TR | | 264.75 | 8175.12 | 0000-7083 |\n| P000000093 | 2151.39 | 14 0000-0194 | | THE | 233.00 | 2151.39 | 0000-0040 |\n| P000000094 | 2151.39 | 15 0000-0194 TR | | | 96.90 | 2151.39 | 0000-0040 |\n| P000000095 | 1802.24 | | 1 0000-0502 TR | | 638.00 | 1802.24 | 0000-1544 |\n| P000000097 | 21593.34 | | 2 0000-0032 TR | | 341.54 | 21593.34 | 0000-0589 |\n\nFigure 13-4 Transaction data in graphical indexer\n\nThe transaction data field selects the *first* and *last* values from a group of pages and only these group level values are inserted into the database. Content Manager OnDemand queries the database by comparing the search value that is entered by the user to two database fields, the beginning value and the ending value. If the value that is entered by the user falls within the range of both database fields, Content Manager OnDemand adds the item to the document list.", - "page_start": 332, - "page_end": 332, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Where can I consult a summary of the impact of the International tax compliance regulations ?", - "target_page": 3, - "target_passage": "A Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- uks-automatic-exchange-of-information-agreements", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## **2020 No. 438**\n\n## **TAXES**\n\n# The International Tax Compliance (Amendment) Regulations 2020\n\n| Laid before the House of Commons | | | | 21st April 2020 |\n| --- | --- | --- | --- | --- |\n| Made - Coming into force | - | - - | - - | 20th April 2020 13th May 2020 |\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the Finance Act 2013(**a**):\n\n#### **Citation and commencement**\n\n**1.** These Regulations may be cited as the International Tax Compliance (Amendment) Regulations 2020 and come into force on 13th May 2020.\n\n#### **Amendments to the International Tax Compliance Regulations 2015**\n\n**2.**—(1) The International Tax Compliance Regulations 2015(**b**) are amended as follows.\n\n(2) In regulation 1(3)(b)(i), for \"16th May 2019\" substitute \"19th April 2020\"(**c**).\n\n- (3) In regulation 3(4A)(a), at the beginning insert \"subject to regulation 24(3)\".\n- (4) In regulation 24—\n\n- (a) in the table in paragraph (2), in the column headed \"the CRS\"—\n\t- (i) at the beginning of the entry for \"new account\" insert \"subject to paragraph (3)\", and\n\t- (ii) at the beginning of the entry for \"pre-existing account\" insert \"subject to regulation 3(4A)(a) and paragraph (3)\", and\n- (b) after paragraph (2) insert—\n\t- \"(3) In respect of the accounts listed in paragraph (4)—\n\n(<b>a) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the amendments are not relevant to these Regulations.\n\n(<b>b) S.I. 2015/878 (referred to in these footnotes as \"the principal Regulations\"); relevant amending instruments are S.I. 2017/598, 2018/490 and 2019/881.\n\n(<b>c) In accordance with the common reporting standard for automatic exchange of financial account information developed by the Organisation for Economic Co-operation and Development and adopted by the United Kingdom, the United Kingdom exchanges information received from financial institutions under the principal Regulations with a territory which is a \"Reportable Jurisdiction\" under the CRS and with which the United Kingdom has entered into international exchange arrangements for that year. Reportable Jurisdictions are identified in a published list available at https://www.gov.uk/hmrcinternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is available for inspection at the offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be excluded accounts. Regulation 2(3) and (4)(a) make consequential amendments.\n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts which were previously excluded accounts.\n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-theuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the impacts that apply to this instrument.\n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "retrospectively. We are assessing the impact of this amendment on our consolidated financial statements.\n\n- *IFRIC 21, Levies (IFRIC 21)* In May 2013, the IASB issued a new accounting guidance IFRIC 21, which provides guidance on when to recognize a liability for a levy imposed by a government, both for levies that are accounted for in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and those where the timing and amount of the levy is certain. The Interpretation identifies the obligating event for the recognition of a liability as the activity that triggers the payment of the levy in accordance with the relevant legislation. It provides the following guidance on recognition of a liability to pay levies (i) the liability is recognized progressively if the obligating event occurs over a period of time, and (ii) if an obligation is triggered on reaching a minimum threshold, the liability is recognized when that minimum threshold is reached. The standard is effective for annual periods beginning on or after January 1, 2014, with early adoption permitted. We are assessing the impact of this new standard on our consolidated financial statements.\n- *IFRS 9, Financial Instruments (IFRS 9) –* In October 2010, the IASB issued IFRS 9, which replaces IAS 39, Financial Instruments: Recognition and Measurement, establishes principles for the financial reporting of financial assets and financial liabilities that will present relevant and useful information to users of financial statements for their assessment of the amounts, timing and uncertainty of an entity's future cash flows. This new standard also includes a new general hedge accounting standard which will align hedge accounting more closely with risk management. It does not fundamentally change the types of hedging relationships or the requirement to measure and recognize ineffectiveness, however it will provide more hedging strategies that are used for risk management to qualify for hedge accounting and introduce more judgment to assess the effectiveness of a hedging relationship. The mandatory effective date of IFRS 9 has not yet been communicated by the IASB. We are assessing the impact of this new standard on its consolidated financial statements.\n\n#### KEY PERFORMANCE INDICATORS\n\nWe measure the success of our strategy using a number of key performance indicators, which are outlined below. We believe these key performance indicators allow us to appropriately measure our performance against our operating strategy as well as against the results of our peers and competitors. The following key performance indicators are not measurements in accordance with IFRS and should not be considered as an alternative to net income or any other measure of performance under IFRS.\n\n#### **Subscriber Counts**\n\nWe determine the number of subscribers to our services based on active subscribers. When subscribers are deactivated, either voluntarily or involuntarily for non-payment, they are considered to be deactivations in the period the services are discontinued.\n\n#### *Wireless*\n\n- A wireless subscriber is represented by each identifiable telephone number.\n- We report wireless subscribers in two categories: postpaid and prepaid. Postpaid and prepaid include voice-only subscribers, dataonly subscribers, and subscribers with service plans integrating both voice and data.\n- Wireless prepaid subscribers are considered active for a period of 180 days from the date of their last revenue-generating usage.\n\n*Cable*\n\n- Cable Television and Internet subscribers are represented by a dwelling unit, and cable Phone subscribers are represented by line counts.\n- When there is more than one unit in one dwelling, like an apartment building, each tenant with cable service is counted as an individual subscriber, whether the service is invoiced separately or included in the tenant's rent. Institutional units, like hospitals or hotels, are each considered to be one subscriber.\n- Cable Television, Internet, and Phone subscribers include only those subscribers who have service installed and operating, and who are being billed accordingly.\n\n#### **Subscriber Churn**\n\nSubscriber churn is a measure of the number of subscribers that deactivated as a percentage of the total subscriber base, usually calculated on a monthly basis. Subscriber churn tells us our success in retaining our subscribers. We calculate it by dividing the number of Wireless subscribers that deactivated (usually in a month) by the aggregate numbers of subscribers at the beginning of the period. When used or reported for a period greater than one month, subscriber churn represents the sum of the number of subscribers deactivating for each period incurred divided by the sum of the aggregate number of subscribers at the beginning of each period incurred.\n\n#### **Average Revenue per User**\n\nAverage Revenue per User (ARPU) helps us identify trends and measure our success in attracting and retaining higher value subscribers. We calculate it by dividing revenue (usually monthly) by the average number of subscribers in the period. For Wireless, ARPU is calculated using network revenue. When used in connection with a particular type of subscriber, ARPU is monthly revenue generated from those subscribers, divided by the average number of those subscribers during the month.\n\n#### **Average Revenue per User Calculations – Wireless**\n\n| (In millions of dollars, subscribers in thousands, except ARPU figures and | | Years ended December 31 | |\n| --- | --- | --- | --- |\n| adjusted operating profit margin) | 2013 | | 2012 |\n| Postpaid ARPU (monthly) | | | |\n| Postpaid (voice and data) revenue | $ 6,470 | | $ 6,402 |\n| Divided by: average postpaid | | | |\n| wireless voice and data subscribers | 7,957 | | 7,698 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 67.76 | | $ 69.30 |\n| Prepaid ARPU (monthly) | | | |\n| Prepaid (voice and data) revenue | $ 278 | | $ 317 |\n| Divided by: average prepaid subscribers | 1,481 | | 1,667 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 15.64 | | $ 15.84 |\n| Blended ARPU (monthly) | | | |\n| Voice and data revenue | $ 6,748 | | $ 6,719 |\n| Divided by: average wireless voice and | | | |\n| data subscribers | 9,438 | | 9,365 |\n| Divided by: twelve months for the year | 12 | | 12 |\n| | $ 59.58 | | $ 59.79 |", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### Movement in deferred tax balances\n\n| | | | Recognised | | |\n| --- | --- | --- | --- | --- | --- |\n| | | | in other | | |\n| | Balance at | Recognised in | comprehensive | Foreign | Balance at |\n| 2013 | 1 July | profit or loss | income | exchange | 30 June |\n| Deferred tax assets / liabilities: | | | | | |\n| Derivatives | 808 | (424) | – | – | 384 |\n| Employee benefits | 1,571 | 124 | – | 94 | 1,789 |\n| Provision for restoration and rehabilitation | 3,390 | 1,428 | – | 349 | 5,167 |\n| Provision for obsolescence | 278 | (5) | – | 36 | 309 |\n| Unrealised exchange losses | 2,790 | (2,979) | (566) | – | (755) |\n| Other items | 1,096 | (428) | – | 12 | 680 |\n| Tax losses | 36,334 | (36,334) | – | – | – |\n| Mine properties and exploration | (65,205) | 57,921 | – | (457) | (7,741) |\n| Available-for-sale financial assets | 39 | 256 | 39 | – | 334 |\n| Net deferred tax assets | (18,899) | 19,559 | (527) | 34 | 167 |\n\n| | | | Recognised | | |\n| --- | --- | --- | --- | --- | --- |\n| | | | in other | | |\n| | Balance at | Recognised in | comprehensive | Foreign | Balance at |\n| 2012 | 1 July | profit or loss | income | exchange | 30 June |\n| Deferred tax assets / liabilities: | | | | | |\n| Derivatives | 680 | 128 | – | – | 808 |\n| Employee benefits | 1,611 | (55) | – | 15 | 1,571 |\n| Provision for restoration and rehabilitation | 2,683 | 664 | – | 43 | 3,390 |\n| Provision for obsolescence | 449 | (181) | – | 10 | 278 |\n| Unrealised exchange losses | 3,510 | (617) | (103) | – | 2,790 |\n| Other items | 1,328 | (230) | – | (2) | 1,096 |\n| Tax losses | 31,413 | 4,921 | – | – | 36,334 |\n| Mine properties and exploration | (59,776) | (5,389) | – | (40) | (65,205) |\n| Available-for-sale financial assets | (339) | 78 | 300 | – | 39 |\n| Net deferred tax assets | (18,441) | (681) | 197 | 26 | (18,899) |", - "page_start": 84, - "page_end": 84, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### **35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 87\n\n| Deferred tax assets | Deferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis |\n| --- | --- |\n| and liabilities | of assets and liabilities under the \"balance sheet\" approach which will result in the recognition of additional |\n| | deferred tax assets and liabilities. |\n| Defined benefit | Defined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position |\n| superannuation surplus | and the changes in these values each period will be recognised either directly in the statement of financial |\n| and deficits | performance, progressively using a \"corridor\" approach or directly in retained earnings. The effective date of this |\n| | standard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. |\n| Restoration liabilities | Restoration liabilities will be discounted to present value and capitalised as a component part of capitalised |\n| | exploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised |\n| | over the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the |\n| | liability unwinds. |\n| Functional currency | The majority of the controlled entities within the Santos Group that have petroleum operations in foreign |\n| | jurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in |\n| | the net assets of those foreign controlled entities to be translated from their US dollar functional currency to |\n| | Australian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this |\n| | accounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. |\n| Equity-based payments | Under A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including |\n| | shares and options) will be measured based on the fair value of those instruments and amortised to the profit and |\n| | loss over the vesting period. |\n| Exploration and | There is no International Financial Reporting Standard (\"IFRS\") which comprehensively deals with the accounting |\n| evaluation expenditure | and reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies |\n| | operating in the extractive industries will be required to determine their own accounting policy for accounting for |\n| | exploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework |\n| | definition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed |\n| | unless they lead to a successful discovery of economic value. |\n| | Pending the completion of a comprehensive project on accounting for extractive industries, AASB 6 \"Expenditure for |\n| | and Evaluation of Mineral Resources\" was issued in December 2004 to facilitate the introduction of A-IFRS in |\n| | respect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to |\n| | IFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in |\n| | each area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an |\n| | asset so long as the following conditions are satisfied: |\n| | (a) the rights to tenure of the area of interest are current; and |\n| | (b) at least one of the following conditions is also met: |\n| | (i) the exploration and evaluation expenditures are expected to be recouped through successful development |\n| | and exploitation of the area of interest, or alternatively, by its sale; or |\n| | (ii) exploration and evaluation activities in the area of interest have not at the reporting date reached a stage |\n| | which permits a reasonable assessment of the existence or otherwise of economically recoverable reserves, |\n| | and active and significant operations in, or in relation to, the area of interest are continuing. |\n| | The IASB decided that the effective date of IFRS 6 to be 1 January 2006 to allow affected companies more time to |\n| | make the transition to IFRS. Despite the lateness of the issuance of the Australian equivalent accounting standard |\n| | AASB 6, Santos will be required to apply the standard from 1 January 2005. |\n| | Santos is currently evaluating this accounting standard and its accounting policy for exploration and evaluation |\n| | expenditure. At the date of this report, no decision has been made as to how the Santos Group will account for |\n| | exploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005. |\n| Impairment | Testing of non-current assets for impairment will be undertaken on the smallest grouping of assets generating cash |\n| | flows, called cash generating units. Where there is an indication that a cash generating unit is impaired, the |\n| | impairment is to be measured by reference to either the cash generating unit's discounted future net cash flows, or |\n| | its estimated fair value less costs to sell. Upon initial application of this standard, such testing is likely to result in |\n| | write-downs of some non-current assets including exploration, evaluation and development expenditure to their |\n| | recoverable amount. Any initial impairment write-down may reverse in subsequent periods if there were a change in |\n| | the estimates used to determine the initial write-down. The impacts of this new requirement will, in part, depend |\n| | on the accounting policy adopted for accounting for exploration and evaluation expenditure referred to above. |\n\nThe AASB and IASB have significant ongoing projects including a comprehensive \"Extractive Industries\" project that could affect the differences between current Australian GAAP and A-IFRS as described above and could further impact the Santos Group's financial reports in future years. The future impacts of any new or amended A-IFRS will depend on the particular circumstances in those years.", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "The tax effect of temporary diff e rences and carry forw a rds that give rise to deferred tax assets and liabilities are as follows:\n\n| | December 31, | | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| | | | (in thousands) | |\n| D e f e rred tax assets: | | | | |\n| F o reign tax loss carry forw a rd s | $ | 1 4 , 3 2 5. | $ | 1 1 , 5 26. |\n| Stock compensation expense | | 1 , 1 3 0. | | 1 , 1 30. |\n| U n realized exchange rate diff e re n c e s | | 4 , 6 1 4. | | 2 , 5 59. |\n| I n t e rest expense | | 7 , 1 6 4. | | 4 , 3 27. |\n| A c c rued expenses | | 1 , 5 4 8. | | 2 , 9 36. |\n| Billings in excess of earn i n g s | | 1 , 1 0 8. | | 1 , 0 36. |\n| O t h e r | | 2 , 1 4 5. | | 16. |\n| Total deferred tax assets | | 3 2 , 0 3 4. | | 2 3 , 5 30. |\n| Valuation allowance | | ( 3 0 , 6 8 9 ) | | ( 1 9 , 7 4 1 ) |\n| Total deferred tax assets | | 1 , 3 4 5. | | 3 , 7 89. |\n| D e f e rred tax liabilities: | | | | |\n| P ro p e rty and equipment | | 2 6. | | 6 60. |\n| Non-goodwill intangible assets | | —. | | 2 , 3 33. |\n| Capitalized re s e a rch and development costs | | 5 1 5. | | 1 09. |\n| E a rnings in excess of billings | | 3 8 0. | | 2 27. |\n| Total deferred tax liabilities | | 9 2 1. | | 3 , 3 29. |\n| Net deferred tax assets | $ | 4 2 4. | $ | 4 60. |\n\nThe valuation allowance for deferred tax assets as of January 1, 2000, 1999 and 1998 was $19.7 million, $14.3 million and $4.8 million, re s p e c t i v e l y. The net change in the total valuation allowance for the years ended December 31, 2000, 1999, and 1998 were increases of $10.9 million, $5.4 million and $9.5 million, re s p e c t i v e l y.\n\nThe valuation allowance relates primarily to deferred tax assets established under SFAS No. 109 for loss carry f o rw a rds at December 31, 2000, 1999 and 1998 of $46.9 million, $45.0 million and $32.9 million, re s p e c t i v e l y. The tax operating loss carry f o rw a rds will expire t h rough 2004 for EFT-Uslage d o.o., The tax operating loss carry f o rw a rds will expire through 2005 for Euronet Adminisztracios Szolgaltato Kft., Euronet Banktechnikai Szolgaltato Kft.,Bankomat 24/Euronet Sp. z o.o., Euronet SRL, and 2007 for Euronet Services spol. sro. The tax operating losses for Euronet Services Inc. and Euronet USA can be carried back two years and forw a rd twenty years. The tax operating losses for Euronet Services Inc. and Euronet USA can be carried back two years and forw a rd twenty years. The tax operating losses for E u ronet GmbH and Euronet Services Ltd. can be carried forw a rd indefinitely.\n\nIn assessing the realizability of deferred tax assets, management considers whether it is more likely than not that some portion or all of the d e f e rred tax assets will not be realized. The ultimate realization of deferred tax assets is dependent upon the generation of future taxable income during the periods in which those temporary diff e rences become deductible. Management considers the scheduled reversal of deferre d tax liabilities, projected future taxable income, and tax planning strategies in making this assessment. Based upon the level of historical taxable income and projections for future taxable income over the periods which the deferred tax assets are deductible, management believes it is more likely than not the Company will realize the benefits of these deductible diff e rences, net of the existing valuation allowances at December 31, 2000. The amount of the deferred tax asset considered realizable, however, could be reduced in the near term if estimates of f u t u re taxable income during the carry f o rw a rd period are reduced.\n\nAt December 31, 2000 the Company has net operating loss carry forw a rds of approximately $46.9 million which will expire as follows:\n\n| Year ending | | |\n| --- | --- | --- |\n| December 31, | (in thousands) | |\n| 2 0 0 1 | $ | 1 , 4 7 9 |\n| 2 0 0 2 | | 4 , 1 0 8 |\n| 2 0 0 3 | | 7 , 8 6 0 |\n| 2 0 0 4 | | 8 , 7 7 1 |\n| 2 0 0 5 | | 7 , 5 4 1 |\n| 2 0 0 6 | | 1 , 0 1 4 |\n| 2007 and there a f t e r | | 1 6 , 1 6 2 |\n| To t a l | $ | 4 6 , 9 3 5 |", - "page_start": 39, - "page_end": 39, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "#### 13. INCOME TAXES\n\nIncome taxes in Japan applicable to the Company and its domestic consolidated subsidiaries consist of corporation tax, inhabitants' taxes and enterprise tax, which, in the aggregate, resulted in a statutory rate of approximately 41% for 2004 and 42% for 2003 and 2002. Income taxes of the foreign consolidated subsidiaries are based generally on the tax rates applicable in their countries of incorporation.\n\nThe effective tax rates reflected in the consolidated statements of income for the years ended March 31, 2005, 2004 and 2003 differ from the statutory tax rates for the following reasons:\n\n| For the years ended | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2002 Mar. 31, 2003 |\n| --- | --- | --- | --- |\n| Statutory tax rates | 40.6% | 41.9% | 41.9% |\n| Effect of: | | | |\n| Decrease in valuation allowance | (1.9) | (5.5) | (9.7) |\n| Different tax rates applied to foreign subsidiaries | (2.7) | (4.3) | (3.8) |\n| Tax credits | (1.5) | (2.0) | — |\n| Equity in earnings of unconsolidated subsidiaries and affiliates | (1.9) | (0.6) | (0.7) |\n| Adjustments in deferred tax assets and liabilities due to change in tax rate | — | — | 0.8 |\n| Other | 0.1 | 0.2 | 0.1 |\n| Effective tax rates | 32.5% | 29.7% | 28.6% |\n\nThe significant components of deferred tax assets and liabilities at March 31, 2005 and 2004 were as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | | 2003 | 2004 |\n| As of | | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Deferred tax assets: | | | | |\n| Net operating loss carryforwards ¥ 24,660 | | | ¥ 40,150 | $ 230,467 |\n| Accrued retirement benefits | | 172,379 | 162,926 | 1,611,019 |\n| Accrued warranty costs | | 38,047 | 44,381 | 355,579 |\n| Other | | 379,543 | 299,344 | 3,547,131 |\n| Gross deferred tax assets | | 614,629 | 546,801 | 5,744,196 |\n| Valuation allowance | (36,369) | | (36,689) | (339,897) |\n| Total deferred tax assets | | 578,260 | 510,112 | 5,404,299 |\n| Deferred tax liabilities: | | | | |\n| Reserves under Special Taxation Measures Law, etc | | (379,924) | (306,316) | (3,550,692) |\n| Difference between cost of investments and | | | | |\n| their underlying net equity at fair value | | (88,840) | (72,508) | (830,280) |\n| Unrealized holding gain on securities | | (5,971) | (2,853) | (55,804) |\n| Other | | (128,577) | (91,028) | (1,201,654) |\n| Total deferred tax liabilities | | (603,312) | (472,705) | (5,638,430) |\n| Net deferred tax (liabilities) assets ¥ (25,052) | | | ¥ 37,407 | $ (234,131) |", - "page_start": 85, - "page_end": 85, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n# **u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n# **AASB 2011-4 -** *Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel Disclosure*\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n# **Amendments to IAS 32 -** *Offsetting Financial Assets and Financial Liabilities*\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n# **Recently issued accounting standards to be applied in future reporting periods:**\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n# **AASB 9/IFRS 9 –** *Financial Instruments*\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "#### **Regulation 19(1)(e)**\n\n**7.** Breach of regulation 8(2), (3), (4), (5), (7), (9), (10), (12) or (13) (requirement for offshore workers to undertake tests)—\n\n- (a) in the case of a first fixed penalty notice, £1,000;\n- (b) in the case of a second fixed penalty notice, £2,000;\n- (c) in the case of a third and subsequent fixed penalty notice, £3,000.\n\n#### **Regulation 19(1)(f)**\n\n**8.** Breach of regulation 9(2), (7) or (13) (requirement to self-isolate, travel to place of selfisolation or require child to self-isolate or travel to place of self-isolation)—\n\n- (a) in the case of the first fixed penalty notice, £1,000;\n- (b) in the case of the second fixed penalty notice, £2,000;\n- (c) in the case of the third fixed penalty notice, £4,000;\n- (d) in the case of the fourth and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(1)(g)**\n\n**9.** Breach of requirement in or imposed under regulation 11 (self-isolation directions) unless the requirement relates to Schedule 11 (additional measures applicable to arrivals from category 3 countries or territories), £1,000.\n\n#### **Regulation 19(1)(h)**\n\n**10.** Breach of a requirement in or imposed under regulation 11 (self-isolation directions) where the requirement relates to Schedule 11, £10,000.\n\n#### **Regulation 19(1)(i) and (j)**\n\n**11.** Breach of a requirement in Schedule 11 except under paragraph 3 of that Schedule—\n\n- (a) in the case of the first fixed penalty notice, £5,000;\n- (b) in the case of the second fixed penalty notice, £8,000;\n- (c) in the case of the third and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(1)(j)**\n\n**12.** Breach of a requirement in paragraph 3 of Schedule 11, £10,000\n\n#### **Regulation 19(1)(k)**\n\n**13.** Breach of a requirement in paragraph 4 of Schedule 9 (employers' obligations relating to workforce tests)—\n\n- (a) in the case of the first fixed penalty notice, £1,000;\n- (b) in the case of the second fixed penalty notice, £2,000;\n- (c) in the case of the third fixed penalty notice, £4,000;\n- (d) in the case of the fourth and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(7)(a)**\n\n**14.** Breach of requirement under regulation 13(1) (passenger information requirement by operator), £4,000.", - "page_start": 86, - "page_end": 86, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What was the muscle volume of the knee flexors of the 2024 word's strongest man ?", - "target_page": 7, - "target_passage": "Knee flexors 3,060 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Table 2. Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a World's Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained control participants\n\n| | | | Muscle Volume, cm3 | |\n| --- | --- | --- | --- | --- |\n| Muscle Group/Muscle or Compartment | WSM | Elite Sprinters (n 5 5) | Subelite Sprinters (n 5 26) | Untrained (n 5 11) |\n| All muscles | 14,922 | 11,323 ± 1,328 | 9,164 ± 1,207 | 7,628 ± 1,548 |\n| Hip flexors | 1,704 | 1,620 ± 200 | 1,314 ± 216 | 1,031 ± 151 |\n| Hip extensors | 4,724 | 4,002 ± 489 | 3,029 ± 422 | 2,257 ± 220 |\n| Knee flexors | 3,060 | 2,304 ± 178 | 1,859 ± 301 | 1,460 ± 196 |\n| Knee extensors | 4,386 | 3,218 ± 400 | 2,636 ± 401 | 2,202 ± 315 |\n| Plantar flexors | 1,888 | 1,112 ± 181 | 943 ± 156 | 860 ± 172 |\n| Iliopsoas | 681 | 702 ± 97 | 618 ± 101 | 514 ± 75 |\n| Sartorius | 429 | 306 ± 46 | 209 ± 50 | 142 ± 25 |\n| Tensor fasciae latae | 142 | 135 ± 41 | 86 ± 25 | 73 ± 24 |\n| Adductor magnus | 1,334 | 1,056 ± 83 | 828 ± 128 | 624 ± 81 |\n| Gracilis | 235 | 180 ± 37 | 142 ± 37 | 98 ± 23 |\n| Gluteus maximus | 1,980 | 1,797 ± 376 | 1,257 ± 197 | 931 ± 108 |\n| Gluteus medius and minimus | 1,172 | 626 ± 129 | 575 ± 97 | 583 ± 76 |\n| Rectus femoris | 453 | 476 ± 45 | 401 ± 78 | 303 ± 55 |\n| Vastus lateralis | 1,508 | 1,132 ± 180 | 925 ± 156 | 743 ± 98 |\n| Vastus intermedius | 1,336 | 962 ± 145 | 789 ± 140 | 680 ± 115 |\n| Vastus medialis | 1,088 | 649 ± 97 | 521 ± 79 | 476 ± 111 |\n| Semimembranosus | 392 | 359 ± 60 | 327 ± 59 | 262 ± 18 |\n| Semitendinosus | 563 | 449 ± 70 | 350 ± 79 | 219 ± 39 |\n| Biceps femoris long head | 454 | 340 ± 31 | 267 ± 47 | 221 ± 42 |\n| Biceps femoris short head | 135 | 167 ± 26 | 131 ± 34 | 110 ± 28 |\n| Popliteus | 27 | 23 ± 5 | 17 ± 5 | 19 ± 6 |\n| Lateral gastrocnemius | 310 | 202 ± 34 | 170 ± 37 | 156 ± 41 |\n| Medial gastrocnemius | 515 | 300 ± 38 | 262 ± 58 | 251 ± 52 |\n| Soleus | 1,063 | 610 ± 137 | 510 ± 76 | 453 ± 95 |\n| Anterior compartment | 445 | 302 ± 59 | 273 ± 47 | 291 ± 47 |\n| Lateral compartment | 253 | 147 ± 32 | 161 ± 42 | 153 ± 35 |\n| Posterior compartment | 406 | 401 ± 76 | 345 ± 71 | 326 ± 93 |\n\nIndividual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the individual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM (n ¼ 1). Untrained control participants from Miller et al. (13).\n\nassessed (Fig. 5B). BFsh volume (135 cm3 ) of the WSM was a modest 26% greater than that of our pool of untrained control participants (107 ± 31 cm3 ; Fig. 5E) but smaller than that of both long-term resistance-trained individuals (1%; 136 ± 27 cm3 ) and elite sprinters (19%; 167 ± 26 cm3 ; Fig. 5E).\n\n#### Patella Tendon Cross-Sectional Area and Moment Arm\n\nThe patellar tendon mean CSA of the WSM (133.8 mm2 ) was larger than that of average untrained (þ 30%; 103.2 ± 12.5 mm2 ) and long-term resistance-trained individuals (þ 27%; 105.4 ± 13.0 mm2 ; Fig. 6A) but was smaller than the largest individual we have measured from these groups (149.5 mm2 ). The WSM's patellar tendon moment arm (51.5 mm) was also larger than that of average untrained (þ 18%; 43.8 ± 2.7 mm) or long-term resistance-trained groups (þ 12%; 45.8 ± 2.5 mm; Fig. 6B) as well as being 3% greater than the highest individual moment arm we have previously assessed within these groups (49.9 mm).\n\n### DISCUSSION\n\nThis study is the first to document the lower-body muscle and tendon morphology of a World's Strongest Man and deadlift champion (i.e., an exceptionally strong individual), and these are presented alongside functional whole body assessments, which exceeded the highest IMTP force (gross and net) and CMJ power values previously reported by 54%, 100%, and 164%, respectively. The WSM had overall lowerbody muscularity approximately twice that of untrained controls (þ 96%) and 32% greater than that of elite 100-m sprinters. However, there was substantial anatomical variability in the magnitude of the differences, ranging from the plantar flexors (þ 120% vs. untrained) to the hip flexors (þ 65% vs. untrained). Similarly, some specific muscles, such as the guy rope muscles that stabilize the femur and pelvis, were 2.5–3.0 times the volume of untrained individuals (gracilis þ 140%, semitendinosus þ 157%, and sartorius þ 202%) but others displayed more marginal differences (BFsh þ 23%, iliopsoas þ 32% vs. untrained). Considering the knee extensors, the WSM had both quadriceps femoris volume greater than or equal to twofold that of untrained controls and a greater patella tendon moment arm than we have previously measured (þ 18% vs. untrained), which would be expected to combine to facilitate extraordinary strength. Furthermore, despite the WSM's extremely large quadriceps femoris, their patellar tendon CSA was only 30% greater than that of untrained controls and not outside the range of tendons we have previously assessed. The results of this study provide novel insights into the muscle and tendon characteristics, as well as the strength and power capabilities, of an extraordinarily strong individual that may be toward the upper limit of human variation in these characteristics.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "# RESEARCH ARTICLE\n\n# Muscle and tendon morphology of a world strongman and deadlift champion\n\n# Thomas G. Balshaw,1 Garry J. Massey,1,2 Robert Miller,1,3,4 Emmet J. McDermott,1,5 Thomas M. Maden-Wilkinson,6 and Jonathan P. Folland1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\n\n# Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM's CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM's overall measured leg muscle volume was approximately twice that of untrained controls (þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group (þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM's pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM's very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differences. The WSM's quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n# INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codified and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put). In addition, professional strongman competitions, such as the annually contested \"World's Strongest Man\" event, generate extensive global interest (2). Moreover, scientific understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and healthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scientific information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6) examined the body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153 ± 19 kg) and lean mass (118 ± 12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk). Submitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 4. Quadriceps femoris (QF; A), vastus medialis (VM; B), vastus lateralis (VL; C), vastus intermedius (VI; D), and rectus femoris (RF; E) muscle volume of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance-trained (n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [n ¼ 102, pooled population from the works by Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and Balshaw et al. (14) (pretest data n ¼ 39)].\n\nAlthough it was anticipated that the WSM would possess a larger total lower-body muscle volume/mass than untrained controls and other athletic/trained groups we have previously measured, the magnitude and pattern of the differences were unknown. The results indicated that the total volume of the measured muscles was almost twice that of average untrained participants and 32–63% larger than subelite and elite sprinters. Pronounced development of the antigravity muscles (i.e., hip extensors, knee extensors, and plantar flexors) was perhaps not that surprising given the WSM's background in heavy lifting events (including being a double deadlift world champion and record holder). However, the hip flexors appear less important in these tasks, possibly explaining their more modest size, which was inferior to that of three elite 100-m sprinters we have previously assessed. The WSM's plantar flexors were particularly large relative to untrained controls (þ 120%). This could be due to the plantar flexors being the smallest of the antigravity muscle groups that may experience very high mechanical stress and, thus, a pronounced adaptive stimulus during heavy lifting, carrying, and pulling tasks. Furthermore, the very heavy and, therefore, low-velocity nature of these tasks may limit the contribution of the stretch-shortening cycle and tendon recoil to the positive/concentric work done by the plantar flexors, potentially placing a higher demand on the contractile apparatus than for running and jumping tasks.\n\nConsidering individual muscles/compartments, the muscular development of the WSM was distinctly nonuniform. It is striking that the largest muscles relative to the untrained control population were the three \"guy ropes\" (sartorius, gracilis, and semitendinosus: þ 140–202%). These three muscles provide stability to the pelvis and femur by having origins at diverse points around the pelvis while sharing a common insertion onto the anteromedial tibia [via pes anserinus, the conjoined tendons of these three muscles (39)]. Large guy rope muscles likely enhance stabilization of the femur and pelvis and would be expected to be critical during heavy weight-bearing tasks. In contrast, the WSM's five smallest muscles (relative to untrained controls) consisted of two hip flexors (iliopsoas and RF) and two monoarticular knee flexors; actions that appear far less important for lifting, carrying, and pulling tasks.\n\nThe WSM's quadriceps volume and patellar tendon moment arm were both greater than that of untrained controls and indeed any individual we have previously measured. However, the magnitude of difference, relative to the untrained controls, was noticeably larger for quadriceps femoris volume (greater than or equal to twice as large) than for", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of specific individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9–11), pronounced muscle size seems likely to be critical to extreme human strength; however, the specific muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the findings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World's Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13–15).\n\n### MATERIALS AND METHODS\n\n#### Participant\n\nThe WSM's achievements included one World's Strongest Man title (14 mo prior to measurement), five Britain's Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift World Record holder (500 kg; at the time of measurement), and second place at Europe's Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and benefits of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n#### Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant's resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant's training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1–5 repetition maximum (RM)]: 10%; heavy loads (6– 14 RM): 80%; and moderate loads (-15 RM): 10%. The participant reported only occasional (<1/week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently (>3/ week) executed training repetitions with the intention to move the load as fast as possible. The WSM's nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n#### Overview\n\nThe WSM reported for a single test session that involved the following assessments (listed in order): axial T1 weighted 3.0-T MRI scans from T12 to the lateral malleolus [to assess muscle size throughout the lower body (left and right sides)], axial and sagittal T1-weighted MRI scans of both knees [to assess patellar tendon cross-sectional area (CSA) and patellar tendon moment arm], maximum countermovement jumps (CMJ), and maximum isometric midthigh pulls (IMTPs). The muscle size, patellar tendon CSA, and patellar tendon moment arm of the WSM were compared with various populations measured within our laboratory, as indicated in Table 1, alongside participant descriptives (10, 11, 13–15). In addition, the IMTP and CMJ measures were compared with existing published literature (included studies are summarized in Supplemental Materials 1 and 2, alongside participant descriptives).\n\n#### MRI Measurement of Muscle Tendon Unit Morphology and Moment Arm\n\nThe participant reported for their MRI scan [3.0-T Discovery MR750W (70-cm-wide bore), GE Medical] having not completed any strenuous physical activity in -24 h and had received prior instruction to arrive in a relaxed state having eaten and drunk normally. The participant sat quietly for 15 min prior to their scan. The participant lay supine for the MRI scan of the lower-body musculature from T12 to the lateral malleolus. A body coil (GE Medical) allowed axial T1 weighted images (time of repetition/time to echo 600/8.144 ms, image matrix 512 512, field of view 500 500 mm, pixel size 0.9766 0.9766 mm, slice thickness 5 mm, and interslice gap 5 mm) to be acquired in five overlapping blocks. Images of both sides of the body were acquired within a single scan for blocks 1 (T12 to pelvis), 4 (knee joint space to midshank), and 5 (midshank to lateral malleolus). However, due to the size of the participant's thighs, it was necessary to scan each thigh individually for blocks 2 (pelvis to midthigh) and 3 (midthigh to knee joint space); this involved the radiographer repositioning the field of view between scanning the first and the second thigh but not physically moving the coil or the participant. Oil-filled capsules were secured to the surface of the participant's skin with Transpore tape at intervals along the length of the lower body prior to the scan and in an offline analysis used to verify the alignment of the blocks (Horos software, Version 3.36, https://horosproject.org/).\n\nThe offline analysis was of the following muscles/compartments (Fig. 1): iliopsoas (psoas major and iliacus combined); sartorius; tensor fasciae latae; adductor magnus; gracilis; gluteus maximus; gluteus medius and minimus (combined, due to difficulty separating the two muscles); rectus femoris (RF); vastus lateralis (VL), medialis (VM), and intermedius (VI); semimembranosus (SM); semitendinosus (ST); biceps femoris long (BFlh) and short heads (BFsh); popliteus; lateral and medial gastrocnemius; soleus; and the anterior, lateral, and deep posterior compartments of the shank. 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Effect of age on muscle hypertrophy induced by resistance training. J Gerontol A Biol Sci Med Sci 51: M270–M275, 1996. doi:10.1093/gerona/51a.6.m270.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 5. Overall hamstrings (HAMS; A), semimembranosus (SM; B), semitendinosus (ST; C), biceps femoris long head (BFlh; D), and biceps femoris short head (BFsh; E) muscle volume of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance trained [n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [n ¼ 50, pooled population from the works by Miller et al. (13) (n ¼ 11) and Balshaw et al. (14) (pretest data n ¼ 39)].\n\npatellar tendon moment arm (þ 18%). Therefore, of these two key strength determinants, muscle size, rather than joint leverage, appeared to be the predominant factor responsible for the WSM's extraordinary strength. Indeed, when we previously compared the muscle morphology and joint mechanics of individuals with distinct maximum strength capacity (long-term resistance-trained individuals vs. untrained controls), muscle size was the primary factor separating the groups with much more subtle differences in moment arm (10). The extreme example of muscle size provided by the WSM's quadriceps femoris also gave the opportunity to investigate the scaling of tendon size to muscle size; extreme muscular size (greater than or equal to twice that for untrained controls) might be expected to be accompanied by comparable tendinous tissue size to effectively transmit high muscular forces to the skeleton. However, the WSM's patellar tendon CSA was only 30% larger than untrained controls and within the range of individuals we have previously measured (Fig. 6A). This observation supports the notion that tendon structure may be largely fixed by adulthood (40), with only slow/limited\n\nFigure 6. Patellar tendon mean cross-sectional area (A) and patellar tendon moment arm (B) of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance trained [n ¼ 16, from the work by Massey et al. (15)] and untrained control populations [n ¼ 39, from the work by Massey et al. (15)].", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 1. Example axial MRI images from the World's Strongest Man and deadlift champion (WSM; A–C) and an untrained control participant (D–F) from the hip (A and D), thigh (B and E), and lower leg (C and F). Image location relative to femur and shank length was matched between the WSM and the untrained control as follows: hip image is at approximately midfemoral head, thigh image is at 52% of femur length (0% is distal end of femur, 100% is greater trochanter), and lower leg image is at 70% of shank length (0% is lateral malleolus, 100% is proximal end of tibia). The untrained control participant displayed was from the work by Miller et al. (13) and had a total measured muscle volume of all measured muscles that was 5.1% smaller than the mean of the untrained group within that study.\n\nadjustment to different heights. A bar height producing a knee joint angle of 145 (measured by a manual goniometer) was selected, and the participant was instructed to keep his torso upright while completing the IMTP efforts. Two calibrated 10-kN-capacity force platforms (model 9286B, Kistler Instruments, Ltd., London, UK), one underneath each foot, were placed on top of the isometric rig's base plate, and vertical force signals from the eight individual load cells across the two force platforms were outputted (External Control Unit model 5233 A, Kistler Instruments, Ltd.) and sampled at 2,000 Hz using an external analog-to-digital converter (Micro 1401; CED, Cambridge, UK) and recorded with Spike 2 computer software (CED, Cambridge, UK).\n\nFollowing a warm-up consisting of a series of incremental warm-up contractions of 5 s duration ranging from 50% to 90% of maximum perceived effort, two maximum IMTP efforts of 3–5 s duration were performed under the instruction to \"pull as hard as possible.\" Six minutes separated the maximum efforts, based on a self-selected recovery period. Wrist wraps were worn to remove the influence of grip strength from the assessment. Real-time overall feedback from the force platforms (the sum of the force signals from", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance training. For example, we previously found patellar tendon CSA to show very subtle changes after 15 wk (45 training sessions) of heavy resistance training [ þ 1.4% (41)] and no differences between long-term resistance-trained individuals and untrained controls (15).\n\n#### Limitations\n\nAlthough the current investigation provides a detailed assessment of an individual at/toward the upper limit of human strength performance, it is important to appreciate study limitations. First, the participant was not measured immediately before their World's Strongest Man championship success or other landmark performances, and it is entirely possible the functional and structural characteristics we assessed may have been even higher directly prior to peak performances. Despite using a wide-bore MRI scanner, due to the size of the WSM's shoulders and arms, it was not possible to scan their upper body. Thus, we were not able to investigate this aspect of the WSM's muscle morphology; although given that greater hypertrophy occurs in the upper body compared with the lower body (42), it is possible that the WSM's upper-body muscle size relative to untrained controls may have been even more pronounced than what we have documented for the lower body. In the current study to provide the most representative data on untrained control participants, the largest available untrained control populations were used for each category of measurements. Thus, different untrained control populations were used [e.g., comparison of quadricep and hamstring size (n ¼ 102) vs. comparison of all the leg muscles (n ¼ 11)], which led to some subtle discrepancies in the contrasts between these groups and the WSM [e.g., quadriceps femoris/knee extensors, þ 127% and þ 99% relative to our large pooled (n ¼ 102) and smaller (n ¼ 11) untrained control samples, respectively]. Importantly, however, this discrepancy does not appear to meaningfully affect the interpretation of the findings. There were subtle differences in the precise scanning and analysis approaches used with the reference populations featured in this study, including 1) magnetic field strength [1.5 T (10, 11, 15) vs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to quantify quadriceps femoris and hamstrings muscle volume [1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation of muscle volume [area under the cubic spline ACSA-muscle length curve: (10, 11, 14) vs. the equation detailed earlier: WSM and (13)]; and 4) the use of unilateral MRI measures derived from one limb (10, 11, 14, 15) or collapsed across two limbs [WSM and (13)]. However, it seems likely that these subtle differences would have had at most a very minor effect on the findings. Finally, it is also important to highlight that the differences documented between the WSM and comparative populations for the various measures included in the current study cannot be assumed to be anything other than a combination of both innate (genetic) and environmental (training and nutrition) factors.\n\n#### Conclusions\n\nIn conclusion, this novel investigation documented the muscle and tendon morphology and whole body strength and power characteristics of an exceptionally strong individual, relative to comparative athletic, trained, and untrained populations. Overall leg muscle volume of the WSM was approximately twice that of untrained controls but with pronounced anatomical variability in the extent of muscular development. The plantar flexor muscle group and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140 to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences. The pronounced quadriceps femoris size of the WSM (greater than or equal to twice that of untrained) was accompanied by a more modest difference in patella tendon moment arm (þ 18%) and was not matched by a proportional difference in tendon size ( þ 30%).\n\n# DATA AVAILABILITY\n\nData will be made available upon reasonable request.\n\n### SUPPLEMENTAL MATERIAL\n\nSupplemental Material: https://doi.org/10.6084/m9.figshare. 26152939.\n\n### ACKNOWLEDGMENTS\n\nThe authors thank radiographer Julie Thompson.\n\n# DISCLOSURES\n\nNo conflicts of interest, financial or otherwise, are declared by the authors.\n\n## AUTHOR CONTRIBUTIONS\n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., R.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., E.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted results of experiments; T.G.B. prepared figures; T.G.B. and J.P.F. drafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; T.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved final version of manuscript.\n\n### REFERENCES\n\n- 1. Crowther NB. Weightlifting in antiquity: achievement and training. Greece Rome 24: 111–120, 1977. doi:10.1017/s0017383500018416.\n- 2. Dixon E. How Wave.tv is making the World's Strongest Man think bigger with its digital plans (Online). SportsPro, 2020.https://www. sportspromedia.com/insights/analysis/worlds-strongest-man-wavetvthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024].\n- 3. Suchomel TJ, Nimphius S, Stone MH. The importance of muscular strength in athletic performance. Sports Med 46: 1419–1449, 2016. doi:10.1007/s40279-016-0486-0.\n- 4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ. Eccentric hamstring strength and hamstring injury risk in Australian footballers. Med Sci Sports Exerc 47: 857��865, 2015. doi:10.1249/ mss.0000000000000465.\n- 5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: the importance of skeletal muscle strength for healthy ageing. Biogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n- 6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, Ratamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh CM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body composition in elite strongman competitors. J Strength Cond Res 34: 3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n- 7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser JG, Loenneke JP. Skeletal muscle mass in human athletes: what is the upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ ajhb.23102.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 2. Gross (including body weight) isometric midthigh pull (IMTP) peak force (A), net (above body weight) IMTP peak force (B), countermovement jump (CMJ) peak power (C), and CMJ height (D) of a World's Strongest Man and deadlift champion (WSM) displayed against comparative data from the existing research literature. CMJ was performed with an arm swing by WSM and within all comparative data included in the figure. Athletes from different sports or disciplines featured within the sample. Descriptive information (age, height, and body mass) of the groups included as comparative data can be found in Supplemental Materials 1 (IMTP) and 2 (CMJ).\n\nthe load cells across the two platforms) was displayed in front of the participant during the IMTP efforts, and a horizontal marker was placed on the highest force obtained after the first maximum effort. In the offline analysis, the force signals were low pass filtered (10 Hz using a fourth-order zero-lag Butterworth filter) before summating the force output from the two platforms to derive overall force produced. The instantaneous highest force during maximum efforts was identified as the measure of gross IMTP peak force (i.e., including body weight). Force while the WSM was standing upright on the platform at rest (i.e., body weight) was also subtracted from the peak instantaneous force to calculate net IMTP peak force.\n\n#### Analysis and Comparative Data\n\nMuscle volumes, patellar tendon CSA, and patellar tendon moment arm measurements assessed on both legs of the WSM were averaged to provide unilateral criterion values; this facilitated comparisons with various untrained, resistance-trained, and athletic groups previously investigated in published works from our laboratory (10, 11, 13–15; Table 1). IMTP and CMJ values were predominantly compared with existing research literature with the highest comparable male data [e.g., IMTP gross peak force: (18–25); IMTP net peak force: (26–31); CMJ performed with an arm swing on a force platform (32–38)]. Where the numerical values (means and SD) from previously published studies were not reported, they were extracted using online software (WebPlotDigitizer, version 4.6, https://automeris.io/WebPlotDigitizer). For IMTP peak force in cases where it was not clearly stated that body weight was subtracted from gross IMTP peak force, measures were assumed to be gross IMTP peak force. Muscle and tendon morphology figures display means ± SD as well as individual participant data for comparative populations, as these values are from published research from our laboratory. IMTP peak force and CMJ outcome figures display only means ± SD values for comparative populations, as we relied on published values from the literature where individual participant values were not typically available.\n\n### RESULTS\n\n#### Participant Descriptives and Anthropometrics\n\nThe WSM was 30.6 yr old and 1.90 m tall and his body mass was 172 kg upon reporting for the laboratory visit. The age, height, and body mass of participants from the comparative datasets featured in our previously published research are presented in Table 1. Age, height, and body mass for", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - }, - { - "text": "| | n | Age, yr | Height, m | Body Mass, kg | Source of Comparative Data |\n| --- | --- | --- | --- | --- | --- |\n| WSM | 1 | 30.6 | 1.90 | 172.0 | |\n| Overall muscle morphology | | | | | |\n| Elite sprint runners | 5 | 27.4 ± 4.1 | 1.83 ± 0.06 | 86.4 ± 6.7 | Miller et al. (13) |\n| Subelite sprint runners | 26 | 22.0 ± 2.2 | 1.78 ± 0.06 | 75.4 ± 7.3 | |\n| Untrained controls | 11 | 25.8 ± 2.6 | 1.80 ± 0.08 | 75.2 ± 5.6 | |\n| Quadriceps femoris muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22 ± 2 | 1.83 ± 0.06 | 91 ± 10 | Maden-Wilkinson et al. (10) |\n| Untrained controls | 102 | 25 ± 3 | 1.78 ± 0.08 | 73 ± 10 | Pooled sample from Miller et al. (13) (n ¼ 11), |\n| | | | | | Balshaw et al. (11) (n ¼ 52), and pretest of |\n| | | | | | Balshaw et al. (14) (n ¼ 39) |\n| Hamstrings muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22 ± 2 | 1.83 ± 0.06 | 91 ± 10 | Unpublished observations from the sample |\n| | | | | | in Maden-Wilkinson et al. (10) |\n| Untrained controls | 50 | 26 ± 4 | 1.79 ± 0.08 | 75 ± 11 | Pooled sample from Miller et al. (13) (n ¼ 11) |\n| | | | | | and pretest of Balshaw et al. (14) (n ¼ 39) |\n| Patellar tendon CSA and moment arm | | | | | |\n| Long-term resistance-trained | 16 | 22 ± 2 | 1.83 ± 0.06 | 90 ± 10 | Massey et al. (15) |\n| Untrained controls | 39 | 25 ± 2 | 1.76 ± 0.06 | 72 ± 9 | |\n\nTable 1. Descriptive characteristics of a World's Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data\n\nValues for comparative populations are means ± SD. CSA, cross-sectional area.\n\ntibialis anterior, extensor digitorum longus, and extensor hallucis longus. The lateral shank compartment included the peroneus longus and brevis. The deep posterior compartment consisted of plantaris, tibialis posterior, flexor digitorum longus, and flexor hallucis longus. All muscles were manually segmented in every other image (i.e., every 20 mm) starting from the most proximal image in which the muscle appeared, except the tensor fasciae latae, gluteus medius and minimus (combined), and popliteus, which were manually segmented in every slice (i.e., every 10 mm) due to their short length. The volume of each individual muscle (Vm) was calculated using previously outlined methods (16) as follows:\n\n$$V_{\\mathrm{m}}=\\sum_{i=1}^{n-1}{\\frac{h}{2}}(A_{\\mathrm{mi}}\\,+\\,A_{\\mathrm{mi}\\,+\\,1})$$\n\nwhere Am represents the muscle CSA calculated from each image, i is the image number, n is the total number of images, and h is the distance between images. The volume of five functional muscle groups was calculated as the sum of the following muscles: hip extensors (gluteus maximus, adductor magnus, BFlh, SM, and ST), hip flexors (iliopsoas, RF, sartorius, and tensor fasciae latae), knee extensors (RF, VI, VM, and VL), knee flexors (gracilis, BFlh and BFsh, SM, ST, sartorius, popliteus, and medial and lateral gastrocnemius), and plantarflexors (medial and lateral gastrocnemius and soleus). The sum of all the measured lower-body muscles was also quantified as the volume of \"all muscles.\"\n\nOnce muscle MRI scanning had been completed, a flex coil (GE Medical) was used to acquire unilateral T1-weighted axial (time of repetition/time to echo 650/9.476 ms, image matrix 512 512, field of view 180 180 mm, pixel size 0.3516 0.3516 mm, slice thickness 2 mm, and interslice gap 0 mm) and sagittal images (time of repetition/time to echo 606/9.512 ms, image matrix 512 512, field of view 180 180 mm, pixel size 0.3516 0.3516 mm, slice thickness 2 mm, and interslice gap ¼ 0 mm) from both knee joints. The axial images were obtained perpendicular to the line of the tendon from 2 cm superior to the apex of the patella to 2 cm inferior to the patellar tendon's inferior insertion. Patellar tendon CSA was measured in each contiguous image along the length of the tendon (i.e., from the first image where the patella was no longer visible to the final image before the tibial insertion). The axial images of the patellar tendon were viewed in grayscale, sharpened, and the perimeter manually outlined. The average of all measured axial patellar tendon CSAs was calculated to produce a mean tendon CSA (mm2 ) for each leg. The moment arm length of the patellar tendon for each leg was estimated from sagittal plane images as the perpendicular distance from the patellar tendon to the midpoint of tibiofemoral contact (17).\n\n#### Countermovement Jump\n\nFollowing an 10-min self-selected whole body loaded barbell-based warm-up and three submaximum warm-up CMJs performed with 50% of perceived maximum effort, the WSM performed three maximal effort CMJs, with 30 s of rest between jumps, on a portable Kistler force plate (Quattro Jump, Type 9290AD, Kistler, Switzerland), interfaced with a personal computer. Prior to all jumps, the participant was instructed to stand still on the force plate in an upright posture with their arms by their sides. Sampling was initiated when they provided an indication they were ready to begin, and after a 2-s pause to collect the force due to body mass and a 3-s countdown, the participant performed a CMJ for maximal height, with arm movement and the depth of countermovement self-selected by the participant. The Quattro jump device records vertical ground reaction force at a sampling frequency of 500 Hz and calculates jump height and peak power using integration/double integration of the force signal (Quattro jump software, type 2822A1-1, version 1.1.1.4) to derive velocity (multiplied by force to calculate power) and displacement (jump height).\n\n#### Isometric Midthigh Pull\n\nIMTP contractions were performed within an isometric rig consisting of a base plate with stainless steel uprights (ESP Fitness, Loughborough, UK), which facilitated barbell", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What are the nutritionnal added components to the word's strongest man regime ?", - "target_page": 2, - "target_passage": "The WSM’s nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "# RESEARCH ARTICLE\n\n# Muscle and tendon morphology of a world strongman and deadlift champion\n\n# Thomas G. Balshaw,1 Garry J. Massey,1,2 Robert Miller,1,3,4 Emmet J. McDermott,1,5 Thomas M. Maden-Wilkinson,6 and Jonathan P. Folland1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\n\n# Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM's CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM's overall measured leg muscle volume was approximately twice that of untrained controls (þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group (þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM's pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM's very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differences. The WSM's quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n# INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codified and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put). In addition, professional strongman competitions, such as the annually contested \"World's Strongest Man\" event, generate extensive global interest (2). Moreover, scientific understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and healthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scientific information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6) examined the body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153 ± 19 kg) and lean mass (118 ± 12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk). Submitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "- 8. Abe T, Buckner SL, Mattocks KT, Jessee MB, Dankel SJ, Mouser JG, Bell ZW, Loenneke JP. Skeletal muscle mass and architecture of the world's strongest raw powerlifter: a case study. Asian J Sports Med 9: e61763, 2018. doi:10.5812/asjsm.61763.\n- 9. Powell PL, Roy RR, Kanim P, Bello MA, Edgerton VR. Predictability of skeletal muscle tension from architectural determinations in guinea pig hindlimbs. J Appl Physiol Respir Environ Exerc Physiol 57: 1715–1721, 1984. doi:10.1152/jappl.1984.57.6.1715.\n- 10. Maden-Wilkinson TM, Balshaw TG, Massey G, Folland JP. What makes long-term resistance-trained individuals so strong? A comparison of skeletal muscle morphology, architecture, and joint mechanics. 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Isometric mid-thigh pull correlates with strength, sprint, and agility performance in collegiate rugby union players. J Strength Cond Res 30: 3051–3056, 2016. doi:10.1519/jsc.0000000000001416.\n- 31. Haff GG, Stone M, O'Bryant HS, Harman E, Dinan C, Johnson R, Han KH. Force-time dependent characteristics of dynamic and isometric muscle actions. J Strength Cond Res 11: 269–272, 1997. doi:10.1519/1533-4287(1997)011<0269:FTDCOD>2.3.CO;2.\n- 32. Mercer RAJ, Russell JL, McGuigan LC, Coutts AJ, Strack DS, McLean BD. Finding the signal in the noise—interday reliability and seasonal sensitivity of 84 countermovement jump variables in professional basketball players. J Strength Cond Res 37: 394–402, 2023. doi:10.1519/jsc.0000000000004182.\n- 33. Cabarkapa D, Philipp N, Cabarkapa D, Eserhaut D, Fry A. Comparison of force-time metrics between countermovement vertical jump with and without an arm swing in professional male basketball players. Int J Strength Cond 3: 1–7, 2023. doi:10.47206/ijsc. v3i1.197.\n- 34. Tillin NA, Pain MT, Folland J. Explosive force production during isometric squats correlates with athletic performance in rugby union players. J Sports Sci 31: 66–76, 2013. doi:10.1080/02640414.2012.720704.\n- 35. Morris CG, Weber JA, Netto KJ. Relationship between mechanical effectiveness in sprint running and force-velocity characteristics of a countermovement jump in Australian rules football athletes. J Strength Cond Res 36: e59–e65, 2022. doi:10.1519/ jsc.0000000000003583.\n- 36. Johnson DL, Bahamonde R. Power output estimate in university athletes. J Strength Cond Res 10: 161–166, 1996. doi:10.1519/1533-4287 (1996)010<0161:poeiua>2.3.co;2.\n- 37. Mkaouer B, Jemni M, Amara S, Chaaben H , Tabka Z. Kinematic and kinetic analysis of counter movement jump versus two different types of standing back somersault. Sci Gymnast J 4: 61–71, 2012. https://www.fsp.uni-lj.si/en/research/scientific-magazines/scienceof-gymnastics/previous-issues/2012102209114244/.\n- 38. Walsh MS, Bohm H € , Butterfield MM, Santhosam J. Gender bias in the effects of arms and countermovement on jumping performance. J Strength Cond Res 21: 362–366, 2007. doi:10.1519/00124278- 200705000-00012.\n- 39. Vadgaonkar R, Prameela MD, Kumar CG, Blossom V, Tonse M, Murlimanju BV, Pai MM, Prabhu LV. Dimensions of pes anserinus of the lower extremity, an anatomical study with its surgical implications. Anat Cell Biol 54: 178–183, 2021. doi:10.5115/acb.20.275.\n- 40. Heinemeier KM, Schjerling P, Heinemeier J, Magnusson SP, Kjaer M. Lack of tissue renewal in human adult Achilles tendon is revealed by nuclear bomb 14C. FASEB J 27: 2074–2079, 2013. doi:10.1096/ fj.12-225599.\n- 41. Balshaw TG, Funnell MP, McDermott EJ, Maden-Wilkinson TM, Massey GJ, Abela S, Quteishat B, Edsey M, James LJ, Folland JP. The effect of specific bioactive collagen peptides on tendon remodeling during 15 wk of lower body resistance training. Med Sci Sports Exerc 55: 2083–2095, 2023. doi:10.1249/mss.0000000000003242.\n- 42. Welle S, Totterman S, Thornton C. Effect of age on muscle hypertrophy induced by resistance training. J Gerontol A Biol Sci Med Sci 51: M270–M275, 1996. doi:10.1093/gerona/51a.6.m270.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "Table 2. Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a World's Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained control participants\n\n| | | | Muscle Volume, cm3 | |\n| --- | --- | --- | --- | --- |\n| Muscle Group/Muscle or Compartment | WSM | Elite Sprinters (n 5 5) | Subelite Sprinters (n 5 26) | Untrained (n 5 11) |\n| All muscles | 14,922 | 11,323 ± 1,328 | 9,164 ± 1,207 | 7,628 ± 1,548 |\n| Hip flexors | 1,704 | 1,620 ± 200 | 1,314 ± 216 | 1,031 ± 151 |\n| Hip extensors | 4,724 | 4,002 ± 489 | 3,029 ± 422 | 2,257 ± 220 |\n| Knee flexors | 3,060 | 2,304 ± 178 | 1,859 ± 301 | 1,460 ± 196 |\n| Knee extensors | 4,386 | 3,218 ± 400 | 2,636 ± 401 | 2,202 ± 315 |\n| Plantar flexors | 1,888 | 1,112 ± 181 | 943 ± 156 | 860 ± 172 |\n| Iliopsoas | 681 | 702 ± 97 | 618 ± 101 | 514 ± 75 |\n| Sartorius | 429 | 306 ± 46 | 209 ± 50 | 142 ± 25 |\n| Tensor fasciae latae | 142 | 135 ± 41 | 86 ± 25 | 73 ± 24 |\n| Adductor magnus | 1,334 | 1,056 ± 83 | 828 ± 128 | 624 ± 81 |\n| Gracilis | 235 | 180 ± 37 | 142 ± 37 | 98 ± 23 |\n| Gluteus maximus | 1,980 | 1,797 ± 376 | 1,257 ± 197 | 931 ± 108 |\n| Gluteus medius and minimus | 1,172 | 626 ± 129 | 575 ± 97 | 583 ± 76 |\n| Rectus femoris | 453 | 476 ± 45 | 401 ± 78 | 303 ± 55 |\n| Vastus lateralis | 1,508 | 1,132 ± 180 | 925 ± 156 | 743 ± 98 |\n| Vastus intermedius | 1,336 | 962 ± 145 | 789 ± 140 | 680 ± 115 |\n| Vastus medialis | 1,088 | 649 ± 97 | 521 ± 79 | 476 ± 111 |\n| Semimembranosus | 392 | 359 ± 60 | 327 ± 59 | 262 ± 18 |\n| Semitendinosus | 563 | 449 ± 70 | 350 ± 79 | 219 ± 39 |\n| Biceps femoris long head | 454 | 340 ± 31 | 267 ± 47 | 221 ± 42 |\n| Biceps femoris short head | 135 | 167 ± 26 | 131 ± 34 | 110 ± 28 |\n| Popliteus | 27 | 23 ± 5 | 17 ± 5 | 19 ± 6 |\n| Lateral gastrocnemius | 310 | 202 ± 34 | 170 ± 37 | 156 ± 41 |\n| Medial gastrocnemius | 515 | 300 ± 38 | 262 ± 58 | 251 ± 52 |\n| Soleus | 1,063 | 610 ± 137 | 510 ± 76 | 453 ± 95 |\n| Anterior compartment | 445 | 302 ± 59 | 273 ± 47 | 291 ± 47 |\n| Lateral compartment | 253 | 147 ± 32 | 161 ± 42 | 153 ± 35 |\n| Posterior compartment | 406 | 401 ± 76 | 345 ± 71 | 326 ± 93 |\n\nIndividual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the individual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM (n ¼ 1). Untrained control participants from Miller et al. (13).\n\nassessed (Fig. 5B). BFsh volume (135 cm3 ) of the WSM was a modest 26% greater than that of our pool of untrained control participants (107 ± 31 cm3 ; Fig. 5E) but smaller than that of both long-term resistance-trained individuals (1%; 136 ± 27 cm3 ) and elite sprinters (19%; 167 ± 26 cm3 ; Fig. 5E).\n\n#### Patella Tendon Cross-Sectional Area and Moment Arm\n\nThe patellar tendon mean CSA of the WSM (133.8 mm2 ) was larger than that of average untrained (þ 30%; 103.2 ± 12.5 mm2 ) and long-term resistance-trained individuals (þ 27%; 105.4 ± 13.0 mm2 ; Fig. 6A) but was smaller than the largest individual we have measured from these groups (149.5 mm2 ). The WSM's patellar tendon moment arm (51.5 mm) was also larger than that of average untrained (þ 18%; 43.8 ± 2.7 mm) or long-term resistance-trained groups (þ 12%; 45.8 ± 2.5 mm; Fig. 6B) as well as being 3% greater than the highest individual moment arm we have previously assessed within these groups (49.9 mm).\n\n### DISCUSSION\n\nThis study is the first to document the lower-body muscle and tendon morphology of a World's Strongest Man and deadlift champion (i.e., an exceptionally strong individual), and these are presented alongside functional whole body assessments, which exceeded the highest IMTP force (gross and net) and CMJ power values previously reported by 54%, 100%, and 164%, respectively. The WSM had overall lowerbody muscularity approximately twice that of untrained controls (þ 96%) and 32% greater than that of elite 100-m sprinters. However, there was substantial anatomical variability in the magnitude of the differences, ranging from the plantar flexors (þ 120% vs. untrained) to the hip flexors (þ 65% vs. untrained). Similarly, some specific muscles, such as the guy rope muscles that stabilize the femur and pelvis, were 2.5–3.0 times the volume of untrained individuals (gracilis þ 140%, semitendinosus þ 157%, and sartorius þ 202%) but others displayed more marginal differences (BFsh þ 23%, iliopsoas þ 32% vs. untrained). Considering the knee extensors, the WSM had both quadriceps femoris volume greater than or equal to twofold that of untrained controls and a greater patella tendon moment arm than we have previously measured (þ 18% vs. untrained), which would be expected to combine to facilitate extraordinary strength. Furthermore, despite the WSM's extremely large quadriceps femoris, their patellar tendon CSA was only 30% greater than that of untrained controls and not outside the range of tendons we have previously assessed. The results of this study provide novel insights into the muscle and tendon characteristics, as well as the strength and power capabilities, of an extraordinarily strong individual that may be toward the upper limit of human variation in these characteristics.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of specific individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9–11), pronounced muscle size seems likely to be critical to extreme human strength; however, the specific muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the findings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World's Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13–15).\n\n### MATERIALS AND METHODS\n\n#### Participant\n\nThe WSM's achievements included one World's Strongest Man title (14 mo prior to measurement), five Britain's Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift World Record holder (500 kg; at the time of measurement), and second place at Europe's Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and benefits of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n#### Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant's resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant's training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1–5 repetition maximum (RM)]: 10%; heavy loads (6– 14 RM): 80%; and moderate loads (-15 RM): 10%. The participant reported only occasional (<1/week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently (>3/ week) executed training repetitions with the intention to move the load as fast as possible. The WSM's nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n#### Overview\n\nThe WSM reported for a single test session that involved the following assessments (listed in order): axial T1 weighted 3.0-T MRI scans from T12 to the lateral malleolus [to assess muscle size throughout the lower body (left and right sides)], axial and sagittal T1-weighted MRI scans of both knees [to assess patellar tendon cross-sectional area (CSA) and patellar tendon moment arm], maximum countermovement jumps (CMJ), and maximum isometric midthigh pulls (IMTPs). The muscle size, patellar tendon CSA, and patellar tendon moment arm of the WSM were compared with various populations measured within our laboratory, as indicated in Table 1, alongside participant descriptives (10, 11, 13–15). In addition, the IMTP and CMJ measures were compared with existing published literature (included studies are summarized in Supplemental Materials 1 and 2, alongside participant descriptives).\n\n#### MRI Measurement of Muscle Tendon Unit Morphology and Moment Arm\n\nThe participant reported for their MRI scan [3.0-T Discovery MR750W (70-cm-wide bore), GE Medical] having not completed any strenuous physical activity in -24 h and had received prior instruction to arrive in a relaxed state having eaten and drunk normally. The participant sat quietly for 15 min prior to their scan. The participant lay supine for the MRI scan of the lower-body musculature from T12 to the lateral malleolus. A body coil (GE Medical) allowed axial T1 weighted images (time of repetition/time to echo 600/8.144 ms, image matrix 512 512, field of view 500 500 mm, pixel size 0.9766 0.9766 mm, slice thickness 5 mm, and interslice gap 5 mm) to be acquired in five overlapping blocks. Images of both sides of the body were acquired within a single scan for blocks 1 (T12 to pelvis), 4 (knee joint space to midshank), and 5 (midshank to lateral malleolus). However, due to the size of the participant's thighs, it was necessary to scan each thigh individually for blocks 2 (pelvis to midthigh) and 3 (midthigh to knee joint space); this involved the radiographer repositioning the field of view between scanning the first and the second thigh but not physically moving the coil or the participant. Oil-filled capsules were secured to the surface of the participant's skin with Transpore tape at intervals along the length of the lower body prior to the scan and in an offline analysis used to verify the alignment of the blocks (Horos software, Version 3.36, https://horosproject.org/).\n\nThe offline analysis was of the following muscles/compartments (Fig. 1): iliopsoas (psoas major and iliacus combined); sartorius; tensor fasciae latae; adductor magnus; gracilis; gluteus maximus; gluteus medius and minimus (combined, due to difficulty separating the two muscles); rectus femoris (RF); vastus lateralis (VL), medialis (VM), and intermedius (VI); semimembranosus (SM); semitendinosus (ST); biceps femoris long (BFlh) and short heads (BFsh); popliteus; lateral and medial gastrocnemius; soleus; and the anterior, lateral, and deep posterior compartments of the shank. The anterior shank compartment consisted of the", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "strength (n) [ME < OE (n) [ME < O *strengou.*] 5. Firm will or c ] 5. Firm will or character: moral courage or power. mora", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Figure 4. Quadriceps femoris (QF; A), vastus medialis (VM; B), vastus lateralis (VL; C), vastus intermedius (VI; D), and rectus femoris (RF; E) muscle volume of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance-trained (n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [n ¼ 102, pooled population from the works by Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and Balshaw et al. (14) (pretest data n ¼ 39)].\n\nAlthough it was anticipated that the WSM would possess a larger total lower-body muscle volume/mass than untrained controls and other athletic/trained groups we have previously measured, the magnitude and pattern of the differences were unknown. The results indicated that the total volume of the measured muscles was almost twice that of average untrained participants and 32–63% larger than subelite and elite sprinters. Pronounced development of the antigravity muscles (i.e., hip extensors, knee extensors, and plantar flexors) was perhaps not that surprising given the WSM's background in heavy lifting events (including being a double deadlift world champion and record holder). However, the hip flexors appear less important in these tasks, possibly explaining their more modest size, which was inferior to that of three elite 100-m sprinters we have previously assessed. The WSM's plantar flexors were particularly large relative to untrained controls (þ 120%). This could be due to the plantar flexors being the smallest of the antigravity muscle groups that may experience very high mechanical stress and, thus, a pronounced adaptive stimulus during heavy lifting, carrying, and pulling tasks. Furthermore, the very heavy and, therefore, low-velocity nature of these tasks may limit the contribution of the stretch-shortening cycle and tendon recoil to the positive/concentric work done by the plantar flexors, potentially placing a higher demand on the contractile apparatus than for running and jumping tasks.\n\nConsidering individual muscles/compartments, the muscular development of the WSM was distinctly nonuniform. It is striking that the largest muscles relative to the untrained control population were the three \"guy ropes\" (sartorius, gracilis, and semitendinosus: þ 140–202%). These three muscles provide stability to the pelvis and femur by having origins at diverse points around the pelvis while sharing a common insertion onto the anteromedial tibia [via pes anserinus, the conjoined tendons of these three muscles (39)]. Large guy rope muscles likely enhance stabilization of the femur and pelvis and would be expected to be critical during heavy weight-bearing tasks. In contrast, the WSM's five smallest muscles (relative to untrained controls) consisted of two hip flexors (iliopsoas and RF) and two monoarticular knee flexors; actions that appear far less important for lifting, carrying, and pulling tasks.\n\nThe WSM's quadriceps volume and patellar tendon moment arm were both greater than that of untrained controls and indeed any individual we have previously measured. However, the magnitude of difference, relative to the untrained controls, was noticeably larger for quadriceps femoris volume (greater than or equal to twice as large) than for", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance training. For example, we previously found patellar tendon CSA to show very subtle changes after 15 wk (45 training sessions) of heavy resistance training [ þ 1.4% (41)] and no differences between long-term resistance-trained individuals and untrained controls (15).\n\n#### Limitations\n\nAlthough the current investigation provides a detailed assessment of an individual at/toward the upper limit of human strength performance, it is important to appreciate study limitations. First, the participant was not measured immediately before their World's Strongest Man championship success or other landmark performances, and it is entirely possible the functional and structural characteristics we assessed may have been even higher directly prior to peak performances. Despite using a wide-bore MRI scanner, due to the size of the WSM's shoulders and arms, it was not possible to scan their upper body. Thus, we were not able to investigate this aspect of the WSM's muscle morphology; although given that greater hypertrophy occurs in the upper body compared with the lower body (42), it is possible that the WSM's upper-body muscle size relative to untrained controls may have been even more pronounced than what we have documented for the lower body. In the current study to provide the most representative data on untrained control participants, the largest available untrained control populations were used for each category of measurements. Thus, different untrained control populations were used [e.g., comparison of quadricep and hamstring size (n ¼ 102) vs. comparison of all the leg muscles (n ¼ 11)], which led to some subtle discrepancies in the contrasts between these groups and the WSM [e.g., quadriceps femoris/knee extensors, þ 127% and þ 99% relative to our large pooled (n ¼ 102) and smaller (n ¼ 11) untrained control samples, respectively]. Importantly, however, this discrepancy does not appear to meaningfully affect the interpretation of the findings. There were subtle differences in the precise scanning and analysis approaches used with the reference populations featured in this study, including 1) magnetic field strength [1.5 T (10, 11, 15) vs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to quantify quadriceps femoris and hamstrings muscle volume [1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation of muscle volume [area under the cubic spline ACSA-muscle length curve: (10, 11, 14) vs. the equation detailed earlier: WSM and (13)]; and 4) the use of unilateral MRI measures derived from one limb (10, 11, 14, 15) or collapsed across two limbs [WSM and (13)]. However, it seems likely that these subtle differences would have had at most a very minor effect on the findings. Finally, it is also important to highlight that the differences documented between the WSM and comparative populations for the various measures included in the current study cannot be assumed to be anything other than a combination of both innate (genetic) and environmental (training and nutrition) factors.\n\n#### Conclusions\n\nIn conclusion, this novel investigation documented the muscle and tendon morphology and whole body strength and power characteristics of an exceptionally strong individual, relative to comparative athletic, trained, and untrained populations. Overall leg muscle volume of the WSM was approximately twice that of untrained controls but with pronounced anatomical variability in the extent of muscular development. The plantar flexor muscle group and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140 to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences. The pronounced quadriceps femoris size of the WSM (greater than or equal to twice that of untrained) was accompanied by a more modest difference in patella tendon moment arm (þ 18%) and was not matched by a proportional difference in tendon size ( þ 30%).\n\n# DATA AVAILABILITY\n\nData will be made available upon reasonable request.\n\n### SUPPLEMENTAL MATERIAL\n\nSupplemental Material: https://doi.org/10.6084/m9.figshare. 26152939.\n\n### ACKNOWLEDGMENTS\n\nThe authors thank radiographer Julie Thompson.\n\n# DISCLOSURES\n\nNo conflicts of interest, financial or otherwise, are declared by the authors.\n\n## AUTHOR CONTRIBUTIONS\n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., R.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., E.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted results of experiments; T.G.B. prepared figures; T.G.B. and J.P.F. drafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; T.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved final version of manuscript.\n\n### REFERENCES\n\n- 1. Crowther NB. Weightlifting in antiquity: achievement and training. Greece Rome 24: 111–120, 1977. doi:10.1017/s0017383500018416.\n- 2. Dixon E. How Wave.tv is making the World's Strongest Man think bigger with its digital plans (Online). SportsPro, 2020.https://www. sportspromedia.com/insights/analysis/worlds-strongest-man-wavetvthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024].\n- 3. Suchomel TJ, Nimphius S, Stone MH. The importance of muscular strength in athletic performance. Sports Med 46: 1419–1449, 2016. doi:10.1007/s40279-016-0486-0.\n- 4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ. Eccentric hamstring strength and hamstring injury risk in Australian footballers. Med Sci Sports Exerc 47: 857–865, 2015. doi:10.1249/ mss.0000000000000465.\n- 5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: the importance of skeletal muscle strength for healthy ageing. Biogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n- 6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, Ratamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh CM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body composition in elite strongman competitors. J Strength Cond Res 34: 3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n- 7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser JG, Loenneke JP. Skeletal muscle mass in human athletes: what is the upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ ajhb.23102.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 5. Overall hamstrings (HAMS; A), semimembranosus (SM; B), semitendinosus (ST; C), biceps femoris long head (BFlh; D), and biceps femoris short head (BFsh; E) muscle volume of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance trained [n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [n ¼ 50, pooled population from the works by Miller et al. (13) (n ¼ 11) and Balshaw et al. (14) (pretest data n ¼ 39)].\n\npatellar tendon moment arm (þ 18%). Therefore, of these two key strength determinants, muscle size, rather than joint leverage, appeared to be the predominant factor responsible for the WSM's extraordinary strength. Indeed, when we previously compared the muscle morphology and joint mechanics of individuals with distinct maximum strength capacity (long-term resistance-trained individuals vs. untrained controls), muscle size was the primary factor separating the groups with much more subtle differences in moment arm (10). The extreme example of muscle size provided by the WSM's quadriceps femoris also gave the opportunity to investigate the scaling of tendon size to muscle size; extreme muscular size (greater than or equal to twice that for untrained controls) might be expected to be accompanied by comparable tendinous tissue size to effectively transmit high muscular forces to the skeleton. However, the WSM's patellar tendon CSA was only 30% larger than untrained controls and within the range of individuals we have previously measured (Fig. 6A). This observation supports the notion that tendon structure may be largely fixed by adulthood (40), with only slow/limited\n\nFigure 6. Patellar tendon mean cross-sectional area (A) and patellar tendon moment arm (B) of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance trained [n ¼ 16, from the work by Massey et al. (15)] and untrained control populations [n ¼ 39, from the work by Massey et al. (15)].", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed12.pdf" - }, - { - "text": "comparative populations drawn from the existing literature can be found in Supplemental Materials 1 (gross IMTP peak force and net IMTP peak force) and 2 (CMJ peak power and height).\n\n#### Isometric Midthigh Pull and Countermovement Jump\n\nGross (including body weight) and net (above body weight) IMTP peak forces of the WSM were 9,171 N and 7,480 N, respectively. The WSM's gross IMTP peak force was 54% greater than the highest comparable group mean we located (subelite weightlifters: 5,942 ± 844 N (20); Fig. 2A). The WSM's net IMTP peak force was 100% greater than the highest comparable group mean value in the literature (collegiate soccer athletes: 3,740 ± 692 N (26); Fig. 2B).\n\nThe WSM's CMJ peak power and jump height were 9,866 W and 53.3 cm, respectively. The peak CMJ power of the WSM was >2.5-fold (164%) that of the mean of an untrained control group previously measured in our laboratory (3,735 ± 760 W; unpublished) and 51% greater than the highest comparable group mean value we located in the literature (professional basketball players: 6,518 ± 923 W (32); Fig. 2C). Not surprisingly, given the WSM's high body mass, his jump height was less exceptional, while still being 20% greater than that of a group of untrained control participants previously measured in our laboratory (44.3 ± 9.2 cm; unpublished). However, his jump height was 25% lower than the highest group mean CMJ height we are aware of in the published literature (elite international gymnasts: 71.3 ± 4.5 cm (37); Fig. 2D).\n\n#### Leg Muscle Volumes\n\nThe total unilateral muscle volume of the 22 measured muscles/compartments of WSM (14,922 cm3 ) was nearly twice that of a relatively modest (n ¼ 11) sample of untrained controls (7,628 ± 1,548 cm3 ; þ 96%; Fig. 3), while being 63% greater than subelite (9,164 ± 1,207 cm3 ) and þ 32% greater than elite 100-m sprinters (11,323 ± 1,328 cm3 ; Table 2). The muscle group differences were largest for the plantar flexors ( þ 120% vs. untrained; þ 100% vs. subelite sprinters; þ 70% vs. elite sprinters) and smallest for the hip flexors ( þ 65% vs. untrained; þ 30% vs. subelite sprinters; þ 5% vs. elite sprinters). The WSM had the highest values of any individual we have observed for four out of five muscle groups, but not the hip flexors, which were inferior to three of the elite 100-m sprinters (n ¼ 5).\n\nCompared with untrained control participants (n ¼ 11), all 22 of the WSM's individual muscles/compartments were larger than untrained controls (Table 2 and Fig. 3). However, the differences in muscle volume were extremely variable, with the biggest differences being for the \"guy ropes,\" which were 2.5–3.0 times that of untrained controls (þ 140% gracilis; þ 157% ST; þ 202% sartorius), compared with more modest differences such as 23% (BFsh) and 32% (iliopsoas) greater.\n\n#### Quadriceps Femoris and Hamstring Size\n\nOverall quadriceps femoris volume of the WSM (4,386 cm3 ) was 127% greater than a large, pooled population of untrained controls (1,932 ± 336; n ¼ 102), 66% greater than subelite sprinters (2,636 ± 401 cm3 ), 53% greater than long-term resistancetrained individuals (2,876 ± 311 cm3 ), and 36% greater than elite\n\nFigure 3. Percentage differences in muscle volumes of all muscles, 5 functional muscle groups, and 23 individual muscles/compartments between the World's Strongest Man and deadlift champion (WSM; n ¼ 1) and untrained control participants (n ¼ 11) from the work by Miller et al. (13). A positive value indicates greater muscle volume of WSM relative to the group mean of the untrained controls. The functional muscle groups and individual muscles are ordered according to the magnitude of the percentage differences for absolute muscle volume.\n\nsprinters (3,218 ± 400 cm3 ; Fig. 4A). Moreover, the WSM's quadriceps femoris was 18% larger than the most muscular individual we have previously assessed (elite sprinter: 3,716 cm3 ). The volumes of the individual vasti muscles of the WSM (VL: 1,508 cm3 ; VI: 1,336 cm3 ; VM: 1,088 cm3 ) were 130–138% larger than untrained controls (VL: 633 ± 117 cm3 ; VI: 581 ± 120 cm3 ; VM: 461 ± 89 cm3 ) and also greater than any trained/athletic individual we have previously assessed (Fig. 4, B–D). However, the WSM's RF (453 cm3 ) was not quite so large, being 76% greater than untrained controls (257 ± 57 cm3 ) but smaller than the average elite sprinter (5%; Fig. 4E), 13% greater than subelite sprinters, and 21% greater than long-term resistancetrained individuals.\n\nOverall hamstring volume of the WSM (1,545 cm3 ) was 109% greater than a large pooled population of untrained controls (739 ± 142 cm3 ; n ¼ 50), 44% greater than subelite sprinters (1,075 ± 178 cm3 ), 53% greater than long-term resistancetrained individuals (1,011 ± 142 cm3 ), and 17% greater than elite sprinters (1,315 ± 130 cm3 ; Fig. 5A). The WSM's hamstring volume was also marginally larger (þ 3%) than the most muscular individual we have previously assessed (subelite sprinter, 1,495 cm3 ). The ST (563 cm3 ) and BFlh (454 cm3 ) volumes of the WSM were 132–182% larger than that of the pooled population of untrained controls (ST: 200 ± 48 cm3 ; BFlh: 196 ± 47 cm3 ; Fig. 5, C and D) and greater than the mean of any trained/athletic group we have previously assessed (Fig. 5, C and D). SM (392 cm3 ) volume of the WSM was 66% greater than untrained controls (SM 236 ± 46 cm3 ) and greater than the mean for trained/athletic groups we have previously", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 2. Gross (including body weight) isometric midthigh pull (IMTP) peak force (A), net (above body weight) IMTP peak force (B), countermovement jump (CMJ) peak power (C), and CMJ height (D) of a World's Strongest Man and deadlift champion (WSM) displayed against comparative data from the existing research literature. CMJ was performed with an arm swing by WSM and within all comparative data included in the figure. Athletes from different sports or disciplines featured within the sample. Descriptive information (age, height, and body mass) of the groups included as comparative data can be found in Supplemental Materials 1 (IMTP) and 2 (CMJ).\n\nthe load cells across the two platforms) was displayed in front of the participant during the IMTP efforts, and a horizontal marker was placed on the highest force obtained after the first maximum effort. In the offline analysis, the force signals were low pass filtered (10 Hz using a fourth-order zero-lag Butterworth filter) before summating the force output from the two platforms to derive overall force produced. The instantaneous highest force during maximum efforts was identified as the measure of gross IMTP peak force (i.e., including body weight). Force while the WSM was standing upright on the platform at rest (i.e., body weight) was also subtracted from the peak instantaneous force to calculate net IMTP peak force.\n\n#### Analysis and Comparative Data\n\nMuscle volumes, patellar tendon CSA, and patellar tendon moment arm measurements assessed on both legs of the WSM were averaged to provide unilateral criterion values; this facilitated comparisons with various untrained, resistance-trained, and athletic groups previously investigated in published works from our laboratory (10, 11, 13–15; Table 1). IMTP and CMJ values were predominantly compared with existing research literature with the highest comparable male data [e.g., IMTP gross peak force: (18–25); IMTP net peak force: (26–31); CMJ performed with an arm swing on a force platform (32–38)]. Where the numerical values (means and SD) from previously published studies were not reported, they were extracted using online software (WebPlotDigitizer, version 4.6, https://automeris.io/WebPlotDigitizer). For IMTP peak force in cases where it was not clearly stated that body weight was subtracted from gross IMTP peak force, measures were assumed to be gross IMTP peak force. Muscle and tendon morphology figures display means ± SD as well as individual participant data for comparative populations, as these values are from published research from our laboratory. IMTP peak force and CMJ outcome figures display only means ± SD values for comparative populations, as we relied on published values from the literature where individual participant values were not typically available.\n\n### RESULTS\n\n#### Participant Descriptives and Anthropometrics\n\nThe WSM was 30.6 yr old and 1.90 m tall and his body mass was 172 kg upon reporting for the laboratory visit. The age, height, and body mass of participants from the comparative datasets featured in our previously published research are presented in Table 1. Age, height, and body mass for", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "Why constraint made the scanning of the word's strongest man's upper body impossible using a MRI ?", - "target_page": 10, - "target_passage": "Despite using a wide-bore MRI scanner, due to the size of the WSM’s shoulders and arms, it was not possible to scan their upper body", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Figure 1. Example axial MRI images from the World's Strongest Man and deadlift champion (WSM; A–C) and an untrained control participant (D–F) from the hip (A and D), thigh (B and E), and lower leg (C and F). Image location relative to femur and shank length was matched between the WSM and the untrained control as follows: hip image is at approximately midfemoral head, thigh image is at 52% of femur length (0% is distal end of femur, 100% is greater trochanter), and lower leg image is at 70% of shank length (0% is lateral malleolus, 100% is proximal end of tibia). The untrained control participant displayed was from the work by Miller et al. (13) and had a total measured muscle volume of all measured muscles that was 5.1% smaller than the mean of the untrained group within that study.\n\nadjustment to different heights. A bar height producing a knee joint angle of 145 (measured by a manual goniometer) was selected, and the participant was instructed to keep his torso upright while completing the IMTP efforts. Two calibrated 10-kN-capacity force platforms (model 9286B, Kistler Instruments, Ltd., London, UK), one underneath each foot, were placed on top of the isometric rig's base plate, and vertical force signals from the eight individual load cells across the two force platforms were outputted (External Control Unit model 5233 A, Kistler Instruments, Ltd.) and sampled at 2,000 Hz using an external analog-to-digital converter (Micro 1401; CED, Cambridge, UK) and recorded with Spike 2 computer software (CED, Cambridge, UK).\n\nFollowing a warm-up consisting of a series of incremental warm-up contractions of 5 s duration ranging from 50% to 90% of maximum perceived effort, two maximum IMTP efforts of 3–5 s duration were performed under the instruction to \"pull as hard as possible.\" Six minutes separated the maximum efforts, based on a self-selected recovery period. Wrist wraps were worn to remove the influence of grip strength from the assessment. Real-time overall feedback from the force platforms (the sum of the force signals from", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance training. For example, we previously found patellar tendon CSA to show very subtle changes after 15 wk (45 training sessions) of heavy resistance training [ þ 1.4% (41)] and no differences between long-term resistance-trained individuals and untrained controls (15).\n\n#### Limitations\n\nAlthough the current investigation provides a detailed assessment of an individual at/toward the upper limit of human strength performance, it is important to appreciate study limitations. First, the participant was not measured immediately before their World's Strongest Man championship success or other landmark performances, and it is entirely possible the functional and structural characteristics we assessed may have been even higher directly prior to peak performances. Despite using a wide-bore MRI scanner, due to the size of the WSM's shoulders and arms, it was not possible to scan their upper body. Thus, we were not able to investigate this aspect of the WSM's muscle morphology; although given that greater hypertrophy occurs in the upper body compared with the lower body (42), it is possible that the WSM's upper-body muscle size relative to untrained controls may have been even more pronounced than what we have documented for the lower body. In the current study to provide the most representative data on untrained control participants, the largest available untrained control populations were used for each category of measurements. Thus, different untrained control populations were used [e.g., comparison of quadricep and hamstring size (n ¼ 102) vs. comparison of all the leg muscles (n ¼ 11)], which led to some subtle discrepancies in the contrasts between these groups and the WSM [e.g., quadriceps femoris/knee extensors, þ 127% and þ 99% relative to our large pooled (n ¼ 102) and smaller (n ¼ 11) untrained control samples, respectively]. Importantly, however, this discrepancy does not appear to meaningfully affect the interpretation of the findings. There were subtle differences in the precise scanning and analysis approaches used with the reference populations featured in this study, including 1) magnetic field strength [1.5 T (10, 11, 15) vs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to quantify quadriceps femoris and hamstrings muscle volume [1.5 cm (10, 11, 14) vs. 2.0 cm, WSM and (13)]; 3) the calculation of muscle volume [area under the cubic spline ACSA-muscle length curve: (10, 11, 14) vs. the equation detailed earlier: WSM and (13)]; and 4) the use of unilateral MRI measures derived from one limb (10, 11, 14, 15) or collapsed across two limbs [WSM and (13)]. However, it seems likely that these subtle differences would have had at most a very minor effect on the findings. Finally, it is also important to highlight that the differences documented between the WSM and comparative populations for the various measures included in the current study cannot be assumed to be anything other than a combination of both innate (genetic) and environmental (training and nutrition) factors.\n\n#### Conclusions\n\nIn conclusion, this novel investigation documented the muscle and tendon morphology and whole body strength and power characteristics of an exceptionally strong individual, relative to comparative athletic, trained, and untrained populations. Overall leg muscle volume of the WSM was approximately twice that of untrained controls but with pronounced anatomical variability in the extent of muscular development. The plantar flexor muscle group and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140 to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences. The pronounced quadriceps femoris size of the WSM (greater than or equal to twice that of untrained) was accompanied by a more modest difference in patella tendon moment arm (þ 18%) and was not matched by a proportional difference in tendon size ( þ 30%).\n\n# DATA AVAILABILITY\n\nData will be made available upon reasonable request.\n\n### SUPPLEMENTAL MATERIAL\n\nSupplemental Material: https://doi.org/10.6084/m9.figshare. 26152939.\n\n### ACKNOWLEDGMENTS\n\nThe authors thank radiographer Julie Thompson.\n\n# DISCLOSURES\n\nNo conflicts of interest, financial or otherwise, are declared by the authors.\n\n## AUTHOR CONTRIBUTIONS\n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., R.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., E.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted results of experiments; T.G.B. prepared figures; T.G.B. and J.P.F. drafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; T.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved final version of manuscript.\n\n### REFERENCES\n\n- 1. Crowther NB. Weightlifting in antiquity: achievement and training. Greece Rome 24: 111–120, 1977. doi:10.1017/s0017383500018416.\n- 2. Dixon E. How Wave.tv is making the World's Strongest Man think bigger with its digital plans (Online). SportsPro, 2020.https://www. sportspromedia.com/insights/analysis/worlds-strongest-man-wavetvthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024].\n- 3. Suchomel TJ, Nimphius S, Stone MH. The importance of muscular strength in athletic performance. Sports Med 46: 1419–1449, 2016. doi:10.1007/s40279-016-0486-0.\n- 4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ. Eccentric hamstring strength and hamstring injury risk in Australian footballers. Med Sci Sports Exerc 47: 857–865, 2015. doi:10.1249/ mss.0000000000000465.\n- 5. McLeod M, Breen L, Hamilton DL, Philp A. Live strong and prosper: the importance of skeletal muscle strength for healthy ageing. Biogerontology 17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n- 6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER, Ratamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh CM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM. Body composition in elite strongman competitors. J Strength Cond Res 34: 3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n- 7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser JG, Loenneke JP. Skeletal muscle mass in human athletes: what is the upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ ajhb.23102.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "# RESEARCH ARTICLE\n\n# Muscle and tendon morphology of a world strongman and deadlift champion\n\n# Thomas G. Balshaw,1 Garry J. Massey,1,2 Robert Miller,1,3,4 Emmet J. McDermott,1,5 Thomas M. Maden-Wilkinson,6 and Jonathan P. Folland1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\n\n# Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1) 3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM's CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM's overall measured leg muscle volume was approximately twice that of untrained controls (þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar flexor group (þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM's pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM's very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World's Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23–202%): the plantar flexor group and guy rope muscles demonstrating the largest differences. The WSM's quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n# INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codified and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put). In addition, professional strongman competitions, such as the annually contested \"World's Strongest Man\" event, generate extensive global interest (2). Moreover, scientific understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and healthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scientific information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6) examined the body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153 ± 19 kg) and lean mass (118 ± 12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk). Submitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of specific individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9–11), pronounced muscle size seems likely to be critical to extreme human strength; however, the specific muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the findings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World's Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13–15).\n\n### MATERIALS AND METHODS\n\n#### Participant\n\nThe WSM's achievements included one World's Strongest Man title (14 mo prior to measurement), five Britain's Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift World Record holder (500 kg; at the time of measurement), and second place at Europe's Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and benefits of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n#### Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant's resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant's training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1–5 repetition maximum (RM)]: 10%; heavy loads (6– 14 RM): 80%; and moderate loads (-15 RM): 10%. The participant reported only occasional (<1/week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently (>3/ week) executed training repetitions with the intention to move the load as fast as possible. The WSM's nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n#### Overview\n\nThe WSM reported for a single test session that involved the following assessments (listed in order): axial T1 weighted 3.0-T MRI scans from T12 to the lateral malleolus [to assess muscle size throughout the lower body (left and right sides)], axial and sagittal T1-weighted MRI scans of both knees [to assess patellar tendon cross-sectional area (CSA) and patellar tendon moment arm], maximum countermovement jumps (CMJ), and maximum isometric midthigh pulls (IMTPs). The muscle size, patellar tendon CSA, and patellar tendon moment arm of the WSM were compared with various populations measured within our laboratory, as indicated in Table 1, alongside participant descriptives (10, 11, 13–15). In addition, the IMTP and CMJ measures were compared with existing published literature (included studies are summarized in Supplemental Materials 1 and 2, alongside participant descriptives).\n\n#### MRI Measurement of Muscle Tendon Unit Morphology and Moment Arm\n\nThe participant reported for their MRI scan [3.0-T Discovery MR750W (70-cm-wide bore), GE Medical] having not completed any strenuous physical activity in -24 h and had received prior instruction to arrive in a relaxed state having eaten and drunk normally. The participant sat quietly for 15 min prior to their scan. The participant lay supine for the MRI scan of the lower-body musculature from T12 to the lateral malleolus. A body coil (GE Medical) allowed axial T1 weighted images (time of repetition/time to echo 600/8.144 ms, image matrix 512 512, field of view 500 500 mm, pixel size 0.9766 0.9766 mm, slice thickness 5 mm, and interslice gap 5 mm) to be acquired in five overlapping blocks. Images of both sides of the body were acquired within a single scan for blocks 1 (T12 to pelvis), 4 (knee joint space to midshank), and 5 (midshank to lateral malleolus). However, due to the size of the participant's thighs, it was necessary to scan each thigh individually for blocks 2 (pelvis to midthigh) and 3 (midthigh to knee joint space); this involved the radiographer repositioning the field of view between scanning the first and the second thigh but not physically moving the coil or the participant. Oil-filled capsules were secured to the surface of the participant's skin with Transpore tape at intervals along the length of the lower body prior to the scan and in an offline analysis used to verify the alignment of the blocks (Horos software, Version 3.36, https://horosproject.org/).\n\nThe offline analysis was of the following muscles/compartments (Fig. 1): iliopsoas (psoas major and iliacus combined); sartorius; tensor fasciae latae; adductor magnus; gracilis; gluteus maximus; gluteus medius and minimus (combined, due to difficulty separating the two muscles); rectus femoris (RF); vastus lateralis (VL), medialis (VM), and intermedius (VI); semimembranosus (SM); semitendinosus (ST); biceps femoris long (BFlh) and short heads (BFsh); popliteus; lateral and medial gastrocnemius; soleus; and the anterior, lateral, and deep posterior compartments of the shank. The anterior shank compartment consisted of the", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 2. Gross (including body weight) isometric midthigh pull (IMTP) peak force (A), net (above body weight) IMTP peak force (B), countermovement jump (CMJ) peak power (C), and CMJ height (D) of a World's Strongest Man and deadlift champion (WSM) displayed against comparative data from the existing research literature. CMJ was performed with an arm swing by WSM and within all comparative data included in the figure. Athletes from different sports or disciplines featured within the sample. Descriptive information (age, height, and body mass) of the groups included as comparative data can be found in Supplemental Materials 1 (IMTP) and 2 (CMJ).\n\nthe load cells across the two platforms) was displayed in front of the participant during the IMTP efforts, and a horizontal marker was placed on the highest force obtained after the first maximum effort. In the offline analysis, the force signals were low pass filtered (10 Hz using a fourth-order zero-lag Butterworth filter) before summating the force output from the two platforms to derive overall force produced. The instantaneous highest force during maximum efforts was identified as the measure of gross IMTP peak force (i.e., including body weight). Force while the WSM was standing upright on the platform at rest (i.e., body weight) was also subtracted from the peak instantaneous force to calculate net IMTP peak force.\n\n#### Analysis and Comparative Data\n\nMuscle volumes, patellar tendon CSA, and patellar tendon moment arm measurements assessed on both legs of the WSM were averaged to provide unilateral criterion values; this facilitated comparisons with various untrained, resistance-trained, and athletic groups previously investigated in published works from our laboratory (10, 11, 13–15; Table 1). IMTP and CMJ values were predominantly compared with existing research literature with the highest comparable male data [e.g., IMTP gross peak force: (18–25); IMTP net peak force: (26–31); CMJ performed with an arm swing on a force platform (32–38)]. Where the numerical values (means and SD) from previously published studies were not reported, they were extracted using online software (WebPlotDigitizer, version 4.6, https://automeris.io/WebPlotDigitizer). For IMTP peak force in cases where it was not clearly stated that body weight was subtracted from gross IMTP peak force, measures were assumed to be gross IMTP peak force. Muscle and tendon morphology figures display means ± SD as well as individual participant data for comparative populations, as these values are from published research from our laboratory. IMTP peak force and CMJ outcome figures display only means ± SD values for comparative populations, as we relied on published values from the literature where individual participant values were not typically available.\n\n### RESULTS\n\n#### Participant Descriptives and Anthropometrics\n\nThe WSM was 30.6 yr old and 1.90 m tall and his body mass was 172 kg upon reporting for the laboratory visit. The age, height, and body mass of participants from the comparative datasets featured in our previously published research are presented in Table 1. Age, height, and body mass for", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 4. Quadriceps femoris (QF; A), vastus medialis (VM; B), vastus lateralis (VL; C), vastus intermedius (VI; D), and rectus femoris (RF; E) muscle volume of a World's Strongest Man and deadlift champion (WSM) compared with long-term resistance-trained (n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [n ¼ 102, pooled population from the works by Miller et al. (13) (n ¼ 11), Balshaw et al. (11) (n ¼ 52), and Balshaw et al. (14) (pretest data n ¼ 39)].\n\nAlthough it was anticipated that the WSM would possess a larger total lower-body muscle volume/mass than untrained controls and other athletic/trained groups we have previously measured, the magnitude and pattern of the differences were unknown. The results indicated that the total volume of the measured muscles was almost twice that of average untrained participants and 32–63% larger than subelite and elite sprinters. Pronounced development of the antigravity muscles (i.e., hip extensors, knee extensors, and plantar flexors) was perhaps not that surprising given the WSM's background in heavy lifting events (including being a double deadlift world champion and record holder). However, the hip flexors appear less important in these tasks, possibly explaining their more modest size, which was inferior to that of three elite 100-m sprinters we have previously assessed. The WSM's plantar flexors were particularly large relative to untrained controls (þ 120%). This could be due to the plantar flexors being the smallest of the antigravity muscle groups that may experience very high mechanical stress and, thus, a pronounced adaptive stimulus during heavy lifting, carrying, and pulling tasks. Furthermore, the very heavy and, therefore, low-velocity nature of these tasks may limit the contribution of the stretch-shortening cycle and tendon recoil to the positive/concentric work done by the plantar flexors, potentially placing a higher demand on the contractile apparatus than for running and jumping tasks.\n\nConsidering individual muscles/compartments, the muscular development of the WSM was distinctly nonuniform. It is striking that the largest muscles relative to the untrained control population were the three \"guy ropes\" (sartorius, gracilis, and semitendinosus: þ 140–202%). These three muscles provide stability to the pelvis and femur by having origins at diverse points around the pelvis while sharing a common insertion onto the anteromedial tibia [via pes anserinus, the conjoined tendons of these three muscles (39)]. Large guy rope muscles likely enhance stabilization of the femur and pelvis and would be expected to be critical during heavy weight-bearing tasks. In contrast, the WSM's five smallest muscles (relative to untrained controls) consisted of two hip flexors (iliopsoas and RF) and two monoarticular knee flexors; actions that appear far less important for lifting, carrying, and pulling tasks.\n\nThe WSM's quadriceps volume and patellar tendon moment arm were both greater than that of untrained controls and indeed any individual we have previously measured. However, the magnitude of difference, relative to the untrained controls, was noticeably larger for quadriceps femoris volume (greater than or equal to twice as large) than for", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - }, - { - "text": "Table 2. Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a World's Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained control participants\n\n| | | | Muscle Volume, cm3 | |\n| --- | --- | --- | --- | --- |\n| Muscle Group/Muscle or Compartment | WSM | Elite Sprinters (n 5 5) | Subelite Sprinters (n 5 26) | Untrained (n 5 11) |\n| All muscles | 14,922 | 11,323 ± 1,328 | 9,164 ± 1,207 | 7,628 ± 1,548 |\n| Hip flexors | 1,704 | 1,620 ± 200 | 1,314 ± 216 | 1,031 ± 151 |\n| Hip extensors | 4,724 | 4,002 ± 489 | 3,029 ± 422 | 2,257 ± 220 |\n| Knee flexors | 3,060 | 2,304 ± 178 | 1,859 ± 301 | 1,460 ± 196 |\n| Knee extensors | 4,386 | 3,218 ± 400 | 2,636 ± 401 | 2,202 ± 315 |\n| Plantar flexors | 1,888 | 1,112 ± 181 | 943 ± 156 | 860 ± 172 |\n| Iliopsoas | 681 | 702 ± 97 | 618 ± 101 | 514 ± 75 |\n| Sartorius | 429 | 306 ± 46 | 209 ± 50 | 142 ± 25 |\n| Tensor fasciae latae | 142 | 135 ± 41 | 86 ± 25 | 73 ± 24 |\n| Adductor magnus | 1,334 | 1,056 ± 83 | 828 ± 128 | 624 ± 81 |\n| Gracilis | 235 | 180 ± 37 | 142 ± 37 | 98 ± 23 |\n| Gluteus maximus | 1,980 | 1,797 ± 376 | 1,257 ± 197 | 931 ± 108 |\n| Gluteus medius and minimus | 1,172 | 626 ± 129 | 575 ± 97 | 583 ± 76 |\n| Rectus femoris | 453 | 476 ± 45 | 401 ± 78 | 303 ± 55 |\n| Vastus lateralis | 1,508 | 1,132 ± 180 | 925 ± 156 | 743 ± 98 |\n| Vastus intermedius | 1,336 | 962 ± 145 | 789 ± 140 | 680 ± 115 |\n| Vastus medialis | 1,088 | 649 ± 97 | 521 ± 79 | 476 ± 111 |\n| Semimembranosus | 392 | 359 ± 60 | 327 ± 59 | 262 ± 18 |\n| Semitendinosus | 563 | 449 ± 70 | 350 ± 79 | 219 ± 39 |\n| Biceps femoris long head | 454 | 340 ± 31 | 267 ± 47 | 221 ± 42 |\n| Biceps femoris short head | 135 | 167 ± 26 | 131 ± 34 | 110 ± 28 |\n| Popliteus | 27 | 23 ± 5 | 17 ± 5 | 19 ± 6 |\n| Lateral gastrocnemius | 310 | 202 ± 34 | 170 ± 37 | 156 ± 41 |\n| Medial gastrocnemius | 515 | 300 ± 38 | 262 ± 58 | 251 ± 52 |\n| Soleus | 1,063 | 610 ± 137 | 510 ± 76 | 453 ± 95 |\n| Anterior compartment | 445 | 302 ± 59 | 273 ± 47 | 291 ± 47 |\n| Lateral compartment | 253 | 147 ± 32 | 161 ± 42 | 153 ± 35 |\n| Posterior compartment | 406 | 401 ± 76 | 345 ± 71 | 326 ± 93 |\n\nIndividual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the individual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM (n ¼ 1). Untrained control participants from Miller et al. (13).\n\nassessed (Fig. 5B). BFsh volume (135 cm3 ) of the WSM was a modest 26% greater than that of our pool of untrained control participants (107 ± 31 cm3 ; Fig. 5E) but smaller than that of both long-term resistance-trained individuals (1%; 136 ± 27 cm3 ) and elite sprinters (19%; 167 ± 26 cm3 ; Fig. 5E).\n\n#### Patella Tendon Cross-Sectional Area and Moment Arm\n\nThe patellar tendon mean CSA of the WSM (133.8 mm2 ) was larger than that of average untrained (þ 30%; 103.2 ± 12.5 mm2 ) and long-term resistance-trained individuals (þ 27%; 105.4 ± 13.0 mm2 ; Fig. 6A) but was smaller than the largest individual we have measured from these groups (149.5 mm2 ). The WSM's patellar tendon moment arm (51.5 mm) was also larger than that of average untrained (þ 18%; 43.8 ± 2.7 mm) or long-term resistance-trained groups (þ 12%; 45.8 ± 2.5 mm; Fig. 6B) as well as being 3% greater than the highest individual moment arm we have previously assessed within these groups (49.9 mm).\n\n### DISCUSSION\n\nThis study is the first to document the lower-body muscle and tendon morphology of a World's Strongest Man and deadlift champion (i.e., an exceptionally strong individual), and these are presented alongside functional whole body assessments, which exceeded the highest IMTP force (gross and net) and CMJ power values previously reported by 54%, 100%, and 164%, respectively. The WSM had overall lowerbody muscularity approximately twice that of untrained controls (þ 96%) and 32% greater than that of elite 100-m sprinters. However, there was substantial anatomical variability in the magnitude of the differences, ranging from the plantar flexors (þ 120% vs. untrained) to the hip flexors (þ 65% vs. untrained). Similarly, some specific muscles, such as the guy rope muscles that stabilize the femur and pelvis, were 2.5–3.0 times the volume of untrained individuals (gracilis þ 140%, semitendinosus þ 157%, and sartorius þ 202%) but others displayed more marginal differences (BFsh þ 23%, iliopsoas þ 32% vs. untrained). Considering the knee extensors, the WSM had both quadriceps femoris volume greater than or equal to twofold that of untrained controls and a greater patella tendon moment arm than we have previously measured (þ 18% vs. untrained), which would be expected to combine to facilitate extraordinary strength. Furthermore, despite the WSM's extremely large quadriceps femoris, their patellar tendon CSA was only 30% greater than that of untrained controls and not outside the range of tendons we have previously assessed. The results of this study provide novel insights into the muscle and tendon characteristics, as well as the strength and power capabilities, of an extraordinarily strong individual that may be toward the upper limit of human variation in these characteristics.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "comparative populations drawn from the existing literature can be found in Supplemental Materials 1 (gross IMTP peak force and net IMTP peak force) and 2 (CMJ peak power and height).\n\n#### Isometric Midthigh Pull and Countermovement Jump\n\nGross (including body weight) and net (above body weight) IMTP peak forces of the WSM were 9,171 N and 7,480 N, respectively. The WSM's gross IMTP peak force was 54% greater than the highest comparable group mean we located (subelite weightlifters: 5,942 ± 844 N (20); Fig. 2A). The WSM's net IMTP peak force was 100% greater than the highest comparable group mean value in the literature (collegiate soccer athletes: 3,740 ± 692 N (26); Fig. 2B).\n\nThe WSM's CMJ peak power and jump height were 9,866 W and 53.3 cm, respectively. The peak CMJ power of the WSM was >2.5-fold (164%) that of the mean of an untrained control group previously measured in our laboratory (3,735 ± 760 W; unpublished) and 51% greater than the highest comparable group mean value we located in the literature (professional basketball players: 6,518 ± 923 W (32); Fig. 2C). Not surprisingly, given the WSM's high body mass, his jump height was less exceptional, while still being 20% greater than that of a group of untrained control participants previously measured in our laboratory (44.3 ± 9.2 cm; unpublished). However, his jump height was 25% lower than the highest group mean CMJ height we are aware of in the published literature (elite international gymnasts: 71.3 ± 4.5 cm (37); Fig. 2D).\n\n#### Leg Muscle Volumes\n\nThe total unilateral muscle volume of the 22 measured muscles/compartments of WSM (14,922 cm3 ) was nearly twice that of a relatively modest (n ¼ 11) sample of untrained controls (7,628 ± 1,548 cm3 ; þ 96%; Fig. 3), while being 63% greater than subelite (9,164 ± 1,207 cm3 ) and þ 32% greater than elite 100-m sprinters (11,323 ± 1,328 cm3 ; Table 2). The muscle group differences were largest for the plantar flexors ( þ 120% vs. untrained; þ 100% vs. subelite sprinters; þ 70% vs. elite sprinters) and smallest for the hip flexors ( þ 65% vs. untrained; þ 30% vs. subelite sprinters; þ 5% vs. elite sprinters). The WSM had the highest values of any individual we have observed for four out of five muscle groups, but not the hip flexors, which were inferior to three of the elite 100-m sprinters (n ¼ 5).\n\nCompared with untrained control participants (n ¼ 11), all 22 of the WSM's individual muscles/compartments were larger than untrained controls (Table 2 and Fig. 3). However, the differences in muscle volume were extremely variable, with the biggest differences being for the \"guy ropes,\" which were 2.5–3.0 times that of untrained controls (þ 140% gracilis; þ 157% ST; þ 202% sartorius), compared with more modest differences such as 23% (BFsh) and 32% (iliopsoas) greater.\n\n#### Quadriceps Femoris and Hamstring Size\n\nOverall quadriceps femoris volume of the WSM (4,386 cm3 ) was 127% greater than a large, pooled population of untrained controls (1,932 ± 336; n ¼ 102), 66% greater than subelite sprinters (2,636 ± 401 cm3 ), 53% greater than long-term resistancetrained individuals (2,876 ± 311 cm3 ), and 36% greater than elite\n\nFigure 3. Percentage differences in muscle volumes of all muscles, 5 functional muscle groups, and 23 individual muscles/compartments between the World's Strongest Man and deadlift champion (WSM; n ¼ 1) and untrained control participants (n ¼ 11) from the work by Miller et al. (13). A positive value indicates greater muscle volume of WSM relative to the group mean of the untrained controls. The functional muscle groups and individual muscles are ordered according to the magnitude of the percentage differences for absolute muscle volume.\n\nsprinters (3,218 ± 400 cm3 ; Fig. 4A). Moreover, the WSM's quadriceps femoris was 18% larger than the most muscular individual we have previously assessed (elite sprinter: 3,716 cm3 ). The volumes of the individual vasti muscles of the WSM (VL: 1,508 cm3 ; VI: 1,336 cm3 ; VM: 1,088 cm3 ) were 130–138% larger than untrained controls (VL: 633 ± 117 cm3 ; VI: 581 ± 120 cm3 ; VM: 461 ± 89 cm3 ) and also greater than any trained/athletic individual we have previously assessed (Fig. 4, B–D). However, the WSM's RF (453 cm3 ) was not quite so large, being 76% greater than untrained controls (257 ± 57 cm3 ) but smaller than the average elite sprinter (5%; Fig. 4E), 13% greater than subelite sprinters, and 21% greater than long-term resistancetrained individuals.\n\nOverall hamstring volume of the WSM (1,545 cm3 ) was 109% greater than a large pooled population of untrained controls (739 ± 142 cm3 ; n ¼ 50), 44% greater than subelite sprinters (1,075 ± 178 cm3 ), 53% greater than long-term resistancetrained individuals (1,011 ± 142 cm3 ), and 17% greater than elite sprinters (1,315 ± 130 cm3 ; Fig. 5A). The WSM's hamstring volume was also marginally larger (þ 3%) than the most muscular individual we have previously assessed (subelite sprinter, 1,495 cm3 ). The ST (563 cm3 ) and BFlh (454 cm3 ) volumes of the WSM were 132–182% larger than that of the pooled population of untrained controls (ST: 200 ± 48 cm3 ; BFlh: 196 ± 47 cm3 ; Fig. 5, C and D) and greater than the mean of any trained/athletic group we have previously assessed (Fig. 5, C and D). SM (392 cm3 ) volume of the WSM was 66% greater than untrained controls (SM 236 ± 46 cm3 ) and greater than the mean for trained/athletic groups we have previously", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed12.pdf" - }, - { - "text": "- 8. Abe T, Buckner SL, Mattocks KT, Jessee MB, Dankel SJ, Mouser JG, Bell ZW, Loenneke JP. Skeletal muscle mass and architecture of the world's strongest raw powerlifter: a case study. Asian J Sports Med 9: e61763, 2018. doi:10.5812/asjsm.61763.\n- 9. Powell PL, Roy RR, Kanim P, Bello MA, Edgerton VR. Predictability of skeletal muscle tension from architectural determinations in guinea pig hindlimbs. 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J Gerontol A Biol Sci Med Sci 51: M270–M275, 1996. doi:10.1093/gerona/51a.6.m270.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "| Princeton Young Adult 3T ASHS Atlas Template (n=24, mean age = 22.5; Aly & Turk-Browne, 2016). |\n| --- |\n| Diffusion imaging: |\n| All diffusion images were reconstructed using the ICBM152 template. |\n| All T1-weighted images underwent denoising ('denoiseImage') and N4 bias field correction ('N4BiasFieldCorrection') for field |\n| inhomogeneity via ANTs. |\n| T2-weighted MTL scans: |\n| All T2-weighted MTL images underwent denoising ('denoiseImage') via ANTs. |\n| Diffusion: |\n| All diffusion images underwent denoising, motion and distortion correction using MRtrix3's dwidenoise and dwibiascorrect |\n| with the N4 algorithm. All diffusion images were quality checked using DSI studio's `QC1: SRC Files Quality Control. All images |\n| passed QC checks. |\n| Motion: |\n| Mean framewise displacement (FWD) estimates from gestation sessions with a 10-minute resting state scan (n = 18) were |\n| used to indirectly assess whether motion increased throughout pregnancy. Average FWD (millimeters) was extremely |\n| minimal across the entire experiment (M = 0.13, SD = 0.02, range = 0.09–0.17) and varied only slightly by pregnancy stage |\n| (pre: M = 0.11, SD = 0.004; first: M = 0.11, SD = 0.01; second: M = 0.13, SD = 0.02; third: M = 0.16, SD = 0.007; post: M = 0.13, |\n| SD = 0.01). While mean FWD did correspond with gestation week (r = 0.88, p < .001), controlling for this did not alter our |\n\nNormalization template T2-weighted MTL scans:\n\nDiffusion imaging:\n\ninhomogeneity via ANTs. T2-weighted MTL scans:\n\nNoise and artifact removal Gray Matter Volume & Cortical Thickness:\n\nDiffusion:\n\nMotion:\n\npassed QC checks.\n\n### Volume censoring Gray Matter Volume & Cortical Thickness:\n\nthat motion differences between stages were minuscule.\n\nAll images were visually assessed for QC. Further, we computed quality control (QC) assessments on all T1w images using the IQMs pipeline from MRIQC (Esteban et al., 2017). Metrics of interest included 1) coefficient of joint variation (CJV), 2) signalto-noise ratio for gray matter (SNR), and 3) contrast-to-noise ratios (CNR). All QC metrics fell within expected standard ranges. We also used FreeSurfer's Eueler number to evaluate a field-standard quantitative assessment of each T1w structural image. We observed no significant relationships between the Euler number and gestation week or summary brain metrics. A discrepancy (e.g., 2 SD below average) was noted in session eight; however, again, removing this session did not detract from our main findings showing reductions in gray matter volume over gestation.\n\nmain findings (e.g., total GMV negatively associated with gestation; partial correlation: r = -0.87, p < 0.001) owing to the fact\n\nT2-weighted MTL scans:\n\nVolumes were visually assessed for QC. Volumes were removed from the analysis if unable to be reliably segmented.\n\nDiffusion imaging:\n\nAll images were assessed using the DSI studio quality control and a visual inspection. DSI studio performed an outlier check, labeling images as a \"low quality outlier\" if the correlation coefficient was greater than 3 standard deviations from the absolute mean. No images were labeled as a low quality outlier.\n\n### Statistical modeling & inference\n\nModel type and settings Summary brain metrics:\n\nTo reflect the existing literature, we first explored brain metrics across the entire study duration (pre-conception through postpartum). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, k = 10, smoothing = GCV), a method of non-parametric regression analysis (R package: mgcv), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards 6o 1) the choice of basis dimension (k) and 2) the distribution of the model residuals (see mgcv documentation; Wood, 2017). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes (see Sullivan et al., 2015). To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (i.e., models using only a linear term vs. models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for non-linear changes in structural brain variables over time.\n\n#### Gray Matter Volume & Cortical Thickness:\n\nWe first computed Pearson's product-moment correlation matrices between the following variables (n = 19 pregnancy scans): gestation week, estradiol, progesterone, total GMV, and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then re-ran the analyses to include total GMV as a variable of noninterest in the regression model. A similar statistical approach was taken for T1w-derived subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 regions-of-interest by gestation week (FDR-corrected at q < 0.05).\n\nT2-weighted MTL scans:\n\nTo evaluate the relationship between gestation week and medial temporal lobe (MTL) subregion volume over pregnancy (n = 7 bilateral subregions; n = 18 MTL scans), we used a combination of linear and non-linear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What is typical age at which multiple sclerosis is diagnosed ?", - "target_page": 2, - "target_passage": "Multiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of ag", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n#### Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing – original draft, Writing – review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing – review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing – review & editing.\n\n### Funding\n\nThe author(s) declare that financial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Conflict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.\n\n### Publisher's note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n## References\n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 (9):1960–9. doi: 10.1111/sms.13214\n\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. doi: 10.1016/j.msard.2017.01.016\n\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis—time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci Rep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3\n\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, Gaemelke T, et al. Investigating the potential disease-modifying and neuroprotective efficacy of exercise therapy early in the disease course of multiple sclerosis: the early multiple sclerosis exercise study (EMSES). Mult Scler. (2022) 28(10):1620–9. doi: 10. 1177/13524585221079200\n\n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and lifestyle physical activity recommendations for people with multiple sclerosis throughout the disease course. Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/ 1352458520915629\n\n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, et al. Test-retest reliability and known-groups validity of trunk muscle tests in people with multiple sclerosis: a cross-sectional, case-control study. Phys Ther. (2021) 101 (5):1–9. doi: 10.1093/ptj/ptzab049\n\n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of trunk impairments and its relationship with disability level in individuals with multiple sclerosis? Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard. 2021.103325\n\n10. Normann B, Arntzen EC. What are the relationships between trunk control, balance and walking in individuals with multiple sclerosis with minor to moderate disability? Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870\n\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the relationship between trunk motor control and balance, functional mobility, and gait capacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor kontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin incelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple sclerosis: a review and content analysis of qualitative research identifying perceived determinants and consequences. Disabil Rehabil. (2016) 38(13):1227–42. doi: 10. 3109/09638288.2015.1077397\n\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing sensorimotor function, physical activity and employment for people with MS—a feasibility study. Fysioterapeuten. (2023) 90(1):32–42. doi: 10.52705/ c14a8ca05f7546dabc18bd0275cf2edd\n\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, individualized, comprehensive core stability and balance intervention provides immediate and long-term improvements in walking in individuals with multiple sclerosis: a randomized controlled trial. Physiother Res Int. (2019) 25(1):e1798. doi: 10.1002/pri.1798\n\n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Groupbased individualized comprehensive core stability intervention improves balance in persons with multiple sclerosis: a randomized controlled trial. Phys Ther. (2019) 99 (8):1027–38. doi: 10.1093/ptj/pzz017\n\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized exercises can provide perceived bodily changes and strengthen aspects of self in individuals with MS: a qualitative interview study. Physiother Theory Pract. (2019) 37(10):1080–95. doi: 10.1080/09593985.2019.1683923\n\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The importance of the patient's perspective in decision-making in multiple sclerosis: results of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023) 75:104757. doi: 10.1016/j.msard.2023.104757\n\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: implications for rehabilitation after brain damage. J Speech Lang Hear Res. (2008) 51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n\n19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. Cambridge, Mass: Harvard University Press (2007).\n\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "**Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 and 2013, by age of individual at first presentation.**\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age profile throughout. Rises in average age of initiation have also been reported recently in cohorts of Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible explanations.\n\n- There is a genuine shift towards new initiates being older, and for them to present to treatment much faster than in previous years.\n- There is a consistent, but small number of individuals who mis-report their age of onset when attending treatment i.e. who report that they have only been using opiates/crack for a short period when in fact they have been using for a far longer period, and that this is starting to really bias the numbers for recent cohorts because attendees from the original epidemic are becoming smaller.\n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of older initiates, although mis-reporting may also explain that phenomenon. Either way though, as this analysis has made clear throughout, absolute numbers of new OCUs appear to be small – probably fewer than 10,000 per annum and the numbers of those involved with crime will be smaller still. In addition, despite a flattening in the probable trend in new users, there is currently no sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to resume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and reflexivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers' closeness to the intervention and the clinical field may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of \"blind spots\", as the researchers may prejudice participants' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, findings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n#### 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals affiliated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT (n = 15) were included (Table 3).\n\n#### 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were TABLE 3 Participant demographic information.\n\n| Variable | Total (n = 15) |\n| --- | --- |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\nTABLE 4 Interview guide.\n\n| Theme | Potential questions |\n| --- | --- |\n| Overall experiences and | Generally, what are your main experiences of |\n| reflections from participation | participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general |\n| | • The high-intensity walking/running |\n| | • The specific exercises |\n| | • The combination of specific exercises and |\n| | intervals of running/walking |\n| | • The exercise intensity |\n| | How did you respond to the exercises? How did |\n| | you experience getting tired? |\n| | How do you perceive your specific movement |\n| | impairments (if any) being addressed? |\n| | Please elaborate on situations where you |\n| | experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would |\n| | you prefer to have been done differently? What |\n| | did you enjoy? |\n| | What was the value of participating in the |\n| | indoor exercise group beforehand? |\n| | How did you experience this kind of exercise |\n| | intervention compared to other type of exercise |\n| | you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was |\n| | the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the |\n| | group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park |\n| | environment for exercise? |\n| Closing questions | Are there any experiences from participation |\n| | that you would like to elaborate on? Is anything |\n| | related to this project that we have not talked |\n| | about that you would like to say? |\n| | How did you experience this interview? |\n\nOverall participants were asked to describe situations to exemplify their answers, and follow-up questions were used to capture in-depth reflections, for example, What was positive/negative?, How did it feel?, What do you think of that?, What does it mean to you?, Can you elaborate on that?.\n\nconducted (with pwMS who were not part of the sample), and the interview guide was then refined around the following themes: overall experience and reflections from participation, content, outdoor setting, the group, and the physiotherapists. Questions were open-ended to capture rich, in-depth reflections regarding participants' experiences, following a phenomenological approach. The interviewer asked for both negative and positive experiences", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "#### **Table 12: Estimated 20-year lag-to-treatment distribution for model one**\n\n| Lag Inte D |\n| --- |\n| Percentage 12% 11% 11% 115% 11% 12% 119% 118% 115% 13% 11% 11% 11% 11% 12% 11% 15% 2% 11% 1% |\n| Cumulative 12% 27% - 41% 53% 62% 70% 75% 79% 82% 85% 85% 88% 90% 92% 92% 93% 93% 95% 995% 995% 199% 100% percentage |\n\nThe cumulative percentages from the table above can then be combined with statistics showing actual numbers of first presentations to treatment by year of onset to calculate an incidence trend, as demonstrated in Table 13.\n\n| | | | | | | Year of 1st treatment | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | Total | Percentag e of total incidence accounted for by observed | Estimated number yet to come to treatment | Estimated total incidence |\n| | 2005 | 1,305 | 1,508 | 1,533 | 1,250 | 938 | 800 | 512 | 408 | 376 | 330 | 8,960 | 85% | 1,523 | 10,483 |\n| | 2006 | - | 1,297 | 1,727 | 1,624 | 1,116 | 821 | 611 | 471 | 470 | 358 | 8,495 | 82% | 1,824 | 10,319 |\n| | 2007 | - | - | 1,482 | 1,906 | 1,532 | 1,020 | 671 | 566 | 491 | 416 | 8,084 | 79% | 2,183 | 10,268 |\n| | 2008 | - | - | - | 1,446 | 1,857 | 1,456 | 840 | 659 | 570 | 424 | 7,252 | 75% | 2,437 | 9,689 |\n| Year | 2009 | - | - | - | - | 1,580 | 1,811 | 1,018 | 727 | 627 | 527 | 6,290 | 70% | 2,701 | 8,990 |\n| 1st use | 2010 | - | - | - | - | - | 1,404 | 1,101 | 933 | 757 | 544 | 4,739 | 62% | 2,864 | 7,602 |\n| | 2011 | - | - | - | - | - | - | 1,001 | 1,109 | 988 | 646 | 3,744 | 53% | 3,269 | 7,013 |\n| | 2012 | - | - | - | - | - | - | - | 967 | 1,149 | 920 | 3,036 | 41% | 4,287 | 7,324 |\n\n#### **Table 13: Table showing the data used to estimate incidence in model one and the results21**\n\nReading down the year columns, the table shows that of the 6,449 people who presented for opiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another 470 said they started using in 2006, and so on.\n\n**2014 - - - - - - - - - 869 869 12%** \n\n**Total 1,305 2,805 4,742 6,226 7,023 7,312 5,754 5,840 6,449 6236.4 53,693** \n\n**2013 - - - - - - - - 1,021 1,204 2,225 27% 6,065 8,290** \n\nReading across the table shows that of all those who said they began using opiates/crack in 2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per cent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from Table 12). Another 1,508 presented for the first time a year later, and so on. The first number in the totals column (8,960) therefore represents all individuals who said they began using in 2005. It is therefore the 'observed' incidence level. The column to the right of this is the cumulative percentages from the estimated lag-to-treatment distribution in Table 12. This shows the\n\notherwise similar data (i.e. first treatment presentation and year of initiation) from OCUs attending treatment in the Manchester area.\n\n21 Note that the data for 2014 only includes Jan–Oct as this was all that was available. Hence we do not do not attempt to calculate an incidence estimate for 2014 and we adjust all the values in that column by multiplying by (12/10) to account for the missing months.", - "page_start": 23, - "page_end": 23, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al*., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "#### **Figure 27: Prevalence of musculoskeletal diseases – EWCS 2015**\n\nAbsence from work due to MSDs accounts for a high proportion of working days lost in EU Member States. In 2015, more than half (53%) of workers with MSDs (including those with other health problems) reported being absent from work during the past year, which is considerably higher than the proportion of workers without health problems (32%). Workers with MSDs are not only more likely to be absent from work, but (given absence) on average are also absent for a longer period. For example, 26% of workers with chronic MSDs and other health problems report being absent for more than eight days during the past year, which is considerably higher than the 7% for workers with no health problems.241\n\nOverall estimates of the burden of MSDs for the EU27 seem to be difficult, due to different recognition and treatment schemes.242 The estimates of WHO/ILO and ICOH result in 850,000 and 950,000 DALYs for the EU27, based on a fraction of 26.38% attributable to work; in total, MSDs are the cause of 15-20% of all DALYs.\n\n> **OSH Barometer – Accidents, diseases and wellbeing – Diseases:** https://visualisation.osha.europa.eu/osh-barometer/osh-outcomes/work-related-diseases/whoilo/prevalence-of-diseases/all-diseases\n\n**Eurostat – Data and databases on health:** https://ec.europa.eu/eurostat/web/health/data/database\n\n**WHO – Occupational Burden of Disease Application:** https://who-ilo-joint-estimates.shinyapps.io/OccupationalBurdenOfDisease/", - "page_start": 87, - "page_end": 87, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\n| Reason for exclusion | Number of | Total number |\n| --- | --- | --- |\n| | individuals | of individuals |\n| | excluded | analysed |\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at | 443 | 243,145 |\n| first treatment | | |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005–14 | n/a | 21.7% |\n\n### **Table 10: Descriptive statistics from the NDTMS data.**\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar *et al*. (2001) and Hickman *et al*. (2001). These papers discuss the methodology in detail.\n\nNew opiate and crack-cocaine users: characteristics and trends 22 In brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "performed an outlier check, labeling images as a 'low-quality outlier' if the correlation coefficient was >3 s.d. from the absolute mean. None of our scans were flagged as outliers. The reconstructed participant files were aggregated into one connectometry database per metric.\n\n*Day2Day control dataset*. To compare our findings against a control group of nonpregnant densely-sampled individuals, we used the Day-2Day dataset23 which offered comparable whole-brain T1 and T2 MTL scans for eight participants (two male) scanned 12–50 times over 2–7 months. Each participant was run through the ANTs CT and ASHS processing pipelines as outlined above ('Cortical volume and thickness' and 'Hippocampal segmentation'). To note, for each participant, we created an SST based on their first two sessions for consistency with the primary dataset; subfield volumes for the T2 MTL scans did not undergo manual retouching. Due to missing header information on the publicly available diffusion scans, we were unable to benchmark our white matter changes with the Day2Day dataset.\n\n**Statistical analysis.** Statistical analyses were conducted using R (sMRI; version 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics*. To reflect the existing literature, we first explored brain metrics across the entire study duration (prepregnancy through postpartum, *n* = 26 scans). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of nonparametric regression analysis (R package, mgcv76), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards to (1) the choice of basis dimension (*k*) and (2) the distribution of model residuals (see mgcv documentation in ref. 76). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes77. To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (that is, models using only a linear term versus models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for nonlinear changes in structural brain variables over time. Determining whether these patterns replicate in larger cohorts and whether complex models are better suited to capture data patterns across individuals will be a necessary next step.\n\n*Cortical GMV and CT*. We then narrowed our analyses to the first 19 sessions (baseline—36 weeks gestation) to assess novel brain changes occurring over the gestational window. We first computed Pearson's product-moment correlation matrices between the following variables: gestation week, estradiol, progesterone and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then ran the analyses again to include total GMV in the regression model (Supplementary Table 2). This was extended to the network level, where we ran partial correlations accounting for total GMV. These same analyses were then run with CT measures. Globally-corrected results provided in Supplementary Tables 1–5. Percent change at the network level was computed by subtracting the final pregnancy value (36 weeks pregnant) from the first prepregnancy baseline value, then dividing that difference by said first prepregnancy baseline value. All analyses underwent multiple comparisons testing (false discovery rate (FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV*. A similar statistical approach was taken for subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by gestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL subregion volume over pregnancy (*n* = 7 bilateral subregions and *n* = 18 MTL scans), we used a combination of linear and nonlinear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described in 'Summary brain metrics'). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for CA1 and CA2/CA3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of total GMV calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure*. DSI Studio's correlational tractography74 was used to analyze the relationship between white matter structure and gestational week (*n* = 16). A truncated model was run to examine the relationship between white matter and sex steroid hormones (*n* = 14) for the subset of diffusion scans with paired endocrine data during gestation. A nonparametric Spearman's correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of interest (QA and MD; see Supplementary Table 9 and Supplementary Fig. 10 for MD results) because the data were not normally distributed. Statistical inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The correlational tractography was run with the following parameters: *t* score threshold of 2.5, four pruning iterations and a length threshold of 25 voxel distance. To estimate the FDR, a total of 4,000 randomized permutations were applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, suggested by DSI Studio), and contained at least ten tracts. For visualization of global and tract QA at each gestational stage, mean QA values were extracted using DSI Studio's whole-brain fiber tracking algorithm and ROI-based tracking using the default HCP842 atlas78.\n\n*Day2Day dataset: measurement variability*. To establish a marker of normative variability over half a year, we computed metrics of measurement variability using the Day2Day dataset23, which provided both whole-brain T1 and high-resolution T2 MTL scans. For each region, *j*, of the Schaefer parcellation, we assessed across-session variability, *ε*, as\n\n$$\\varepsilon_{j}=100\\times\\mathrm{mean}\\left({\\frac{|t_{s}-{\\hat{t}}|}{{\\hat{t}}}}\\right)$$\n\nWhere *ts* is the morphometric measurement of a parcel for session *s* and *t* ̂ is the mean of *t* across sessions55,79. Thus, we defined variability as the mean absolute percent difference between each individual and the mean across sessions. Across-session variability estimates for all 400 regions were then averaged across eight participants, and a global measure of cortical GMV variability was computed by averaging across the 400 regions. This approach was repeated independently for the T2 hippocampal scans, wherein we computed across-session variability for each parcel of the ASHS parcellation scheme (*n* = 7 bilateral subfields). However, it is important to note that raw subfield values (that is, no manual retouching) were used for Day2Day variability assessments and should be interpreted with caution. Finally, to better compare against our own data, we repeated this approach using our", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "TABLE 1 Overview of the CoreDISTparticipation intervention.\n\n| Week 1: MS outpatient | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge |\n| --- | --- |\n| clinic | of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n| | Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, |\n| | motivate the patient. |\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the |\n| | municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2–5: Municipality | Physiotherapy assessment (60–90 min) to explore the patient's impairments and potential for improvements in a clinical examination prior to |\n| | group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to five participants in each group and one physiotherapist. Trunk control, balance |\n| | and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do |\n| | them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation |\n| | and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7–10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk |\n| | control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was |\n| | conducted in a city park where both flat and uneven surfaces and hilly terrain were available (Table 2). |\n| | Additionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder. |\n| Week 11–14 | Standardized testing (final, for the RCT) and qualitative interviews. |\n\nTABLE 2 Description of the outdoor group.\n\n| Content | Purpose |\n| --- | --- |\n| Warm-up and recording one's own balance | |\n| Exercises for detailed sensorimotor | Preparation. |\n| activation, larger muscle groups, muscle | Experience one's own balance and |\n| length and balance while standing. | record eventual changes. |\n| Dual task: motor (using spiky balls and | |\n| medicine balls individually, in pairs and | |\n| in the group) and cognitive (singing, | |\n| rhymes and counting). | |\n| Main part | |\n| (1) High-intensity training (85%–95% | Improve stamina. |\n| maxHR/min 16 RPE) × 4 min: Running | Experience one's own opportunities for |\n| or walking with long strides and large | high-intensity physical activity. |\n| arm movements. Participants chose their | Improve sensorimotor control and |\n| own route, marking it with a cone, and | balance as prerequisites for walking and |\n| picked up a bean bag for each new lap to | running. |\n| count how many laps for each interval. | |\n| (2) Moderate-intensity detailed exercises | |\n| (approx. 70% maxHR) × 3 min. | |\n| CoreDIST exercises while standing | |\n| approximately (10 repetitions × 2 set). | |\n| Examples of exercises: squat, one legged | |\n| stance, rise on toes, reaching, turning and | |\n| rolling down to touch the ground in | |\n| standing. | |\n| Progressions was individually tailored | |\n| (during both running/walking and the | |\n| detailed exercises) through instructions, | |\n| demonstration and hands-on facilitations | |\n| by the physiotherapists. Quality and | |\n| efficiency of movement were addressed | |\n| by the physiotherapists. Optimalization | |\n| of trunk control during movement were | |\n| emphasised. | |\n| A combination of high-intensity and | |\n| CoreDIST exercises was repeated 3–4 | |\n| times during one session. | |\n| Cool-down and recording one's own balance | |\n| | Experience one's own balance and |\n| Hold/relax muscle contraction. | |\n| Balance on one leg. | record eventual changes. |\n\n### 2 Materials and methods\n\n#### 2.1 Design\n\nIndividual in-depth interviews using a phenomenologicalinspired approach were chosen, as this is suitable for exploring the meaning and significance of pwMS's experiences and reflections (23, 24).\n\n#### 2.2 Ethical considerations\n\nThe study was conducted according to the Declaration of Helsinki and approved by the Regional Committee for Medical Research Ethics in North Norway (REK North: 174837). Written informed consent was obtained prior to the intervention and confirmed verbally when arranging the interviews. Participation was voluntary and anonymous, and the participants were informed about the opportunity to withdraw from the study. The Consolidated Criteria for Reporting Qualitative Research (COREQ) (25) were used to optimize the conduct and reporting of the study.\n\n#### 2.3 Study context\n\nThis interview study was nested within a randomized controlled trial (RCT) comparing the CoreDISTparticipation intervention to usual care (26) and conducted at a regional hospital MS-outpatient clinic (Nordland Hospital Trust) and in two affiliated municipalities in the northern Norway. The current study investigates participants in the intervention group's experiences of the four-week outdoor group, which was part of this new intervention (Table 2). The outdoor sessions were conducted by three trained physiotherapists working in the", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "Regarding this question, **age differences are negligible**. **Concerning gender**, male respondents report more often that their work imposes health risks; at EU level the values are 23% for female workers and 27% for male workers.\n\n**In 2005, the workers in the 10 new Member States responded much less positive**; 40% of the workers in the 10 new Member States considered their health and safety to be affected because of their work.\n\n#### **Figure 31: 'Health at risk', responses in groups of EU Member States – EWCS253**\n\nFor the EU-15 (Member States that joined the EU before 2004), the 'Yes' responses to this question decreased from 31% in 1991 (first EWCS) to 28% in 2005 and reached 26% in 2015. For the 10 new Member States the rate decreased, from previously 40% in 2005 to 29% in 2015.254 The EU membership has definitely created **more convergence** between the countries.\n\n### *4.3.3 Reported health problems*\n\nThe identification of current **work-related health problems** is another approach to create an indicator for health status. Eurostat collected this data in the LFS Ad hoc modules 2007, 2013 and 2020, *Persons reporting a work-related health problem by sex, age and NACE Rev. 2 activity*.255\n\n**In 2007, 14.6% of employed persons** reported a work-related health problem; **this figure decreased in 2013 to 8.8% and went up again to 10.3% in 2020**256 (EU27 level). As expected, **age is one of the factors** that influence the response to this question. In 2020, 14.1% of the workers in age class 55-64 years reported a work-related health problem, compared to 6.5% in age class 15-34 years and 10.8 in age class 35-54 years. These differences between the age classes were quite similar in all three points of time.", - "page_start": 91, - "page_end": 91, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What was the average year of the group that participated to the study concerning the impact of outdoor pysiotherapy on patient with multiple sclerosis", - "target_page": 4, - "target_passage": "Age in years Mean 47.6", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "EDITED BY Jacqui H Morris, University of Dundee, United Kingdom\n\n#### REVIEWED BY\n\nNicola Saywell, Auckland University of Technology, New Zealand Verna Stavric, Auckland University of Technology, New Zealand\n\n*CORRESPONDENCE Stine Susanne Haakonsen Dahl stine.s.dahl@nord.no\n\nRECEIVED 27 September 2023 ACCEPTED 06 March 2024 PUBLISHED 18 March 2024\n\n#### CITATION\n\nDahl SSH, Arntzen EC and Normann B (2024) The meaningfulness of exploring one's own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study.\n\nFront. Rehabil. Sci. 5:1303094. doi: 10.3389/fresc.2024.1303094\n\n#### COPYRIGHT\n\n© 2024 Dahl, Arntzen and Normann. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.\n\n# The meaningfulness of exploring one's own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study\n\nStine Susanne Haakonsen Dahl1 *, Ellen Christin Arntzen1 and Britt Normann1,2\n\n1 Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2 Department of Physiotherapy, Nordland Hospital Trust, Bodø, Norway\n\nBackground and purpose: Physical activity (PA) is often reduced in people with MS (pwMS), even when disability is low. Understanding the perspectives of pwMS on interventions aiming to improve PA is important to inform the development of such services. The aim of this study was to explore the experiences of pwMS participating in an outdoor, high-intensity and balance exercise group intervention.\n\nMethods: This qualitative study was nested within an RCT exploring a novel intervention integrating sensorimotor exercises with high-intensity intervals of running/walking. Individual, in-depth interviews with the intervention group (n = 15; 12 women, 3 men; age 38–66; EDSS score 0–3.5) were conducted postintervention (mean days = 14), analyzed using a phenomenologicalinspired approach with systematic text condensation, and interpreted based on enactive theory.\n\nResults: Four categories were generated: (1) Exploration of one's own physical abilities: Challenging one's own limits was perceived by all participants to improve movement performance and/or intensity level. Such bodily changes engendered strong positive feelings. Some negative consequences of highintensity training were described, increasing a feeling of loss. (2) New insights and beliefs: Participants experienced enhanced beliefs in their own capabilities, which they integrated in activities outside the intervention. (3) An engaging environment: The group setting was perceived as supportive, and the outdoor environment was perceived as stimulating activity. (4) Professional leadership, tailoring and co-creation of enjoyment: Physiotherapist-led, individualized interactions were regarded as necessary to safely revisit prior activities, such as running. Co-creating enjoyment facilitated high-intensity training and intervention adherence.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and reflexivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers' closeness to the intervention and the clinical field may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of \"blind spots\", as the researchers may prejudice participants' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, findings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n#### 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals affiliated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT (n = 15) were included (Table 3).\n\n#### 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were TABLE 3 Participant demographic information.\n\n| Variable | Total (n = 15) |\n| --- | --- |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\nTABLE 4 Interview guide.\n\n| Theme | Potential questions |\n| --- | --- |\n| Overall experiences and | Generally, what are your main experiences of |\n| reflections from participation | participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general |\n| | • The high-intensity walking/running |\n| | • The specific exercises |\n| | • The combination of specific exercises and |\n| | intervals of running/walking |\n| | • The exercise intensity |\n| | How did you respond to the exercises? How did |\n| | you experience getting tired? |\n| | How do you perceive your specific movement |\n| | impairments (if any) being addressed? |\n| | Please elaborate on situations where you |\n| | experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would |\n| | you prefer to have been done differently? What |\n| | did you enjoy? |\n| | What was the value of participating in the |\n| | indoor exercise group beforehand? |\n| | How did you experience this kind of exercise |\n| | intervention compared to other type of exercise |\n| | you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was |\n| | the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the |\n| | group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park |\n| | environment for exercise? |\n| Closing questions | Are there any experiences from participation |\n| | that you would like to elaborate on? Is anything |\n| | related to this project that we have not talked |\n| | about that you would like to say? |\n| | How did you experience this interview? |\n\nOverall participants were asked to describe situations to exemplify their answers, and follow-up questions were used to capture in-depth reflections, for example, What was positive/negative?, How did it feel?, What do you think of that?, What does it mean to you?, Can you elaborate on that?.\n\nconducted (with pwMS who were not part of the sample), and the interview guide was then refined around the following themes: overall experience and reflections from participation, content, outdoor setting, the group, and the physiotherapists. Questions were open-ended to capture rich, in-depth reflections regarding participants' experiences, following a phenomenological approach. The interviewer asked for both negative and positive experiences", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n#### Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing – original draft, Writing – review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing – review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing – review & editing.\n\n### Funding\n\nThe author(s) declare that financial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Conflict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.\n\n### Publisher's note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n## References\n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 (9):1960–9. doi: 10.1111/sms.13214\n\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. doi: 10.1016/j.msard.2017.01.016\n\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis—time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. 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(2008) 51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n\n19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. Cambridge, Mass: Harvard University Press (2007).\n\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42). However, our findings illuminate qualitative aspects of how to achieve tailored and meaningful intersubjective interactions in an exercise intervention.\n\nWe consider the instances of the physiotherapist running together with the participant, which were perceived as important for participants' performance, to be an example of \"participatory sense-making\" (22). As participants appreciated being guided or even pushed by the physiotherapists, it appears that the physiotherapists were trusted in directing this interaction. As such, we argue that the physiotherapists' ability to adapt to participants' movements, speech and gestures—tailoring the interaction to their needs—was important for this ability to be perceived as purposeful. This is supported by the few negative incidents described where the participant-physiotherapist interaction seemed to not be jointly coordinated and appeared to fail. The reported mutual influences of sensorimotor capabilities and interpersonal coordination, with the physiotherapists but also the group, are in accordance with sensorimotor capacities and intersubjective interactions being important for sensemaking in the world (35). The benefits of these individualized participant-physiotherapist interactions are also described in specific core-stability exercises in indoor groups (16, 43) and are in line with the theoretical framework of facilitation of movement through hands-on interaction previously proposed (44, 45). Our study informs new knowledge of physiotherapistparticipant interactions to achieve the recommended highintensity training and calls for physiotherapy clinical reasoning through bodily and verbal communication skills adapted to the participants' responses in an ongoing and situated way.\n\nEnjoyment has previously been reported to promote PA in pwMS, and our study brings requested knowledge of what can constitute enjoyment in an exercise intervention (46): playful group-exercise tasks, a cheerful physiotherapist, and the outdoor environment.\n\nThe appreciation of being active outdoors in the study sample aligns with that in the general population (47). The outdoors provided a natural environment, which both invited participants to actively explore abilities thought of as left behind after their diagnosis with MS, such as running, and provided an appreciated break from focusing on MS symptoms. We also suggest that the positive experiences of mastering the challenging weather conditions and the added meaning of exercising among other people in the city park can be explained according to such terms. These positive experiences show how we are enmeshed in our history, context and social encounters (35) and how these aspects should also be accounted for when designing exercise interventions.\n\n#### 4.3 Methodological considerations\n\nThe design and methods were adequate for deriving knowledge from individuals' experiences. The participants selfreferred to the intervention and were recruited based on pre-set criteria. This approach yielded rich information from people with mild to moderate disabilities due to MS who were motivated for physical activity (PA), employed, and residing in northern Norway. Ethnicity or socio-economic class were not recorded. However, considering that all these factors can influence PA engagement (46), it is possible that additional aspects of the phenomenon could be uncovered in a different sample (48). There was a higher percentage of women participating than men; however, this corresponds to the gender distribution in the MS population (1).\n\nThe use of enactive theory was innovative within the field and allowed for, in particular, new aspects of importance for selfefficacy to be identified. Transference of our results to similar populations can be achieved through theoretical generalization (28).\n\n#### 4.4 Implications for clinical practice\n\nCombining high-intensity walking/running and detailed sensorimotor exercises was valued and provided meaningful embodied experiences, improving participants' ability to master PA and their beliefs of their own possibilities for being active in the future. However, the manner in which the content of an exercise intervention is delivered and the environment in which it is delivered should be accounted for, as these aspects were perceived to be of great importance in creating and shaping participants' experiences. In particular, tailored physiotherapistparticipant bodily interactions and an engaging group and outdoor environment were perceived to be pertinent for exploring one's own potential.\n\nTo minimize negative incidents in future interventions, we suggest that (1) the effort required from one's leg muscles during the detailed exercises (in between the running/walking intervals) should be low to minimize the negative consequences of leg muscle fatigue prior to high-intensity running/walking, (2) the capacity for running/walking at highintensity should be explored in one-to-one physiotherapy assessment prior to group training to optimize individuals capabilities and safety, and (3) homogenous and small-sized groups should be used to enable ongoing and tailored physiotherapist-participant interactions.\n\n#### Data availability statement\n\nThe datasets presented in this article are not readily available because of ethical and legal restrictions. Requests to access the datasets should be directed to stine.s.dahl@nord.no.\n\n#### Ethics statement\n\nThis study involving humans was approved by Regional Committee for Medical Research Ethics in North Norway (REK North: 174,837) and the Data Protection Officer at Nordlandssykehuset Hospital Trust, Norway. This study was conducted in accordance with the local legislation and", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "TABLE 1 Overview of the CoreDISTparticipation intervention.\n\n| Week 1: MS outpatient | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge |\n| --- | --- |\n| clinic | of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n| | Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, |\n| | motivate the patient. |\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the |\n| | municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2–5: Municipality | Physiotherapy assessment (60–90 min) to explore the patient's impairments and potential for improvements in a clinical examination prior to |\n| | group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to five participants in each group and one physiotherapist. Trunk control, balance |\n| | and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do |\n| | them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation |\n| | and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7–10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk |\n| | control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was |\n| | conducted in a city park where both flat and uneven surfaces and hilly terrain were available (Table 2). |\n| | Additionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder. |\n| Week 11–14 | Standardized testing (final, for the RCT) and qualitative interviews. |\n\nTABLE 2 Description of the outdoor group.\n\n| Content | Purpose |\n| --- | --- |\n| Warm-up and recording one's own balance | |\n| Exercises for detailed sensorimotor | Preparation. |\n| activation, larger muscle groups, muscle | Experience one's own balance and |\n| length and balance while standing. | record eventual changes. |\n| Dual task: motor (using spiky balls and | |\n| medicine balls individually, in pairs and | |\n| in the group) and cognitive (singing, | |\n| rhymes and counting). | |\n| Main part | |\n| (1) High-intensity training (85%–95% | Improve stamina. |\n| maxHR/min 16 RPE) × 4 min: Running | Experience one's own opportunities for |\n| or walking with long strides and large | high-intensity physical activity. |\n| arm movements. Participants chose their | Improve sensorimotor control and |\n| own route, marking it with a cone, and | balance as prerequisites for walking and |\n| picked up a bean bag for each new lap to | running. |\n| count how many laps for each interval. | |\n| (2) Moderate-intensity detailed exercises | |\n| (approx. 70% maxHR) × 3 min. | |\n| CoreDIST exercises while standing | |\n| approximately (10 repetitions × 2 set). | |\n| Examples of exercises: squat, one legged | |\n| stance, rise on toes, reaching, turning and | |\n| rolling down to touch the ground in | |\n| standing. | |\n| Progressions was individually tailored | |\n| (during both running/walking and the | |\n| detailed exercises) through instructions, | |\n| demonstration and hands-on facilitations | |\n| by the physiotherapists. Quality and | |\n| efficiency of movement were addressed | |\n| by the physiotherapists. Optimalization | |\n| of trunk control during movement were | |\n| emphasised. | |\n| A combination of high-intensity and | |\n| CoreDIST exercises was repeated 3–4 | |\n| times during one session. | |\n| Cool-down and recording one's own balance | |\n| | Experience one's own balance and |\n| Hold/relax muscle contraction. | |\n| Balance on one leg. | record eventual changes. |\n\n### 2 Materials and methods\n\n#### 2.1 Design\n\nIndividual in-depth interviews using a phenomenologicalinspired approach were chosen, as this is suitable for exploring the meaning and significance of pwMS's experiences and reflections (23, 24).\n\n#### 2.2 Ethical considerations\n\nThe study was conducted according to the Declaration of Helsinki and approved by the Regional Committee for Medical Research Ethics in North Norway (REK North: 174837). Written informed consent was obtained prior to the intervention and confirmed verbally when arranging the interviews. Participation was voluntary and anonymous, and the participants were informed about the opportunity to withdraw from the study. The Consolidated Criteria for Reporting Qualitative Research (COREQ) (25) were used to optimize the conduct and reporting of the study.\n\n#### 2.3 Study context\n\nThis interview study was nested within a randomized controlled trial (RCT) comparing the CoreDISTparticipation intervention to usual care (26) and conducted at a regional hospital MS-outpatient clinic (Nordland Hospital Trust) and in two affiliated municipalities in the northern Norway. The current study investigates participants in the intervention group's experiences of the four-week outdoor group, which was part of this new intervention (Table 2). The outdoor sessions were conducted by three trained physiotherapists working in the", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "Discussion: High-intensity training combined with detailed exercises in a physiotherapy outdoor group was perceived to create meaningful bodily changes and enhance PA and prospects for both PA and life. Importantly, however, some negative experiences were also reported from the high-intensity training. Enactive theory allowed for the illumination of new perspectives: the importance of embodiment for self-efficacy and of tailored physiotherapy and an outdoor-group environment for exploring one's own limits to physical capabilities. These aspects should inform future exercise interventions in pwMS with low disability.\n\n#### KEYWORDS\n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, postural balance, enactive theory\n\n#### 1 Introduction\n\nMultiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of age (1). A great concern is the significantly lower levels of physical activity (PA) in people with MS (pwMS) across disability levels than in their healthy counterparts (2, 3).\n\nEarly promotion of PA and exercise is recommended due to numerous established benefits in health, symptom management and well-being for pwMS (4). In particular, high-intensity training is endorsed, as it has possible neuroprotective effects in the disease course (5, 6). In addition, exercises addressing sensorimotor impairments (e.g., reduced muscle strength, reduced neuromuscular control) are recommended, as they target individuals' capability to remain physically active (7). Sensorimotor impairments can influence trunk control, which is commonly disturbed in pwMS, even when disability is low (8, 9), and correlate with impaired balance, walking capacity and distance (10, 11). PwMS's knowledge of exercise benefits, attitudes and motivations, as well as contextual aspects such as lack of optimal exercise interventions, accessibility and support, affect the level of PA and exercise participation (12).\n\nCoreDISTparticipation (Table 1) is a new comprehensive intervention addressing sensorimotor function, trunk control, high-intensity running/walking and work participation in pwMS with low disability (13). It is based on the GroupCoreDIST1 intervention, which has been shown to have significant shortand long-term effects on trunk control, balance and walking among pwMS (14, 15). However, no effects of the intervention on objectively measured PA have been identified, even though the participants reported perceptions of new possibilities to be physically active as their sensorimotor impairments improved (16). To address PA challenges in pwMS, GroupCoreDIST was further developed to include a four-week period of outdoor training, in which high-intensity walking/running and GroupCoreDIST exercises are integrated (Table 2). To our knowledge, combinations of high-intensity training and rehabilitation of specific sensorimotor functions have been sparsely explored. Patient perspectives are essential for the evaluation of healthcare interventions (17); however, the new outdoor component of CoreDISTparticipation has yet to be investigated from a first-person perspective. Particularly interesting is what participants perceive as meaningful regarding the intervention, as this is essential for motivation, motor learning and exercise adherence (18).\n\nTo deepen our understanding of what the participants perceive as meaningful, we turn to a theoretical perspective that integrates bodily capacities with the construction of meaning. Enactive theory emphasizes that making sense of the world depends essentially on the biological (living) body and the phenomenological (lived or experienced) body (19), which implies that the body is viewed as a neurobiological organism that is concurrently experiencing, expressing and social (embodiment) (20). Thus, what is experienced by an individual during an exercise intervention is constituted by her sensorimotor repertoire for perception and action in interactions with the requirements of the task and the context (21). From this perspective, dysfunctions related to MS, such as sensorimotor impairments, can influence how individuals with MS interpret and understand their participation in a PA intervention. Moreover, the notion of \"participatory sensemaking\" (22) extends the body into the social domain, enabling an understanding of how the interaction processes between two embodied individuals affect shared and individual meaning-making. These concepts may illuminate pwMS's experiences and direct the focus toward bodily, contextual, and interactional aspects that may generate new insights regarding sensorimotor exercise and high-intensity training as part of PA.\n\nThe aim of this study was to explore participants' experiences of the content, delivery and setting of a new outdoor group intervention combining high-intensity training and detailed exercises to generate new knowledge about important aspects of exercise interventions for pwMS with low disability.\n\n1 GroupCoreDIST is a group-based intervention (Group), involving 35 exercises at different levels, addressing activation of trunk musculature (Core) in motor tasks in lying, sitting and standing (e.g. rolling, reaching, squatting, single leg stance. DIST describes essential elements of the concept: D = dose (high), dual task; I = individualization, insight, intensity; S = sensorimotor activation, selective movement control; T = task oriented training.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "| | | | | | | | Control | Group | Normal | Spirometry | Asthma | Group | Group COPD | PRISm | Group |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | About Questions | From Dyspnea | and CAT | SGRQ | | (n | 231) ¼ | (n Group | 2,090) ¼ | (n | 265) ¼ | 330) ¼ (n | (n | 172) ¼ |\n| (weight Q13 | 0.132) ¼ | My | such up % breathing gardening climbing golfing, | difficult weeding, carrying it as makes hills, | stairs, things up do dancing, to things | as or light such bowling, | | 8 | | 54 | | 59 | 69 | | 74 |\n| (weight Q14 | 0.123) ¼ | snow, My | % heavy jogging, breathing swimming, carrying | digging difficult walking it loads, or makes | playing things garden do km/h, the to 5 at | or as shoveling tennis such or | | 13 | | 65 | | 71 | 78 | | 81 |\n| (weight Q15 | 0.108) ¼ | heavy or My | manual breathing playing | running, difficult it work, competitive makes | things cycling, do % to sports, | very fast, as such swimming | | 17 | | 74 | | 79 | 85 | | 88 |\n| presented are Data | (SD) mean as | and Q2, Q1, for | and (total), Q3 | Q15 to Q3 | to presented were | as participants | no or yes | questions, | where | of percentages | participants | answered who | shown. are yes | Question | weights |\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older and more likely to be male compared with all other study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight or obese ranges. The PRISm group was heaviest with an average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classification and presents question weights (PCA scoring coefficients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a significantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8- 15.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classifications.\n\nTable 4 presents the association of dyspnea with patient-specific risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work\n\n(principal component analysis scoring coefficients)\n\nQ ¼\n\nquestion; SGRQ\n\n¼ St. George's Respiratory\n\n used for calculating the dyspnea assessment\n\nQuestionnaire.\n\n are shown below individual questions. CAT\n\n¼ COPD Assessment\n\n Test; PRISm\n\n¼\n\npreserved ratio impaired spirometry;\n\nTABLE 2\n\n]\n\n(Continued)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### Abbreviations\n\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of Referral and Outcome; OSPRO-ROS: Review of systems screening tool from OSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening tool from OSPRO cohort study\n\n#### Acknowledgements\n\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. Marlow for their input on study design and analysis. OPT-IN Network Participants included: University of Florida: Joel Bialosky; UF Health: Giorgio Zeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike Hodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI Physical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise Harris, Jordan Floyd, Wade Harrell; University of Southern California: Lori Michener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata Salvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando Malaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University of Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, Adam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: Ryan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia University: Angela Tate; Life's Work Physical Therapy: Sandra Stryker, Aaron Leonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, Charleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul Mintken, Virginia Arnette, Andrea Barsch.\n\n#### Funding\n\nThis project was supported by the 2013 Clinical Research Network grant from the Orthopaedic Section, American Physical Therapy Association. The funding body had no role in the design of the study or collection, analysis, and interpretation of the data or in writing the manuscript. TAL received additional support from the Foundation for Physical Therapy with Promotion of Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional support from Brooks Rehabilitation while designing this study. JMB received support from the American National Institutes of Health (NIH) Rehabilitation Research Career Development Program (K12-HD055929).\n\n#### Availability of data and materials\n\nThe data that support the findings of this study are available from the corresponding author upon reasonable request.\n\n#### Authors' contributions\n\nTAL provided input on study design and analysis plan, drafted the manuscript and approved final version of the manuscript. SZG secured funding, provided overall design, gave input on the analysis plan and approved final version of the manuscript. JMB provided input on design and analysis plan and approved final version of the manuscript.\n\n#### Ethics approval and consent to participate\n\nEthics approval for this study was granted by the University of Florida Institutional Review Board-01 (Study #: 525–2012). All participants provided written consent to participate in the study.\n\n#### Consent for publication\n\nNot applicable.\n\n#### Competing interests\n\nThe authors declare that they have no competing interests.\n\n#### Publisher's Note\n\nSpringer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n#### Author details\n\n1 Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA. 2 Department of Physical Therapy, College of Public Health & Health Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL 32610-0154, USA. 3 Brooks Rehabilitation Clinical Research Center, 3901 University Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4 Duke Clinical Research Institute, Department of Orthopaedic Surgery, Duke University, 2400 Pratt Street, Durham, NC 27705, USA.\n\nReceived: 9 November 2017 Accepted: 14 August 2018\n\n#### References\n\n- 1. 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Kühn and colleagues at the Max Planck Institute for Human Development for creating the Day2Day dataset and sharing it with our team. The authors would also like to thank M. Martínez-García, S. Carmona, S. Grafton, J. Gonzalez-Castillo and P. Bandettini for their insightful discussions and feedback on this project. This study was supported by the Ann S. Bowers Women's Brain Health Initiative (to E.G.J. and C.T.), UC Irvine Campus Funds (to E.R.C.), UC Academic Senate (to E.G.J.), ReproGrants (to H.G., E.G.J. and E.R.C.), NIH F99AG07979 (to L.P.), NIH T32 AG00096-40 (to D.C.), NIH AG063843 (to E.G.J.) and NIH ZIAMH002783 (to J.F. and D.A.H.).\n\n# **Author contributions**\n\nL.P., C.M.T., E.R.C. and E.G.J. conceived the overall study. L.P., C.M.T., D.C., T.S., E.L., E.R.C. and E.G.J. performed the experiments. L.P., C.M.T., D.C., J.F., T.S., D.A.H., E.R.C. and E.G.J. conceived the data analysis strategy. L.P., C.M.T. and D.C. implemented the data analysis strategy.\n\nL.P., C.M.T., D.C., E.R.C. and E.G.J. wrote the manuscript. J.F., T.S., H.G., D.A.H. and E.L. edited the manuscript.\n\n### **Competing interests**\n\nThe authors declare no competing interests.\n\n# **Additional information**\n\n**Supplementary information** The online version contains supplementary material available at https://doi.org/10.1038/s41593-024-01741-0.\n\n**Correspondence and requests for materials** should be addressed to Laura Pritschet, Elizabeth R. Chrastil or Emily G. Jacobs.\n\n**Peer review information** *Nature Neuroscience* thanks Jessica Bernard and the other, anonymous, reviewer(s) for their contribution to the peer review of this work.\n\n**Reprints and permissions information** is available at www.nature.com/reprints.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed4.pdf" - }, - { - "text": "21. Buhrmann T, Di Paolo E. 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(1983) 33(11):1444–52. doi: 10.1212/wnl. 33.11.1444\n\n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis. Scand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030\n\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of people with multiple sclerosis participating in a social cognitive behavior change physical activity intervention. Physiother Theory Pract. (2022) 39(5):1–9. doi: 10. 1080/09593985.2022.2030828\n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience of a flexible exercise participation program (FEPP) for individuals with multiple sclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. 1002/pri1922\n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: Translating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer Health (2023).\n\n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT: J Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011\n\n35. Di Paolo E, Cuffari E, Jaegher H. Linguistic Bodies: The Continuity between Life and Language. Cambridge: MIT press (2018).\n\n36. Colombetti G. The embodied and situated nature of moods. Philosophia (Ramat Gan). (2017) 45(4):1437–51. doi: 10.1007/s11406-017-9817-0\n\n37. Bandura A. Health promotion by social cognitive means. Health Educ Behav. (2004) 31(2):143–64. doi: 10.1177/1090198104263660\n\n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in people with multiple sclerosis: a systematic review and meta-analysis. Arch Phys Med Rehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013\n\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J. (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, benefits, safety, guidelines, and promotion. Int J Environ Res Public Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in fitness, mobility and cognition with exercise-training in MS. Acta Neurol Scand. (2019) 139 (2):183–91. doi: 10.1111/ane.13041\n\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n\n44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78. doi: 10.1080/09593985.2018.1493165\n\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract. (2015) 31(4):244–52. doi: 10.3109/ 09593985.2014.1002873\n\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- 0981-4\n\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n\n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches. 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What were the prerequisites allowing to be involved in the study concerning the impact of outdoor sport on patients witg multiple sclerosis ?", - "target_page": 4, - "target_passage": "The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n#### Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing – original draft, Writing – review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing – review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing – review & editing.\n\n### Funding\n\nThe author(s) declare that financial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Conflict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.\n\n### Publisher's note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n## References\n\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports. (2018) 28 (9):1960–9. doi: 10.1111/sms.13214\n\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord. (2017) 13:38–43. doi: 10.1016/j.msard.2017.01.016\n\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis—time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci Rep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3\n\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, Gaemelke T, et al. Investigating the potential disease-modifying and neuroprotective efficacy of exercise therapy early in the disease course of multiple sclerosis: the early multiple sclerosis exercise study (EMSES). Mult Scler. (2022) 28(10):1620–9. doi: 10. 1177/13524585221079200\n\n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and lifestyle physical activity recommendations for people with multiple sclerosis throughout the disease course. Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/ 1352458520915629\n\n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, et al. Test-retest reliability and known-groups validity of trunk muscle tests in people with multiple sclerosis: a cross-sectional, case-control study. Phys Ther. (2021) 101 (5):1–9. doi: 10.1093/ptj/ptzab049\n\n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of trunk impairments and its relationship with disability level in individuals with multiple sclerosis? Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard. 2021.103325\n\n10. Normann B, Arntzen EC. What are the relationships between trunk control, balance and walking in individuals with multiple sclerosis with minor to moderate disability? Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870\n\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the relationship between trunk motor control and balance, functional mobility, and gait capacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor kontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin incelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple sclerosis: a review and content analysis of qualitative research identifying perceived determinants and consequences. Disabil Rehabil. (2016) 38(13):1227–42. doi: 10. 3109/09638288.2015.1077397\n\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing sensorimotor function, physical activity and employment for people with MS—a feasibility study. Fysioterapeuten. (2023) 90(1):32–42. doi: 10.52705/ c14a8ca05f7546dabc18bd0275cf2edd\n\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, individualized, comprehensive core stability and balance intervention provides immediate and long-term improvements in walking in individuals with multiple sclerosis: a randomized controlled trial. Physiother Res Int. (2019) 25(1):e1798. doi: 10.1002/pri.1798\n\n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Groupbased individualized comprehensive core stability intervention improves balance in persons with multiple sclerosis: a randomized controlled trial. Phys Ther. (2019) 99 (8):1027–38. doi: 10.1093/ptj/pzz017\n\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized exercises can provide perceived bodily changes and strengthen aspects of self in individuals with MS: a qualitative interview study. Physiother Theory Pract. (2019) 37(10):1080–95. doi: 10.1080/09593985.2019.1683923\n\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The importance of the patient's perspective in decision-making in multiple sclerosis: results of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023) 75:104757. doi: 10.1016/j.msard.2023.104757\n\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: implications for rehabilitation after brain damage. J Speech Lang Hear Res. (2008) 51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n\n19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind. Cambridge, Mass: Harvard University Press (2007).\n\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "EDITED BY Jacqui H Morris, University of Dundee, United Kingdom\n\n#### REVIEWED BY\n\nNicola Saywell, Auckland University of Technology, New Zealand Verna Stavric, Auckland University of Technology, New Zealand\n\n*CORRESPONDENCE Stine Susanne Haakonsen Dahl stine.s.dahl@nord.no\n\nRECEIVED 27 September 2023 ACCEPTED 06 March 2024 PUBLISHED 18 March 2024\n\n#### CITATION\n\nDahl SSH, Arntzen EC and Normann B (2024) The meaningfulness of exploring one's own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study.\n\nFront. Rehabil. Sci. 5:1303094. doi: 10.3389/fresc.2024.1303094\n\n#### COPYRIGHT\n\n© 2024 Dahl, Arntzen and Normann. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.\n\n# The meaningfulness of exploring one's own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study\n\nStine Susanne Haakonsen Dahl1 *, Ellen Christin Arntzen1 and Britt Normann1,2\n\n1 Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2 Department of Physiotherapy, Nordland Hospital Trust, Bodø, Norway\n\nBackground and purpose: Physical activity (PA) is often reduced in people with MS (pwMS), even when disability is low. Understanding the perspectives of pwMS on interventions aiming to improve PA is important to inform the development of such services. The aim of this study was to explore the experiences of pwMS participating in an outdoor, high-intensity and balance exercise group intervention.\n\nMethods: This qualitative study was nested within an RCT exploring a novel intervention integrating sensorimotor exercises with high-intensity intervals of running/walking. Individual, in-depth interviews with the intervention group (n = 15; 12 women, 3 men; age 38–66; EDSS score 0–3.5) were conducted postintervention (mean days = 14), analyzed using a phenomenologicalinspired approach with systematic text condensation, and interpreted based on enactive theory.\n\nResults: Four categories were generated: (1) Exploration of one's own physical abilities: Challenging one's own limits was perceived by all participants to improve movement performance and/or intensity level. Such bodily changes engendered strong positive feelings. Some negative consequences of highintensity training were described, increasing a feeling of loss. (2) New insights and beliefs: Participants experienced enhanced beliefs in their own capabilities, which they integrated in activities outside the intervention. (3) An engaging environment: The group setting was perceived as supportive, and the outdoor environment was perceived as stimulating activity. (4) Professional leadership, tailoring and co-creation of enjoyment: Physiotherapist-led, individualized interactions were regarded as necessary to safely revisit prior activities, such as running. Co-creating enjoyment facilitated high-intensity training and intervention adherence.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and reflexivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers' closeness to the intervention and the clinical field may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of \"blind spots\", as the researchers may prejudice participants' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, findings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n#### 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals affiliated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT (n = 15) were included (Table 3).\n\n#### 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were TABLE 3 Participant demographic information.\n\n| Variable | Total (n = 15) |\n| --- | --- |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\nTABLE 4 Interview guide.\n\n| Theme | Potential questions |\n| --- | --- |\n| Overall experiences and | Generally, what are your main experiences of |\n| reflections from participation | participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general |\n| | • The high-intensity walking/running |\n| | • The specific exercises |\n| | • The combination of specific exercises and |\n| | intervals of running/walking |\n| | • The exercise intensity |\n| | How did you respond to the exercises? How did |\n| | you experience getting tired? |\n| | How do you perceive your specific movement |\n| | impairments (if any) being addressed? |\n| | Please elaborate on situations where you |\n| | experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would |\n| | you prefer to have been done differently? What |\n| | did you enjoy? |\n| | What was the value of participating in the |\n| | indoor exercise group beforehand? |\n| | How did you experience this kind of exercise |\n| | intervention compared to other type of exercise |\n| | you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was |\n| | the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the |\n| | group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park |\n| | environment for exercise? |\n| Closing questions | Are there any experiences from participation |\n| | that you would like to elaborate on? Is anything |\n| | related to this project that we have not talked |\n| | about that you would like to say? |\n| | How did you experience this interview? |\n\nOverall participants were asked to describe situations to exemplify their answers, and follow-up questions were used to capture in-depth reflections, for example, What was positive/negative?, How did it feel?, What do you think of that?, What does it mean to you?, Can you elaborate on that?.\n\nconducted (with pwMS who were not part of the sample), and the interview guide was then refined around the following themes: overall experience and reflections from participation, content, outdoor setting, the group, and the physiotherapists. Questions were open-ended to capture rich, in-depth reflections regarding participants' experiences, following a phenomenological approach. The interviewer asked for both negative and positive experiences", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42). However, our findings illuminate qualitative aspects of how to achieve tailored and meaningful intersubjective interactions in an exercise intervention.\n\nWe consider the instances of the physiotherapist running together with the participant, which were perceived as important for participants' performance, to be an example of \"participatory sense-making\" (22). As participants appreciated being guided or even pushed by the physiotherapists, it appears that the physiotherapists were trusted in directing this interaction. As such, we argue that the physiotherapists' ability to adapt to participants' movements, speech and gestures—tailoring the interaction to their needs—was important for this ability to be perceived as purposeful. This is supported by the few negative incidents described where the participant-physiotherapist interaction seemed to not be jointly coordinated and appeared to fail. The reported mutual influences of sensorimotor capabilities and interpersonal coordination, with the physiotherapists but also the group, are in accordance with sensorimotor capacities and intersubjective interactions being important for sensemaking in the world (35). The benefits of these individualized participant-physiotherapist interactions are also described in specific core-stability exercises in indoor groups (16, 43) and are in line with the theoretical framework of facilitation of movement through hands-on interaction previously proposed (44, 45). Our study informs new knowledge of physiotherapistparticipant interactions to achieve the recommended highintensity training and calls for physiotherapy clinical reasoning through bodily and verbal communication skills adapted to the participants' responses in an ongoing and situated way.\n\nEnjoyment has previously been reported to promote PA in pwMS, and our study brings requested knowledge of what can constitute enjoyment in an exercise intervention (46): playful group-exercise tasks, a cheerful physiotherapist, and the outdoor environment.\n\nThe appreciation of being active outdoors in the study sample aligns with that in the general population (47). The outdoors provided a natural environment, which both invited participants to actively explore abilities thought of as left behind after their diagnosis with MS, such as running, and provided an appreciated break from focusing on MS symptoms. We also suggest that the positive experiences of mastering the challenging weather conditions and the added meaning of exercising among other people in the city park can be explained according to such terms. These positive experiences show how we are enmeshed in our history, context and social encounters (35) and how these aspects should also be accounted for when designing exercise interventions.\n\n#### 4.3 Methodological considerations\n\nThe design and methods were adequate for deriving knowledge from individuals' experiences. The participants selfreferred to the intervention and were recruited based on pre-set criteria. This approach yielded rich information from people with mild to moderate disabilities due to MS who were motivated for physical activity (PA), employed, and residing in northern Norway. Ethnicity or socio-economic class were not recorded. However, considering that all these factors can influence PA engagement (46), it is possible that additional aspects of the phenomenon could be uncovered in a different sample (48). There was a higher percentage of women participating than men; however, this corresponds to the gender distribution in the MS population (1).\n\nThe use of enactive theory was innovative within the field and allowed for, in particular, new aspects of importance for selfefficacy to be identified. Transference of our results to similar populations can be achieved through theoretical generalization (28).\n\n#### 4.4 Implications for clinical practice\n\nCombining high-intensity walking/running and detailed sensorimotor exercises was valued and provided meaningful embodied experiences, improving participants' ability to master PA and their beliefs of their own possibilities for being active in the future. However, the manner in which the content of an exercise intervention is delivered and the environment in which it is delivered should be accounted for, as these aspects were perceived to be of great importance in creating and shaping participants' experiences. In particular, tailored physiotherapistparticipant bodily interactions and an engaging group and outdoor environment were perceived to be pertinent for exploring one's own potential.\n\nTo minimize negative incidents in future interventions, we suggest that (1) the effort required from one's leg muscles during the detailed exercises (in between the running/walking intervals) should be low to minimize the negative consequences of leg muscle fatigue prior to high-intensity running/walking, (2) the capacity for running/walking at highintensity should be explored in one-to-one physiotherapy assessment prior to group training to optimize individuals capabilities and safety, and (3) homogenous and small-sized groups should be used to enable ongoing and tailored physiotherapist-participant interactions.\n\n#### Data availability statement\n\nThe datasets presented in this article are not readily available because of ethical and legal restrictions. Requests to access the datasets should be directed to stine.s.dahl@nord.no.\n\n#### Ethics statement\n\nThis study involving humans was approved by Regional Committee for Medical Research Ethics in North Norway (REK North: 174,837) and the Data Protection Officer at Nordlandssykehuset Hospital Trust, Norway. This study was conducted in accordance with the local legislation and", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "TABLE 1 Overview of the CoreDISTparticipation intervention.\n\n| Week 1: MS outpatient | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge |\n| --- | --- |\n| clinic | of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators. |\n| | Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, |\n| | motivate the patient. |\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the |\n| | municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2–5: Municipality | Physiotherapy assessment (60–90 min) to explore the patient's impairments and potential for improvements in a clinical examination prior to |\n| | group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to five participants in each group and one physiotherapist. Trunk control, balance |\n| | and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do |\n| | them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation |\n| | and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7–10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk |\n| | control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was |\n| | conducted in a city park where both flat and uneven surfaces and hilly terrain were available (Table 2). |\n| | Additionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder. |\n| Week 11–14 | Standardized testing (final, for the RCT) and qualitative interviews. |\n\nTABLE 2 Description of the outdoor group.\n\n| Content | Purpose |\n| --- | --- |\n| Warm-up and recording one's own balance | |\n| Exercises for detailed sensorimotor | Preparation. |\n| activation, larger muscle groups, muscle | Experience one's own balance and |\n| length and balance while standing. | record eventual changes. |\n| Dual task: motor (using spiky balls and | |\n| medicine balls individually, in pairs and | |\n| in the group) and cognitive (singing, | |\n| rhymes and counting). | |\n| Main part | |\n| (1) High-intensity training (85%–95% | Improve stamina. |\n| maxHR/min 16 RPE) × 4 min: Running | Experience one's own opportunities for |\n| or walking with long strides and large | high-intensity physical activity. |\n| arm movements. Participants chose their | Improve sensorimotor control and |\n| own route, marking it with a cone, and | balance as prerequisites for walking and |\n| picked up a bean bag for each new lap to | running. |\n| count how many laps for each interval. | |\n| (2) Moderate-intensity detailed exercises | |\n| (approx. 70% maxHR) × 3 min. | |\n| CoreDIST exercises while standing | |\n| approximately (10 repetitions × 2 set). | |\n| Examples of exercises: squat, one legged | |\n| stance, rise on toes, reaching, turning and | |\n| rolling down to touch the ground in | |\n| standing. | |\n| Progressions was individually tailored | |\n| (during both running/walking and the | |\n| detailed exercises) through instructions, | |\n| demonstration and hands-on facilitations | |\n| by the physiotherapists. Quality and | |\n| efficiency of movement were addressed | |\n| by the physiotherapists. Optimalization | |\n| of trunk control during movement were | |\n| emphasised. | |\n| A combination of high-intensity and | |\n| CoreDIST exercises was repeated 3–4 | |\n| times during one session. | |\n| Cool-down and recording one's own balance | |\n| | Experience one's own balance and |\n| Hold/relax muscle contraction. | |\n| Balance on one leg. | record eventual changes. |\n\n### 2 Materials and methods\n\n#### 2.1 Design\n\nIndividual in-depth interviews using a phenomenologicalinspired approach were chosen, as this is suitable for exploring the meaning and significance of pwMS's experiences and reflections (23, 24).\n\n#### 2.2 Ethical considerations\n\nThe study was conducted according to the Declaration of Helsinki and approved by the Regional Committee for Medical Research Ethics in North Norway (REK North: 174837). Written informed consent was obtained prior to the intervention and confirmed verbally when arranging the interviews. Participation was voluntary and anonymous, and the participants were informed about the opportunity to withdraw from the study. The Consolidated Criteria for Reporting Qualitative Research (COREQ) (25) were used to optimize the conduct and reporting of the study.\n\n#### 2.3 Study context\n\nThis interview study was nested within a randomized controlled trial (RCT) comparing the CoreDISTparticipation intervention to usual care (26) and conducted at a regional hospital MS-outpatient clinic (Nordland Hospital Trust) and in two affiliated municipalities in the northern Norway. The current study investigates participants in the intervention group's experiences of the four-week outdoor group, which was part of this new intervention (Table 2). The outdoor sessions were conducted by three trained physiotherapists working in the", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "| | | | | | | | Control | Group | Normal | Spirometry | Asthma | Group | Group COPD | PRISm | Group |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | About Questions | From Dyspnea | and CAT | SGRQ | | (n | 231) ¼ | (n Group | 2,090) ¼ | (n | 265) ¼ | 330) ¼ (n | (n | 172) ¼ |\n| (weight Q13 | 0.132) ¼ | My | such up % breathing gardening climbing golfing, | difficult weeding, carrying it as makes hills, | stairs, things up do dancing, to things | as or light such bowling, | | 8 | | 54 | | 59 | 69 | | 74 |\n| (weight Q14 | 0.123) ¼ | snow, My | % heavy jogging, breathing swimming, carrying | digging difficult walking it loads, or makes | playing things garden do km/h, the to 5 at | or as shoveling tennis such or | | 13 | | 65 | | 71 | 78 | | 81 |\n| (weight Q15 | 0.108) ¼ | heavy or My | manual breathing playing | running, difficult it work, competitive makes | things cycling, do % to sports, | very fast, as such swimming | | 17 | | 74 | | 79 | 85 | | 88 |\n| presented are Data | (SD) mean as | and Q2, Q1, for | and (total), Q3 | Q15 to Q3 | to presented were | as participants | no or yes | questions, | where | of percentages | participants | answered who | shown. are yes | Question | weights |\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older and more likely to be male compared with all other study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight or obese ranges. The PRISm group was heaviest with an average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classification and presents question weights (PCA scoring coefficients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a significantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8- 15.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classifications.\n\nTable 4 presents the association of dyspnea with patient-specific risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work\n\n(principal component analysis scoring coefficients)\n\nQ ¼\n\nquestion; SGRQ\n\n¼ St. George's Respiratory\n\n used for calculating the dyspnea assessment\n\nQuestionnaire.\n\n are shown below individual questions. CAT\n\n¼ COPD Assessment\n\n Test; PRISm\n\n¼\n\npreserved ratio impaired spirometry;\n\nTABLE 2\n\n]\n\n(Continued)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "21. Buhrmann T, Di Paolo E. The sense of agency—a phenomenological consequence of enacting sensorimotor schemes. Phenomenol Cogn Sci. (2017) 16 (2):207–36. doi: 10.1007/s11097-015-9446-7\n\n22. De Jaegher H, Di Paolo E. Participatory sense-making: an enactive approach to social cognition. Phenomenol Cogni Sci. (2007) 6(4):485–507. doi: 10.1007/s1197-007- 9076-9\n\n23. DiCicco-Bloom B, Crabtree BF. The qualitative research interview. Med Educ. (2006) 40(4):314–21. doi: 10.1111/j.1365-2929.2006.02418.x\n\n24. Malterud K. The art and science of clinical knowledge: evidence beyond measures and numbers. Lancet. (2001) 358(9279):397–400. doi: 10.1016/s0140-6736 (01)05548-9\n\n25. Tong A, Sainsbury P, Craig J. Consolidated criteria for reporting qualitative research (COREQ): a 32-item checklist for interviews and focus groups. Int J Qual Health Care. (2007) 19(6):349–57. doi: 10.1093/intqhc/mzm042\n\n26. Arntzen EC, Braaten T, Fikke HK, Normann B. Feasibility of a new intervention addressing group-based balance and high-intensity training, physical activity, and employment in individuals with multiple sclerosis: a pilot randomized controlled trial. Front Rehabil Sci. (2024) 4:1–17. doi: 10.3389/fresc. 2023.1258737\n\n27. Paulgaard G. Feltarbeid i egen kultur: innenfra, utenfra eller begge deler? / fieldwork in their own culture: from within, outside or both? In: Fossaskåret E, Fuglestad OL, Aase TH, editors. Metodisk Feltarbeid. Produksjon og Tolkning av Kvalitative Data/ Methodical Fieldwork. Production and Interpretation of Qualitative Data. Oslo: Universitetsforlaget (1997). p. 70–93.\n\n28. Malterud K. Theory and interpretation in qualitative studies from general practice: why and how? Scand J Public Health. (2016) 44(2):120–9. doi: 10.1177/ 1403494815621181\n\n29. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded disability status scale (EDSS). Neurology. (1983) 33(11):1444–52. doi: 10.1212/wnl. 33.11.1444\n\n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis. Scand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030\n\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of people with multiple sclerosis participating in a social cognitive behavior change physical activity intervention. Physiother Theory Pract. (2022) 39(5):1–9. doi: 10. 1080/09593985.2022.2030828\n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience of a flexible exercise participation program (FEPP) for individuals with multiple sclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. 1002/pri1922\n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: Translating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer Health (2023).\n\n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT: J Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011\n\n35. Di Paolo E, Cuffari E, Jaegher H. Linguistic Bodies: The Continuity between Life and Language. Cambridge: MIT press (2018).\n\n36. Colombetti G. The embodied and situated nature of moods. Philosophia (Ramat Gan). (2017) 45(4):1437–51. doi: 10.1007/s11406-017-9817-0\n\n37. Bandura A. Health promotion by social cognitive means. Health Educ Behav. (2004) 31(2):143–64. doi: 10.1177/1090198104263660\n\n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in people with multiple sclerosis: a systematic review and meta-analysis. Arch Phys Med Rehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013\n\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J. (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, benefits, safety, guidelines, and promotion. Int J Environ Res Public Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in fitness, mobility and cognition with exercise-training in MS. Acta Neurol Scand. (2019) 139 (2):183–91. doi: 10.1111/ane.13041\n\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n\n44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78. doi: 10.1080/09593985.2018.1493165\n\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract. (2015) 31(4):244–52. doi: 10.3109/ 09593985.2014.1002873\n\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- 0981-4\n\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n\n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches. 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "Discussion: High-intensity training combined with detailed exercises in a physiotherapy outdoor group was perceived to create meaningful bodily changes and enhance PA and prospects for both PA and life. Importantly, however, some negative experiences were also reported from the high-intensity training. Enactive theory allowed for the illumination of new perspectives: the importance of embodiment for self-efficacy and of tailored physiotherapy and an outdoor-group environment for exploring one's own limits to physical capabilities. These aspects should inform future exercise interventions in pwMS with low disability.\n\n#### KEYWORDS\n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, postural balance, enactive theory\n\n#### 1 Introduction\n\nMultiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of age (1). A great concern is the significantly lower levels of physical activity (PA) in people with MS (pwMS) across disability levels than in their healthy counterparts (2, 3).\n\nEarly promotion of PA and exercise is recommended due to numerous established benefits in health, symptom management and well-being for pwMS (4). In particular, high-intensity training is endorsed, as it has possible neuroprotective effects in the disease course (5, 6). In addition, exercises addressing sensorimotor impairments (e.g., reduced muscle strength, reduced neuromuscular control) are recommended, as they target individuals' capability to remain physically active (7). Sensorimotor impairments can influence trunk control, which is commonly disturbed in pwMS, even when disability is low (8, 9), and correlate with impaired balance, walking capacity and distance (10, 11). PwMS's knowledge of exercise benefits, attitudes and motivations, as well as contextual aspects such as lack of optimal exercise interventions, accessibility and support, affect the level of PA and exercise participation (12).\n\nCoreDISTparticipation (Table 1) is a new comprehensive intervention addressing sensorimotor function, trunk control, high-intensity running/walking and work participation in pwMS with low disability (13). It is based on the GroupCoreDIST1 intervention, which has been shown to have significant shortand long-term effects on trunk control, balance and walking among pwMS (14, 15). However, no effects of the intervention on objectively measured PA have been identified, even though the participants reported perceptions of new possibilities to be physically active as their sensorimotor impairments improved (16). To address PA challenges in pwMS, GroupCoreDIST was further developed to include a four-week period of outdoor training, in which high-intensity walking/running and GroupCoreDIST exercises are integrated (Table 2). To our knowledge, combinations of high-intensity training and rehabilitation of specific sensorimotor functions have been sparsely explored. Patient perspectives are essential for the evaluation of healthcare interventions (17); however, the new outdoor component of CoreDISTparticipation has yet to be investigated from a first-person perspective. Particularly interesting is what participants perceive as meaningful regarding the intervention, as this is essential for motivation, motor learning and exercise adherence (18).\n\nTo deepen our understanding of what the participants perceive as meaningful, we turn to a theoretical perspective that integrates bodily capacities with the construction of meaning. Enactive theory emphasizes that making sense of the world depends essentially on the biological (living) body and the phenomenological (lived or experienced) body (19), which implies that the body is viewed as a neurobiological organism that is concurrently experiencing, expressing and social (embodiment) (20). Thus, what is experienced by an individual during an exercise intervention is constituted by her sensorimotor repertoire for perception and action in interactions with the requirements of the task and the context (21). From this perspective, dysfunctions related to MS, such as sensorimotor impairments, can influence how individuals with MS interpret and understand their participation in a PA intervention. Moreover, the notion of \"participatory sensemaking\" (22) extends the body into the social domain, enabling an understanding of how the interaction processes between two embodied individuals affect shared and individual meaning-making. These concepts may illuminate pwMS's experiences and direct the focus toward bodily, contextual, and interactional aspects that may generate new insights regarding sensorimotor exercise and high-intensity training as part of PA.\n\nThe aim of this study was to explore participants' experiences of the content, delivery and setting of a new outdoor group intervention combining high-intensity training and detailed exercises to generate new knowledge about important aspects of exercise interventions for pwMS with low disability.\n\n1 GroupCoreDIST is a group-based intervention (Group), involving 35 exercises at different levels, addressing activation of trunk musculature (Core) in motor tasks in lying, sitting and standing (e.g. rolling, reaching, squatting, single leg stance. DIST describes essential elements of the concept: D = dose (high), dual task; I = individualization, insight, intensity; S = sensorimotor activation, selective movement control; T = task oriented training.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "#### 3.1 Exploration of one's own physical abilities\n\nOverall, the participants reported strong positive experiences of being supported and pushed to explore the limits of their physical abilities. All participants reported benefits from these explorations, such as improved performance in the exercises, higher training intensity or functional gains such as improved balance or the ability to run again. The organization of the intervals of the exercises supported participants' ability to increase their training intensity. Participants felt that the detailed exercises in between intervals made them more ready or warmed up for the next running/walking interval. The opportunity to choose the terrain (hilly or flat) and walking/running route were appreciated, and technique corrections by the physiotherapist were reported to facilitate physical performance. The majority of participants highlighted that they reached higher intensity than expected during these sessions, and for many, the outdoor intervals mediated participants' strong emotional experiences. One person described this as follows:\n\n> The feeling of using my body! That my legs are working and I can run! It is a positive feeling—enhancing the feeling of being alive! I also enjoyed feeling tired after training—as it gave my negative thoughts a break. (ID10, EDSS: 1)\n\nHowever, two individuals reported a soft-tissue injury during running (ankle sprain, hamstring strain), one experienced increase in dizziness, and three described negative feelings associated with their failure to achieve high intensity:", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed13.pdf" - }, - { - "text": "Research (FIBRE) and the UCI Institute for Clinical and Translational Science for phlebotomy assistance; B. Tranquada-Torres, R. Woodry and N. Hatamian for their assistance with data collection, as well as P. Mozayeni, C. Taylor, B. Peng and P.J.C. Peng for their support; and S. Kühn and colleagues at the Max Planck Institute for Human Development for creating the Day2Day dataset and sharing it with our team. The authors would also like to thank M. Martínez-García, S. Carmona, S. Grafton, J. Gonzalez-Castillo and P. Bandettini for their insightful discussions and feedback on this project. This study was supported by the Ann S. Bowers Women's Brain Health Initiative (to E.G.J. and C.T.), UC Irvine Campus Funds (to E.R.C.), UC Academic Senate (to E.G.J.), ReproGrants (to H.G., E.G.J. and E.R.C.), NIH F99AG07979 (to L.P.), NIH T32 AG00096-40 (to D.C.), NIH AG063843 (to E.G.J.) and NIH ZIAMH002783 (to J.F. and D.A.H.).\n\n# **Author contributions**\n\nL.P., C.M.T., E.R.C. and E.G.J. conceived the overall study. L.P., C.M.T., D.C., T.S., E.L., E.R.C. and E.G.J. performed the experiments. L.P., C.M.T., D.C., J.F., T.S., D.A.H., E.R.C. and E.G.J. conceived the data analysis strategy. L.P., C.M.T. and D.C. implemented the data analysis strategy.\n\nL.P., C.M.T., D.C., E.R.C. and E.G.J. wrote the manuscript. J.F., T.S., H.G., D.A.H. and E.L. edited the manuscript.\n\n### **Competing interests**\n\nThe authors declare no competing interests.\n\n# **Additional information**\n\n**Supplementary information** The online version contains supplementary material available at https://doi.org/10.1038/s41593-024-01741-0.\n\n**Correspondence and requests for materials** should be addressed to Laura Pritschet, Elizabeth R. Chrastil or Emily G. Jacobs.\n\n**Peer review information** *Nature Neuroscience* thanks Jessica Bernard and the other, anonymous, reviewer(s) for their contribution to the peer review of this work.\n\n**Reprints and permissions information** is available at www.nature.com/reprints.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What was the sales revenue of Santos in 2004 ?", - "target_page": 12, - "target_passage": " Sales revenue was a record $1,501 million", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "# 10 YEAR SUMMARY 1995–2004\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 44\n\n| As at 31 December | 1995 | 1996 | 1997 | 1998 | 1999 | 2000 | 2001 | 2002 | 2003 | 2004 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Santos average realised oil price (A$/bbl) | 24.96 | 27.43 | 27.42 | 20.95 | 27.57 | 46.54 | 45.53 | 44.74 | 43.59 | 51.83 |\n| Financial performance ($million) | | | | | | | | | | |\n| Product sales revenue | 671.6 | 729.2 | 778.5 | 769.4 | 944.5 | 1,497.1 | 1,459.7 | 1,478.4 | 1,465.0 | 1,500.9 |\n| Total operating revenue | 740.1 | 804.0 | 859.5 | 1,000.8 | 995.6 | 1,556.2 | 1,561.8 | 1,542.3 | 1,619.4 | 1,753.2 |\n| Foreign currency gains/(losses) | (16.0) | 25.0 | 3.6 | 2.0 | 0.3 | 2.7 | 0.2 | (0.7) | (7.9) | (3.0) |\n| Profit from ordinary activities before tax | 241.0 | 331.9 | 322.3 | 267.3 | 339.6 | 725.9 | 627.6 | 493.3 | 430.9 | 540.8 |\n| Income tax relating to ordinary activities | 130.4 | 136.0 | 116.1 | 91.0 | 30.5 | 239.1 | 181.7 | 171.2 | 103.9 | 160.9 |\n| Net profit after income tax attributable | | | | | | | | | | |\n| to the shareholders of Santos Ltd | 110.6 | 195.9 | 206.2 | 176.3 | 309.1 | 486.8 | 445.9 | 322.1 | 327.0 | 379.9 |\n| Financial position ($million) | | | | | | | | | | |\n| Total assets | 2,915.5 | 3,443.4 | 4,036.2 | 4,236.1 | 4,338.7 | 4,659.8 | 5,048.7 | 5,320.8 | 5,218.3 | 5,956.0 |\n| Net debt | 642.0 | 938.6 | 1,114.2 | 1,280.0 | 1,301.1 | 866.6 | 1,060.8 | 1,162.9 | 897.6 | 1,131.4 |\n| Total equity | 1,519.3 | 1,586.3 | 1,919.0 | 1,939.2 | 2,056.7 | 2,310.9 | 2,726.6 | 2,863.9 | 3,087.9 | 3,498.3 |\n| Reserves and production (mmboe) | | | | | | | | | | |\n| Proven plus Probable reserves (2P) | 703 | 860 | 1,009 | 966 | 941 | 921 | 724 | 732 | 636 | 643 |\n| Production | 36.8 | 39.2 | 41.1 | 45.6 | 49.2 | 56.0 | 55.7 | 57.3 | 54.2 | 47.1 |\n| Exploration* | | | | | | | | | | |\n| Wells drilled (number) | 66 | 91 | 112 | 81 | 34 | 42 | 26 | 18 | 19 | 16 |\n| Expenditure ($million) | 87.9 | 121.1 | 190.1 | 180.7 | 78.1 | 100.1 | 93.4 | 133.1 | 136.4 | 125.6 |\n| Other capital expenditure ($million) | | | | | | | | | | |\n| Delineation and development* | 53.9 | 105.8 | 179.7 | 158.1 | 116.8 | 187.1 | 308.1 | 308.8 | 519.0 | 672.7 |\n| Buildings, plant and equipment | 40.1 | 150.3 | 205.4 | 165.7 | 102.5 | 153.5 | 258.7 | 319.0 | 94.9 | 131.1 |\n\n* From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# STATEMENTS OF FINANCIAL PERFORMANCE\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 50\n\n| | | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- | --- |\n| | | 2004 | 2003 | 2004 | 2003 |\n| | Note | $million | $million | $million | $million |\n| Product sales | 2 | 1,500.9 | 1,465.0 | 568.8 | 616.3 |\n| Cost of sales | 3 | (1,049.8) | (974.4) | (414.5) | (356.6) |\n| Gross profit | | 451.1 | 490.6 | 154.3 | 259.7 |\n| Other revenue | 2 | 252.3 | 154.4 | 858.0 | 126.2 |\n| Other expenses | 3 | (129.0) | (179.5) | (221.0) | (108.3) |\n| Borrowing costs | 4 | (33.6) | (34.6) | (91.1) | (84.0) |\n| Profit from ordinary activities before income tax expense | | 540.8 | 430.9 | 700.2 | 193.6 |\n| Income tax expense relating to ordinary activities | 6 | (160.9) | (103.9) | (57.1) | (10.7) |\n| Net profit after income tax attributable to the shareholders of Santos Ltd | | 379.9 | 327.0 | 643.1 | 182.9 |\n| Net exchange differences relating to self-sustaining foreign operations | 19 | (0.2) | (4.7) | – | – |\n| Total changes in equity from non-owner related transactions attributable | | | | | |\n| to the shareholders of Santos Ltd | | 379.7 | 322.3 | 643.1 | 182.9 |\n| Earnings per share (cents) | | | | | |\n| Basic | 21 | 58.6 | 52.1 | | |\n| Diluted | 21 | 58.5 | 51.5 | | |\n\nThe statements of financial performance are to be read in conjunction with the notes to the financial statements.", - "page_start": 51, - "page_end": 51, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 56\n\n| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 2. Revenue from Ordinary Activities | $million | $million | $million | $million |\n| Product sales: | | | | |\n| Gas and ethane | 680.1 | 720.8 | 294.6 | 306.1 |\n| Crude oil | 501.8 | 477.7 | 198.5 | 175.7 |\n| Condensate and naphtha | 228.5 | 150.0 | 44.2 | 63.8 |\n| Liquefied petroleum gas | 90.5 | 116.5 | 31.5 | 70.7 |\n| | 1,500.9 | 1,465.0 | 568.8 | 616.3 |\n| Other: | | | | |\n| Overriding royalties | 14.3 | 13.3 | 18.7 | 18.4 |\n| Equipment rentals, pipeline tariffs and other | 19.0 | 7.6 | 6.6 | 3.9 |\n| Interest revenue: | | | | |\n| Controlled entities | – | – | 42.8 | 35.5 |\n| Other entities | 3.5 | 2.5 | 2.3 | 1.4 |\n| Dividends from other entities | – | 0.4 | – | 0.4 |\n| Dividends from controlled entities | – | – | 251.7 | – |\n| Insurance recovery | 116.6 | – | 73.8 | – |\n| Proceeds from sale of non-current assets | 98.9 | 108.0 | 462.1 | 62.7 |\n| Proceeds from sale of controlled entities | – | 22.6 | – | 3.9 |\n| | 252.3 | 154.4 | 858.0 | 126.2 |\n| 3. Expenses from Ordinary Activities | | | | |\n| Cost of sales: | | | | |\n| Production costs | 308.5 | 263.6 | 113.8 | 95.2 |\n| Pipeline tariffs and tolls | 32.6 | 33.3 | 7.4 | 3.2 |\n| Royalty, excise and PRRT | 154.0 | 131.4 | 73.1 | 41.6 |\n| Depreciation, depletion and amortisation | 536.4 | 528.8 | 209.2 | 194.7 |\n| Third party gas purchases | 14.9 | 5.4 | 12.2 | 12.4 |\n| | 1,046.4 | 962.5 | 415.7 | 347.1 |\n| Decrease/(increase) in product stock | 3.4 | 11.9 | (1.2) | 9.5 |\n| | 1,049.8 | 974.4 | 414.5 | 356.6 |\n| Other: | | | | |\n| Selling, general and administrative expenses: | | | | |\n| Operating expenses | 57.1 | 41.6 | 50.3 | 34.1 |\n| Depreciation and amortisation | 3.3 | 2.8 | 1.7 | 1.1 |\n| Write-down of investment in controlled entities | – | – | – | 40.8 |\n| Write-down of investment in listed shares | – | 4.4 | – | 4.4 |\n| | 60.4 | 48.8 | 52.0 | 80.4 |\n| Book value of non-current assets sold | 46.5 | 52.9 | 164.4 | 16.9 |\n| Book value of controlled entities sold | – | 18.1 | – | 4.9 |\n| Write-down of exploration and development expenditure | 22.1 | 59.7 | 4.6 | 6.1 |\n| | 129.0 | 179.5 | 221.0 | 108.3 |\n| 4. Borrowing Costs | | | | |\n| Interest expense: | | | | |\n| Controlled entities | – | – | 90.7 | 83.6 |\n| Other entities | 65.7 | 57.2 | 0.4 | 0.4 |\n| Less interest capitalised | (32.1) | (22.6) | – | – |\n| | 33.6 | 34.6 | 91.1 | 84.0 |", - "page_start": 57, - "page_end": 57, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# ANALYSING FINANCIAL PERFORMANCE\n\nSAN165 WWW Text 30/3/05 12:06 PM Page 10\n\n**'The sound operating results achieved in 2004 underline the changing face of Santos towards a higher value, higher margin business. We ended the year with a strong financial position and our financial flexibility intact.'** \n\n#### **PETER WASOW**\n\nChief Financial Officer\n\n#### **2004 WAS A YEAR OF GOOD OPERATING RESULTS**\n\nOverall the increase in 2004 profit of 16% reflected a year of sound operating performance. Sales revenue was a record $1,501 million, up 2.5% on 2003, reflecting higher prices across most products and was achieved despite lower production as a result of the Moomba incident and declining output from late life fields.\n\nSantos benefited from higher world oil prices and realised US$51.83 per boe in 2004, an increase of 19% over 2003. The benefit of higher world oil prices substantially offset the impact of lower production volumes.\n\nSantos was also able to negotiate higher domestic gas prices (up 4% on average) and deliver new revenue streams from project start-ups and acquisitions during the year.\n\n## **PRODUCTION HAMPERED BY MOOMBA INCIDENT**\n\n2004 production was lower due to the Moomba incident, which reduced production by 4.6 million boe. Field decline reduced production by a further 5.0 million boe.\n\nOffsetting these factors, Santos' growth projects are starting to come on line and have begun to reverse the decline experienced over the past three years. Two projects were commissioned in 2004: the Bayu-Undan liquids project and the Minerva gas project. In addition, acquisitions contributed 0.8 million boe to production.\n\nFor 2005, production is expected to improve by around 15%, or 4% excluding the impact of the Moomba incident. Santos now expects production to be around 54 million boe in 2005. This increase is largely driven by the commissioning of Mutineer-Exeter in March 2005 and the John Brookes gas field in the middle of the year.\n\n## **PRODUCTION COSTS UNDER CONTROL**\n\nProduction costs in 2004 were $309 million, up $45 million or 17% on 2003. Analysis shows that Santos was able to continue to effectively control its costs in the face of significant external pressures in the form of rising services and materials prices.\n\nExamining production costs in detail reveals:\n\n- the start-up of Bayu-Undan and acquisitions added $16 million to Santos' cost base\n- changes in our accounting added a further $16 million to Santos' production costs\n- higher insurance premiums ($8 million) and one-off stock write-offs ($5 million) were offset by $17 million in cost savings largely as a result of Santos' continuous improvement initiatives\n- the Moomba incident resulted in $17 million of one-off costs in 2004.\n\nPiecing this together, the key themes in our financial performance were:\n\n- cost savings in established production areas more than offset increases in the price of services and materials\n- Santos' cost base rose as production from new developments and acquisitions were added to the Company's expanding portfolio of producing assets.\n\n### **PRODUCTION AND SALES REVENUE**", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 5. Profit from Ordinary Activities | $million | $million | $million | $million |\n| (a) Profit from ordinary activities before tax includes the following items | | | | |\n| Depreciation, depletion and amortisation: | | | | |\n| Depletion of exploration and development expenditure | 344.3 | 333.8 | 116.5 | 119.7 |\n| Depreciation of plant and equipment | 169.1 | 168.7 | 85.8 | 69.1 |\n| Depreciation of buildings | 2.0 | 3.3 | 1.0 | 1.8 |\n| Future restoration costs | 19.8 | 16.8 | 7.6 | 5.2 |\n| Amortisation of goodwill | 4.5 | 9.0 | – | – |\n| | 539.7 | 531.6 | 210.9 | 195.8 |\n| Charges to provisions: | | | | |\n| Doubtful debts | (0.6) | 0.2 | (0.2) | 0.1 |\n| Stock obsolescence | 6.4 | 1.0 | 3.1 | 0.2 |\n| Employee entitlements and non-executive Directors' retirement benefits | (0.3) | 6.7 | (0.3) | 6.2 |\n| Operating lease rentals | 42.2 | 45.6 | 21.4 | 22.5 |\n| Profit on disposal of non-current assets | (52.4) | (55.1) | (297.7) | (45.8) |\n| (Profit)/loss on disposal of controlled entities | – | (4.5) | – | 1.0 |\n| (b) Individually significant expenses/(gains) included in profit from | | | | |\n| ordinary activities before income tax | | | | |\n| Insurance recovery | (116.6) | – | (73.8) | – |\n| Costs associated with Moomba liquids recovery plant fire included in cost of sales | 17.5 | – | 11.9 | – |\n| Profit on sale of oil and gas assets | (43.9) | – | (298.4) | – |\n| Write-down of exploration and development expenditure | 22.1 | 59.7 | 4.6 | 6.1 |\n| Organisation restructure costs included in selling, general and administrative expenses | 21.6 | – | 21.6 | – |\n| Accelerated depreciation – Heytesbury plant | – | 20.2 | – | – |\n| Profit on sale of investment in listed shares | – | (45.8) | – | (45.8) |\n| 6. Taxation | | | | |\n| Income tax attributable to profit from ordinary activities | | | | |\n| The prima facie income tax attributable to profit from ordinary activities differs from | | | | |\n| income tax expense and is calculated as follows: | | | | |\n| Prima facie income tax at 30% (2003: 30%) | 162.2 | 129.3 | 210.1 | 58.1 |\n| Tax effect of permanent and other differences which increase/(decrease) income | | | | |\n| tax expense: | | | | |\n| Non-deductible depletion, depreciation and amortisation | 17.9 | 18.9 | 2.4 | 2.5 |\n| Write-down of investment in controlled entities | – | – | – | 12.2 |\n| Other | 0.8 | 10.7 | 6.2 | (14.5) |\n| Impact of the tax consolidation system | | | | |\n| Income tax expense allocated to wholly-owned controlled entities under | | | | |\n| tax funding agreement | – | – | (64.0) | (131.1) |\n| Income tax expense relating to transactions, events and balances of | | | | |\n| wholly-owned controlled entities in the tax-consolidated group | – | – | 60.5 | 138.5 |\n| Transactions within the tax-consolidated group: | | | | |\n| Dividends from controlled entities | – | – | (75.5) | – |\n| Non-deductible interest | – | – | 14.2 | – |\n| Profit on sale of oil and gas assets | – | – | (76.8) | – |\n| Tax benefit arising from reduced deferred tax balances upon entering into | | | | |\n| Australian tax consolidation regime | (20.0) | (55.0) | (20.0) | (55.0) |\n| | 160.9 | 103.9 | 57.1 | 10.7 |\n| Income tax comprises amounts set aside to: | | | | |\n| Provision for current income tax | 143.1 | 144.7 | 120.9 | 126.1 |\n| Deferred tax liability | 24.6 | (16.5) | 0.2 | 15.7 |\n| Deferred tax asset | (1.6) | 12.8 | – | – |\n| Foreign currency translation reserve | (5.2) | (37.1) | – | – |\n| Tax related receivable from wholly-owned controlled entities | – | – | (64.0) | (131.1) |\n| | 160.9 | 103.9 | 57.1 | 10.7 |\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 57", - "page_start": 58, - "page_end": 58, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:06 PM Page 2\n\n# DELIVERING ON THE STRATEGY\n\nDear Shareholder,\n\nI am pleased to report that in 2004 Santos continued to deliver on its strategy to transform the Company into a truly international exploration and production business with world-class operations.\n\nWhile the year saw many positives in terms of development and exploration success, it did not get off to a good start with the incident on New Year's Day at the Moomba processing facility in central Australia.\n\nImportantly, Santos was able to work effectively with its key stakeholders, including customers, joint venturers and government departments, to minimise the commercial impacts.\n\nNatural gas supplies were quickly restored, in part by recovering processed gas from underground storage reservoirs. Liquids processing facilities were progressively reinstated allowing further increases to gas production and sales volumes, with the ramp-up to full liquids production achieved by August as planned.\n\nA large proportion of the costs and foregone revenues associated with the repair of the damaged plant and the reduced oil and gas production volumes are being recovered under insurance policies.\n\nDue to the long cycle times inherent in the oil and gas business, it had been recognised that 2004 would be a year in which production was marginally below the previous year, with subsequent increases in 2005 and beyond driven by new development projects.\n\nIn this light, it is pleasing to report that the Minerva gas and Bayu-Undan liquids projects commenced production during the year as planned, while first oil from Mutineer-Exeter and several other key growth projects are progressing to plan.\n\nIndonesia matured into a core area during 2004, through a strategy of prudent acquisition, portfolio management and exploration. In particular, the Jeruk discovery has the potential to add significant value, with further evaluation activities underway.\n\nEven with the large effort expended on the Moomba incident, Santos was able to deliver strong results for 2004, reflecting higher average prices across most products.\n\nGroup sales revenue increased by 2.5% to a record $1,501 million, earnings before interest and tax improved by 23% to $574 million and net profit after tax rose by 16% to $380 million.\n\nThis strong financial performance, combined with the confidence that Santos will continue to grow earnings in the future, enabled the Board to increase the final dividend on ordinary shares by 20% from 15 cents to 18 cents per share, fully franked. For the full year, dividends increased by 10% to 33 cents per share, compared with 30 cents per share in each of the four previous years. On a grossed up basis, this represents a yield of over 5%.\n\nIn response to increasing interest and enquiry from shareholders, the Dividend Reinvestment Plan has been reintroduced and applied to the final dividend paid during March 2005.\n\nSantos continued its proactive approach to capital management with the redemption and buyback of the outstanding Preference Shares and the issue of FUELS (Franked Unsecured Equity Listed Securities). This initiative was driven by the alignment of Australian accounting standards with international requirements, and closed oversubscribed, raising $600 million in new equity.\n\nThe total shareholder return for the year, including share price appreciation and dividends paid, was 28% – an excellent result.\n\nIn addition to our focus on shareholder value, Santos takes its corporate social responsibilities seriously and is committed to sustainability as a core value in all operations. The Company's first Sustainability Review was released during the year.\n\nSantos continues to be recognised for the high quality of its corporate governance, receiving a measure of five out of five for corporate governance for the third successive year in an independent report prepared by leading accounting and management firm, Horwath, and the University of Newcastle.\n\nThe safety of our employees and contractors is the highest priority for the Board and I'm pleased that Santos has delivered another year of safety improvement with an 11% reduction in the 2004 total recordable case frequency rate.\n\nMr Frank Conroy retired from the Board of Directors during December 2004. A member of the Board for five years, Mr Conroy brought extensive business and corporate experience to the Board and I thank him for his outstanding contribution.\n\nIn February 2005 we appointed two new Board members, Mr Kenneth Dean from Shell, and Mr Christopher Recny from the international management consultancy firm, L.E.K. These individuals further strengthen the composition of the Board, bringing strong international oil and gas expertise and outstanding management experience.\n\nFinally, I'd like to acknowledge the extraordinary effort made by everyone at Santos to keep the Company moving forward during this challenging year.\n\nI am confident that the significant achievements made during 2004 provide Santos with a solid platform from which to achieve future growth with increased value for our shareholders.\n\nStephen Gerlach **Chairman** 21 March 2005", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 11. Land and Buildings, Plant and Equipment | $million | $million | $million | $million |\n| Land and buildings | | | | |\n| At cost | 97.2 | 94.7 | 55.5 | 52.3 |\n| Less accumulated depreciation | (49.7) | (47.7) | (34.0) | (33.0) |\n| | 47.5 | 47.0 | 21.5 | 19.3 |\n| Plant and equipment | | | | |\n| At cost | 3,938.1 | 3,576.1 | 1,711.7 | 1,642.1 |\n| Less accumulated depreciation | (1,926.9) | (1,782.3) | (1,067.8) | (988.3) |\n| | 2,011.2 | 1,793.8 | 643.9 | 653.8 |\n| Total land and buildings, plant and equipment | 2,058.7 | 1,840.8 | 665.4 | 673.1 |\n| Movements during the year | | | | |\n| Land and buildings | | | | |\n| Balance at the beginning of the year | 47.0 | 45.2 | 19.3 | 18.5 |\n| Additions | 2.5 | 5.1 | 3.2 | 2.6 |\n| Depreciation expense | (2.0) | (3.3) | (1.0) | (1.8) |\n| Balance at the end of the year | 47.5 | 47.0 | 21.5 | 19.3 |\n| Plant and equipment | | | | |\n| Balance at the beginning of the year | 1,793.8 | 1,627.5 | 653.8 | 621.0 |\n| Additions | 461.7 | 358.1 | 188.0 | 102.2 |\n| Acquisitions | 12.6 | 13.5 | – | – |\n| Disposals | (26.6) | (32.2) | (94.5) | (0.3) |\n| Depreciation expense | (169.1) | (168.7) | (85.8) | (69.1) |\n| Foreign currency translation | (0.5) | (4.4) | – | – |\n| Expenditure transferred to exploration and development | (60.7) | – | (17.6) | – |\n| Balance at the end of the year | 2,011.2 | 1,793.8 | 643.9 | 653.8 |\n| 12. Other Financial Assets | | | | |\n| Investments in controlled entities | – | – | 2,530.2 | 2,284.9 |\n| Investments in other entities: | | | | |\n| Listed shares at cost | 1.2 | 1.2 | 0.5 | 0.5 |\n| Listed shares at recoverable amount | – | 10.5 | – | 10.5 |\n| | 1.2 | 11.7 | 2,530.7 | 2,295.9 |\n| Market value of investments in listed shares | 2.7 | 16.2 | 0.5 | 11.7 |\n| 13. Intangibles | | | | |\n| Goodwill, at cost | 160.2 | 160.2 | – | – |\n| Less accumulated amortisation | (156.2) | (151.7) | – | – |\n| | 4.0 | 8.5 | – | – |\n| 14. Payables | | | | |\n| Trade creditors | 278.9 | 242.6 | 109.5 | 95.3 |\n| Sundry creditors and accruals | 92.7 | 48.7 | 28.4 | 18.4 |\n| Amounts owing to controlled entities | – | – | 298.4 | 541.3 |\n| | 371.6 | 291.3 | 436.3 | 655.0 |\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 59", - "page_start": 60, - "page_end": 60, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# STATEMENTS OF CASH FLOWS\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 52\n\n| | | | Consolidated | Santos Ltd | |\n| --- | --- | --- | --- | --- | --- |\n| | | 2004 | 2003 | 2004 | 2003 |\n| | Note | $million | $million | $million | $million |\n| Cash flows from operating activities | | | | | |\n| Receipts from customers | | 1,544.3 | 1,637.3 | 644.4 | 683.0 |\n| Dividends received | | – | 0.4 | 251.7 | 0.4 |\n| Interest received | | 3.5 | 2.5 | 45.1 | 36.9 |\n| Overriding royalties received | | 14.5 | 17.0 | 19.0 | 22.1 |\n| Pipeline tariffs and other receipts | | 19.9 | 28.2 | 18.0 | 1.6 |\n| Payments to suppliers and employees | | (583.6) | (439.9) | (279.0) | (186.4) |\n| Royalty, excise and PRRT payments | | (169.6) | (118.7) | (78.4) | (39.8) |\n| Borrowing costs paid | | (65.2) | (60.9) | (90.6) | (83.6) |\n| Income taxes paid | | (158.8) | (168.6) | (137.5) | (65.1) |\n| Net cash provided by operating activities | 24 | 605.0 | 897.3 | 392.7 | 369.1 |\n| Cash flows from investing activities | | | | | |\n| Payments for: | | | | | |\n| Exploration | | (126.0) | (149.8) | (65.7) | (30.6) |\n| Delineation | | (73.7) | (75.0) | (6.1) | (29.5) |\n| Development | | (256.1) | (188.1) | (124.4) | (68.7) |\n| Land and buildings, plant and equipment | | (343.1) | (337.8) | (127.7) | (91.7) |\n| Acquisitions of oil and gas assets | | (14.5) | (7.6) | – | (1.5) |\n| Acquisitions of controlled entities | | (112.3) | (22.7) | (93.6) | (22.7) |\n| Share subscriptions in controlled entities | | – | – | (151.7) | (469.9) |\n| Restoration | | (7.3) | (2.6) | (0.1) | (0.3) |\n| Proceeds from disposal of non-current assets | | 39.9 | 108.0 | 430.0 | 62.7 |\n| Proceeds from disposal of controlled entities | | – | 22.6 | – | 3.9 |\n| Other investments | | (0.5) | – | (0.5) | – |\n| Net cash used in investing activities | | (893.6) | (653.0) | (139.8) | (648.3) |\n| Cash flows from financing activities | | | | | |\n| Dividends paid | | (212.8) | (198.0) | (212.8) | (198.0) |\n| Proceeds from issues of ordinary shares | | 6.4 | 8.3 | 6.4 | 8.3 |\n| Proceeds from issue of redeemable convertible preference shares | 18 | 589.5 | – | 589.5 | – |\n| Redemption of reset convertible preference shares | 18 | (350.0) | – | (350.0) | – |\n| Net drawdowns/(repayments) of borrowings | | 282.8 | (20.4) | – | – |\n| Net (payments to)/receipts from controlled entities | | – | – | (297.0) | 494.1 |\n| Premium paid on buy-back of reset convertible preference shares | 20 | (2.4) | – | (2.4) | – |\n| Other | | 0.4 | – | – | – |\n| Net cash (used in)/provided by financing activities | | 313.9 | (210.1) | (266.3) | 304.4 |\n| Net increase/(decrease) in cash | | 25.3 | 34.2 | (13.4) | 25.2 |\n| Cash at the beginning of the year | | 111.1 | 84.8 | 52.9 | 26.6 |\n| Effects of exchange rate changes on the balances of cash held in foreign currencies | | (8.4) | (7.9) | (0.2) | 1.1 |\n| Cash at the end of the year | | 128.0 | 111.1 | 39.3 | 52.9 |\n\nThe statements of cash flows are to be read in conjunction with the notes of the financial statements.", - "page_start": 53, - "page_end": 53, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\n#### **32. Additional Financial Instruments Disclosure**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 84\n\n#### **(a) Foreign exchange risk exposure**\n\nThe Santos Group is exposed to foreign exchange risk principally through the sale of liquid petroleum products denominated in US dollars, US dollar borrowings and US dollar expenditure. In order to hedge this foreign exchange risk, the Santos Group has from time to time entered into forward foreign exchange, foreign currency swap and foreign currency option contracts.\n\nAt 31 December 2004 the Santos Group has one open forward foreign currency exchange contract which has expired in January 2005. If closed out at balance date a loss of $0.2 million would have resulted.\n\nUS dollar denominated borrowings are either swapped into Australian dollar exposure (2004: US$321.4 million; 2003: US$115.0 million) or designated as a hedge of US dollar denominated investments in self-sustaining overseas controlled entities (2004: US$313.0 million; 2003: US$323.6 million) or as a hedge of future US denominated sales revenues (2004: US$146.4 million; 2003: US$219.4 million). As a result, there were no net foreign currency gains or losses arising from translation of US denominated dollar borrowings recognised in the statements of financial performance in 2004. Accordingly, $37.4 million of unrealised foreign currency gains were deferred as at 31 December 2004 (2003: gains of $66.3 million). The ultimate foreign currency gains or losses will be included in the measurement of the specific hedged US dollar denominated sales revenues to be realised in the years 2005 through 2006.\n\nThe Australian dollar equivalents of foreign currency monetary items included in the statements of financial position to the extent that they are not effectively hedged are:\n\n| | | | Consolidated | Santos Ltd | |\n| --- | --- | --- | --- | --- | --- |\n| | | 2004 | 2003 | 2004 | 2003 |\n| | | $million | $million | $million | $million |\n| Current assets | – United States dollars | 126.4 | 82.7 | 32.9 | 41.3 |\n| Current liabilities | – United States dollars | 60.5 | 35.4 | 6.5 | 8.5 |\n| Non-current liabilities | – United States dollars | 26.5 | – | – | – |", - "page_start": 85, - "page_end": 85, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 74\n\n| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 24. Notes to Statements of Cash Flows | $million | $million | $million | $million |\n| Reconciliation of profit from ordinary activities after income tax to net cash | | | | |\n| provided by operating activities | | | | |\n| Profit from ordinary activities after income tax | 379.9 | 327.0 | 643.1 | 182.9 |\n| Add/(deduct) non-cash items: | | | | |\n| Depreciation, depletion and amortisation | 539.7 | 531.6 | 210.9 | 195.8 |\n| Write-down of controlled entities | – | – | – | 40.8 |\n| Write-down of exploration and development expenditure | 22.1 | 59.7 | 4.6 | 6.1 |\n| Write-down of investment in listed shares | – | 4.4 | – | 4.4 |\n| (Decrease)/increase in income taxes payable | (18.1) | (24.5) | 12.4 | (7.4) |\n| Net increase/(decrease) in deferred tax asset and deferred tax liability | 23.0 | 14.8 | 5.1 | (8.3) |\n| Tax benefit upon entering into Australian tax consolidation regime | (20.0) | (55.0) | (20.0) | (47.6) |\n| Capitalised interest | (32.1) | (22.6) | – | – |\n| Foreign currency fluctuations | (38.4) | 13.3 | (2.3) | (1.1) |\n| Net profit on sale of non-current assets | (52.4) | (55.1) | (297.7) | (45.8) |\n| Net (profit)/loss on sale of controlled entities | – | (4.5) | – | 1.0 |\n| Net cash provided by operating activities before change in assets or liabilities | 803.7 | 789.1 | 556.1 | 320.8 |\n| Add/(deduct) change in operating assets or liabilities net of acquisitions of businesses: | | | | |\n| Decrease/(increase) in receivables | (157.9) | 100.1 | (117.4) | 19.6 |\n| Decrease/(increase) in inventories | (1.7) | 11.7 | (5.6) | 9.0 |\n| Decrease/(increase) in other assets | (6.7) | 2.4 | 0.7 | 2.3 |\n| (Decrease)/increase in payables | (32.0) | (2.4) | (23.3) | 21.0 |\n| (Decrease)/increase in provisions | (0.4) | (3.6) | (17.8) | (3.6) |\n| Net cash provided by operating activities | 605.0 | 897.3 | 392.7 | 369.1 |\n\n#### **25. Related Parties**\n\nSantos Ltd and its controlled entities engage in a variety of related party transactions in the ordinary course of business. These transactions are conducted on normal terms and conditions.\n\nDetails of related party transactions and amounts are set out in:\n\nNote 2 as to interest received from controlled entities;\n\nNote 4 as to interest paid to controlled entities;\n\nNote 7 as to tax related balances and other amounts owing by controlled entities;\n\nNotes 14 and 15 as to amounts owing to controlled entities;\n\nNote 15 as to guarantees by Santos Ltd of the financing facilities of controlled entities;\n\nNote 16 as to non-executive Directors' retirement benefits;\n\nNotes 12 and 22 as to investments in controlled entities;\n\nNote 26 as to disclosures relating to Specified Directors and Specified Executives.\n\nIn addition:\n\n- (a) The spouse of a director of a Santos Group company is an employee of a subsidiary of that company and each of those persons is also a director of that subsidiary company.\n- (b) Mr J W McArdle, who retired as a Director on 14 July 2001, entered into a consultancy agreement with the Company pursuant to which he will provide consultancy services to the Santos Group. The amount paid pursuant to this agreement during the financial year was $30,000 (2003: $70,000).\n\nThe transactions referred to in paragraphs (a) and (b) occurred on terms no more favourable than would have been adopted if dealing at arm's length, do not have the potential to adversely affect decisions about the allocation of scarce resources and are trivial in nature.", - "page_start": 75, - "page_end": 75, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "How have been confirmed nonvanishing neutrino ?", - "target_page": 2, - "target_passage": "The nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## b. Annihilation into νs, νs (heavy sterile-like neutrinos)\n\n|M|2 = 32 g 2 B−L qf qN s − M2 Z′ + iMZ′ΓZ′ 2 (s − 4m2 N ) 3 8 s − 1 2 s 2 + m2 νs + 1 2 s 4 + m2 νs cos2 θ +4λ 2 N λ 2 νs ∂Ψ ∂h i s − M2 h + iMhΓh ∂Ψ ∂h + ∂Ψ ∂H i s − M2 H + iMH ΓH ∂Ψ ∂H 2 (s − 4m2 N )(s − 4m2 νs ). (B3)\n\n## 3. Annihilation into W+W−\n\n$$\\begin{array}{rcl}\\left|{\\cal M}\\right|^{2}&=&8\\lambda_{N}^{2}\\left(\\frac{1}{2}g^{2}v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}\\\\ &&(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{W}^{4}}\\left(\\frac{s}{2}-M_{W}^{2}\\right)^{2}\\right).\\end{array}$$\n (B4)\n\n### 4. Annihilation into ZZ\n\n$$|{\\cal M}|^{2}\\ =\\ 8\\lambda_{N}^{2}\\left(\\frac{1}{4}(g^{2}+g^{2})v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}$$\n \n$$(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{Z}^{4}}\\left(\\frac{s}{2}-M_{Z}^{2}\\right)^{2}\\right).$$\n (B5)\n\n#### 5. Annihilation into hh\n\nM1 denotes the amplitude by s-channel Higgs bosons h and H exchange, while M2 does that for t(u)-channel N exchange diagram. The formulas for NN → hH and HH can be obtained by appropriate replacement of the vertexes, e.g., λhhh → λhhH.\n\n$$|{\\cal M}|^{2}\\ =\\ |{\\cal M}_{1}+{\\cal M}_{2}|^{2},$$\n (B6) \n$$|{\\cal M}_{1}|^{2}\\ =\\ \\lambda_{N}^{2}\\left(\\frac{s}{2}-2m_{N}^{2}\\right)$$\n \n$$\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{i}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}i\\lambda_{hhh}+\\frac{\\partial\\Psi}{\\partial H}\\frac{i}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}i\\lambda_{Hhh}\\right|^{2},$$\n (B7)", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "#### I. INTRODUCTION\n\nThe nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model. The most attractive idea to naturally explain the tiny neutrino masses is the seesaw mechanism [1], in which the right-handed (RH) neutrinos singlet under the SM gauge group are introduced. The minimal gauged U(1)B−L model based on the gauge group SU(3)C ×SU(2)L ×U(1)Y × U(1)B−L [2] is an elegant and simple extension of the SM, in which the RH neutrinos of three generations are necessarily introduced because of the gauge and gravitational anomaly cancellations. In addition, the mass of RH neutrinos arises associated with the U(1)B−L gauge symmetry breaking.\n\nAlthough the scale of the B−L gauge symmetry breaking is basically arbitrary as long as phenomenological constraints are satisfied, one interesting option is to take it to be the TeV scale [3]. It has been recently pointed out [4] that when the classical conformal invariance is imposed on the minimal U(1)B−L model, the symmetry breaking scale appears to be the TeV scale naturally. If this is the case, all new particles, the Z ′ gauge boson, the B − L Higgs boson H and the RH neutrinos appear at the TeV scale unless the U(1)B−L gauge coupling is extremely small, and they can be discovered at Large Hadron Collider [5–8]. Then we may be able to understand the relation between the gauge symmetry breaking and the origin of neutrino masses.\n\nAlthough such a TeV scale model is interesting and appealing, one might think that the absence of dark matter (DM) candidate is a shortcoming of this model. A sterile RH neutrino with mass of the order of MeV is one possibility [9]. In this paper, we propose a very simple idea to introduce the DM candidate in the minimal gauged U(1)B−L model. We introduce the Z2 parity into the model and impose one of three RH neutrinos to be odd, while the others even. In this way, the Z2-odd RH neutrino becomes stable and the DM candidate. Note that two RH neutrinos are enough to reconcile with the observed neutrino oscillation data, with a prediction of one massless light neutrino. Therefore, without introducing any additional new dynamical degrees of freedom, the DM particle arises in the minimal gauged U(1)B−L model.\n\nThe paper is organized as follows. In the next section, we briefly describe our model. In section III, we estimate the thermal relic density of the RH neutrino and identify the model", - "page_start": 1, - "page_end": 1, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 2: The same as Fig. 1 but for sin θ = 0.3.\n\nmode into W-boson pair becomes kinematically available, it is not possible to obtain the desired DM abundance without the Higgs resonant annihilation because the bound on v ′ given by Eq. (12) is stringent.\n\n#### B. Direct detection of dark matter\n\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino DM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process is Higgs exchange and the resultant cross section for a proton is given by\n\n$$\\sigma_{\\rm SI}^{(p)}=\\frac{4}{\\pi}\\left(\\frac{m_{p}m_{N}}{m_{p}+m_{N}}\\right)^{2}f_{p}^{2},\\tag{17}$$\n\nwith the hadronic matrix element\n\n$$\\frac{f_{p}}{m_{p}}=\\sum_{q=u,d,s}f_{Tq}^{(p)}\\frac{\\alpha_{q}}{m_{q}}+\\frac{2}{27}f_{TG}^{(p)}\\sum_{c,b,t}\\frac{\\alpha_{q}}{m_{q}},\\tag{18}$$\n\nand the effective vertex (see Appendix for notations)\n\n$$\\alpha_{q}=-\\lambda_{N}y_{q}\\left(\\frac{\\partial\\Phi}{\\partial h}\\frac{1}{M_{h}^{2}}\\frac{\\partial\\Psi}{\\partial h}+\\frac{\\partial\\Phi}{\\partial H}\\frac{1}{M_{H}^{2}}\\frac{\\partial\\Psi}{\\partial H}\\right),\\tag{19}$$\n\nwhere mq is a mass of a quark with a Yukawa coupling yq, and f (p) T q and f (p) T G are constants.", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We also calculate the scattering cross section between the DM particle and nucleon and discuss the implication for the direct DM search experiments. We summarize our results in the section IV. Our notations and the formulas used in our analysis are listed in Appendix.\n\n# II. THE MINIMAL GAUGED U(1)B−L MODEL WITH Z2 PARITY\n\nThe model is based on the gauge group SU(3)C ×SU(2)L×U(1)Y ×U(1)B−L. Additional fields besides the standard model fields are a gauge field Z ′ µ of the U(1)B−L, a SM singlet B − L Higgs boson Ψ with two U(1)B−L charge, and three RH neutrinos Ni which are necessary for the gauge and gravitational anomaly cancellations. In describing the RH neutrinos, we use the four component representation of RH neutrino constructed from the Weyl spinor νRi ,\n\n$$N_{i}\\equiv\\left(\\begin{array}{c}\\nu_{R_{i}}\\\\ \\epsilon\\,\\nu_{R_{i}}^{*}\\end{array}\\right)\\,,\\tag{1}$$\n\nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that the RH neutrino N3 is stable and, hence, the DM candidate.\n\nDue to the additional gauge symmetry U(1)B−L, the covariant derivative for each fields is given by\n\n$$D_{\\mu}=D_{\\mu}^{(S M)}-i q_{B-L}g_{B-L}Z_{\\mu}^{\\prime},\\eqno(2)$$\n\nwhere D (SM) µ is the covariant derivative in the SM, and qB−L is the charge of each fields under the U(1)B−L with its gauge coupling gB−L.\n\nYukawa interactions relevant for the neutrino masses are given by\n\n$${\\cal L}_{int}=\\sum_{\\alpha=1}^{3}\\sum_{i=1}^{2}y_{\\alpha i}\\bar{L}_{\\alpha}\\hat{\\Phi}N_{i}-\\frac{1}{2}\\sum_{i=1}^{3}\\lambda_{R_{i}}\\bar{N}_{i}\\Psi P_{R}N_{i}+{\\rm h.c.},\\tag{3}$$\n\nwhere Φ =˜ −iτ2Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we have worked out in the basis where the second term in the right-hand-side is in flavor diagonal for RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings with the left-handed lepton doublets.\n\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B − L Higgs Ψ is generally given by\n\n$$V(\\Phi,\\Psi)=m_{1}^{2}|\\Phi|^{2}+m_{2}^{2}|\\Psi|^{2}+\\lambda_{1}|\\Phi|^{4}+\\lambda_{2}|\\Psi|^{4}+\\lambda_{3}|\\Phi|^{2}|\\Psi|^{2}.\\tag{4}$$", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n#### A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B − L gauge and B − L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′ , H and h exchange processes in the s-channel. In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed by the inverse square of the B −L Higgs VEV v ′ & 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f, W+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B − L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\n$$\\Omega_{N}h^{2}=1.1\\times10^{9}\\frac{m_{N}/T_{d}}{\\sqrt{g_{*}}M_{P}\\langle\\sigma v\\rangle}\\mathrm{GeV}^{-1},\\tag{14}$$\n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section and the relative velocity hσvi, the total number of relativistic degrees of freedom in the thermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann equation for the number density of RH neutrino nN ;\n\n$$\\frac{dn_{N}}{dt}+3Hn_{N}=-\\langle\\sigma v\\rangle(n_{N}^{2}-n_{\\rm EQ}^{2}),\\tag{15}$$\n\nand the Friedmann equation\n\n$$H^{2}\\equiv\\left(\\frac{\\dot{a}}{a}\\right)^{2}=\\frac{8\\pi}{3M_{P}^{2}}\\rho,\\tag{16}$$\n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρrad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "#### Higgs portal dark matter in the minimal gauged U(1) B − L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy, University of Alabama, Tuscaloosa, AL 35487, USA\n\n> Osamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n# Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U(1) B − L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:\n\n∗Electronic address: okadan@ua.edu\n\n†Electronic address: seto@phyics.umn.edu", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ (p) SI ∝ (sin 2θ/v′ ) 2 for a given DM mass mN . Fig. 3 shows the spin-independent cross section of RH neutrino with a proton. The resultant cross section is found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: σSI . 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such as XENON1T [26] can reach the cross section predicted in our model.\n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as those used in the previous section. The upper and lower lines correspond to sin θ = 0.7 and 0.3, respectively.\n\n#### IV. SUMMARY\n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal gauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one RH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other two RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. No additional degrees of freedom are necessary to be added. We have evaluated the relic density of the dark matter particle. The dominant annihilation modes are via the Higgs boson exchange processes in the s-channel and thus, our model can be called Higgs portal DM model. It has been found that the relic density consistent with the current observation", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12, 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev.109, 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2, 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199, 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77, 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8, 10049 (1996).\n- 6 C. M. Varma et al, Phys. Rev. Lett. 63, 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283, 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295, 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72, 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62, 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304, 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72, 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74, 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. B 69, 024514 (2004).\n- 14 J. Hwanget al, Phys. Rev. B 73, 014508 (2006).\n- 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, D. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. Greven, C. C. Homes and S. V. Dordevic, Phys. Rev. B 75, 054522 (2007).\n- 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94, 067002 (2005).\n- 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, Phys. Rev. B 70, 134504(2004), A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62, 568 (2003).\n- 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, Phys. Rev. B 58 2452 (1998).\n- 19 J. Hirsch, Physica C, 201, 347 (1992) and Ref 4.\n- 20 for a review see F. Marsiglio, J. Superconductivity and Novel Magnetism 22, 269 (2009).\n- 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. B 77 144510 (2008).\n- 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. Kuzmenko, and D. van der Marel, Phys. Rev. B 76, 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331, 150 (2000)\n\nF. Marsiglio for many discussions concerning the infrared conductivity and optical integrals and thank A. Boris, E. van Heumen, J. Hirsch, and F. Marsiglio for the comments on the manuscript. The work was supported by nsf-dmr 0906953.\n\nand Phys. Rev. B 62, 15131 (2000).\n\n- 24 A. Toschi, M. Capone, M. Ortolani, P. Calvani, S. Lupi and C. Castellani, Phys. Rev. Lett. 95, 097002 (2005).\n- 25 F. Marsiglio, F. Carbone, A. Kuzmenko and D. van der Marel, Phys. Rev. B 74, 174516 (2006).\n- 26 L. Benfatto, S. G. Sharapov, N. Andrenacci and H. Beck, Phys. Rev. B 71, 104511 (2005).\n- 27 D. van der Marel, H.J.A. Molegraaf, C. Presura, and I. Santoso, Concepts in Electron Correlations, edited by A. Hewson and V. Zlatic (Kluwer, 2003)\n- 28 L. Benfatto, J.P. Carbotte and F. Marsiglio, Phys. Rev. B 74, 155115 (2006)\n- 29 F. Marsiglio, Phys. Rev. B 73, 064507(2006).\n- 30 M.R. Norman and C. P´epin, Phys. Rev. B 66, 100506(R) (2002).\n- 31 J. Fink et al., Phys. Rev. B 74, 165102(R) (2006).\n- 32 M. Eschrig, Adv. Phys. 55, 47-183 (2006)\n- 33 M.R. Norman and A.V. Chubukov, Phys. Rev. B 73, 140501(R)(2006).\n- 34 A.E. Karakozov and E.G. Maksimov, cond-mat/0511185, A. E. Karakozov, E. G. Maksimov and O. V. Dolgov, Solid State Comm. 124, 119 (2002); A. E. Karakozov and E. G. Maksimov, ibid. 139, 80 (2006).\n- 35 see e.g., P. B. Allen, Phys. Rev. B 3, 305 (1971); S. V. Shulga, O. V. Dolgov and E. G. Maksimov, Physica C 178, 266 (1991).\n- 36 A. A. Abriskov and L. P. Gor'kov, JETP 35, 1090 (1959), Sang Boo Nam, Phys. Rev. 156, 470 (1967).\n- 37 Theory of superconductivity, Schrieffer, (W. A. Benjamin Inc., New York 1964).\n- 38 M.R. Norman, M. Randeria, H. Ding, and J.C. Campuzano, Phys. Rev. B 52, 615 (1995).\n- 39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253, 1(1995), J. C. Campuzano, M. R. Norman, and M. Randeria, \"Superconductivity\"(Vol-1), 923-992, Springer (2008).\n- 40 A. V. Chubukov, Ar. Abanov, and D. N. Basov, Phys. Rev. B 68, 024504 (2003).\n- 41 T. Valla et al., Phys. Rev. Lett 85, 828(2000).\n- 42 Kaminski et al., Phys. Rev. B 71, 014517 (2005).\n- 43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B 67, 140504(2003).\n- 44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett. 75, 4650 (1995).\n- 45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys. 52, 119 (2003).\n- 46 Dessau et al., Phys. Rev. Lett 66, 2160(1991), Norman et al, Phys. Rev. Lett. 79, 3506(1997).\n- 47 M.R. Norman and H. Ding, Phys. Rev. B 57, 11089(1998).\n- 48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev. B 66, 094515(2002).\n- 49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70, 174505(2004).\n- 50 In this respect, our results are consistent with the analysis", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆WK – the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ. For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW(ωc) to the increase of λ is merely the consequence of the fact that above we kept λωsf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ′ = λω, Σ\" = λ 2ω 2/(λωsf ), and both Σ′ and Σ′′ increase with λ if we keep λωsf constant. But at frequencies larger than ωsf , which we actually probe by ∆W(ωc), the selfenergy essentially depends only on λωsf , and increasing λ but keeping λωsf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λωsf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ ≫ 1 but also the normal state ΣNS(ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ωsf and re-did the calculation of the conductivities and optical integrals. The results for σ(ω) and ∆W(ωc) are presented in Fig. 22. We found the same behavior as before, i.e., ∆WK is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆W(ωc). In particular, for the same λ and ωsf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0.8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆W(ωc) changes sign can well be larger than the bandwidth of 1eV in which case ∆W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆WK becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆W(ωc) is predominantly governed by ∆f(ωc), i.e. by the cut-off term.50 The implication is that, to first approximation, ∆WK can be neglected and positive ∆W(wc) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆W(ωc) and the behavior of the difference of the kinetic energy between the SCS and the NS, δKE. We computed the kinetic energy as a function of λωsf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS like- δKE > 0 and increases with increasing λωsf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λωsf and eventually changes sign. The behavior of δKE at a truly strong coupling is consistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆W(ωc) at a truly strong coupling is correlated with the non-BCS behavior of δKE. At the same time, the behavior of δW(ωc) is obviously not driven by the kinetic energy as eventually δW(ωc) changes sign and become negative. Rather, the increase in the frequency range where ∆W(ωc) remains positive and non-BCS behavior of δKE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n### III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W(ωc) ∝ R ωc o σ(ω)dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆WK = ∆W(∞) between the normal and superconducting states and what is the behavior of W(ωc) and ∆W(ωc) at finite ωc. In a weak coupling BCS superconductor, ∆W(ωc) is positive at ωc < 2∆ due to a contribution from superfluid density, but becomes negative at larger ωc, and approach a negative value of ∆WK. Our study was motivated by fascinating optical experiments on the cuprates7–10. In overdoped cuprates, there is clear indication11 that ∆W(ωc) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued8,9 that ∆W integrated up to the bandwidth remains positive, while the other group argued10 that it is negative.\n\nThe reasoning why ∆WK may potentially change sign at strong coupling involves the correlation between −WK and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence −WK increases, and ∆WK is negative. At strong coupling, there is a counter effect – fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆WK is negative, but how it evolves with ωc and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW(ωc) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆W(ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What are the dominant contributions in thermal relic density ?", - "target_page": 5, - "target_passage": "In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density ΩN h 2 as a function of the DM mass mN for a set of parameters: (v ′ , Mh, MH, MZ′,sin θ) = (4000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7), for example. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as ΩDMh 2 ≃ 0.1 [15]. The figure shows that a desired DM relic abundance can be obtained for only near Higgs resonances, mN ≈ Mh/2 or MH /2.\n\nFig. 2 shows the relic density ΩN h 2 as a function of the DM mass mN for a smaller Higgs mixing sin θ = 0.3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN . MW where the DM particles dominantly annihilate into f ¯f, the relic density further increases because of the small mixing angle. When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases, but the reduction is not enough to reach ΩN h 2 ≃ 0.1.\n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter set: (v ′ , Mh, MH, MZ′,sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7).\n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16–18]. Some recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the thermal abundance is mainly controlled by the interactions between the SM Higgs boson and the DM particle. In our model, B − L Higgs VEV v ′ can play the same role for mN < MW , namely a larger v ′ corresponds to weaker coupling between DM and Higgs for a fixed DM mass. On the other hand, for mN > MW the difference appears. Even if the annihilation", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n#### A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B − L gauge and B − L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′ , H and h exchange processes in the s-channel. In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed by the inverse square of the B −L Higgs VEV v ′ & 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f, W+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B − L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\n$$\\Omega_{N}h^{2}=1.1\\times10^{9}\\frac{m_{N}/T_{d}}{\\sqrt{g_{*}}M_{P}\\langle\\sigma v\\rangle}\\mathrm{GeV}^{-1},\\tag{14}$$\n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section and the relative velocity hσvi, the total number of relativistic degrees of freedom in the thermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann equation for the number density of RH neutrino nN ;\n\n$$\\frac{dn_{N}}{dt}+3Hn_{N}=-\\langle\\sigma v\\rangle(n_{N}^{2}-n_{\\rm EQ}^{2}),\\tag{15}$$\n\nand the Friedmann equation\n\n$$H^{2}\\equiv\\left(\\frac{\\dot{a}}{a}\\right)^{2}=\\frac{8\\pi}{3M_{P}^{2}}\\rho,\\tag{16}$$\n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρrad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12, 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev.109, 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2, 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199, 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77, 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8, 10049 (1996).\n- 6 C. M. Varma et al, Phys. Rev. Lett. 63, 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283, 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295, 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72, 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62, 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304, 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72, 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74, 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. 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B 76, 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331, 150 (2000)\n\nF. Marsiglio for many discussions concerning the infrared conductivity and optical integrals and thank A. Boris, E. van Heumen, J. Hirsch, and F. Marsiglio for the comments on the manuscript. The work was supported by nsf-dmr 0906953.\n\nand Phys. Rev. B 62, 15131 (2000).\n\n- 24 A. Toschi, M. Capone, M. Ortolani, P. Calvani, S. Lupi and C. Castellani, Phys. Rev. Lett. 95, 097002 (2005).\n- 25 F. Marsiglio, F. Carbone, A. Kuzmenko and D. van der Marel, Phys. Rev. B 74, 174516 (2006).\n- 26 L. Benfatto, S. G. Sharapov, N. Andrenacci and H. Beck, Phys. Rev. B 71, 104511 (2005).\n- 27 D. van der Marel, H.J.A. Molegraaf, C. Presura, and I. Santoso, Concepts in Electron Correlations, edited by A. Hewson and V. Zlatic (Kluwer, 2003)\n- 28 L. Benfatto, J.P. Carbotte and F. Marsiglio, Phys. Rev. B 74, 155115 (2006)\n- 29 F. Marsiglio, Phys. Rev. B 73, 064507(2006).\n- 30 M.R. Norman and C. P´epin, Phys. Rev. B 66, 100506(R) (2002).\n- 31 J. Fink et al., Phys. Rev. B 74, 165102(R) (2006).\n- 32 M. Eschrig, Adv. Phys. 55, 47-183 (2006)\n- 33 M.R. Norman and A.V. Chubukov, Phys. Rev. B 73, 140501(R)(2006).\n- 34 A.E. Karakozov and E.G. Maksimov, cond-mat/0511185, A. E. Karakozov, E. G. Maksimov and O. V. Dolgov, Solid State Comm. 124, 119 (2002); A. E. Karakozov and E. G. Maksimov, ibid. 139, 80 (2006).\n- 35 see e.g., P. B. Allen, Phys. Rev. B 3, 305 (1971); S. V. Shulga, O. V. Dolgov and E. G. Maksimov, Physica C 178, 266 (1991).\n- 36 A. A. Abriskov and L. P. Gor'kov, JETP 35, 1090 (1959), Sang Boo Nam, Phys. Rev. 156, 470 (1967).\n- 37 Theory of superconductivity, Schrieffer, (W. A. Benjamin Inc., New York 1964).\n- 38 M.R. Norman, M. Randeria, H. Ding, and J.C. Campuzano, Phys. Rev. B 52, 615 (1995).\n- 39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253, 1(1995), J. C. Campuzano, M. R. Norman, and M. Randeria, \"Superconductivity\"(Vol-1), 923-992, Springer (2008).\n- 40 A. V. 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B 70, 174505(2004).\n- 50 In this respect, our results are consistent with the analysis", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "#### Higgs portal dark matter in the minimal gauged U(1) B − L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy, University of Alabama, Tuscaloosa, AL 35487, USA\n\n> Osamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n# Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U(1) B − L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:\n\n∗Electronic address: okadan@ua.edu\n\n†Electronic address: seto@phyics.umn.edu", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "- 26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72, 064413 (2005).\n- 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter, Phys. Rev. Lett. 99, 097202 (2007); R. Thomale, E. Kapit, D. F. Schroeter, and M. Greiter, Phys. Rev. B 80, 104406 (2009).\n- 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev. Lett. 88, 067203 (2002).\n- 29 F. Becca, F. Mila, Phys. Rev. Lett. 89, 037204 (2002).\n- 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93, 197203 (2004).\n- 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72, 024449 (2005).\n- 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n\nB 74, 060405(R) (2006).\n\n- 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys. Rev. B 74, 134409 (2006).\n- 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100, 077201 (2008).\n- 35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n- 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y. Tokura, Science 291, 2573 (2001).\n- 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413 (1989); X. G. Wen, Phys. Rev. B 40, 7387 (1989).\n- 38 Dimitris I. Tsomokos, Juan Jos´e Garc´ıa-Ripoll, Nigel R. Cooper, Jiannis K. Pachos, Phys. Rev. A 77, 012106 (2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - }, - { - "text": "## b. Annihilation into νs, νs (heavy sterile-like neutrinos)\n\n|M|2 = 32 g 2 B−L qf qN s − M2 Z′ + iMZ′ΓZ′ 2 (s − 4m2 N ) 3 8 s − 1 2 s 2 + m2 νs + 1 2 s 4 + m2 νs cos2 θ +4λ 2 N λ 2 νs ∂Ψ ∂h i s − M2 h + iMhΓh ∂Ψ ∂h + ∂Ψ ∂H i s − M2 H + iMH ΓH ∂Ψ ∂H 2 (s − 4m2 N )(s − 4m2 νs ). (B3)\n\n## 3. Annihilation into W+W−\n\n$$\\begin{array}{rcl}\\left|{\\cal M}\\right|^{2}&=&8\\lambda_{N}^{2}\\left(\\frac{1}{2}g^{2}v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}\\\\ &&(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{W}^{4}}\\left(\\frac{s}{2}-M_{W}^{2}\\right)^{2}\\right).\\end{array}$$\n (B4)\n\n### 4. Annihilation into ZZ\n\n$$|{\\cal M}|^{2}\\ =\\ 8\\lambda_{N}^{2}\\left(\\frac{1}{4}(g^{2}+g^{2})v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}$$\n \n$$(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{Z}^{4}}\\left(\\frac{s}{2}-M_{Z}^{2}\\right)^{2}\\right).$$\n (B5)\n\n#### 5. Annihilation into hh\n\nM1 denotes the amplitude by s-channel Higgs bosons h and H exchange, while M2 does that for t(u)-channel N exchange diagram. The formulas for NN → hH and HH can be obtained by appropriate replacement of the vertexes, e.g., λhhh → λhhH.\n\n$$|{\\cal M}|^{2}\\ =\\ |{\\cal M}_{1}+{\\cal M}_{2}|^{2},$$\n (B6) \n$$|{\\cal M}_{1}|^{2}\\ =\\ \\lambda_{N}^{2}\\left(\\frac{s}{2}-2m_{N}^{2}\\right)$$\n \n$$\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{i}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}i\\lambda_{hhh}+\\frac{\\partial\\Psi}{\\partial H}\\frac{i}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}i\\lambda_{Hhh}\\right|^{2},$$\n (B7)", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆WK – the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ. For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW(ωc) to the increase of λ is merely the consequence of the fact that above we kept λωsf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ′ = λω, Σ\" = λ 2ω 2/(λωsf ), and both Σ′ and Σ′′ increase with λ if we keep λωsf constant. But at frequencies larger than ωsf , which we actually probe by ∆W(ωc), the selfenergy essentially depends only on λωsf , and increasing λ but keeping λωsf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λωsf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ ≫ 1 but also the normal state ΣNS(ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ωsf and re-did the calculation of the conductivities and optical integrals. The results for σ(ω) and ∆W(ωc) are presented in Fig. 22. We found the same behavior as before, i.e., ∆WK is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆W(ωc). In particular, for the same λ and ωsf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0.8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆W(ωc) changes sign can well be larger than the bandwidth of 1eV in which case ∆W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆WK becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆W(ωc) is predominantly governed by ∆f(ωc), i.e. by the cut-off term.50 The implication is that, to first approximation, ∆WK can be neglected and positive ∆W(wc) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆W(ωc) and the behavior of the difference of the kinetic energy between the SCS and the NS, δKE. We computed the kinetic energy as a function of λωsf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS like- δKE > 0 and increases with increasing λωsf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λωsf and eventually changes sign. The behavior of δKE at a truly strong coupling is consistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆W(ωc) at a truly strong coupling is correlated with the non-BCS behavior of δKE. At the same time, the behavior of δW(ωc) is obviously not driven by the kinetic energy as eventually δW(ωc) changes sign and become negative. Rather, the increase in the frequency range where ∆W(ωc) remains positive and non-BCS behavior of δKE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n### III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W(ωc) ∝ R ωc o σ(ω)dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆WK = ∆W(∞) between the normal and superconducting states and what is the behavior of W(ωc) and ∆W(ωc) at finite ωc. In a weak coupling BCS superconductor, ∆W(ωc) is positive at ωc < 2∆ due to a contribution from superfluid density, but becomes negative at larger ωc, and approach a negative value of ∆WK. Our study was motivated by fascinating optical experiments on the cuprates7–10. In overdoped cuprates, there is clear indication11 that ∆W(ωc) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued8,9 that ∆W integrated up to the bandwidth remains positive, while the other group argued10 that it is negative.\n\nThe reasoning why ∆WK may potentially change sign at strong coupling involves the correlation between −WK and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence −WK increases, and ∆WK is negative. At strong coupling, there is a counter effect – fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆WK is negative, but how it evolves with ωc and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW(ωc) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆W(ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "FIG. 21: Distribution functions n(ǫ) for CB model for λ = 1 and λ = 7 and a constant ωsf = 26 meV . We set ∆ = 30meV . For smaller λ (top), quasiparticles near the FS are well defined as indicated by the well pronounced jump in n(ǫ). For λ = 7, n(ǫ) is rather smooth implying that a coherence is almost lost. Some irregularities is the SCS distribution function are due to finite sampling in the frequency domain. The irregularities disappear when finer mesh for frequencies is chosen.\n\nshows up in the optical gap), where as in the BCSI case it would have always begun from 2∆. In Fig 18 we plot the Kubo sums WK vs coupling λ. We see that for all λ, WK in the NS stays larger than in the SCS. Fig 19 shows the cutoff dependence of the optical integrals W(ωc) for λ = 1 separately in the NS and the SCS. We again see that only about 73% of the Kubo sum is recovered up to the bandwidth of 1 eV indicating that there is a significant amount left to recover beyond this energy scale. Fig 20 shows ∆W for the two different couplings. We see that, for both λ's, there is only one zero-crossing for the ∆W curve, and ∆W is negative at larger frequencies. The only difference between the two plots is that for larger coupling the dip in ∆W gets 'shallower'. Observe also that the solid line in Fig. 20 is rather far away from the dashed line at ωc > 1meV , which indicates that, although ∆W(ωc) in this region has some dependence on ωc, still the largest part of ∆W(ωc) is ∆WK, while the contribution from ∆f(ωc) is smaller.\n\nFIG. 22: Top – conductivity at a larger value of ωsf λ (ωsf = 26 meV ,λ = 7) consistent with the one used in Ref.33). Bottom – ∆W with and without lattice. Observe that the frequency of zero crossing of ∆W enhances compared to the case of a smaller λωsf and becomes comparable to the bandwidth. At energies smaller than the bandwidth, ∆W > 0, as in the Norman- P´epin model.\n\nFIG. 23: Kinetic energy difference between the SCS and the NS, δKE We set λ to be either λ = 1 or λ = 10 and varied ωsf thus changing the overall prefactor in the self-energy. At weak coupling (λ = 1) the behavior is BCS-like – δKE is positive and increases with the overall factor in the self-energy. At strong coupling (λ = 7), δKE shows a reverse trend at larger ωsf .\n\nThe negative sign of ∆W(ωc) above a relatively small ωc ∼ 0.1 − 0.2eV implies that the 'compensating' effect from the fermionic self-energy on ∆W is not strong enough to overshadow the decrease of the optical integral in the SCS due to gap opening. In other words,the CB model displays the same behavior as BCSI, EB, and", - "page_start": 12, - "page_end": 12, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What happend to the annihilation and the relic density when the DM is heavier ?", - "target_page": 6, - "target_passage": "When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density ΩN h 2 as a function of the DM mass mN for a set of parameters: (v ′ , Mh, MH, MZ′,sin θ) = (4000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7), for example. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as ΩDMh 2 ≃ 0.1 [15]. The figure shows that a desired DM relic abundance can be obtained for only near Higgs resonances, mN ≈ Mh/2 or MH /2.\n\nFig. 2 shows the relic density ΩN h 2 as a function of the DM mass mN for a smaller Higgs mixing sin θ = 0.3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN . MW where the DM particles dominantly annihilate into f ¯f, the relic density further increases because of the small mixing angle. When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases, but the reduction is not enough to reach ΩN h 2 ≃ 0.1.\n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter set: (v ′ , Mh, MH, MZ′,sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0.7).\n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16–18]. Some recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the thermal abundance is mainly controlled by the interactions between the SM Higgs boson and the DM particle. In our model, B − L Higgs VEV v ′ can play the same role for mN < MW , namely a larger v ′ corresponds to weaker coupling between DM and Higgs for a fixed DM mass. On the other hand, for mN > MW the difference appears. Even if the annihilation", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n#### A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B − L gauge and B − L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z ′ , H and h exchange processes in the s-channel. In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams, because the Z ′ exchange processes are suppressed by the inverse square of the B −L Higgs VEV v ′ & 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯f, W+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B − L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\n$$\\Omega_{N}h^{2}=1.1\\times10^{9}\\frac{m_{N}/T_{d}}{\\sqrt{g_{*}}M_{P}\\langle\\sigma v\\rangle}\\mathrm{GeV}^{-1},\\tag{14}$$\n\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section and the relative velocity hσvi, the total number of relativistic degrees of freedom in the thermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann equation for the number density of RH neutrino nN ;\n\n$$\\frac{dn_{N}}{dt}+3Hn_{N}=-\\langle\\sigma v\\rangle(n_{N}^{2}-n_{\\rm EQ}^{2}),\\tag{15}$$\n\nand the Friedmann equation\n\n$$H^{2}\\equiv\\left(\\frac{\\dot{a}}{a}\\right)^{2}=\\frac{8\\pi}{3M_{P}^{2}}\\rho,\\tag{16}$$\n\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρrad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 2: The same as Fig. 1 but for sin θ = 0.3.\n\nmode into W-boson pair becomes kinematically available, it is not possible to obtain the desired DM abundance without the Higgs resonant annihilation because the bound on v ′ given by Eq. (12) is stringent.\n\n#### B. Direct detection of dark matter\n\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino DM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process is Higgs exchange and the resultant cross section for a proton is given by\n\n$$\\sigma_{\\rm SI}^{(p)}=\\frac{4}{\\pi}\\left(\\frac{m_{p}m_{N}}{m_{p}+m_{N}}\\right)^{2}f_{p}^{2},\\tag{17}$$\n\nwith the hadronic matrix element\n\n$$\\frac{f_{p}}{m_{p}}=\\sum_{q=u,d,s}f_{Tq}^{(p)}\\frac{\\alpha_{q}}{m_{q}}+\\frac{2}{27}f_{TG}^{(p)}\\sum_{c,b,t}\\frac{\\alpha_{q}}{m_{q}},\\tag{18}$$\n\nand the effective vertex (see Appendix for notations)\n\n$$\\alpha_{q}=-\\lambda_{N}y_{q}\\left(\\frac{\\partial\\Phi}{\\partial h}\\frac{1}{M_{h}^{2}}\\frac{\\partial\\Psi}{\\partial h}+\\frac{\\partial\\Phi}{\\partial H}\\frac{1}{M_{H}^{2}}\\frac{\\partial\\Psi}{\\partial H}\\right),\\tag{19}$$\n\nwhere mq is a mass of a quark with a Yukawa coupling yq, and f (p) T q and f (p) T G are constants.", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "## b. Annihilation into νs, νs (heavy sterile-like neutrinos)\n\n|M|2 = 32 g 2 B−L qf qN s − M2 Z′ + iMZ′ΓZ′ 2 (s − 4m2 N ) 3 8 s − 1 2 s 2 + m2 νs + 1 2 s 4 + m2 νs cos2 θ +4λ 2 N λ 2 νs ∂Ψ ∂h i s − M2 h + iMhΓh ∂Ψ ∂h + ∂Ψ ∂H i s − M2 H + iMH ΓH ∂Ψ ∂H 2 (s − 4m2 N )(s − 4m2 νs ). (B3)\n\n## 3. Annihilation into W+W−\n\n$$\\begin{array}{rcl}\\left|{\\cal M}\\right|^{2}&=&8\\lambda_{N}^{2}\\left(\\frac{1}{2}g^{2}v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}\\\\ &&(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{W}^{4}}\\left(\\frac{s}{2}-M_{W}^{2}\\right)^{2}\\right).\\end{array}$$\n (B4)\n\n### 4. Annihilation into ZZ\n\n$$|{\\cal M}|^{2}\\ =\\ 8\\lambda_{N}^{2}\\left(\\frac{1}{4}(g^{2}+g^{2})v\\right)^{2}\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{1}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}\\frac{\\partial\\phi}{\\partial h}+\\frac{\\partial\\Psi}{\\partial H}\\frac{1}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}\\frac{\\partial\\phi}{\\partial H}\\right|^{2}$$\n \n$$(s-4m_{N}^{2})\\left(1+\\frac{1}{2M_{Z}^{4}}\\left(\\frac{s}{2}-M_{Z}^{2}\\right)^{2}\\right).$$\n (B5)\n\n#### 5. Annihilation into hh\n\nM1 denotes the amplitude by s-channel Higgs bosons h and H exchange, while M2 does that for t(u)-channel N exchange diagram. The formulas for NN → hH and HH can be obtained by appropriate replacement of the vertexes, e.g., λhhh → λhhH.\n\n$$|{\\cal M}|^{2}\\ =\\ |{\\cal M}_{1}+{\\cal M}_{2}|^{2},$$\n (B6) \n$$|{\\cal M}_{1}|^{2}\\ =\\ \\lambda_{N}^{2}\\left(\\frac{s}{2}-2m_{N}^{2}\\right)$$\n \n$$\\left|\\frac{\\partial\\Psi}{\\partial h}\\frac{i}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}i\\lambda_{hhh}+\\frac{\\partial\\Psi}{\\partial H}\\frac{i}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}i\\lambda_{Hhh}\\right|^{2},$$\n (B7)", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "can be achieved only when the annihilation processes are enhanced by Higgs resonances. Therefore, the mass of the RH neutrino DM should be around a half of Higgs boson masses. We have also calculated the elastic scattering cross section between the DM particle and a proton and found it within the reach of future experiments for the direct DM search.\n\n#### Appendix A: The Higgs sector\n\nThe Higgs potential (4) contains five parameters: m2 1 , m2 2 , λ1, λ2 and λ3. These parameters can be rewritten in terms of two Higgs VEVs, two physical Higgs masses and the mixing angle between them. The stationary conditions are\n\n$$m_{1}^{2}+\\lambda_{1}v^{2}+\\frac{1}{2}\\lambda_{3}v^{\\prime2}=0,\\tag{10}$$\n\n$$m_{2}^{2}+\\lambda_{2}v^{2}+\\frac{1}{2}\\lambda_{3}v^{\\prime2}=0.\\tag{10}$$\n\nThe physical Higgs masses are given by Eqs. (8) and (9) with the mixing angle that θ satisfies\n\n$$\\tan2\\theta=-\\frac{\\lambda_{3}vv^{\\prime}}{(\\lambda_{1}v^{2}-\\lambda_{2}v^{\\prime2})}.\\tag{10}$$\n\nHiggs self interaction terms are expressed as\n\n$${\\cal L}_{int}=\\lambda_{1}v\\phi^{3}+\\lambda_{2}v^{\\prime}\\psi^{3}+\\frac{1}{2}\\lambda_{3}(v\\phi\\psi^{2}+v^{\\prime}\\psi\\phi^{2})+\\frac{1}{4}(\\lambda_{1}\\phi^{4}+\\lambda_{2}\\psi^{4}+\\lambda_{3}\\phi^{2}\\psi^{2}),$$\n (A4)\n\nin terms of φ and ψ. With Eq. (7), these are rewritten in terms of h and H with θ as\n\nLint = λ1v cos3 θ − λ2v ′ sin3 θ + 1 2 λ3(v cos θ sin2 θ − v ′ sin θ cos2 θ) hhh + 3λ1v cos2 θ sin θ + 3λ2v ′ sin2 θ cos θ + 1 2 λ3(v(sin3 θ − 2 cos2 θ sin θ) +v ′ (cos3 θ − 2 sin2 θ cos θ)) hhH + 3λ1v cos θ sin2 θ − 3λ2v ′ sin θ cos2 θ + 1 2 λ3(v(cos3 θ − 2 sin2 θ cos θ) +v ′ (− sin3 θ + 2 sin θ cos2 θ)) hHH + λ1v sin3 θ + λ2v ′ cos3 θ + 1 2 λ3(v sin θ cos2 θ + v ′ sin2 θ cos θ) HHH +four point interactions. (A5)\n\nWe can read off a Higgs three point vertex from Eq. (A5).", - "page_start": 8, - "page_end": 8, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ (p) SI ∝ (sin 2θ/v′ ) 2 for a given DM mass mN . Fig. 3 shows the spin-independent cross section of RH neutrino with a proton. The resultant cross section is found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: σSI . 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such as XENON1T [26] can reach the cross section predicted in our model.\n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as those used in the previous section. The upper and lower lines correspond to sin θ = 0.7 and 0.3, respectively.\n\n#### IV. SUMMARY\n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal gauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one RH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other two RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. No additional degrees of freedom are necessary to be added. We have evaluated the relic density of the dark matter particle. The dominant annihilation modes are via the Higgs boson exchange processes in the s-channel and thus, our model can be called Higgs portal DM model. It has been found that the relic density consistent with the current observation", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "#### Higgs portal dark matter in the minimal gauged U(1) B − L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy, University of Alabama, Tuscaloosa, AL 35487, USA\n\n> Osamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n# Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U(1) B − L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:\n\n∗Electronic address: okadan@ua.edu\n\n†Electronic address: seto@phyics.umn.edu", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We also calculate the scattering cross section between the DM particle and nucleon and discuss the implication for the direct DM search experiments. We summarize our results in the section IV. Our notations and the formulas used in our analysis are listed in Appendix.\n\n# II. THE MINIMAL GAUGED U(1)B−L MODEL WITH Z2 PARITY\n\nThe model is based on the gauge group SU(3)C ×SU(2)L×U(1)Y ×U(1)B−L. Additional fields besides the standard model fields are a gauge field Z ′ µ of the U(1)B−L, a SM singlet B − L Higgs boson Ψ with two U(1)B−L charge, and three RH neutrinos Ni which are necessary for the gauge and gravitational anomaly cancellations. In describing the RH neutrinos, we use the four component representation of RH neutrino constructed from the Weyl spinor νRi ,\n\n$$N_{i}\\equiv\\left(\\begin{array}{c}\\nu_{R_{i}}\\\\ \\epsilon\\,\\nu_{R_{i}}^{*}\\end{array}\\right)\\,,\\tag{1}$$\n\nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that the RH neutrino N3 is stable and, hence, the DM candidate.\n\nDue to the additional gauge symmetry U(1)B−L, the covariant derivative for each fields is given by\n\n$$D_{\\mu}=D_{\\mu}^{(S M)}-i q_{B-L}g_{B-L}Z_{\\mu}^{\\prime},\\eqno(2)$$\n\nwhere D (SM) µ is the covariant derivative in the SM, and qB−L is the charge of each fields under the U(1)B−L with its gauge coupling gB−L.\n\nYukawa interactions relevant for the neutrino masses are given by\n\n$${\\cal L}_{int}=\\sum_{\\alpha=1}^{3}\\sum_{i=1}^{2}y_{\\alpha i}\\bar{L}_{\\alpha}\\hat{\\Phi}N_{i}-\\frac{1}{2}\\sum_{i=1}^{3}\\lambda_{R_{i}}\\bar{N}_{i}\\Psi P_{R}N_{i}+{\\rm h.c.},\\tag{3}$$\n\nwhere Φ =˜ −iτ2Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we have worked out in the basis where the second term in the right-hand-side is in flavor diagonal for RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings with the left-handed lepton doublets.\n\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B − L Higgs Ψ is generally given by\n\n$$V(\\Phi,\\Psi)=m_{1}^{2}|\\Phi|^{2}+m_{2}^{2}|\\Psi|^{2}+\\lambda_{1}|\\Phi|^{4}+\\lambda_{2}|\\Psi|^{4}+\\lambda_{3}|\\Phi|^{2}|\\Psi|^{2}.\\tag{4}$$", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆WK – the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ. For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW(ωc) to the increase of λ is merely the consequence of the fact that above we kept λωsf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ′ = λω, Σ\" = λ 2ω 2/(λωsf ), and both Σ′ and Σ′′ increase with λ if we keep λωsf constant. But at frequencies larger than ωsf , which we actually probe by ∆W(ωc), the selfenergy essentially depends only on λωsf , and increasing λ but keeping λωsf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λωsf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ ≫ 1 but also the normal state ΣNS(ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ωsf and re-did the calculation of the conductivities and optical integrals. The results for σ(ω) and ∆W(ωc) are presented in Fig. 22. We found the same behavior as before, i.e., ∆WK is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆W(ωc). In particular, for the same λ and ωsf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0.8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆W(ωc) changes sign can well be larger than the bandwidth of 1eV in which case ∆W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆WK becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆W(ωc) is predominantly governed by ∆f(ωc), i.e. by the cut-off term.50 The implication is that, to first approximation, ∆WK can be neglected and positive ∆W(wc) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆W(ωc) and the behavior of the difference of the kinetic energy between the SCS and the NS, δKE. We computed the kinetic energy as a function of λωsf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS like- δKE > 0 and increases with increasing λωsf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λωsf and eventually changes sign. The behavior of δKE at a truly strong coupling is consistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆W(ωc) at a truly strong coupling is correlated with the non-BCS behavior of δKE. At the same time, the behavior of δW(ωc) is obviously not driven by the kinetic energy as eventually δW(ωc) changes sign and become negative. Rather, the increase in the frequency range where ∆W(ωc) remains positive and non-BCS behavior of δKE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n### III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W(ωc) ∝ R ωc o σ(ω)dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆WK = ∆W(∞) between the normal and superconducting states and what is the behavior of W(ωc) and ∆W(ωc) at finite ωc. In a weak coupling BCS superconductor, ∆W(ωc) is positive at ωc < 2∆ due to a contribution from superfluid density, but becomes negative at larger ωc, and approach a negative value of ∆WK. Our study was motivated by fascinating optical experiments on the cuprates7–10. In overdoped cuprates, there is clear indication11 that ∆W(ωc) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued8,9 that ∆W integrated up to the bandwidth remains positive, while the other group argued10 that it is negative.\n\nThe reasoning why ∆WK may potentially change sign at strong coupling involves the correlation between −WK and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence −WK increases, and ∆WK is negative. At strong coupling, there is a counter effect – fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆WK is negative, but how it evolves with ωc and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW(ωc) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆W(ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is the aim of LLM routers ?", - "target_page": 1, - "target_passage": "LLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7].\n\n### 3 LLM Control Plane Integrity\n\nIn this section, we define *LLM control plane integrity*. Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by a string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the case of n = 2, and, for reasons that will be clear in a moment, use Ms (\"strong\") and Mw (\"weak\") to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ←$ RMω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a query.\n\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of LLM invocations Mij (zj ) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RMω (x). Here m is the total number of LLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\n$$T=(i_{1},z_{1}),(i_{2},z_{2}),\\ldots,(i_{m},z_{m})$$\n\nof pairs of model indexes ij ∈ {w, s} and model inputs zj . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x),(s, x)}. We write submitting a sequence of inferences ⃗x = ⃗x1, . . . , ⃗xq to a control plane as\n\n$$R_{\\omega}^{\\mathcal{M}}(\\vec{x})=(R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{1}),\\ldots,R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{q}))$$\n\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however, each invocation results in a single LLM invocation.\n\nAn *inference flow policy* dictates the control plane designer's intention regarding use of the underlying models. For example, an application may want to ensure that only a small fraction of queries go to the expensive model Ms. We can define this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply defined as a predicate P over (input, model) pairs (⃗x1, i1), . . . ,(⃗xq, iq) since this fully defines the sequence of transcripts. For example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences:\n\n$${\\mathcal{P}}(({\\vec{x}}_{1},i_{1}),\\ldots,({\\vec{x}}_{q},i_{q}))=\\left(\\sum_{j=1}^{q}{\\frac{\\mathbb{I}(i_{j})}{q}}\\leq\\epsilon\\right)$$", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "# REROUTING LLM ROUTERS\n\nA PREPRINT\n\nAvital Shafran The Hebrew University of Jerusalem\n\nRoei Schuster Wild Moose\n\nThomas Ristenpart Cornell Tech\n\nVitaly Shmatikov Cornell Tech\n\n### ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call \"confounder gadgets\" that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n### 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, o1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed *LLM routing* systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. Given query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 if Ms is required. The system then routes q accordingly.\n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce *LLM control plane integrity* as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, *LLM control plane integrity*. Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent \"confounder gadgets.\" When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n# Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 1: LLM routers classify queries and route complex ones to an expensive/strong model, others to a cheaper/weak model. To control costs, LLM routers can be calibrated to maintain (for an expected workload) a specific ratio between queries sent to the strong and weak models.\n\nTo initiate the study of this problem, we show that existing LLM routing algorithms are not adversarially robust. We design, implement, and evaluate a method that generates *query-independent* adversarial token sequences we call \"confounder gadgets.\" If a gadget is added to any query, this query is routed to the strong model with high probability. Next, we show that this attack is effective even in the *transfer* setting where the adversary does not have full knowledge of the target LLM router (it is black-box), but has access to another router (e.g., an internally trained surrogate). We also evaluate the integrity of commercial LLM routers, showing that they can be confounded as well.\n\nThird, we investigate defenses. Our basic method generates gadgets that have anomalously high perplexity. Confounded queries are thus easily distinguished from normal queries and can be filtered out by the routing system. Unfortunately, this defense can be evaded by an adversary who incorporates a low-perplexity objective into the gadget generation algorithm, producing gadgets that have low perplexity—and yet are effective at re-routing queries to the strong model. We also discuss higher-level defenses, such as identifying users whose queries are routed to the strong model with abnormal frequency.\n\nRouting attacks can be deployed for various adversarial objectives, e.g., to ensure that the adversary always obtains the highest-quality answer regardless of the target applications's internal routing policies and cost constraints, or to maliciously inflate the target's LLM costs. As LLM control planes grow in importance and sophistication, we hope that this work will motivate further research on their adversarial robustness.\n\n# 2 LLM Control Planes and Routing\n\nInference using large language models (LLMs) is traditionally monolithic: a single model is applied to an input or sequence of inputs. This methodology can be sub-optimal for various reasons. State-of-the-art models are often expensive, with API access to LLMs costing as much as several dollars for each query. Elsewhere, distinct LLMs may excel at different tasks, and selectively using them may improve overall quality on a diverse workload. Finally, combining multiple LLMs, even all trained for similar tasks, may become increasingly prevalent as performance improvements of individual LLMs plateaus [8–10].\n\nResearchers and practitioners are therefore now developing inference architectures that use multiple LLMs to answer queries. These LLMs are orchestrated by what we call an *LLM control plane* (borrowing the terminology from networking [13]). The control plane may route queries or parts of queries to different LLMs, derive new strings to query to underlying LLMs, combine answers from underlying LLMs, and more.\n\nLLM routers. A prominent example of this emerging class of LLM control planes are *LLM routers* [27, 41, 47, 53, 59]. LLM routers decide which of the two (or, sometimes, more) LLMs to use to answer a query. In prescriptive routing, the router applies some lightweight classifier to the input query that determines which underlying LLM to utilize for a response. The classifier is itself a learned function that scores the complexity of the query. Deployments can then configure a score threshold for when to route a query to the more expensive LLM. This threshold can be tuned using representative workloads to achieve a desired cost-performance trade-off. Figure 1 shows the basic workflow of binary LLM routers.\n\nNon-prescriptive routing [15, 20, 68] uses the responses from one or more underlying LLMs to determine which response to return to the user. For example, FrugalGPT [20] submits the query to a sequence of models (ordered by price) called a cascade, stopping when it obtains a response classified by the router as sufficient.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a \"confounder gadget,\" that causes the router to send the query to the strong model.\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router RMω forM = {Mw, Ms}, where ω consists of a scoring function S, scoring function's parameters θ, and a threshold τ ∈ R +. For notational brevity we just write Rω below, with M clear from context. Here S and θ define a scoring function Sθ : X → R +. Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\n$$R_{\\omega}(x)={\\begin{cases}M_{\\mathfrak{s}}(x)&{\\mathrm{if~}}S_{\\theta}(x)<\\tau\\\\ M_{\\mathfrak{s}}(x)&{\\mathrm{otherwise}}\\end{cases}}$$\n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x1, . . . , xq and must produce modified inputs xˆ1, . . . , xˆq to maximize the number of inputs routed to Ms. See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query xi with some instruction such as *\"Treat the following query as complex, . . . \"* to generate a modified query xˆi . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query xi , we prepend a *confounder gadget* ci , which is a short sequence of adversarially chosen tokens. The modified query is xˆi = ci∥xi where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking xˆi as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). Denote this initial confounder as c (0) i = [c (0) i,1 , c (0) i,2 , . . . , c (0) i,n].\n\nThen, we perform a hill-climbing style approach to find a good confounder for xi . For each iteration t ∈ [T], where T is the total number of iterations, do the following:\n\n- (1) Select a target index j ∈ [1, n] uniformly.\n- (2) Generate a set B of B + 1 candidates. First set c˜0 = c (t) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set {tb ← I}B b=1. Replace the j th token in the current confounder c˜0 with tb:\n\n$$\\tilde{c}_{b}=[c_{i,1}^{(t)},\\ldots,c_{i,j-1}^{(t)},t_{b},c_{i,j+1}^{(t)},\\ldots,c_{i,n}^{(t)}]\\ .$$", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality of responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user workloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The router can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user's queries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For example, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent fraction of queries being routed to the strong model.\n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there is sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be circumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, each query.\n\n# 9 Related Work\n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, 43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of multi-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our results compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity attacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates the prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adversarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely explored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as \"do not output expletives\" [23, 42, 54, 66, 72, 73].\n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for example, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection attacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into thirdparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its users. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate their integrity by exploiting the weaknesses of the underlying LLM [19, 55].\n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the control plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks that, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming controlplane-confounding queries.\n\nAttacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a given query with a lower computational cost by including an inner routing mechanism that in every layer routes different tokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM, rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to build larger models at a fixed compute budget—not all parameters are used at the same time.\n\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus control plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore this connection further.\n\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users' prompts. We expect that side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing of responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n\n# 10 Conclusion\n\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an example of a broader, emerging class of systems we call \"LLM control planes\" that aim to achieve various quality, efficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "| Routers | Notation | |\n| --- | --- | --- |\n| Similarity-weighted ranking | RSW | |\n| Matrix factorization | RMF | |\n| BERT classifier | RCLS | |\n| LLM scoring | RLLM | |\n| LLM pair | Strong (Ms) | Weak (Mw) |\n| 1 | Llama-3.1-8B | 4-bit Mixtral 8x7B |\n| 2 | Llama-3.1-8B | Mistral-7B-Instruct-v0.3 |\n| 3 | Llama-3.1-8B | Llama-2-7B-chat-hf |\n| 4 | GPT-4-1106-preview | 4-bit Mixtral 8x7B |\n| Benchmark | Description | |\n| MT-Bench [71] | 160 open-ended questions | |\n| MMLU [35] | 14,042 multi-choice questions | |\n| GSM8K [24] | 1,319 grade-school math problems | |\n\nFigure 3: Summary of our setup for routers, underlying LLMs, and benchmark datasets used in the experiments.\n\nIn all experiments, we assume that the adversary's goal is to reroute queries to the strong model. In Appendix E, we evaluate efficacy of the attack when the goal is to reroute to the weak model.\n\nTarget routers. We focus our evaluation on the four prescriptive routing algorithms proposed by Ong et al. [47], which provides open-source code and trained parameters, and does so for a representative variety of routing approaches: similarity-based classification [41, 59], an MLP constructed via matrix factorization [59], BERT-based classification [27, 53, 59], and a fine-tuned LLM.\n\nThe routers we evaluate were trained in a supervised fashion using a set of reference (training) queries whose performance score on each of the considered models is known. The scores were computed from a collection of human pairwise rankings of model answers for each of the queries. We note that while the routers we consider are all learned using this training set, there is no reason to believe a non-learning-based approach (e.g., rule based) to routing would be more adversarially robust.\n\nWe now outline the routing methods considered in this work. See Ong et al. [47] for their full implementation details.\n\n*Similarity-weighted ranking:* The first method is based on the Bradley-Terry (BT) model [17]. For a given user query, this model derives a function to compute the probability of the weak model being preferred over the strong model. The probability-function expressions all share parameters, which are optimized to minimize the sum of cross-entropy losses over the training-set queries, where each element in the sum is weighted by the respective query's similarity with the user's query (computed as embeddings cosine similarity, with the embedding derived using OpenAI's text-embedding-3 small [6]). We denote this method as RSW .\n\n*Matrix factorization:* The second method is based on matrix factorization. The training queries are used to train a bilinear function mapping a model's embedding and a query's embedding to a score corresponding to how well the model performs on the query. Routing is done by computing the score of the input query for each model, and choosing the highest-scoring model. We denote this method as RMF .\n\n*BERT classifier:* The third method involves fine-tuning a classifier, based on the BERT-base architecture [26], to predict which of the two models produces a better response for the given query or whether they do equally well (a tie). The routing decision is based on the probability of the weak model providing a better response versus the strong model or the tie. We denote this method as RCLS.\n\n*LLM classifier:* The last method is based on asking an LLM to provide a score in the range 1–5 of how an AI expert would struggle to respond to a given query based on the query's complexity. For this, Ong et al. fine-tuned a Llama-3-8B model [4] using their reference set of queries and corresponding scores. We denote this method as RLLM.\n\nUnderlying LLMs. In [47], Ong et al. trained the routers with GPT-4-1106-preview [14] as the strong model and Mixtral 8x7B [39] as the weak model. They report successful generalization between the underlying LLMs, stating that their routers trained for a particular strong-weak LLM pair can be used with other strong-weak LLM pairs.\n\nTo allow our evaluation to scale, we use as the strong model Ms the open-sourced Llama-3.1-8B [3] and as Mw the 4-bit quantized version of Mixtral 8x7B (for efficiency reasons). This reduced the cost of our experiments by avoiding expensive GPT API calls and lowering the computational costs of Mixtral. Unless mentioned otherwise, all of our results", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - }, - { - "text": "| | RSW | | RMF | | RCLS | | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Original | Confounded | Original | Confounded | Original | Confounded | Original | Confounded |\n| MT-Bench | 9.2 | 9.2 ± 0.0 | 9.1 | 9.3 ± 0.0 | 9.2 | 9.1 ± 0.0 | 8.9 | 9.1 ± 0.1 |\n| MMLU | 76 | 84 ± 1 | 76 | 81 ± 0 | 76 | 84 ± 0 | 78 | 84 ± 1 |\n| GSM8K | 62 | 86 ± 0 | 65 | 88 ± 1 | 68 | 90 ± 2 | 66 | 85 ± 2 |\n\nTable 10: Benchmark-specific average scores of responses to the original and confounded queries with GPT-4-1106 preview as the strong model (LLM pair 4), in the white-box setting. Results demonstrate a higher increase in performance with respect to the LLM pair 1 setting, due to the larger performance gap between the models.\n\nconfounder gadgets, queries originally routed to GPT are still routed to GPT and no queries are ever routed to Claude. For queries originally routed to Llama, some gadgets result in *all* of them being rerouted to GPT, and some have no impact. Specifically, 4 out of the 10 gadgets we optimized using RSW caused all queries to be rerouted to GPT, 2/10 using RMF , and 3/10 using RLLM. None of the gadgets optimized using RCLS had any impact on routing. In terms of costs, having all queries being rerouted to GPT results with an average cost of $0.25, a greater than 8× increase over the cost of the original queries. Given the lack of documentation of the routing algorithm being used, we are unsure what explains the variability across gadgets.\n\nMartian. This router is supposed to let the user provide a list of models and to specify the maximum amount the user is willing to pay for a query or for 1M tokens. Unfortunately, as of November 14, 2024, the router appears to ignore the list models provided by the user, and forwards the input to the same LLM regardless of it. We tested this in settings including one, two, or multiple models. While responses do not specify which LLM was used, they were identical across settings, so we excluded Martian from our evaluation. We notified Martian about the seemingly buggy behavior.\n\n# 8 Defenses\n\nDefenses against rerouting should be cheap. If the per-query cost of the defense is comparable to the per-query cost of a strong LLM, deploying the defense will defeat the main purpose of LLM routing, which is to reduce the cost of responding to queries.\n\nPerplexity-based filtering. As explained in Section 6, perplexity is a measure of how \"natural\" the text looks. Perplexitybased filtering has been suggested in many contexts as a defense against adversarial text inputs [16, 36]. This defense computes the perplexity of multiple \"trusted\" texts, then compares it with the perplexity of the suspicious text. If the latter is significantly higher, or above some predefined threshold, the text is considered adversarial. Specifically, we assume the defender has access to a set of unmodified queries. The defender computes their perplexity values and uses these values to establish a threshold. Given a new query, the defender checks if its perplexity exceeds the threshold. If so, the query is flagged as adversarial. The defender can then decide how to handle such queries. Options include rejecting them or routing them all to the weak model. Computing the perplexity of a query can be cheap to do, e.g., using GPT-2 as we do in this work; this makes it viable for use as a defense that doesn't undermine the benefits of routing.\n\nTo evaluate the effectiveness of such a defense against our attack, we compare the perplexity values of original and confounded queries. Figure 5 presents histograms of perplexity values for both the original evaluated GSM8K queries and their corresponding confounded versions, generated using one of the confounder gadgets, sampled uniformly at random. Additionally, the figure displays the ROC curve for the defense that detects confounded queries by checking if their perplexity exceeds a threshold. As can be seen, the confounded queries exhibit significantly higher perplexity values, making them readily distinguishable from the original queries. For instance, in the case of the RSW router, setting the threshold value at 55 yields a false-positive rate of 3% and a true-positive rate of 97%. Results are similar for other gadgets and benchmarks and were omitted due to space constraints.\n\nUnfortunately, this defense can be evaded if an adversary incorporates a perplexity constraint into the gadget generation process. To demonstrate the feasibility of this evasion strategy, we modify gadget generation to maximize the score of the routing algorithm R and simultaneously aligning the the gadget's perplexity to some predefined perplexity value. In more detail, in each iteration t ∈ [T], we uniformly sample a target index j ∈ [1, n] and generate a set B of B + 1 candidates as explained in Section 4. We then modify Eq. 1 such that we now find the candidate that maximizes the difference between the router's score and the perplexity constraint for the confounder:\n\n$$c^{(t+1)}\\leftarrow\\operatorname*{arg\\,max}_{c\\in\\mathcal{B}}\\;\\left(S_{\\theta}(c\\|x_{i})-\\alpha\\cdot|\\mathrm{{\\sf{PPL}}}(c)-\\rho|\\right)\\,,$$", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 4: Convergence of gadget generation against different routing algorithms.\n\n| | | RSW | | | RMF | | RCLS | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Upgrade | Strong | | Upgrade | Strong | Upgrade | Strong | Upgrade | Strong |\n| MT-Bench | 100 ± 0 | 81 → 100 ± 0 | | 100 ± 0 | 58 → 100 ± 0 | 100 ± 0 | 67 → 100 ± 0 | 73 ± 5 | 57 → 88 ± 2 |\n| MMLU | 90 ± 1 | 43 → | 94 ± 1 | 78 ± 4 | 53 → 90 ± 2 | 100 ± 0 | 47 → 100 ± 0 | 95 ± 1 | 53 → 98 ± 1 |\n| GSM8K | 98 ± 0 | 52 → | 99 ± 0 | 100 ± 0 | 54 → 100 ± 0 | 100 ± 0 | 56 → 100 ± 0 | 94 ± 3 | 53 → 97 ± 1 |\n\nTable 1: The white-box attack's rerouting success rate. \"Upgrade\" is the percentage of \"Weak\" queries successfully rerouted to the strong model by adding a confounder gadget. \"Strong\" shows the change in the percentage of queries that are routed to the strong LLM Ms before and after our rerouting attack.\n\nfastest (50 iterations on average), RMF the slowest (66 iterations on average). Interestingly, the score of RSW does not increase much during optimization but is still sufficient for a successful attack.\n\nRuntime varies significantly when generating gadgets against different routing methods. On a machine with one A40 GPU, 4 CPUs, and 180G RAM, a single iteration takes 36.9 s, 8.4 s, 0.8 s, and 6.9 s for the RSW , RMF , RCLS, and RLLM routers, respectively. On average, it takes around 31 minutes to generate a gadget for the RSW router, 9 minutes for RMF , 50s for RCLS, and 6 minutes for RLLM.\n\nRerouting success rates. Recall that our attack adds the same confounder gadget to all queries. We start by evaluating the reroute *success rates*: What fraction of confounded queries does the target router send to the strong model Ms? We show the results for our attack in Table 1. Focusing first on the columns labeled 'Strong', the notation \"X → Y ± Z\" relays that for unmodified queries, X% are routed to the strong model Ms, and that for the n = 10 confounders we achieved an average of Y % of queries sent to Ms. The standard error is Z. Note that while calibration targets ϵ = 0.5, we see some natural variance in X for the test sets.\n\nTo breakdown success further, we additionally report the *upgrade rate*, which focuses on the percentage of queries that were (a) originally routed to the weak model, and (b) routed to the strong model after they were modified with the confounder gadget. Because in our attacks few queries get \"downgraded\" (confounders cause them to be rerouted to the weak model instead of strong), the upgrade rate dictates the success rate.\n\nAs can be seen, the gadgets reroute almost all weak queries to the strong model. In most cases we see 100% success, or close to it. The worst case still achieves 88% rerouting success, boosting the fraction of queries sent to the strong LLM by 1.5x. Rerouting fails only for some queries that even after confounding are sent to the weak model: the fixed gadget did not sufficiently increase the router's estimate of those queries' complexity. This is the only source of error for the attack: *no* queries in these experiments got \"downgraded\", i.e., a query that would otherwise be sent to Ms ends up rerouted to Mw. This also means that adding the confounder to every single query does not have negative impact on rerouting efficacy. We report standard error values for both the upgrade rates and the total percentage of queries routed to the strong model. The maximal standard error is in the low single digits, indicating similar success rates across gadgets.\n\nQuality of attack responses. We now turn to evaluating the quality of the responses generated by the attack. Note that because we have calibrated the routers to target ϵ = 0.5, our attacks can improve response quality by rerouting to the stronger model. In the other direction, our attacks add confounder gadgets which might degrade response quality.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv1.pdf" - }, - { - "text": "### References\n\n- [1] \"Chatbot Arena LLM Leaderboard: Community-driven evaluation for best LLM and AI chatbots,\" https:// huggingface.co/spaces/lmarena-ai/chatbot-arena-leaderboard, accessed: 2024-11-14.\n- [2] \"Hello gpt-4o,\" https://openai.com/index/hello-gpt-4o/, published: 2024-05-23.\n- [3] \"Introducing Llama 3.1: Our most capable models to date,\" https://ai.meta.com/blog/meta-llama-3-1/, published: 2024-07-23.\n- [4] \"Introducing Meta Llama 3: The most capable openly available LLM to date,\" https://ai.meta.com/blog/ meta-llama-3/, published: 2024-04-18.\n- [5] \"Martian LLM router,\" https://withmartian.com/.\n- [6] \"New embedding models and API updates,\" https://openai.com/index/new-embedding-models-and-api-updates, published: 2024-01-25.\n- [7] \"Notdiamond LLM router,\" https://www.notdiamond.ai/.\n- [8] \"OpenAI and others seek new path to smarter AI as current methods hit limitations,\" https://www.reuters.com/technology/artificial-intelligence/ openai-rivals-seek-new-path-smarter-ai-current-methods-hit-limitations-2024-11-11, published: 2024-11-15.\n- [9] \"OpenAI, Google and Anthropic are struggling to build more advanced AI,\" https://www.bloomberg.com/news/ articles/2024-11-13/openai-google-and-anthropic-are-struggling-to-build-more-advanced-ai?sref=CrGXSfHu, published: 2024-11-13.\n- [10] \"OpenAI shifts strategy as rate of 'GPT' AI improvements slows,\" https://www.theinformation.com/articles/ openai-shifts-strategy-as-rate-of-gpt-ai-improvements-slows, published: 2024-11-9.\n- [11] \"Openrouter LLM router,\" https://openrouter.ai/.\n- [12] \"Unify LLM router,\" https://unify.ai/.\n- [13] \"What is a control plane?\" https://www.ibm.com/think/topics/control-plane, published: 2024-10-31.\n- [14] J. Achiam, S. Adler, S. Agarwal, L. Ahmad, I. Akkaya, F. L. Aleman, D. Almeida, J. Altenschmidt, S. Altman, S. Anadkat *et al.*, \"GPT-4 technical report,\" *arXiv preprint arXiv:2303.08774*, 2023.\n- [15] P. Aggarwal, A. Madaan, A. Anand, S. P. Potharaju, S. Mishra, P. Zhou, A. Gupta, D. Rajagopal, K. Kappaganthu, Y. Yang *et al.*, \"Automix: Automatically mixing language models,\" *arXiv preprint arXiv:2310.12963*, 2023.\n- [16] G. Alon and M. Kamfonas, \"Detecting language model attacks with perplexity,\" *arXiv preprint arXiv:2308.14132*, 2023.\n- [17] R. A. Bradley and M. E. Terry, \"Rank analysis of incomplete block designs: I. the method of paired comparisons,\" *Biometrika*, vol. 39, no. 3/4, 1952.\n- [18] N. Carlini, D. Paleka, K. D. Dvijotham, T. Steinke, J. Hayase, A. F. Cooper, K. Lee, M. Jagielski, M. Nasr, A. Conmy *et al.*, \"Stealing part of a production language model,\" *arXiv preprint arXiv:2403.06634*, 2024.\n- [19] H. Chaudhari, G. Severi, J. Abascal, M. Jagielski, C. A. Choquette-Choo, M. Nasr, C. Nita-Rotaru, and A. Oprea, \"Phantom: General trigger attacks on retrieval augmented language generation,\" *arXiv preprint arXiv:2405.20485*, 2024.\n- [20] L. Chen, M. Zaharia, and J. Zou, \"FrugalGPT: How to use large language models while reducing cost and improving performance,\" *arXiv preprint arXiv:2305.05176*, 2023.\n- [21] W.-L. Chiang, L. Zheng, Y. Sheng, A. N. Angelopoulos, T. Li, D. Li, B. Zhu, H. Zhang, M. Jordan, J. E. Gonzalez, and I. Stoica, \"Chatbot arena: An open platform for evaluating LLMs by human preference,\" in *Forty-first International Conference on Machine Learning (ICML)*, 2024.\n- [22] S. Cho, S. Jeong, J. Seo, T. Hwang, and J. C. Park, \"Typos that broke the RAG's back: Genetic attack on RAG pipeline by simulating documents in the wild via low-level perturbations,\" *arXiv preprint arXiv:2404.13948*, 2024.\n- [23] J. Chu, Y. Liu, Z. Yang, X. Shen, M. Backes, and Y. Zhang, \"Comprehensive assessment of jailbreak attacks against LLMs,\" *arXiv preprint arXiv:2402.05668*, 2024.\n- [24] K. Cobbe, V. Kosaraju, M. Bavarian, M. Chen, H. Jun, L. Kaiser, M. Plappert, J. Tworek, J. Hilton, R. Nakano *et al.*, \"Training verifiers to solve math word problems,\" *arXiv preprint arXiv:2110.14168*, 2021.\n- [25] N. Dalvi, P. Domingos, Mausam, S. Sanghai, and D. Verma, \"Adversarial classification,\" in *Proceedings of the tenth ACM SIGKDD international conference on Knowledge discovery and data mining*, 2004.", - "page_start": 18, - "page_end": 18, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is an LLM control plane ?", - "target_page": 3, - "target_passage": " An LLM control plane Rω is a potentially randomized algorithm.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7].\n\n### 3 LLM Control Plane Integrity\n\nIn this section, we define *LLM control plane integrity*. Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by a string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the case of n = 2, and, for reasons that will be clear in a moment, use Ms (\"strong\") and Mw (\"weak\") to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ←$ RMω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a query.\n\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of LLM invocations Mij (zj ) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RMω (x). Here m is the total number of LLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\n$$T=(i_{1},z_{1}),(i_{2},z_{2}),\\ldots,(i_{m},z_{m})$$\n\nof pairs of model indexes ij ∈ {w, s} and model inputs zj . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x),(s, x)}. We write submitting a sequence of inferences ⃗x = ⃗x1, . . . , ⃗xq to a control plane as\n\n$$R_{\\omega}^{\\mathcal{M}}(\\vec{x})=(R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{1}),\\ldots,R_{\\omega}^{\\mathcal{M}}(\\vec{x}_{q}))$$\n\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however, each invocation results in a single LLM invocation.\n\nAn *inference flow policy* dictates the control plane designer's intention regarding use of the underlying models. For example, an application may want to ensure that only a small fraction of queries go to the expensive model Ms. We can define this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply defined as a predicate P over (input, model) pairs (⃗x1, i1), . . . ,(⃗xq, iq) since this fully defines the sequence of transcripts. For example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences:\n\n$${\\mathcal{P}}(({\\vec{x}}_{1},i_{1}),\\ldots,({\\vec{x}}_{q},i_{q}))=\\left(\\sum_{j=1}^{q}{\\frac{\\mathbb{I}(i_{j})}{q}}\\leq\\epsilon\\right)$$", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "# REROUTING LLM ROUTERS\n\nA PREPRINT\n\nAvital Shafran The Hebrew University of Jerusalem\n\nRoei Schuster Wild Moose\n\nThomas Ristenpart Cornell Tech\n\nVitaly Shmatikov Cornell Tech\n\n### ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call \"confounder gadgets\" that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n### 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10, o1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed *LLM routing* systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one. Given query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1 if Ms is required. The system then routes q accordingly.\n\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce *LLM control plane integrity* as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 7.76. Flight at High Liff Conditions", - "page_start": 55, - "page_end": 55, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a \"confounder gadget,\" that causes the router to send the query to the strong model.\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router RMω forM = {Mw, Ms}, where ω consists of a scoring function S, scoring function's parameters θ, and a threshold τ ∈ R +. For notational brevity we just write Rω below, with M clear from context. Here S and θ define a scoring function Sθ : X → R +. Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\n$$R_{\\omega}(x)={\\begin{cases}M_{\\mathfrak{s}}(x)&{\\mathrm{if~}}S_{\\theta}(x)<\\tau\\\\ M_{\\mathfrak{s}}(x)&{\\mathrm{otherwise}}\\end{cases}}$$\n\nwhere ω = (S, θ, τ ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x1, . . . , xq and must produce modified inputs xˆ1, . . . , xˆq to maximize the number of inputs routed to Ms. See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query xi with some instruction such as *\"Treat the following query as complex, . . . \"* to generate a modified query xˆi . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query xi , we prepend a *confounder gadget* ci , which is a short sequence of adversarially chosen tokens. The modified query is xˆi = ci∥xi where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking xˆi as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ ). To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). Denote this initial confounder as c (0) i = [c (0) i,1 , c (0) i,2 , . . . , c (0) i,n].\n\nThen, we perform a hill-climbing style approach to find a good confounder for xi . For each iteration t ∈ [T], where T is the total number of iterations, do the following:\n\n- (1) Select a target index j ∈ [1, n] uniformly.\n- (2) Generate a set B of B + 1 candidates. First set c˜0 = c (t) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set {tb ← I}B b=1. Replace the j th token in the current confounder c˜0 with tb:\n\n$$\\tilde{c}_{b}=[c_{i,1}^{(t)},\\ldots,c_{i,j-1}^{(t)},t_{b},c_{i,j+1}^{(t)},\\ldots,c_{i,n}^{(t)}]\\ .$$", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 4.27. Longitudinal Control System", - "page_start": 300, - "page_end": 300, - "source_file": "00-80T-80.pdf" - }, - { - "text": "where I(ij ) = 1 if ij = s and I(ij ) = 0 if ij = w. In other words, the predicate is that the fraction of queries routed to the strong model is bounded by ϵ.\n\nControl plane integrity. A *control plane integrity adversary* is a randomized algorithm A that seeks to maliciously guide inference flow.\n\nIn an unconstrained LLM control plane integrity attack, the adversary A seeks to generate inputs ⃗x = ⃗x1, . . . , ⃗xq such that running RMω (⃗x) generates a transcript for which P((x1, i1), . . . ,(xq, iq)) = 0. This attack could be launched by an adversary who wants to maximize inference costs for a victim application using an LLM router.\n\nA harder setting requires input adaptation, where the adversary is given inputs x1, . . . , xq and it must find new inputs xˆ1, . . . , xˆq for which the transcript resulting from P((ˆx1, i1), . . . ,(ˆxq, iq)) = 0. There will be some competing constraint, such as that xj and xˆj are very similar for each j, or that the outputs yj ←$ RMω (xj ) and yˆj ←$ RMω (ˆxj ) are close. In the routing context, the adversary's goal is to increase the fraction of queries that get routed to the strong model, in order to improve the overall quality of responses, drive up the victim application's inference costs, or both.\n\nRelationship to evasion attacks. Evasion attacks [25, 43, 60] against an inference system (also called adversarial examples [32, 48, 49]) would, in our setting, seek to find a small modification ∆ to an input x such that RMω (x + ∆) ̸= RMω (x) where addition is appropriately defined based on input type (e.g., slight changes to text).\n\nOur attack setting is not the same. The control plane integrity adversary seeks to maliciously control the inference *flow*, not necessarily the *output* of inference. In an unconstrained attack, the adversary does not care what outputs are generated. In the input adaptation attack, the adversary seeks to craft inputs that modify the inference flow yet do *not* change the responses of the strong underlying LLM to the extent possible. Looking ahead, we will use evasion techniques in our adaptation attacks against learned control plane routers, but, importantly, not the overall inference.\n\nIn the other direction, undermining LLM control plane integrity could be a stepping stone toward evasion attacks. For example, if RMω is used to classify malicious content by combining LLMs each tuned to different types of harm categories, then modifying inputs to force inference flows away from appropriate models could aid evasion. We leave evaluation of how control-plane integrity attacks can enable evasion to future work.\n\nThreat models. Within the context of control plane integrity attacks against LLM routers, we identify several threat models that differ in terms of the adversary's goals and their knowledge about the target control plane RMω .\n\nIn terms of goals, an adversary may seek to *inflate the costs* of a victim application that utilizes an LLM control plane. As a kind of denial-of-service attack, such cost inflation would penalize the application developer who expects routing to control costs. Another adversarial goal could be *arbitrage*: consider an application that charges X dollars per query, whereas directly using Ms costs Y > X. The application's lower rate X makes economic sense assuming it uses a router to route the bulk of queries to a cheaper model Mw. An input adaptation attack in this setting can gain (indirect) access to Ms, obtaining an arbitrage advantage of Y − X per query. To be effective, this arbitrage adversary would want to ensure that adaptations do not lower response quality (i.e., it extracts all the value out of rerouting to Ms). As before, the victim in this case is the application that relies on routing to lower its costs (unsuccessfully, under this attack).\n\nWe now discuss adversarial capabilities. We assume that our victim application's prompt includes a substring that can be controlled by the adversary. This represents many real-world apps such as chatbots, coding assistants, writing assistants, and others, that insert user inputs into an LLM prompt. In crafting adversarial portions of prompts, an adversary may have various levels of knowledge about the victim application's router. We consider the following knowledge settings:\n\n- *White-box setting*: The adversary knows the control plane algorithm and its parameters ω.\n- *Black-box (transfer) setting*: The adversary does not know the control plane algorithm R and ω for the target model, but knows instead another control plane algorithm R′ ω′ and its parameters. We refer to R′ ω′ as the *surrogate*. For example, this could arise if an adversary trains their own router using available data. In this setting our attacks are also *zero-shot* in that they do not require any interaction with the target control plane before the query that is being rerouted.\n\n### 4 Confounding Control Planes with Gadgets\n\nWe now turn to our main contribution: a methodology for attacking LLM control plane integrity. The key insight is that an adversary can modify queries to mislead or \"confound\" the routing logic into routing these queries to an LLM of the adversary's choosing. Furthermore, we will demonstrate that these attacks can be black-box and *query-independent*, i.e., a single modification works for all queries and does not require advance knowledge of the specific router being attacked.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality of responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user workloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The router can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user's queries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For example, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent fraction of queries being routed to the strong model.\n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there is sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be circumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, each query.\n\n# 9 Related Work\n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, 43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of multi-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our results compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity attacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates the prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adversarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely explored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as \"do not output expletives\" [23, 42, 54, 66, 72, 73].\n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for example, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection attacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into thirdparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its users. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate their integrity by exploiting the weaknesses of the underlying LLM [19, 55].\n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the control plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks that, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming controlplane-confounding queries.\n\nAttacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a given query with a lower computational cost by including an inner routing mechanism that in every layer routes different tokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM, rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to build larger models at a fixed compute budget—not all parameters are used at the same time.\n\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus control plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore this connection further.\n\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users' prompts. We expect that side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing of responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n\n# 10 Conclusion\n\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an example of a broader, emerging class of systems we call \"LLM control planes\" that aim to achieve various quality, efficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "#### NAVWEPS 00-801-60 HIGH SPEED AERODYNAMICS\n\nFigure 3.19. Planform Effects and Control Surfaces", - "page_start": 254, - "page_end": 254, - "source_file": "00-80T-80.pdf" - }, - { - "text": "We introduced and defined a new safety property, *LLM control plane integrity*. Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent \"confounder gadgets.\" When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n# Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "figure 4.16. loiloring Control forces", - "page_start": 288, - "page_end": 288, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is a confounder gadget ?", - "target_page": 5, - "target_passage": " Given a query xi, we prepend a confounder gadget ci, which is a short sequence of adversarially chosen tokens.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Let B = {c˜0, . . . , c˜B}.\n\n(3) Find the candidate that maximizes the score:\n\n$c_{i}^{(t+1)}\\leftarrow\\arg\\max\\limits_{c\\in\\mathcal{B}}\\ S_{\\theta}(c\\|x_{i})$. \n \n\nThe final confounder c (T) i is used with query xi . We early abort if, after 25 iterations, there is no update to the confounder gadget. Technically, we could abort early if we find a confounder whose score exceeds τ . Running further can be useful when an adversary does not know τ .\n\nThe attack's runtime is dominated by T · B times the cost of executing S. In practice, S are designed to be fast (otherwise routers would significantly increase the latency of applications that use them). We report precise timings later; in summary, the attack is fast because we can set T to be relatively small and still find high-scoring confounders.\n\nDue to the randomness in index and token selection, the method converges to different, yet similarly effective, confounder gadgets on each run. Our evaluation will thus measure average performance over multiple gadgets.\n\nQuery-independent confounders. One downside of the per-query approach is that the adversary must repeat, for each query, the search for a good confounder. In practice, the adversary might prefer a *query-independent* attack. Our confounder gadget approach extends to this setting readily: perform the search routine above for an empty query. In other words, just ignore xi in the query-dependent attack above, replacing Sθ(c∥xi) in Eq. 1 with Sθ(c). This finds a single query-independent confounder c that can be prefixed to all queries, i.e., xˆi = c∥xi . We will show that this works surprisingly well.\n\nIt is tempting to assume the reason a query-independent confounder works well is that a good scoring function should be roughly monotonic in query extensions, i.e., one might expect that Sθ(c∥x) ≥ Sθ(c) for almost any suffix x. This intuition is not correct. In our experiments, we found that Sθ(c∥x) < Sθ(c) for many x and some of the routers discussed below. Nevertheless, by ensuring that Sθ(c) is pretty high (set the number of iterations T higher) the resulting query-independent confounder works well. That is, we at least get that Sθ(c∥x) > Sθ(x).\n\nThe black-box setting: confounders that transfer. Finally, the attacks so far are in the white-box setting, where the attacker can optimize directly against Sθ. While in some cases routing control planes will be public knowledge, in others, including the proprietary control planes we explore in Section 7, they are hidden. This gives rise to the black-box setting. While an attacker might seek to perform model extraction attacks [43, 65] to learn θ, we instead explore attacks that transfer from one router to another.\n\nIn more detail, we assume the adversary has access to a router R′ ω′ , called the *surrogate*, that is trained on data similar to that used for the target router. Then the attack is the same as above, except that we use the surrogate's scoring function S ′ θ ′ instead of the target's Sθ. Again, we will see that this works surprisingly well: the query-independent confounders found for the surrogate transfer to successfully reroute queries against the target router.\n\nPutting it all together. In summary, our methodology for input adaptation attacks is:\n\n- (1) (Preprocessing) Develop a single query-independent confounder gadget c, using either the target router or surrogate to score the confounder.\n- (2) (Input adaptation) For each query xi , submit xˆi = c∥xi instead to obtain a response yˆi .\n\nThe confounder is applied to all queries, i.e., the adversary does not need to guess whether the original query would have been routed to the weak or strong model. In the rest of the paper, we demonstrate the confounders rarely result in \"downgrades,\" i.e., rerouting of queries from the strong to weak model.\n\nWe have experimented with variations of this approach that don't work quite as well, for example adding c as a suffix instead of a prefix. See Appendix B for details.\n\n### 5 Open-Source Routers: Experimental Setup\n\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with several LLM routers. This section explains our experimental setup for the open-source routers proposed in the research literature [47]; results of this evaluation appear in Section 6. In Section 7, we discuss experiments with proprietary, commercial routers. Figure 3 shows the summary of our experimental setup.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, *LLM control plane integrity*. Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent \"confounder gadgets.\" When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n# Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 4: Convergence of gadget generation against different routing algorithms.\n\n| | | RSW | | | RMF | | RCLS | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Upgrade | Strong | | Upgrade | Strong | Upgrade | Strong | Upgrade | Strong |\n| MT-Bench | 100 ± 0 | 81 → 100 ± 0 | | 100 ± 0 | 58 → 100 ± 0 | 100 ± 0 | 67 → 100 ± 0 | 73 ± 5 | 57 → 88 ± 2 |\n| MMLU | 90 ± 1 | 43 → | 94 ± 1 | 78 ± 4 | 53 → 90 ± 2 | 100 ± 0 | 47 → 100 ± 0 | 95 ± 1 | 53 → 98 ± 1 |\n| GSM8K | 98 ± 0 | 52 → | 99 ± 0 | 100 ± 0 | 54 → 100 ± 0 | 100 ± 0 | 56 → 100 ± 0 | 94 ± 3 | 53 → 97 ± 1 |\n\nTable 1: The white-box attack's rerouting success rate. \"Upgrade\" is the percentage of \"Weak\" queries successfully rerouted to the strong model by adding a confounder gadget. \"Strong\" shows the change in the percentage of queries that are routed to the strong LLM Ms before and after our rerouting attack.\n\nfastest (50 iterations on average), RMF the slowest (66 iterations on average). Interestingly, the score of RSW does not increase much during optimization but is still sufficient for a successful attack.\n\nRuntime varies significantly when generating gadgets against different routing methods. On a machine with one A40 GPU, 4 CPUs, and 180G RAM, a single iteration takes 36.9 s, 8.4 s, 0.8 s, and 6.9 s for the RSW , RMF , RCLS, and RLLM routers, respectively. On average, it takes around 31 minutes to generate a gadget for the RSW router, 9 minutes for RMF , 50s for RCLS, and 6 minutes for RLLM.\n\nRerouting success rates. Recall that our attack adds the same confounder gadget to all queries. We start by evaluating the reroute *success rates*: What fraction of confounded queries does the target router send to the strong model Ms? We show the results for our attack in Table 1. Focusing first on the columns labeled 'Strong', the notation \"X → Y ± Z\" relays that for unmodified queries, X% are routed to the strong model Ms, and that for the n = 10 confounders we achieved an average of Y % of queries sent to Ms. The standard error is Z. Note that while calibration targets ϵ = 0.5, we see some natural variance in X for the test sets.\n\nTo breakdown success further, we additionally report the *upgrade rate*, which focuses on the percentage of queries that were (a) originally routed to the weak model, and (b) routed to the strong model after they were modified with the confounder gadget. Because in our attacks few queries get \"downgraded\" (confounders cause them to be rerouted to the weak model instead of strong), the upgrade rate dictates the success rate.\n\nAs can be seen, the gadgets reroute almost all weak queries to the strong model. In most cases we see 100% success, or close to it. The worst case still achieves 88% rerouting success, boosting the fraction of queries sent to the strong LLM by 1.5x. Rerouting fails only for some queries that even after confounding are sent to the weak model: the fixed gadget did not sufficiently increase the router's estimate of those queries' complexity. This is the only source of error for the attack: *no* queries in these experiments got \"downgraded\", i.e., a query that would otherwise be sent to Ms ends up rerouted to Mw. This also means that adding the confounder to every single query does not have negative impact on rerouting efficacy. We report standard error values for both the upgrade rates and the total percentage of queries routed to the strong model. The maximal standard error is in the low single digits, indicating similar success rates across gadgets.\n\nQuality of attack responses. We now turn to evaluating the quality of the responses generated by the attack. Note that because we have calibrated the routers to target ϵ = 0.5, our attacks can improve response quality by rerouting to the stronger model. In the other direction, our attacks add confounder gadgets which might degrade response quality.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv1.pdf" - }, - { - "text": "| Surrogate | | RˆSW | | | RˆMF | | RˆCLS | | RˆLLM | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Target | RMF | RCLS | RLLM | RSW | RCLS | RLLM RSW | SFM | RLLM | RSW | RMF | RCLS |\n| MT-Bench | 0.4 | 0.8 | 0.6 | 1.4 | 0.7 | 0.3 1.7 | 0.3 | 0.7 | 0.8 | −0.6 | 0.0 |\n| MMLU | 0.1 | 0.8 | 1.1 | 0.2 | 0.2 | 1.1 0.3 | 0.8 | 0.9 | 1.3 | 1.2 | 0.9 |\n| GSM8K | 1.9 | 1.7 | 0.6 | 1.6 | 1.7 | 0.2 1.7 | 1.0 | 0.4 | 1.3 | 1.3 | 1.7 |\n\nTable 6: Differences between average perplexity of responses to the original and confounded queries, in the black-box setting, when the confounder gadget was generated for a different surrogate router than the target, for LLM pair 1. Positive values indicate a lower average perplexity (more natural) of responses to the confounded queries; higher values are better for the attacker. Standard errors were omitted for readability but are 0.2 on average. As in the white-box setting, the attack does not increase the average response perplexity.\n\n| | Surrogate | RˆSW | | | RˆMF | | RˆCLS | | | RˆLLM | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| RLLM | Target RMF | RCLS | | RSW | RCLS | RLLM | RSW | SFM | RLLM | RSW | RMF | RCLS |\n| | | | | | | LLM pair 1 | | | | | | |\n| 0.0 | MT-Bench −0.1 | −0.1 | | −0.1 | −0.1 | 0.0 | −0.1 | 0.0 | 0.1 | −0.2 | −0.1 | −0.2 |\n| −0.2 | −0.1 MMLU | 0.3 | | 4.8 | 1.0 | 0.5 | 2.5 | −1.3 | −0.8 | 2.6 | −0.9 | 0.3 |\n| 9.6 | GSM8K 14.9 | | 15.2 | 18.6 | 13.8 | 14.7 | 13.4 | 6.8 | 12.6 | 13.6 | 11.3 | 10.4 |\n| | | | | | | LLM pair 2 | | | | | | |\n| −0.1 | MT-Bench −0.1 | −0.1 | | −0.2 | −0.2 | −0.2 | −0.1 | −0.1 | 0.0 | −0.2 | −0.2 | −0.2 |\n| 4.0 | MMLU 1.6 | | 4.2 | 7.9 | 5.0 | 4.4 | 5.0 | −2.9 | 3.2 | 5.2 | −0.9 | 3.8 |\n| 8.7 | 13.6 GSM8K | | 18.5 | 18.9 | 14.4 | 18.3 | 13.1 | 4.0 | 15.5 | 11.3 | 8.4 | 10.8 |\n| | | | | | | LLM pair 3 | | | | | | |\n| 0.0 | MT-Bench 0.2 | | 0.1 | −0.1 | −0.1 | 0.0 | 0.0 | 0.2 | 0.2 | −0.1 | 0.1 | −0.1 |\n| 6.8 | MMLU 5.0 | | 5.8 | 11.3 | 9.1 | 4.7 | 8.1 | −3.7 | 4.8 | 7.8 | 0.1 | 7.2 |\n| 20.9 | GSM8K 20.5 | 13.4 | | 24.3 | 18.6 | 21.6 | 17.9 | 11.2 | 18.9 | 16.7 | 15.2 | 14.2 |\n\nTable 7: Differences between average benchmark specific scores of responses to the original and confounded queries, when the confounder gadget was generated for a different surrogate router than the target (black-box setting) for three LLM pairs. Positive values indicate a higher average score for responses to the confounded queries; higher values are better for the attacker. Results are averaged across gadgets. Standard errors were omitted for readability and are on average 0.1, 0.8, and 1.8 for MT-bench, MMLU and GSM8K, respectively. Aligned with the white-box setting, results show almost no decrease in performance, and improvement when there is a performance gap for the LLM pair.\n\nResults for LLM pair 4. As discussed in Section 5, we replace the strong model that was used by Ong et al. [47], GPT-4- 1106-preview (rank 28 in the Chatbot Arena leaderboard [1, 21]), with the open-sourced Llama-3.1-8B (rank 58) to reduce the costs of our extensive set of evaluations. In this section we perform a smaller-scale evaluation of the quality-enhancing attack performance when using GPT as the strong model, i.e., LLM pair 4. We evaluate this setting using three of the n = 10 confounder gadgets for each router.\n\nTable 10 shows the results across benchmarks in the white-box setting. Compared to the pair 1 setting (Table 3), the attack results in a higher increase in benchmark performance. This further demonstrates higher attack effect on response quality when the performance gap between the weak and strong models is higher.\n\n# 7 Rerouting Commercial Routers\n\nWe evaluate our rerouting attack on several commercial routers: Unify [12], NotDiamond [7], OpenRouter [11], and Martian [5]. These routers are available through black-box APIs. Therefore, we use our black-box attack with the 40 gadgets optimized for the open-sourced routers RSW , RMF , RCLS, and RLLM (10 per router). We perform this evaluation using the MT-bench benchmark.\n\nUnify. This router lets users specify a list of models from different providers and a metric configuration for routing decisions. The available metrics are quality, time to first token, inter-token latency, and cost. The user can specify the weight for each metric. Time, latency, and cost metrics are static and precomputed. The quality metric is computed for", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 5: Perplexity of the original queries in the GSM8K benchmark compared to the perplexity of confounded queries using a single uniformly sampled gadget. We additionally present the ROC curve of the defense that detects confounded queries by checking if they cross a perplexity threshold, and it's corresponding ROCAUC score. Confounded queries have significantly higher perplexity values, and are thus easy to recognize and filter out.\n\nwhere PPL(·) denotes the perplexity function computed using GPT-2, the value ρ denotes a target perplexity value to which we want gadgets' perplexity to be close, and the value α is a balancing coefficient. For the experiments below, we set ρ to be the average perplexity value of 100 uniformly sampled queries3 from the GSM8K benchmark.\n\nFigure 6 shows the results when setting α = 0.01, for the GSM8K benchmark and one confounder gadget. The results demonstrate that modified queries can no longer be easily distinguished from normal queries by their perplexity alone. For instance, in the case of the RSW router, setting the threshold value at 55 as before, no confounded queries are flagged as anomalous, meaning the true-positive rate is zero. We note that there is some variability across gadgets. The average ROCAUC scores of the defense across ten gadgets with standard deviation indicated parenthetically, are 0.66 (±0.04), 0.69 (±0.02), 0.71 (±0.02), and 0.69 (±0.03) for the RSW , RMF , RCLS, and RLLM routers, respectively.\n\nAt the same time, optimizing for low perplexity does not significantly impact the attack success rate. Table 11 compares the average upgrade rates (over n = 10 gadgets) of the original perplexity-agnostic optimization approach from Section 4 and the perplexity-minimizing one described above. The attack efficacy might be improvable further by adjusting α to find a sweet spot that avoids the defense effectively while ensuring high rerouting success rate.\n\nThe attack is not particularly sensitive to the choice of queries used to obtain the calibration value ρ. Although ρ was computed using GSM8K queries, we observe similar performance when evaluating on the MT-bench and MMLU benchmarks, with average ROCAUC scores of 0.50 (±0.01), 0.51 (±0.01), 0.52 (±0), and 0.51 (±0.01) for MT-bench, and 0.52 (±0.03), 0.54 (±0.02), 0.55 (±0.01), and 0.53 (±0.02) for MMLU. One might also try removing the calibration value altogether, instead simply minimizing the gadget's perplexity value. However, this can result with an \"overshooting\" effect, where the perplexity value is significantly *lower* than that of normal queries, thereby making it still distinguishable from standard queries.\n\nIn summary, perplexity-based filtering is not an effective defense against against rerouting.\n\n3The perplexity calibration queries were chosen such that they do not overlap with the queries used for evaluation.", - "page_start": 14, - "page_end": 14, - "source_file": "arxiv1.pdf" - }, - { - "text": "performed an outlier check, labeling images as a 'low-quality outlier' if the correlation coefficient was >3 s.d. from the absolute mean. None of our scans were flagged as outliers. The reconstructed participant files were aggregated into one connectometry database per metric.\n\n*Day2Day control dataset*. To compare our findings against a control group of nonpregnant densely-sampled individuals, we used the Day-2Day dataset23 which offered comparable whole-brain T1 and T2 MTL scans for eight participants (two male) scanned 12–50 times over 2–7 months. Each participant was run through the ANTs CT and ASHS processing pipelines as outlined above ('Cortical volume and thickness' and 'Hippocampal segmentation'). To note, for each participant, we created an SST based on their first two sessions for consistency with the primary dataset; subfield volumes for the T2 MTL scans did not undergo manual retouching. Due to missing header information on the publicly available diffusion scans, we were unable to benchmark our white matter changes with the Day2Day dataset.\n\n**Statistical analysis.** Statistical analyses were conducted using R (sMRI; version 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics*. To reflect the existing literature, we first explored brain metrics across the entire study duration (prepregnancy through postpartum, *n* = 26 scans). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of nonparametric regression analysis (R package, mgcv76), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards to (1) the choice of basis dimension (*k*) and (2) the distribution of model residuals (see mgcv documentation in ref. 76). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes77. To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (that is, models using only a linear term versus models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for nonlinear changes in structural brain variables over time. Determining whether these patterns replicate in larger cohorts and whether complex models are better suited to capture data patterns across individuals will be a necessary next step.\n\n*Cortical GMV and CT*. We then narrowed our analyses to the first 19 sessions (baseline—36 weeks gestation) to assess novel brain changes occurring over the gestational window. We first computed Pearson's product-moment correlation matrices between the following variables: gestation week, estradiol, progesterone and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then ran the analyses again to include total GMV in the regression model (Supplementary Table 2). This was extended to the network level, where we ran partial correlations accounting for total GMV. These same analyses were then run with CT measures. Globally-corrected results provided in Supplementary Tables 1–5. Percent change at the network level was computed by subtracting the final pregnancy value (36 weeks pregnant) from the first prepregnancy baseline value, then dividing that difference by said first prepregnancy baseline value. All analyses underwent multiple comparisons testing (false discovery rate (FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV*. A similar statistical approach was taken for subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by gestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL subregion volume over pregnancy (*n* = 7 bilateral subregions and *n* = 18 MTL scans), we used a combination of linear and nonlinear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described in 'Summary brain metrics'). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for CA1 and CA2/CA3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of total GMV calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure*. DSI Studio's correlational tractography74 was used to analyze the relationship between white matter structure and gestational week (*n* = 16). A truncated model was run to examine the relationship between white matter and sex steroid hormones (*n* = 14) for the subset of diffusion scans with paired endocrine data during gestation. A nonparametric Spearman's correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of interest (QA and MD; see Supplementary Table 9 and Supplementary Fig. 10 for MD results) because the data were not normally distributed. Statistical inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The correlational tractography was run with the following parameters: *t* score threshold of 2.5, four pruning iterations and a length threshold of 25 voxel distance. To estimate the FDR, a total of 4,000 randomized permutations were applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, suggested by DSI Studio), and contained at least ten tracts. For visualization of global and tract QA at each gestational stage, mean QA values were extracted using DSI Studio's whole-brain fiber tracking algorithm and ROI-based tracking using the default HCP842 atlas78.\n\n*Day2Day dataset: measurement variability*. To establish a marker of normative variability over half a year, we computed metrics of measurement variability using the Day2Day dataset23, which provided both whole-brain T1 and high-resolution T2 MTL scans. For each region, *j*, of the Schaefer parcellation, we assessed across-session variability, *ε*, as\n\n$$\\varepsilon_{j}=100\\times\\mathrm{mean}\\left({\\frac{|t_{s}-{\\hat{t}}|}{{\\hat{t}}}}\\right)$$\n\nWhere *ts* is the morphometric measurement of a parcel for session *s* and *t* ̂ is the mean of *t* across sessions55,79. Thus, we defined variability as the mean absolute percent difference between each individual and the mean across sessions. Across-session variability estimates for all 400 regions were then averaged across eight participants, and a global measure of cortical GMV variability was computed by averaging across the 400 regions. This approach was repeated independently for the T2 hippocampal scans, wherein we computed across-session variability for each parcel of the ASHS parcellation scheme (*n* = 7 bilateral subfields). However, it is important to note that raw subfield values (that is, no manual retouching) were used for Day2Day variability assessments and should be interpreted with caution. Finally, to better compare against our own data, we repeated this approach using our", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "- [71] L. Zheng, W.-L. Chiang, Y. Sheng, S. Zhuang, Z. Wu, Y. Zhuang, Z. Lin, Z. Li, D. Li, E. Xing *et al.*, \"Judging LLMas-a-judge with MT-Bench and chatbot arena,\" *Advances in Neural Information Processing Systems (NeurIPS)*, 2023.\n- [72] S. Zhu, R. Zhang, B. An, G. Wu, J. Barrow, Z. Wang, F. Huang, A. Nenkova, and T. Sun, \"AutoDAN: Automatic and interpretable adversarial attacks on large language models,\" *arXiv preprint arXiv:2310.15140*, 2023.\n- [73] A. Zou, Z. Wang, J. Z. Kolter, and M. Fredrikson, \"Universal and transferable adversarial attacks on aligned language models,\" *arXiv preprint arXiv:2307.15043*, 2023.\n\n### A Gadget Examples\n\nBelow are a few examples of the optimized confounder gadgets c we got, for the different routing algorithms:\n\n• RSW :\n\nlegationbelongs967reglo'hui (DictionaryizedNameantal bidi.numberOf\n\ndemanding RESULTS! XVI-ioibili Written Hormchriftlatable\n\n• RMF :\n\n041 personne.nama tomeTN Exact relac¸ao tinha seis.Description ˜\n\nNUMAGEMENTMedian157 mut-camerauacao nije Hir Ter\n\n• RCLS:\n\ncontiene DEM USERNAME fourteen chees781 consultants200 inici DOJ\n\n571:\n\nOrd:nth Norwegian Mercer docs Abr226 METADATA\n\n• RLLM:\n\ndated:frameifyumi345 Kurdasciiuzeiphertext\n\nMidnightexecution431!784 below1 unwrap : / n / n\n\n# B Ablation Study\n\nIn this section, we evaluate the effect of different hyperparameters and design choices (in the white-box setting).\n\nPrefix vs. suffix. As described in Section 4, we prepend the confounder gadget to the query. An alternative is to append it. This is straightforward for MT-bench and GSM8K, but MMLU consists of multi-choice questions followed by a list of possible answers, and the term \"Answer:\". We insert the gadget at the end of the question text and before the possible answers. If we append it at the very end, after \"Answer:\", the LLM assumes the query was answered and in many cases does not generate any output at all.\n\nTable 12 shows that average upgrade rates are similar regardless of whether the gadget was inserted as a prefix or a suffix. For MMLU, prefix works better. The downgrade rate is 0% in all cases.", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 6: Perplexity values of the original and confounded queries, and the corresponding ROC curves of the defense that detects confounded queries by checking if they cross a perplexity threshold, when the confounder gadget is optimized for low perplexity, in the GSM8K benchmark and for one gadget sampled uniformly at random. Confounded queries have similar perplexity values as the original queries, and can no longer be easily distinguished based on perplexity alone.\n\n| | RSW | | RMF | | RCLS | | RLLM | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Orig. | PPL-opt. | Orig. | PPL-opt. | Orig. | PPL-opt. | Orig. | PPL-opt. |\n| MT-Bench | 100 ± 0 | 100 ± 0 | 100 ± 0 | 98 ± 2 | 100 ± 0 | 98 ± 1 | 73 ± 5 | 51 ± 8 |\n| MMLU | 90 ± 1 | 59 ± 5 | 78 ± 4 | 74 ± 5 | 100 ± 0 | 66 ± 12 | 95 ± 1 | 89 ± 3 |\n| GSM8K | 98 ± 0 | 70 ± 7 | 100 ± 0 | 98 ± 2 | 100 ± 0 | 88 ± 6 | 94 ± 3 | 81 ± 8 |\n\nTable 11: Average upgrade rates for gadgets generated without (\"Orig.\") and with (\"PPL-opt.\") low-perplexity optimization, for the balancing coefficient α = 0.01. In some cases, optimizing for low perplexity has a negative effect on the attack success rate, however the attack can still be considered successful. A more careful choice of α can potentially limit the effect on the attack success.\n\nLLM-based filtering. Even though adversarially modified queries cannot be easily detected using perplexity, they may still be \"unnatural.\" A possible defense is to employ an oracle LLM to determine if the query is natural or not. This defense requires the router to invoke an additional LLM for every processed query, which is computationally expensive in the case of a high-quality open-sourced LLM or financially costly in the case of a high-quality commercial LLM. Therefore, this defense is unlikely to be practical. Furthermore, it is possible to optimize gadgets so that they both have low perplexity and appear \"natural\" to LLM evaluators [69].\n\nParaphrasing. Filtering defenses like those discussed above are passive. An active alternative is to paraphrase queries using an oracle LLM. LLMs are trained to generate natural text and are thus likely to remove unnatural substrings when paraphrasing a query. This defense is likely impractical for two reasons. First, and as with LLM-based filtering, it requires", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 1: LLM routers classify queries and route complex ones to an expensive/strong model, others to a cheaper/weak model. To control costs, LLM routers can be calibrated to maintain (for an expected workload) a specific ratio between queries sent to the strong and weak models.\n\nTo initiate the study of this problem, we show that existing LLM routing algorithms are not adversarially robust. We design, implement, and evaluate a method that generates *query-independent* adversarial token sequences we call \"confounder gadgets.\" If a gadget is added to any query, this query is routed to the strong model with high probability. Next, we show that this attack is effective even in the *transfer* setting where the adversary does not have full knowledge of the target LLM router (it is black-box), but has access to another router (e.g., an internally trained surrogate). We also evaluate the integrity of commercial LLM routers, showing that they can be confounded as well.\n\nThird, we investigate defenses. Our basic method generates gadgets that have anomalously high perplexity. Confounded queries are thus easily distinguished from normal queries and can be filtered out by the routing system. Unfortunately, this defense can be evaded by an adversary who incorporates a low-perplexity objective into the gadget generation algorithm, producing gadgets that have low perplexity—and yet are effective at re-routing queries to the strong model. We also discuss higher-level defenses, such as identifying users whose queries are routed to the strong model with abnormal frequency.\n\nRouting attacks can be deployed for various adversarial objectives, e.g., to ensure that the adversary always obtains the highest-quality answer regardless of the target applications's internal routing policies and cost constraints, or to maliciously inflate the target's LLM costs. As LLM control planes grow in importance and sophistication, we hope that this work will motivate further research on their adversarial robustness.\n\n# 2 LLM Control Planes and Routing\n\nInference using large language models (LLMs) is traditionally monolithic: a single model is applied to an input or sequence of inputs. This methodology can be sub-optimal for various reasons. State-of-the-art models are often expensive, with API access to LLMs costing as much as several dollars for each query. Elsewhere, distinct LLMs may excel at different tasks, and selectively using them may improve overall quality on a diverse workload. Finally, combining multiple LLMs, even all trained for similar tasks, may become increasingly prevalent as performance improvements of individual LLMs plateaus [8–10].\n\nResearchers and practitioners are therefore now developing inference architectures that use multiple LLMs to answer queries. These LLMs are orchestrated by what we call an *LLM control plane* (borrowing the terminology from networking [13]). The control plane may route queries or parts of queries to different LLMs, derive new strings to query to underlying LLMs, combine answers from underlying LLMs, and more.\n\nLLM routers. A prominent example of this emerging class of LLM control planes are *LLM routers* [27, 41, 47, 53, 59]. LLM routers decide which of the two (or, sometimes, more) LLMs to use to answer a query. In prescriptive routing, the router applies some lightweight classifier to the input query that determines which underlying LLM to utilize for a response. The classifier is itself a learned function that scores the complexity of the query. Deployments can then configure a score threshold for when to route a query to the more expensive LLM. This threshold can be tuned using representative workloads to achieve a desired cost-performance trade-off. Figure 1 shows the basic workflow of binary LLM routers.\n\nNon-prescriptive routing [15, 20, 68] uses the responses from one or more underlying LLMs to determine which response to return to the user. For example, FrugalGPT [20] submits the query to a sequence of models (ordered by price) called a cascade, stopping when it obtains a response classified by the router as sufficient.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv1.pdf" - }, - { - "text": "| | gadget | RSW | RMF | RCLS | RLLM |\n| --- | --- | --- | --- | --- | --- |\n| MT-Bench | Init | 7 | 3 | 8 | 3 |\n| | Random | 97 ± 2 | 37 ± 8 | 62 ± 10 | 38 ± 4 |\n| MMLU | Init | 21 | 4 | 0 | 13 |\n| | Random | 49 ± 5 | 6 ± 3 | 14 ± 7 | 68 ± 5 |\n| GSM8K | Init | 21 | 20 | 0 | 9 |\n| | Random | 58 ± 8 | 34 ± 8 | 37 ± 9 | 41 ± 7 |\n\nTable 14: Average upgrade rates when the gadget is not optimized and is either defined to be the the initial set of tokens or a set of uniformly sampled tokens. The optimization-based approach outperforms these optimization-free approaches.\n\n| | intro type | RSW | | | RMF | | RCLS | | RLLM |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | Up. | Down. | Up. | Down. | Up. | Down. | Up. | Down. |\n| MT-Bench | Ours-1 | 100 | 0 | 0 | 31 | 33 | 8 | 26 | 7 |\n| | Ours-2 | 100 | 0 | 0 | 60 | 75 | 0 | 35 | 5 |\n| | Gemini | 100 | 0 | 0 | 50 | 100 | 0 | 55 | 0 |\n| | GPT | 100 | 0 | 0 | 48 | 46 | 2 | 19 | 7 |\n| MMLU | Ours-1 | 28 | 0 | 0 | 57 | 2 | 47 | 0 | 42 |\n| | Ours-2 | 32 | 0 | 0 | 66 | 19 | 26 | 0 | 42 |\n| | Gemini | 35 | 0 | 0 | 60 | 100 | 0 | 21 | 21 |\n| | GPT | 54 | 0 | 0 | 51 | 0 | 66 | 26 | 23 |\n| GSM8K | Ours-1 | 4 | 46 | 0 | 100 | 0 | 77 | 4 | 36 |\n| | Ours-2 | 6 | 63 | 0 | 100 | 16 | 43 | 2 | 43 |\n| | Gemini | 4 | 56 | 0 | 100 | 98 | 0 | 9 | 9 |\n| | GPT | 4 | 77 | 0 | 100 | 0 | 95 | 6 | 25 |\n\nTable 15: Average upgrade and downgrade rates of gadgets containing injected instructions to the router. This method significantly underperforms the optimization-based approach in most cases.\n\n# C Optimization-Free Gadget Generation\n\nWe evaluate optimization-free alternatives to our black-box optimization method for generating confounder gadgets.\n\nFixed gadget. A simple way to create a gadget without resorting to optimization is to repeat n tokens. We use ! as the initialization token, so the gadget in this case is !!!!!!!!!!. Another possibility is to select n tokens uniformly at random. Table 14 shows the upgrade rates for both options, were in the latter setting we repeat the process 10 times and report the average result and the standard error. While they are non-negligible, especially for the randomly sampled gadgets, they significantly underperform the upgrade rates reported in Table 1 for optimized gadgets.\n\nInstruction injection. Prompt injection is a known attack on LLMs [50, 64], thus we consider a gadget consisting of a direct instruction to the router to treat the query as a complex one and obtain a high-quality response.\n\nWe evaluated 4 differently phrased instructions: two created manually and two generated by, respectively, Gemini [61] and GPT-4o [2], denoted as \"ours-1\", \"ours-2\", \"Gemini\", and \"GPT\".\n\nTable 15 reports the results. This method works well in a few cases but poorly in most. This highlights the difference between attacking LLMs and attacking LLM routers.\n\n### D Perplexity issues\n\nIn Section 5 we present perplexity as one of the metrics we use for evaluating the effect of our attack over the quality of the generated response. However, perplexity is intended to measure the naturalness of text, and as such it is ill-suited for comparing the quality of multiple natural texts. This results with the perplexity values of the responses of both the weak and the strong model being close and withing the margin of error. Figure 7 shows the distribution of perplexity values of the clean responses generated by both models, and the ROCAUC score computed on these two sets of values. As can be seen, the perplexity values are quite similar between both models, with ROCAUC scores ranging between 0.38 to 0.47.", - "page_start": 23, - "page_end": 23, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What is called bad-cavity Ramsey laser ?", - "target_page": 1, - "target_passage": "We considerthe case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": ".\n\n## **The Linewidth of Ramsey Laser with Bad Cavity**\n\nYang Li, Wei Zhuang, Jinbiao Chen,∗ and Hong Guo†\n\n*CREAM Group, State Key Laboratory of Advanced Optical Communication*\n\n*Systems and Networks (Peking University) and Institute of Quantum Electronics,*\n\n*School of Electronics Engineering and Computer Science,*\n\n*and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China*\n\n(Dated: October 29, 2018)\n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying the linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth is more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that of conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. Since any cavity related noise is reduced to cavity-pulling effect in bad cavity laser, this Ramsey laser provides the possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical clock and atom interferometers.\n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\n\n*Introduction:* Since the invention of the separated-field technique [1], it has played an important role in the field of precision spectroscopy due to its linewidth narrowing effect via multiple coherent interaction. Atomic clocks based on this technique have greatly extended our ability for frequency measurement, further, almost all the atom interferometers are based on this technique [2].\n\nThough, the natural linewidth of quantum transition was regarded as the ultimate limit to high-resolution laser spectroscopy [4], several methods of subnatural linewidth spectroscopy have been proposed to gain subnatural linewidth [3– 10]. However, in all these efforts, including optical Ramsey spectroscopy, subnatural line is realized at the expense of a quick reduction in signal-to-noise (SNR) ratio due to the exponential decaying of signal, thus all these schemes can only get the linewidth several times narrower than the atomic natural linewidth. In the past three decades, this situation does not change in the field of the precision laser spectroscopy. On the other hand, the thermal noise of the cavity mirrors is the main obstacle for further linewidth reduction of a laser [11, 12], and it is a challenge to substantially reduce this noise further[13]. Recently, a new scheme, called active optical clock [14–18], was proposed to substantially reduce the laser linewidth. With lattice trapped atoms, it is possible to reach mHz linewidth laser based on the mechanism of active optical clock [14, 15, 19]. The principal mechanism of active optical clock is to directly extract light emitted from the ultranarrow atomic transition with a cavity mode linewidth much wider than that of lasing. This bad cavity ensures that any frequency shift due to cavity noise reduces to cavity-pulling effect [15– 17], then the thermal noise is not the major obstacle again for reducing the linewidth. This means the bad cavity can play an indispensable role in new subnatural linewidth spectroscopy.\n\nIn this Letter, we propose a new scheme called Ramsey laser with bad cavity. Distinct from any previous applications of conventional Ramsey separated oscillating fields method [1], which focuses on the absorption spectrum, we here focus on the stimulated emission spectrum via multiple coherent interactions inside the cavity. We find this Ramsey laser can provide a stimulated-emission spectrum with a linewidth much narrower than that of any conventional optical Ramsey seperated-field spectroscopy, which is commonly applied in optical atomic clock. Our results also show that a subnatural linewidth spectroscopy, superior to any other available subnatural spectroscopy technique at present [3–10], can be reached by this kind of laser, if a suitable atomic level structure is chosen. Thus, this method can provide an effective subnatural spectroscopy, and the possibilities for the new optical clock scheme [15] and atom interferometers [2].\n\n*Theoretical framework:* We consider the case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. All atoms are pumped onto the upper lasing state **a** before entering the first cavity of seperated field, and the lower lasing state is **b**. We assume all the atoms have the same velocities υ, that means what we consider here is a homogeneous laser system. And for the sake of simplicity, we consider the two-standing waves linear optical Ramsey configuration with a grid as spatial selector [20, 21]. Our treatment can be extended to other configurations as in [22–24]. The length of each oscillating part is *l*, and the length of the free drift region is *L*. The corresponding Hamiltonian is\n\n$$H=\\hbar\\omega\\hat{a}^{\\dagger}\\hat{a}+\\hbar\\sum_{j}\\left[\\omega_{a}^{j}(t)\\sigma_{a}^{j}+\\omega_{b}^{j}(t)\\sigma_{b}^{j}\\right]\\tag{1}$$\n \n$$+\\hbar\\mathrm{g}\\sum_{j}\\Gamma_{j}(t)(\\hat{a}^{\\dagger}\\hat{\\sigma}_{-}^{j}e^{-i\\vec{k}\\cdot\\vec{r}_{j}}+\\hat{\\sigma}_{+}^{j}\\hat{a}e^{i\\vec{k}\\cdot\\vec{r}_{j}}),$$\n\nwhere ˆ*a*, ˆ*a* † are the annihilation and creation operators of the field mode inside the cavity, with the frequency ω, σ *j a* = (|*a*i h*a*|) *j* and σ *j b* = (|*b*i h*b*|) *j* are the projection operators for the jth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "*Conclusion:* In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by using Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interaction with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavityrelated noise as discussed in active optical clock [15–19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3–10]. Considering one have to apply the separated-field method in any phase detection as in Ramsey-Bord*e*´interferometer [2], to investigate the effects of phase differences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim.\n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Research and Development (863) Program.\n\n- ∗ E-mail: jbchen@pku.edu.cn\n- † E-mail: hongguo@pku.edu.cn.\n- [1] N. F. Ramsey, Phys. Rev. **76**, 996 (1949).\n- [2] B. Dubetsky and P. R. Berman, In *Atom Interferometry*, edited by P. R. Berman (Academic Press, Cambridge, MA, 1997).\n- [3] M. M. Salour, Rev. Mod. Phys. **50**, 667 (1978).\n- [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. **44**, 1254 (1980).\n- [5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. **13** 4345 (1980).\n- [6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A **24**, 1914 (1981).\n- [7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A **28**, 2248 (1983).\n- [8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.\n\nLett. **48**, 871 (1982).\n\n- [9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and P. R. Rice, Phys. Rev. A **40**, 5516 (1989).\n- [10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics **34**, 297 (1995)\n- [11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, **93**, 250602 (2004).\n- [12] A. D. Ludlow *et al.*, Opt. Lett. **32**, 641 (2007).\n- [13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. **101**, 260602 (2008).\n- [14] J. Chen, and X.Chen, In *Proceedings of the 2005 IEEE International Frequency Control Symposium and Exposition*, (IEEE, 2005), p.608.\n- [15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bulletin **54**, 348 (2009).\n- [16] D. Yu and J. Chen, Phys. Rev. A **78**, 013846 (2008).\n- [17] J. Chen, In *Frequency Standards and Metrology: Proceedings of the 7th Symposium*, edited by Maleki Lute (World Scientific Publishing Company, 2009).\n- [18] Y. Wang, Chinese Science Bulletin **54**, 347 (2009).\n- [19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. Lett. **102**, 163601 (2009)\n- [20] F. Strumia, Metrologia **8**, 85 (1972).\n- [21] G. Kramer, J. Opt. Soc. Am. **68**, 1634 (1978).\n- [22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR **32**, 455 (1972).\n- [23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. Phys. **9**, 171 (1976).\n- [24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett. **38**, 159 (1977).\n- [25] L. Davidovich, Rev. Mod. Phys. **68**, 127 (1996).\n- [26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, Phys. Rev. A **47**, 1431 (1993).\n- [27] M. Sargent III, M. O. Scully, and W. E. Lamb, *Laser Physics* (Addition Wesley, Reading, MA, 1974).\n- [28] N. A. Abraham, P. Mandel, and L. M. Narducci, *Dynamic Instabilities and Pulsations in Lasers*, Progress in Optics XXV, edited by E. Wolf (Elsevier, Amsterdam, 1988).\n- [29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, J. Phys. B **13**, 2231 (1980).\n- [30] K. An and M. S. Feld, Phys. Rev. A **56**, 1662(1997).\n- [31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. **84**, 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "$$\\tilde{N}_{b s s}=\\frac{R\\tau}{2}\\left[1-\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{\\kappa}{R(B_{0}-B_{1}+B_{2})}}\\right]$$\n\n.\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\n*Laser linwidth:* Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-diffusion coefficient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{1}{I_{0}}(\\delta Y^{2})_{\\omega}.$$\n\nIn the region γ*ab* ≪ *T* −1 ≪ τ −1 ≪ κ/2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n$$(\\delta\\varphi^{2})_{\\omega}$$\n \n$$\\approx\\frac{(\\kappa/2+\\gamma_{ab})^{2}}{I_{0}\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2}]}\\frac{g^{2}}{4(\\kappa/2+\\gamma_{ab})^{2}}\\{4\\gamma_{ab}\\hat{N}_{ass}$$\n \n$$+2R[(A_{0}+B_{0})+(A_{2}+B_{2})]$$\n \n$$+Rp[(C_{0}-C_{0}^{*})^{2}+(C_{1}-C_{1}^{*})^{2}+(C_{2}-C_{2}^{*})^{2}]\\}.\\tag{9}$$\n\nSince the time τ and *T* is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate *Ai* , *Bi* , *Ci* . By using\n\n*A*0 = cos2 Ω*R* 2 τ ! , *A*1 = cos2 Ω*R* 2 τ ! , *A*2 = 1 − sin2 (Ω*R*τ) cos2 ∆2 2 *T* ! , *B*0 = sin2 Ω*R* 2 τ ! , *B*1 = sin2 Ω*R* 2 τ ! , *B*2 = sin2 (Ω*R*τ) cos2 ∆2*T* 2 ! , (*C*0 − *C* ∗ 0 ) 2 = 0, (*C*1 − *C* ∗ 1 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*), (*C*2 − *C* ∗ 2 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*),\n\nwe get\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{\\left(\\kappa/2+\\gamma_{ab}\\right)^{2}}{\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2})]}\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}\\tag{10}$$\n \n$$+\\ D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\},$$\n\nwhere Ω*R* is the Rabi frequency on resonance, *DS T*=*g* 2*N*˜ *ass*/*I*0γ*ab* , *DRam* = *g* 2*R*/2*I*0γ 2 *ab*, and ∆2 = ω − (ω*a*2 − ω*b*2) presents the detuning in the free drift region. *p* is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to *p* = 0 , and for a regular statistics we have *p* = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\n$$D=\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}+D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\}.\\tag{11}$$\n\nSince *DS T* /*DRam* ≪ 1 in our situation, and in the case of maximal photon number, the steady state value of *N*˜ *ass* is about *R*τ/2. Then we get the\n\n$$D\\approx\\frac{2g^{2}}{\\kappa}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)].\\tag{12}$$\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection (*p* = 1), the linewidth is the narrowest, while for Poissonian injection (*p* = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.\n\nOur method of Ramsey laser is suitable for any atoms with metastable energy level, as an example, we choose the transition from the metastable state 4*s*4*p* 3*P*1 to the ground state 4*s* 2 1*S* 0 of 40Ca to check the striking feature of this laser: subnatural linewidth. As mentioned in [29], the corresponding natural linewidth of the metastable state 4*s*4*p* 3*P*1 is 320Hz. As in the recently proposed active optical clock with atomic beam [15], the velocity of the atoms in thermal atomic beam is about 500m/s, and the length of the interaction region is about 1mm, then the time for the atom to traverse each coherentinteraction region is on the order of magnitude of 1 µs. If a bad cavity with κ is on the order of 107Hz, the relation κ/2 ≫ τ −1 is satisfied. Then when *g* is on the order of the magnitude of kHz, which can be easily achieved for current technique [30], from the linewidth expression of Eq.(16) the order of magnitude of linewidth is below 1 Hz. This means the linewidth of a Ramsey laser can be more than two orders of magnitude narrower than the atomic natural linewidth, therefore our Ramsey method provides a new subnatural spectroscopy technique. And since it is stimulated-emission spectrum, it overcomes the difficulty in other subnatural linewidth spectroscopy schemes where the quick reduction of signal to noise ratio is a formidable limit. We should point out that this Ramsey laser does not escape the limitation of all active optical clock: in order to pump atoms to the excited state effectively and to be stimulated emit photon during the lifetime of a metastable state, this new method will only be applicable to some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "with frequency ω *j a* and ω *j b* , and σ *j* − = (|*b*i h*a*|) *j* is the \"spinflip\" operator for the jth atom, with its adjoint σ *j* + = (|*a*i h*b*|) *j* . The coupling constant *g* is given by *g* = µ √ ω/2~ǫ0*V*, where µ is the magnitude of the atomic dipole moment, and *V* is the effective volume of the cavity.\n\nIn order to denote the finite-time interaction between the atoms and Ramsey separated field, we introduce the function\n\n$$\\Gamma_{j}(t)=\\Theta(t-t_{j})-\\Theta(t-t_{j}-\\tau)+\\Theta(t-t_{j}-\\tau-T)-\\Theta(t-t_{j}-2\\tau-T),\\tag{2}$$\n\nwhere Θ(*t*) is the Heaviside step function [Θ(*t*) = 1 for *t* > 0, Θ(*t*) = 1/2 for *t* = 0, and Θ(*t*) = 0 for *t* < 0]. *T* is the free drift time of the atoms, and τ is the interacting time between the atom and one cavity.\n\nBy the standard way [25], we can get the Heisenberg-Langevin equations of the motion for the single-atom and filed operators. By introducing the macroscopic atomic operator, *M*(*t*) = −*i* P *j* Γ*j*(*t*)σ *j* − (*t*), *Na*(*t*) = P *j* Γ*j*(*t*)σ *j aa*(*t*), *Nb*(*t*) = P *j* Γ*j*(*t*)σ *j bb*(*t*), the dynamic equations for the field and macroscopic atomic operators yield\n\n$$\\dot{a}(t)=-\\frac{\\kappa}{2}a(t)+gM(t)+F_{\\kappa}(t),\\tag{3}$$\n\n$$\\dot{N}_{a}(t)=R(1-A_{0}+A_{1}-A_{2})-(\\gamma_{a}+\\gamma^{\\prime}_{a})N_{a}(t)\\tag{4}$$\n \n$$-g[M^{\\dagger}(t)a(t)+a^{\\dagger}(t)M(t)]+F_{a}(t),$$\n\n$$\\dot{N}_{b}(t)=-R(B_{0}-B_{1}+B_{2})-\\gamma_{b}N_{b}(t)+\\gamma_{a}^{\\prime}N_{a}(t)\\tag{5}$$\n \n$$+g[a^{\\dagger}(t)M(t)+M^{\\dagger}(t)a(t)]+F_{b}(t),$$\n\n$$\\dot{M}(t)=-R(C_{0}-C_{1}+C_{2})-\\gamma_{ab}M(t)\\tag{6}$$\n \n$$+g[N_{a}(t)-N_{b}(t)]a(t)+F_{M}(t),$$\n\nwhere the macroscopic noise operators are defined as\n\n$$F_{a}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)-R(1-A_{0}+A_{1}-A_{2})+\\sum_{j}\\Gamma_{j}(t)f_{a}^{j}(t),$$\n \n \n\n$$F_{a}(t)=\\sum\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)+R(R_{1}-R_{1}+R_{2})+\\sum\\Gamma_{j}(t)f_{a}^{j}(t).$$\n\n$$F_{b}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{b}^{j}(t)+R(B_{0}-B_{1}+B_{2})+\\sum_{j}\\Gamma_{j}(t)f_{b}^{j}(t),$$\n\n$$F_{M}(t)=-i\\sum_{j}\\dot{\\Gamma}_{j}(t)\\hat{\\sigma}_{-}^{j}(t)+R(C_{0}-C_{1}+C_{2})-i\\sum_{j}\\Gamma_{j}(t)f_{\\sigma}^{j}(t),$$\n\nwith *A*0 = D σ *j a* (*tj* + τ) E *q* , *A*1 = D σ *j a* (*tj* + τ + *T*) E *q* , *A*2 = D σ *j a* (*tj* + 2τ + *T*) E *q* , *B*0 = D σ *j b* (*tj* + τ) E *q* , *B*1 = D σ *j b* (*tj* + τ + *T*) E *q* , *B*2 = D σ *j b* (*tj* + 2τ + *T*) E *q* , *C*0 = D −*i*σ *j* − (*tj* + τ) E *q* , *C*1 = D −*i*σ *j* − (*tj* + τ + *T*) E *q* , *C*2 = D −*i*σ *j* − (*tj* + 2τ + *T*) E *q* . *R* is the mean pumping rate, which is defined in [26]. It is very easy to check that the average values of the above Langevin forces are all zero.\n\nBy using the above definitions of the noise operators, we find the correlation functions of macroscopic noise forces can be generally written in the form\n\n$$\\langle F_{k}(t)F_{l}(t^{\\prime})\\rangle$$\n \n$$=D^{(0)}_{kl}\\delta(t-t^{\\prime})+D^{(1)}_{kl}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+D^{(2)}_{kl}\\delta(t-t^{\\prime}+\\tau)+D^{(3)}_{kl}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+D^{(4)}_{kl}\\delta(t-t^{\\prime}+\\tau+T)+D^{(5)}_{kl}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+D^{(6)}_{kl}\\delta(t-t^{\\prime}+2\\tau+T)+D^{(7)}_{kl}\\delta(t-t^{\\prime}-T)$$\n \n$$+D^{(8)}_{kl}\\delta(t-t^{\\prime}+T),\\tag{7}$$\n\nwhere *D* (*i*) *kl* (*k*, *l* = *a*, *b*, *M*, *M*† ; *i* = 0, 1, 2) are the quantum diffusion coefficients.\n\n*c-number correlation functions:* By choosing some particular ordering for products of atomic and field operators, one could derive the c-number stochastic Langevin equations from the quantum Langevin equations derived above, and all of the dynamic equations for c-number stochastic variables are the same as in [26]. The differences are from the correlation functions. On the other hand, we convert the quantum noise operators into the c-number noise variables *F*˜ *k*(*t*)(*k* = *a*, *b*, *M*, *M*† ), whose correlation functions are expressed as\n\n$$\\left\\langle\\tilde{F}_{k}(t)\\tilde{F}_{k}(t^{\\prime})\\right\\rangle$$\n \n$$=\\tilde{D}_{kl}^{(0)}\\delta(t-t^{\\prime})+\\tilde{D}_{kl}^{(1)}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+\\tilde{D}_{kl}^{(2)}\\delta(t-t^{\\prime}+\\tau)+\\tilde{D}_{kl}^{(3)}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(4)}\\delta(t-t^{\\prime}+\\tau+T)+\\tilde{D}_{kl}^{(5)}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(6)}\\delta(t-t^{\\prime}+2\\tau+T)+\\tilde{D}_{kl}^{(7)}\\delta(t-t^{\\prime}-T)$$\n \n$$+\\tilde{D}_{kl}^{(8)}\\delta(t-t^{\\prime}+T),\\tag{8}$$\n\nwhere *D*˜ (*i*) *kl* are the c-number Langevin diffusion coefficients, related to quantum Langevin diffusion coefficients *D* (*i*) *kl* as in [27].\n\n*Steady-state solutions:* The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ*max* ≪ *T* −1 ≪ τ −1 ≪ κ/2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the effect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n$$\\left|\\tilde{A}_{ss}\\right|^{2}=\\frac{R(1-A_{0}+A_{1}-A_{2})}{\\kappa}=\\frac{R(B_{0}-B_{1}+B_{2})}{\\kappa},$$\n \n \n\n$$\\tilde{N}_{ass}=\\frac{R\\tau}{2}\\left[1+\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{R(B_{0}-B_{1}+B_{2})}{R(B_{0}-B_{1}+B_{2})}}\\right],$$", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11228**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n#### **Model AY11232**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11228**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11232**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x- 45x | 3.5x- 22.5x | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| Field of View Objective Dia. (mm) | | 28.6- | 57.2- | 38.1- | 19.0- | 14.3- |\n| | | 4.4 | 8.8 | 5.9 | 2.9 | 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x 112.5x | 8.8x 56.3x | 13x 84.4x | 26.3x 169x | 35x 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n#### **Model AY11228**\n\n#### **Model AY11232**\n\n| Name | Qty | |\n| --- | --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 | |\n| 10x Wide Field Eyepiece | 2 | |\n| Eyeshade | 2 | Eyeshade |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) | |\n| Fuse 2A (spare) | 1 | |\n| Lens Cleaning Tissue | 1 | |\n| Dust Cover | 1 | |\n| Black/White Working Stage | 1 | |\n| Specifications | 1 | |\n| Packing Slip | 1 | |\n| Quality Inspection Certificate | 1 | |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n#### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11228 Model AY11232**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-Holland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44, 912 (1980).\n\n- [2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44, 1316 (1980) [Erratum-ibid. 44, 1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91, 222 (1980).\n- [3] S. Khalil, J. Phys. G 35, 055001 (2008).\n- [4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676, 81 (2009); Phys. Rev. D 80, 115007 (2009).\n- [5] W. Emam and S. Khalil, Eur. Phys. J. C 522, 625 (2007).\n- [6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n- [7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80, 055030 (2009).\n- [8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80, 073015 (2009).\n- [9] S. Khalil and O. Seto, JCAP 0810, 024 (2008).\n- [10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70, 093009 (2004).\n- [11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74, 033011 (2006).\n- [12] S. Dawson and W. Yan, Phys. Rev. D 79, 095002 (2009).\n- [13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].\n- [14] E. W. Kolb and M. S. Turner, The Early Universe, Addison-Wesley (1990).\n- [15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170, 377 (2007).\n- [16] J. McDonald, Phys. Rev. D 50, 3637 (1994).\n- [17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001).\n- [18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005).\n- [19] T. Kikuchi and N. Okada, Phys. Lett. B 665, 186 (2008).\n- [20] C. E. Yaguna, JCAP 0903, 003 (2009).\n- [21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67, 085002 (2003).\n- [22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67, 043516 (2003).\n- [23] K. Cheung and O. Seto, Phys. Rev. D 69, 113009 (2004).\n- [24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n- [25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n- [26] http://xenon.astro.columbia.edu/.", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11230**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n- 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n### **Model AY11234**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11230**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11234**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x 45x | 3.5x 22.5x | 5.3x 33.8x | 10.5x 67.5x | 14x 90x |\n| Field of View Objective Dia. (mm) | | 28.6- 4.4 | 57.2- 8.8 | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x- 112.5x | 8.8x- 56.3x | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n### **PARTS LIST**\n\n#### **Model AY11230**\n\n#### **Model AY11234**\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11230 Model AY11234**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- **12** 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "- 26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72, 064413 (2005).\n- 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter, Phys. Rev. Lett. 99, 097202 (2007); R. Thomale, E. Kapit, D. F. Schroeter, and M. Greiter, Phys. Rev. B 80, 104406 (2009).\n- 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev. Lett. 88, 067203 (2002).\n- 29 F. Becca, F. Mila, Phys. Rev. Lett. 89, 037204 (2002).\n- 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93, 197203 (2004).\n- 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72, 024449 (2005).\n- 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n\nB 74, 060405(R) (2006).\n\n- 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys. Rev. B 74, 134409 (2006).\n- 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100, 077201 (2008).\n- 35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n- 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y. Tokura, Science 291, 2573 (2001).\n- 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413 (1989); X. G. Wen, Phys. Rev. B 40, 7387 (1989).\n- 38 Dimitris I. Tsomokos, Juan Jos´e Garc´ıa-Ripoll, Nigel R. Cooper, Jiannis K. Pachos, Phys. Rev. A 77, 012106 (2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - }, - { - "text": "an energy of interband transitions, which is roughly 2eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆W(ωc). The last section presents our conclusions.\n\n# II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature21–23,26,29 and we just list the formulas that we used in our computations. The conductivity σ(Ω) and the optical integral W(ωc) are given by (see for example Ref. 35).\n\n$$\\sigma^{\\prime}(\\Omega)=Im\\left[-\\frac{\\Pi(\\Omega)}{\\Omega+i\\delta}\\right]=-\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\ +\\ \\pi\\delta(\\Omega)\\,\\Pi^{\\prime}(\\Omega)\\tag{7a}$$\n\n$$W(\\omega_{c})=\\int_{0}^{\\omega_{c}}\\,\\sigma^{\\prime}(\\Omega)\\,d\\Omega=-\\int_{0+}^{\\omega_{c}}\\,\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\,d\\Omega\\,+\\,\\frac{\\pi}{2}\\Pi^{\\prime}(0)\\tag{7b}$$\n\nwhere 'X′ ' and 'X′′' stand for real and imaginary parts of X. We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\n$$\\Pi(i\\Omega)=T\\sum_{\\omega}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{E}}\\varepsilon_{\\vec{E}}\\right)^{2}\\left(G(i\\omega,\\vec{E})G(i\\omega+i\\Omega,\\vec{E})\\,+\\,F(i\\omega,\\vec{E})F(i\\omega+i\\Omega,\\vec{E})\\right)\\tag{8a}$$\n\n$$\\Pi^{\\prime\\prime}(\\Omega)=-\\frac{1}{\\pi}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}^{\\prime}\\right)^{2}\\int_{-\\Omega}^{0}d\\omega\\,\\left(G^{\\prime\\prime}(\\omega,\\vec{k})G^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\,+\\,F^{\\prime\\prime}(\\omega,\\vec{k})F^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\right)\\tag{8b}$$\n\n$$\\Pi^{\\prime}(\\Omega)=\\frac{1}{\\pi^{2}}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}\\right)^{2}\\int^{\\prime}\\int^{\\prime}dx\\,dy\\,\\left(G^{\\prime\\prime}(x,\\vec{k})G^{\\prime\\prime}(y,\\vec{k})\\,+\\,F^{\\prime\\prime}(x,\\vec{k})F^{\\prime\\prime}(y,\\vec{k})\\right)\\,\\frac{n_{F}(y)-n_{F}(x)}{y-x}\\tag{8c}$$\n\nwhere R ′ P denotes the principal value of the integral, ~k is understood to be 1 N P ~k ,(N is the number of lattice sites), nF (x) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by37\n\nFor a NS, $G(\\omega,\\vec{k})=\\dfrac{1}{\\omega-\\Sigma(k,\\omega)-\\varepsilon_{\\vec{k}}+i\\delta}$ (9a). \n\nFor a SCS, G(ω,~k) = Zk,ωω + ε~k Z2 k,ω(ω2 − ∆2 k,ω) − ε 2 ~k + iδsgn(ω) (9b)\n\n$$F(\\omega,\\vec{k})=\\frac{Z_{k,\\omega}\\Delta_{k,\\omega}}{Z_{k,\\omega}^{2}(\\omega^{2}-\\Delta_{k,\\omega}^{2})-\\varepsilon_{\\vec{k}}^{2}+i\\delta s g n(\\omega)}\\,.$$\n\nwhere Zk,ω = 1 − Σ(k,ω) ω , and ∆k,ω, is the SC gap. Following earlier works31,33, we assume that the fermionic self-energy Σ(k, ω) predominantly depends on frequency and approximate Σ(k, ω) ≈ Σ(ω) and also neglect the frequency dependence of the gap, i.e., approximate ∆k,ω by a d−wave ∆k. The lattice dispersion ε~k is taken from Ref. 38. To calculate WK, one has to evaluate the Kubo term in Eq.3 wherein the distribution function n~k , is calculated from\n\n$$n(\\varepsilon_{\\vec{k}})=-2\\int_{-\\infty}^{0}\\frac{d\\omega}{2\\pi}\\,G^{\\prime\\prime}(\\omega,\\vec{k})\\qquad\\qquad(10)$$\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe ~k-summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing R d 2k = dΩkdǫkνǫk,Ωk and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W(ωc) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute WK in NS and SCS. This will tell us about the magnitude of ∆W(ωc = ∞). We next compute the conductivity σ(ω) using the equations listed above, find W(ωc) and ∆W(ωc) and compare ∆f(ωc) and ∆WK.\n\nFor simplicity and also for comparisons with earlier studies, for BCSI, EB, and MFLI models we assumed that the gap is just a constant along the FS. For CB model, we used a d−wave gap and included into consideration the fact that, if a CB is a spin fluctuation, its propagator develops a resonance when the pairing gap is d−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "### **Model AY11228 Model AY11232**\n\n#### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n**MODEL AY11230/AY11234**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "How the steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained ?", - "target_page": 2, - "target_passage": "The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the c-number Langevin equations and setting the time derivatives equal to zero.", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "$$\\tilde{N}_{b s s}=\\frac{R\\tau}{2}\\left[1-\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{\\kappa}{R(B_{0}-B_{1}+B_{2})}}\\right]$$\n\n.\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\n*Laser linwidth:* Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-diffusion coefficient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{1}{I_{0}}(\\delta Y^{2})_{\\omega}.$$\n\nIn the region γ*ab* ≪ *T* −1 ≪ τ −1 ≪ κ/2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n$$(\\delta\\varphi^{2})_{\\omega}$$\n \n$$\\approx\\frac{(\\kappa/2+\\gamma_{ab})^{2}}{I_{0}\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2}]}\\frac{g^{2}}{4(\\kappa/2+\\gamma_{ab})^{2}}\\{4\\gamma_{ab}\\hat{N}_{ass}$$\n \n$$+2R[(A_{0}+B_{0})+(A_{2}+B_{2})]$$\n \n$$+Rp[(C_{0}-C_{0}^{*})^{2}+(C_{1}-C_{1}^{*})^{2}+(C_{2}-C_{2}^{*})^{2}]\\}.\\tag{9}$$\n\nSince the time τ and *T* is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate *Ai* , *Bi* , *Ci* . By using\n\n*A*0 = cos2 Ω*R* 2 τ ! , *A*1 = cos2 Ω*R* 2 τ ! , *A*2 = 1 − sin2 (Ω*R*τ) cos2 ∆2 2 *T* ! , *B*0 = sin2 Ω*R* 2 τ ! , *B*1 = sin2 Ω*R* 2 τ ! , *B*2 = sin2 (Ω*R*τ) cos2 ∆2*T* 2 ! , (*C*0 − *C* ∗ 0 ) 2 = 0, (*C*1 − *C* ∗ 1 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*), (*C*2 − *C* ∗ 2 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*),\n\nwe get\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{\\left(\\kappa/2+\\gamma_{ab}\\right)^{2}}{\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2})]}\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}\\tag{10}$$\n \n$$+\\ D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\},$$\n\nwhere Ω*R* is the Rabi frequency on resonance, *DS T*=*g* 2*N*˜ *ass*/*I*0γ*ab* , *DRam* = *g* 2*R*/2*I*0γ 2 *ab*, and ∆2 = ω − (ω*a*2 − ω*b*2) presents the detuning in the free drift region. *p* is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to *p* = 0 , and for a regular statistics we have *p* = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\n$$D=\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}+D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\}.\\tag{11}$$\n\nSince *DS T* /*DRam* ≪ 1 in our situation, and in the case of maximal photon number, the steady state value of *N*˜ *ass* is about *R*τ/2. Then we get the\n\n$$D\\approx\\frac{2g^{2}}{\\kappa}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)].\\tag{12}$$\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection (*p* = 1), the linewidth is the narrowest, while for Poissonian injection (*p* = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.\n\nOur method of Ramsey laser is suitable for any atoms with metastable energy level, as an example, we choose the transition from the metastable state 4*s*4*p* 3*P*1 to the ground state 4*s* 2 1*S* 0 of 40Ca to check the striking feature of this laser: subnatural linewidth. As mentioned in [29], the corresponding natural linewidth of the metastable state 4*s*4*p* 3*P*1 is 320Hz. As in the recently proposed active optical clock with atomic beam [15], the velocity of the atoms in thermal atomic beam is about 500m/s, and the length of the interaction region is about 1mm, then the time for the atom to traverse each coherentinteraction region is on the order of magnitude of 1 µs. If a bad cavity with κ is on the order of 107Hz, the relation κ/2 ≫ τ −1 is satisfied. Then when *g* is on the order of the magnitude of kHz, which can be easily achieved for current technique [30], from the linewidth expression of Eq.(16) the order of magnitude of linewidth is below 1 Hz. This means the linewidth of a Ramsey laser can be more than two orders of magnitude narrower than the atomic natural linewidth, therefore our Ramsey method provides a new subnatural spectroscopy technique. And since it is stimulated-emission spectrum, it overcomes the difficulty in other subnatural linewidth spectroscopy schemes where the quick reduction of signal to noise ratio is a formidable limit. We should point out that this Ramsey laser does not escape the limitation of all active optical clock: in order to pump atoms to the excited state effectively and to be stimulated emit photon during the lifetime of a metastable state, this new method will only be applicable to some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "an energy of interband transitions, which is roughly 2eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆W(ωc). The last section presents our conclusions.\n\n# II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature21–23,26,29 and we just list the formulas that we used in our computations. The conductivity σ(Ω) and the optical integral W(ωc) are given by (see for example Ref. 35).\n\n$$\\sigma^{\\prime}(\\Omega)=Im\\left[-\\frac{\\Pi(\\Omega)}{\\Omega+i\\delta}\\right]=-\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\ +\\ \\pi\\delta(\\Omega)\\,\\Pi^{\\prime}(\\Omega)\\tag{7a}$$\n\n$$W(\\omega_{c})=\\int_{0}^{\\omega_{c}}\\,\\sigma^{\\prime}(\\Omega)\\,d\\Omega=-\\int_{0+}^{\\omega_{c}}\\,\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\,d\\Omega\\,+\\,\\frac{\\pi}{2}\\Pi^{\\prime}(0)\\tag{7b}$$\n\nwhere 'X′ ' and 'X′′' stand for real and imaginary parts of X. We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\n$$\\Pi(i\\Omega)=T\\sum_{\\omega}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{E}}\\varepsilon_{\\vec{E}}\\right)^{2}\\left(G(i\\omega,\\vec{E})G(i\\omega+i\\Omega,\\vec{E})\\,+\\,F(i\\omega,\\vec{E})F(i\\omega+i\\Omega,\\vec{E})\\right)\\tag{8a}$$\n\n$$\\Pi^{\\prime\\prime}(\\Omega)=-\\frac{1}{\\pi}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}^{\\prime}\\right)^{2}\\int_{-\\Omega}^{0}d\\omega\\,\\left(G^{\\prime\\prime}(\\omega,\\vec{k})G^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\,+\\,F^{\\prime\\prime}(\\omega,\\vec{k})F^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\right)\\tag{8b}$$\n\n$$\\Pi^{\\prime}(\\Omega)=\\frac{1}{\\pi^{2}}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}\\right)^{2}\\int^{\\prime}\\int^{\\prime}dx\\,dy\\,\\left(G^{\\prime\\prime}(x,\\vec{k})G^{\\prime\\prime}(y,\\vec{k})\\,+\\,F^{\\prime\\prime}(x,\\vec{k})F^{\\prime\\prime}(y,\\vec{k})\\right)\\,\\frac{n_{F}(y)-n_{F}(x)}{y-x}\\tag{8c}$$\n\nwhere R ′ P denotes the principal value of the integral, ~k is understood to be 1 N P ~k ,(N is the number of lattice sites), nF (x) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by37\n\nFor a NS, $G(\\omega,\\vec{k})=\\dfrac{1}{\\omega-\\Sigma(k,\\omega)-\\varepsilon_{\\vec{k}}+i\\delta}$ (9a). \n\nFor a SCS, G(ω,~k) = Zk,ωω + ε~k Z2 k,ω(ω2 − ∆2 k,ω) − ε 2 ~k + iδsgn(ω) (9b)\n\n$$F(\\omega,\\vec{k})=\\frac{Z_{k,\\omega}\\Delta_{k,\\omega}}{Z_{k,\\omega}^{2}(\\omega^{2}-\\Delta_{k,\\omega}^{2})-\\varepsilon_{\\vec{k}}^{2}+i\\delta s g n(\\omega)}\\,.$$\n\nwhere Zk,ω = 1 − Σ(k,ω) ω , and ∆k,ω, is the SC gap. Following earlier works31,33, we assume that the fermionic self-energy Σ(k, ω) predominantly depends on frequency and approximate Σ(k, ω) ≈ Σ(ω) and also neglect the frequency dependence of the gap, i.e., approximate ∆k,ω by a d−wave ∆k. The lattice dispersion ε~k is taken from Ref. 38. To calculate WK, one has to evaluate the Kubo term in Eq.3 wherein the distribution function n~k , is calculated from\n\n$$n(\\varepsilon_{\\vec{k}})=-2\\int_{-\\infty}^{0}\\frac{d\\omega}{2\\pi}\\,G^{\\prime\\prime}(\\omega,\\vec{k})\\qquad\\qquad(10)$$\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe ~k-summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing R d 2k = dΩkdǫkνǫk,Ωk and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W(ωc) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute WK in NS and SCS. This will tell us about the magnitude of ∆W(ωc = ∞). We next compute the conductivity σ(ω) using the equations listed above, find W(ωc) and ∆W(ωc) and compare ∆f(ωc) and ∆WK.\n\nFor simplicity and also for comparisons with earlier studies, for BCSI, EB, and MFLI models we assumed that the gap is just a constant along the FS. For CB model, we used a d−wave gap and included into consideration the fact that, if a CB is a spin fluctuation, its propagator develops a resonance when the pairing gap is d−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "*Conclusion:* In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by using Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interaction with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavityrelated noise as discussed in active optical clock [15–19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3–10]. Considering one have to apply the separated-field method in any phase detection as in Ramsey-Bord*e*´interferometer [2], to investigate the effects of phase differences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim.\n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Research and Development (863) Program.\n\n- ∗ E-mail: jbchen@pku.edu.cn\n- † E-mail: hongguo@pku.edu.cn.\n- [1] N. F. Ramsey, Phys. Rev. **76**, 996 (1949).\n- [2] B. Dubetsky and P. R. Berman, In *Atom Interferometry*, edited by P. R. Berman (Academic Press, Cambridge, MA, 1997).\n- [3] M. M. Salour, Rev. Mod. Phys. **50**, 667 (1978).\n- [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. **44**, 1254 (1980).\n- [5] P. L. Knight and P. E. Coleman, J. Phys. 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The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. 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Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties, vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101, 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "with frequency ω *j a* and ω *j b* , and σ *j* − = (|*b*i h*a*|) *j* is the \"spinflip\" operator for the jth atom, with its adjoint σ *j* + = (|*a*i h*b*|) *j* . The coupling constant *g* is given by *g* = µ √ ω/2~ǫ0*V*, where µ is the magnitude of the atomic dipole moment, and *V* is the effective volume of the cavity.\n\nIn order to denote the finite-time interaction between the atoms and Ramsey separated field, we introduce the function\n\n$$\\Gamma_{j}(t)=\\Theta(t-t_{j})-\\Theta(t-t_{j}-\\tau)+\\Theta(t-t_{j}-\\tau-T)-\\Theta(t-t_{j}-2\\tau-T),\\tag{2}$$\n\nwhere Θ(*t*) is the Heaviside step function [Θ(*t*) = 1 for *t* > 0, Θ(*t*) = 1/2 for *t* = 0, and Θ(*t*) = 0 for *t* < 0]. *T* is the free drift time of the atoms, and τ is the interacting time between the atom and one cavity.\n\nBy the standard way [25], we can get the Heisenberg-Langevin equations of the motion for the single-atom and filed operators. By introducing the macroscopic atomic operator, *M*(*t*) = −*i* P *j* Γ*j*(*t*)σ *j* − (*t*), *Na*(*t*) = P *j* Γ*j*(*t*)σ *j aa*(*t*), *Nb*(*t*) = P *j* Γ*j*(*t*)σ *j bb*(*t*), the dynamic equations for the field and macroscopic atomic operators yield\n\n$$\\dot{a}(t)=-\\frac{\\kappa}{2}a(t)+gM(t)+F_{\\kappa}(t),\\tag{3}$$\n\n$$\\dot{N}_{a}(t)=R(1-A_{0}+A_{1}-A_{2})-(\\gamma_{a}+\\gamma^{\\prime}_{a})N_{a}(t)\\tag{4}$$\n \n$$-g[M^{\\dagger}(t)a(t)+a^{\\dagger}(t)M(t)]+F_{a}(t),$$\n\n$$\\dot{N}_{b}(t)=-R(B_{0}-B_{1}+B_{2})-\\gamma_{b}N_{b}(t)+\\gamma_{a}^{\\prime}N_{a}(t)\\tag{5}$$\n \n$$+g[a^{\\dagger}(t)M(t)+M^{\\dagger}(t)a(t)]+F_{b}(t),$$\n\n$$\\dot{M}(t)=-R(C_{0}-C_{1}+C_{2})-\\gamma_{ab}M(t)\\tag{6}$$\n \n$$+g[N_{a}(t)-N_{b}(t)]a(t)+F_{M}(t),$$\n\nwhere the macroscopic noise operators are defined as\n\n$$F_{a}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)-R(1-A_{0}+A_{1}-A_{2})+\\sum_{j}\\Gamma_{j}(t)f_{a}^{j}(t),$$\n \n \n\n$$F_{a}(t)=\\sum\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)+R(R_{1}-R_{1}+R_{2})+\\sum\\Gamma_{j}(t)f_{a}^{j}(t).$$\n\n$$F_{b}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{b}^{j}(t)+R(B_{0}-B_{1}+B_{2})+\\sum_{j}\\Gamma_{j}(t)f_{b}^{j}(t),$$\n\n$$F_{M}(t)=-i\\sum_{j}\\dot{\\Gamma}_{j}(t)\\hat{\\sigma}_{-}^{j}(t)+R(C_{0}-C_{1}+C_{2})-i\\sum_{j}\\Gamma_{j}(t)f_{\\sigma}^{j}(t),$$\n\nwith *A*0 = D σ *j a* (*tj* + τ) E *q* , *A*1 = D σ *j a* (*tj* + τ + *T*) E *q* , *A*2 = D σ *j a* (*tj* + 2τ + *T*) E *q* , *B*0 = D σ *j b* (*tj* + τ) E *q* , *B*1 = D σ *j b* (*tj* + τ + *T*) E *q* , *B*2 = D σ *j b* (*tj* + 2τ + *T*) E *q* , *C*0 = D −*i*σ *j* − (*tj* + τ) E *q* , *C*1 = D −*i*σ *j* − (*tj* + τ + *T*) E *q* , *C*2 = D −*i*σ *j* − (*tj* + 2τ + *T*) E *q* . *R* is the mean pumping rate, which is defined in [26]. It is very easy to check that the average values of the above Langevin forces are all zero.\n\nBy using the above definitions of the noise operators, we find the correlation functions of macroscopic noise forces can be generally written in the form\n\n$$\\langle F_{k}(t)F_{l}(t^{\\prime})\\rangle$$\n \n$$=D^{(0)}_{kl}\\delta(t-t^{\\prime})+D^{(1)}_{kl}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+D^{(2)}_{kl}\\delta(t-t^{\\prime}+\\tau)+D^{(3)}_{kl}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+D^{(4)}_{kl}\\delta(t-t^{\\prime}+\\tau+T)+D^{(5)}_{kl}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+D^{(6)}_{kl}\\delta(t-t^{\\prime}+2\\tau+T)+D^{(7)}_{kl}\\delta(t-t^{\\prime}-T)$$\n \n$$+D^{(8)}_{kl}\\delta(t-t^{\\prime}+T),\\tag{7}$$\n\nwhere *D* (*i*) *kl* (*k*, *l* = *a*, *b*, *M*, *M*† ; *i* = 0, 1, 2) are the quantum diffusion coefficients.\n\n*c-number correlation functions:* By choosing some particular ordering for products of atomic and field operators, one could derive the c-number stochastic Langevin equations from the quantum Langevin equations derived above, and all of the dynamic equations for c-number stochastic variables are the same as in [26]. The differences are from the correlation functions. On the other hand, we convert the quantum noise operators into the c-number noise variables *F*˜ *k*(*t*)(*k* = *a*, *b*, *M*, *M*† ), whose correlation functions are expressed as\n\n$$\\left\\langle\\tilde{F}_{k}(t)\\tilde{F}_{k}(t^{\\prime})\\right\\rangle$$\n \n$$=\\tilde{D}_{kl}^{(0)}\\delta(t-t^{\\prime})+\\tilde{D}_{kl}^{(1)}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+\\tilde{D}_{kl}^{(2)}\\delta(t-t^{\\prime}+\\tau)+\\tilde{D}_{kl}^{(3)}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(4)}\\delta(t-t^{\\prime}+\\tau+T)+\\tilde{D}_{kl}^{(5)}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(6)}\\delta(t-t^{\\prime}+2\\tau+T)+\\tilde{D}_{kl}^{(7)}\\delta(t-t^{\\prime}-T)$$\n \n$$+\\tilde{D}_{kl}^{(8)}\\delta(t-t^{\\prime}+T),\\tag{8}$$\n\nwhere *D*˜ (*i*) *kl* are the c-number Langevin diffusion coefficients, related to quantum Langevin diffusion coefficients *D* (*i*) *kl* as in [27].\n\n*Steady-state solutions:* The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ*max* ≪ *T* −1 ≪ τ −1 ≪ κ/2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the effect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n$$\\left|\\tilde{A}_{ss}\\right|^{2}=\\frac{R(1-A_{0}+A_{1}-A_{2})}{\\kappa}=\\frac{R(B_{0}-B_{1}+B_{2})}{\\kappa},$$\n \n \n\n$$\\tilde{N}_{ass}=\\frac{R\\tau}{2}\\left[1+\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{R(B_{0}-B_{1}+B_{2})}{R(B_{0}-B_{1}+B_{2})}}\\right],$$", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "form of the imaginary part.\n\nFIG. 17: Conductivities and ∆W for a fixed λωsf . Top – ωsf = 26 meV ,λ = 1,ωo = 40 meV ,Zo = 0.77 Bottom – ωsf = 2.6 meV ,λ = 10,ωo = 13.5 meV ,Zo = 1.22. The zero crossing for ∆W is not affected by a change in λ because it is determined only by λωsf . We set ∆ = 30 meV .\n\nFIG. 18: The behavior of Kubo sums in the CB model. Note that the spectral weight in the NS is always larger than in the SCS. We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nWe performed the same calculations of conductivities and optical integrals as in the previous three cases. The results are summarized in Figs. 17 - 22. Fig 17 shows conductivities in the NS and the SCS for two couplings λ = 1 and λ = 10 (keeping λωsf constant). Other parameters Zo and ωo are calculated according to the discussion after Eq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV , Zo = 0.77. And for ωsf = 2.6 meV , λ = 10, we find ωo = 13.5 meV , Zo = 1.22. Note that the conductivity in the SCS starts at 2∆ + ωo (i.e. the resonance energy\n\nFIG. 19: The evolution of the optical integrals in the NS and the SCS in the CB model. Note that about ∼ 75% of the spectral weight is recovered up to 1 eV . We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nFIG. 20: ∆W (in meV) for λ = 1(top) and λ = 10(bottom). We used ωsf = 26 meV /λ and ∆ = 30meV . The zero crossing is not affected because we keep λωsf constant. The notable difference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What are the consequences on the linewidth for regular and Poissonian injections ?", - "target_page": 3, - "target_passage": " For regular injection (p = 1), the linewidth is the narrowest, while for Poissonian injection (p = 0), the linewidth is the broadest.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": ".\n\n## **The Linewidth of Ramsey Laser with Bad Cavity**\n\nYang Li, Wei Zhuang, Jinbiao Chen,∗ and Hong Guo†\n\n*CREAM Group, State Key Laboratory of Advanced Optical Communication*\n\n*Systems and Networks (Peking University) and Institute of Quantum Electronics,*\n\n*School of Electronics Engineering and Computer Science,*\n\n*and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China*\n\n(Dated: October 29, 2018)\n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying the linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth is more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that of conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. Since any cavity related noise is reduced to cavity-pulling effect in bad cavity laser, this Ramsey laser provides the possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical clock and atom interferometers.\n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\n\n*Introduction:* Since the invention of the separated-field technique [1], it has played an important role in the field of precision spectroscopy due to its linewidth narrowing effect via multiple coherent interaction. Atomic clocks based on this technique have greatly extended our ability for frequency measurement, further, almost all the atom interferometers are based on this technique [2].\n\nThough, the natural linewidth of quantum transition was regarded as the ultimate limit to high-resolution laser spectroscopy [4], several methods of subnatural linewidth spectroscopy have been proposed to gain subnatural linewidth [3– 10]. However, in all these efforts, including optical Ramsey spectroscopy, subnatural line is realized at the expense of a quick reduction in signal-to-noise (SNR) ratio due to the exponential decaying of signal, thus all these schemes can only get the linewidth several times narrower than the atomic natural linewidth. In the past three decades, this situation does not change in the field of the precision laser spectroscopy. On the other hand, the thermal noise of the cavity mirrors is the main obstacle for further linewidth reduction of a laser [11, 12], and it is a challenge to substantially reduce this noise further[13]. Recently, a new scheme, called active optical clock [14–18], was proposed to substantially reduce the laser linewidth. With lattice trapped atoms, it is possible to reach mHz linewidth laser based on the mechanism of active optical clock [14, 15, 19]. The principal mechanism of active optical clock is to directly extract light emitted from the ultranarrow atomic transition with a cavity mode linewidth much wider than that of lasing. This bad cavity ensures that any frequency shift due to cavity noise reduces to cavity-pulling effect [15– 17], then the thermal noise is not the major obstacle again for reducing the linewidth. This means the bad cavity can play an indispensable role in new subnatural linewidth spectroscopy.\n\nIn this Letter, we propose a new scheme called Ramsey laser with bad cavity. Distinct from any previous applications of conventional Ramsey separated oscillating fields method [1], which focuses on the absorption spectrum, we here focus on the stimulated emission spectrum via multiple coherent interactions inside the cavity. We find this Ramsey laser can provide a stimulated-emission spectrum with a linewidth much narrower than that of any conventional optical Ramsey seperated-field spectroscopy, which is commonly applied in optical atomic clock. Our results also show that a subnatural linewidth spectroscopy, superior to any other available subnatural spectroscopy technique at present [3–10], can be reached by this kind of laser, if a suitable atomic level structure is chosen. Thus, this method can provide an effective subnatural spectroscopy, and the possibilities for the new optical clock scheme [15] and atom interferometers [2].\n\n*Theoretical framework:* We consider the case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. All atoms are pumped onto the upper lasing state **a** before entering the first cavity of seperated field, and the lower lasing state is **b**. We assume all the atoms have the same velocities υ, that means what we consider here is a homogeneous laser system. And for the sake of simplicity, we consider the two-standing waves linear optical Ramsey configuration with a grid as spatial selector [20, 21]. Our treatment can be extended to other configurations as in [22–24]. The length of each oscillating part is *l*, and the length of the free drift region is *L*. The corresponding Hamiltonian is\n\n$$H=\\hbar\\omega\\hat{a}^{\\dagger}\\hat{a}+\\hbar\\sum_{j}\\left[\\omega_{a}^{j}(t)\\sigma_{a}^{j}+\\omega_{b}^{j}(t)\\sigma_{b}^{j}\\right]\\tag{1}$$\n \n$$+\\hbar\\mathrm{g}\\sum_{j}\\Gamma_{j}(t)(\\hat{a}^{\\dagger}\\hat{\\sigma}_{-}^{j}e^{-i\\vec{k}\\cdot\\vec{r}_{j}}+\\hat{\\sigma}_{+}^{j}\\hat{a}e^{i\\vec{k}\\cdot\\vec{r}_{j}}),$$\n\nwhere ˆ*a*, ˆ*a* † are the annihilation and creation operators of the field mode inside the cavity, with the frequency ω, σ *j a* = (|*a*i h*a*|) *j* and σ *j b* = (|*b*i h*b*|) *j* are the projection operators for the jth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "FIG. 6: Evolution of ∆W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3.5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\int d\\omega^{\\prime}\\frac{1}{\\omega_{o}^{2}-\\omega^{\\prime2}-i\\delta}\\frac{\\omega+\\omega^{\\prime}}{\\sqrt{(\\omega+\\omega^{\\prime})^{2}-\\Delta^{2}}}\\tag{16}$$\n\nObserve that Σ′′(ω) is no-zero only for ω < −ωo − ∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ′ (ω) = −Σ ′ (−ω) and Σ′′(ω) = Σ′′(−ω).\n\nFig7 shows conductivities σ(ω) and Kubo sums WK as a function of the dimensionless coupling λ. We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆WK is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model – only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆W(ωc) as a function of ωc. We see the same behavior as in the BCSI model in a clean limit – ∆W(ωc) is positive at small frequencies, crosses zero at some ωc, passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest wc. However, in distinction to BCSI model, ∆W(ωc) keeps varying with ωc up a much larger scale and saturates only at around 0.8eV . In between the dip at 0.1eV and 0.8eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆f(ωc) as evidenced by a close similarity between the behavior of the actual ∆W and ∆W in the absence\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that WK in the SCS is below that in the NS. We set ωo = 40 meV , ∆ = 30 meV , λ = .5\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W(0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω, hence the polarization bubble Π(0) 6= 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "Figure 3.18. Generd Pknform Effects", - "page_start": 252, - "page_end": 252, - "source_file": "00-80T-80.pdf" - }, - { - "text": "$$\\tilde{N}_{b s s}=\\frac{R\\tau}{2}\\left[1-\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{\\kappa}{R(B_{0}-B_{1}+B_{2})}}\\right]$$\n\n.\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\n*Laser linwidth:* Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ*X*(ω) and δ*Y*(ω) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-diffusion coefficient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{1}{I_{0}}(\\delta Y^{2})_{\\omega}.$$\n\nIn the region γ*ab* ≪ *T* −1 ≪ τ −1 ≪ κ/2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n$$(\\delta\\varphi^{2})_{\\omega}$$\n \n$$\\approx\\frac{(\\kappa/2+\\gamma_{ab})^{2}}{I_{0}\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2}]}\\frac{g^{2}}{4(\\kappa/2+\\gamma_{ab})^{2}}\\{4\\gamma_{ab}\\hat{N}_{ass}$$\n \n$$+2R[(A_{0}+B_{0})+(A_{2}+B_{2})]$$\n \n$$+Rp[(C_{0}-C_{0}^{*})^{2}+(C_{1}-C_{1}^{*})^{2}+(C_{2}-C_{2}^{*})^{2}]\\}.\\tag{9}$$\n\nSince the time τ and *T* is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate *Ai* , *Bi* , *Ci* . By using\n\n*A*0 = cos2 Ω*R* 2 τ ! , *A*1 = cos2 Ω*R* 2 τ ! , *A*2 = 1 − sin2 (Ω*R*τ) cos2 ∆2 2 *T* ! , *B*0 = sin2 Ω*R* 2 τ ! , *B*1 = sin2 Ω*R* 2 τ ! , *B*2 = sin2 (Ω*R*τ) cos2 ∆2*T* 2 ! , (*C*0 − *C* ∗ 0 ) 2 = 0, (*C*1 − *C* ∗ 1 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*), (*C*2 − *C* ∗ 2 ) 2 = − sin2 (Ω*R*τ)sin2 (∆2*T*),\n\nwe get\n\n$$(\\delta\\varphi^{2})_{\\omega}=\\frac{\\left(\\kappa/2+\\gamma_{ab}\\right)^{2}}{\\omega^{2}[(\\kappa/2+\\gamma_{ab})^{2}+\\omega^{2})]}\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}\\tag{10}$$\n \n$$+\\ D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\},$$\n\nwhere Ω*R* is the Rabi frequency on resonance, *DS T*=*g* 2*N*˜ *ass*/*I*0γ*ab* , *DRam* = *g* 2*R*/2*I*0γ 2 *ab*, and ∆2 = ω − (ω*a*2 − ω*b*2) presents the detuning in the free drift region. *p* is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to *p* = 0 , and for a regular statistics we have *p* = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\n$$D=\\frac{\\gamma_{ab}^{2}}{(\\kappa/2+\\gamma_{ab})^{2}}\\{D_{ST}+D_{Ram}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)]\\}.\\tag{11}$$\n\nSince *DS T* /*DRam* ≪ 1 in our situation, and in the case of maximal photon number, the steady state value of *N*˜ *ass* is about *R*τ/2. Then we get the\n\n$$D\\approx\\frac{2g^{2}}{\\kappa}[2-p\\sin^{2}(\\Omega_{R}\\tau)\\sin^{2}(\\Delta_{2}T)].\\tag{12}$$\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection (*p* = 1), the linewidth is the narrowest, while for Poissonian injection (*p* = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.\n\nOur method of Ramsey laser is suitable for any atoms with metastable energy level, as an example, we choose the transition from the metastable state 4*s*4*p* 3*P*1 to the ground state 4*s* 2 1*S* 0 of 40Ca to check the striking feature of this laser: subnatural linewidth. As mentioned in [29], the corresponding natural linewidth of the metastable state 4*s*4*p* 3*P*1 is 320Hz. As in the recently proposed active optical clock with atomic beam [15], the velocity of the atoms in thermal atomic beam is about 500m/s, and the length of the interaction region is about 1mm, then the time for the atom to traverse each coherentinteraction region is on the order of magnitude of 1 µs. If a bad cavity with κ is on the order of 107Hz, the relation κ/2 ≫ τ −1 is satisfied. Then when *g* is on the order of the magnitude of kHz, which can be easily achieved for current technique [30], from the linewidth expression of Eq.(16) the order of magnitude of linewidth is below 1 Hz. This means the linewidth of a Ramsey laser can be more than two orders of magnitude narrower than the atomic natural linewidth, therefore our Ramsey method provides a new subnatural spectroscopy technique. And since it is stimulated-emission spectrum, it overcomes the difficulty in other subnatural linewidth spectroscopy schemes where the quick reduction of signal to noise ratio is a formidable limit. We should point out that this Ramsey laser does not escape the limitation of all active optical clock: in order to pump atoms to the excited state effectively and to be stimulated emit photon during the lifetime of a metastable state, this new method will only be applicable to some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "#### Table 8 pretraining hyper-parameters for V-JEPA.\n\n| Hyper-parameter | ViT-L/16224 | ViT-H/16224 | ViT-H/16384 |\n| --- | --- | --- | --- |\n| data | | | |\n| datasets | | VideoMix2M VideoMix2M VideoMix2M | |\n| resolution | 224 | 224 | 384 |\n| num_frames | 16 | 16 | 16 |\n| temporal_stride | 4 | 4 | 4 |\n| horizontal_flip | true | true | true |\n| random_resize_scale | (0.3, 1.0) | (0.3, 1.0) | (0.3, 1.0) |\n| random_resize_aspect_ratio | (0.75, 1.35) | (0.75, 1.35) | (0.75, 1.35) |\n| masking | | | |\n| block_aspect_ratio | (0.75, 1.5) | (0.75, 1.5) | (0.75, 1.5) |\n| shortrange_mask_num_blocks | 8 | 8 | 8 |\n| shortrange_mask_spatial_scale | 0.15 | 0.15 | 0.15 |\n| longrange_mask_num_blocks | 2 | 2 | 2 |\n| longrange_mask_spatial_scale | 0.7 | 0.7 | 0.7 |\n| optimization | | | |\n| batch_size | 3072 | 3072 | 2400 |\n| total_number_of_iterations | 90000 | 90000 | 90000 |\n| warmup_iterations | 12000 | 12000 | 12000 |\n| lr | 6.25e-4 | 6.25×10−4 | 6.25×10−4 |\n| start_lr | 2×10−4 | 2×10−4 | 2×10−4 |\n| final_lr | 1×10−6 | 1×10−6 | 1×10−6 |\n| start_momentum | 0.998 | 0.998 | 0.998 |\n| final_momentum | 1.0 | 1.0 | 1.0 |\n| start_weight_decay | 0.04 | 0.04 | 0.04 |\n| final_weight_decay | 0.4 | 0.4 | 0.4 |\n| scheduler_scale_factor | 1.25 | 1.25 | 1.25 |\n| architecture | | | |\n| patch_size | 16 | 16 | 16 |\n| tubelet_size | 2 | 2 | 2 |\n| pred_depth | 12 | 12 | 12 |\n| pred_embed_dim | 384 | 384 | 384 |\n| hardware | | | |\n| dtype | bfloat16 | bfloat16 | bfloat16 |\n| accelerator | A100 80G | A100 80G | A100 80G |\n\nMulti-Mask Prediction. To increase the efficiency of V-JEPA, we use a multi-masking strategy (Caron et al., 2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in Section 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward propagate the x-encoder and predictor separately for each mask, we only need to compute the y-representation once.\n\n# C Pretraining details\n\nIn section, we report V-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during pretraining.\n\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for the x-encoder and y-encoder. We train three V-JEPA encoders: a ViT-L/16224, a ViT-H/16224 and a ViT-H/16384. All three encoders take as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts, 224 and 384, indicate the spatial resolution of the video clip. V-JEPA flattens the video clip into a sequence of non-overlapping spatio-temporal patches of size 16 × 16 × 2 (see Figure 7). For all three models, the predictor is designed as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For simplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the context-encoder/target-encoder. V-JEPA is pretrained without using a [cls] token.\n\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize the x-encoder and predictor weights. The ViT-L/16224 and ViT-H/16224 models use a batch size of 3072 while the ViT-H/16384 uses a batch size of 2400. Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from 2 × 10−4 to 6.25 × 10−4 during the first 12, 000 iterations of pretraining, and decayed to 10−6 following a cosine schedule.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-Holland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44, 912 (1980).\n\n- [2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44, 1316 (1980) [Erratum-ibid. 44, 1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91, 222 (1980).\n- [3] S. Khalil, J. Phys. G 35, 055001 (2008).\n- [4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676, 81 (2009); Phys. Rev. D 80, 115007 (2009).\n- [5] W. Emam and S. Khalil, Eur. Phys. J. C 522, 625 (2007).\n- [6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n- [7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80, 055030 (2009).\n- [8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80, 073015 (2009).\n- [9] S. Khalil and O. Seto, JCAP 0810, 024 (2008).\n- [10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70, 093009 (2004).\n- [11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74, 033011 (2006).\n- [12] S. Dawson and W. Yan, Phys. Rev. D 79, 095002 (2009).\n- [13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].\n- [14] E. W. Kolb and M. S. Turner, The Early Universe, Addison-Wesley (1990).\n- [15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170, 377 (2007).\n- [16] J. McDonald, Phys. Rev. D 50, 3637 (1994).\n- [17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001).\n- [18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005).\n- [19] T. Kikuchi and N. Okada, Phys. Lett. B 665, 186 (2008).\n- [20] C. E. Yaguna, JCAP 0903, 003 (2009).\n- [21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67, 085002 (2003).\n- [22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67, 043516 (2003).\n- [23] K. Cheung and O. Seto, Phys. Rev. D 69, 113009 (2004).\n- [24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n- [25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n- [26] http://xenon.astro.columbia.edu/.", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "# 2.3. FastBlue tracer injections\n\nTable 2\n\nMice were briefly anesthetized during the procedure, induced with 3% to 5% isoflurane, and then maintained at 1.5% to 2% as required. Hindlimbs were taped with the plantar surface of the paw facing up, and a custom, 26G removable needle with a 30˚ bevel, attached to a 25-mL Hamilton syringe, was inserted between the 2 distal-most footpads, towards the medial aspect of the hindpaw. The needle was then rotated 90˚, so the bevel faced medially. Furthermore, 4-mL FastBlue (FB; 2% in sterile phosphate-buffered saline (PBS); CAS# 73819-41-7; Polysciences, Inc, Warrington, PA) per paw was then slowly injected, and the needle was left in place for 10 seconds, before rotating and carefully retracting to avoid backflow of FB along the needle track. This prevented the FB bolus from contacting the sural innervation territory of the lateral hindpaw, restricting it largely to the tibial innervation territory of the glabrous hindpaw skin.\n\n# 2.4. Immunohistochemistry and image acquisition\n\nMice were anesthetized with an overdose of pentobarbital (20 mg) and transcardially perfused with a fixative containing 4% formaldehyde. L3 to L5 DRGs were removed and postfixed for another 2 hours, cryoprotected in 30% sucrose overnight, and then embedded in optimal cutting temperature media (OCT; Tissue Tek, Alphen aan den Rijn, the Netherlands). Dorsal root ganglia were sectioned on a Leica CM1950 cryostat at 30 mm, with every section collected serially on 5 Superfrost Plus slides (VWR, Lutterworth, United Kingdom) and each slide containing 1 in every 5 sections (4-7 sections per slide). One slide per DRG was selected at random and was washed with PBS, before being incubated with appropriate primary antibodies (Table 2) diluted in 5% normal donkey serum and 0.3% Triton X-100 in PBS for 3 days at 4˚C. After PBS washes, slides were incubated with appropriate secondary antibodies (Table 2) in the same PBS/ (normal donkey serum) NDS/Triton-X100 solution as for primaries, overnight at room temperature. Slides were washed and coverslipped with VectaShield Vibrance Hardset mounting media (Vector Labs, Newark, CA), with 4',6-diamidino-2-phenylindole included in mounting media where FB-labelled cells were not being examined. Sections were imaged using a Zeiss LSM900 Airyscan confocal microscope equipped with 405-, 488-, 561-,\n\n| Primary and secondary antibodies used in the study. | | | |\n| --- | --- | --- | --- |\n| Antibody | Source | Identifiers | Working dilution |\n| Anti-GFP (Chicken polyclonal) | Abcam, plc, Cambridge, United Kingdom | Cat#: ab13970 | 1:1000 |\n| | | RRID: AB_300798 | |\n| Anti-NeuN (Guinea pig polyclonal) | Synaptic Systems, G ¨ottingen, Germany | Cat#: 266004 | 1:500 |\n| | | RRID: AB_2619988 | |\n| Anti-mCherry (Rat monoclonal) | Invitrogen, Waltham, MA; Thermo Fisher Scientific, | Cat#: M11217 | 1:500 |\n| United Kingdom | | RRID: AB_2536611 | |\n| Anti-Atf3 (Rabbit polyclonal) | Novus Biologicals, Minneapolis, MN | Cat#: NBP1-85816 | 1:500 |\n| | | RRID: AB_11014863 | |\n| Anti-NF200 (Rabbit polyclonal) | Sigma-Aldrich, Saint Louis, MO | Cat#: N4142 | 1:1000 |\n| | | RRID: AB_477272 | |\n| Anti-TrkA (Goat polyclonal) | R&D Systems, Minneapolis, MN | Cat#: AF1056 | 1:500 |\n| | | RRID: AB_2283049 | |\n| Anti-TDP43 (Rabbit polyclonal) | Abcam, plc, Cambridge, United Kingdom | Cat#: ab133547 | 1:100 |\n| | | RRID: AB_2920621 | |\n| Anti-RFP (Mouse monoclonal) | Thermo Fisher Scientific, United Kingdom | Cat#: MA5-15257 | 1:200 |\n| | | RRID: AB_10999796 | |\n| Anti-RFP (Chicken polyclonal) | Sigma-Aldrich, United Kingdom | Cat#: AB3528 | 1:200 |\n| | | RRID: AB_11212735 | |\n| Alexa Fluor 488 Donkey Anti-Chicken IgY | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 703-545-155 | 1:500 |\n| (Donkey polyclonal) | | RRID: AB_2340375 | |\n| Alexa Fluor 647 Donkey Anti-Guinea pig IgG | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 706-605-148 | 1:250 |\n| (Donkey polyclonal) | | RRID: AB_2340476 | |\n| Rhodamine Red-X Donkey Anti-Rat IgG (Donkey | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 712-295-153 | 1:100 |\n| polyclonal) | | RRID: AB_2340676 | |\n| Alexa Fluor 647 Donkey Anti-Rabbit IgG (Donkey | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 711-605-152 | 1:250 |\n| polyclonal) | | RRID: AB_2492288 | |\n| Rhodamine Red-X Donkey Anti-Rabbit IgG | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 711-295-152 RRID: AB_2340613 | 1:100 |\n| (Donkey polyclonal) | | | |\n| Alexa Fluor 546 Goat Anti-Chicken IgG (Goat | Thermo Fisher Scientific, United Kingdom | Cat#: A11040 | 1:400 |\n| polyclonal) | | RRID: AB_2534097 | |\n| Alexa Fluor 488 Goat Anti-Rabbit IgG (Goat | Thermo Fisher Scientific, United Kingdom | Cat#: A11008 | 1:400 |\n| polyclonal) | | RRID: AB_143165 | |\n| Alexa Fluor 546 Donkey Anti-Mouse IgG (Donkey | Thermo Fisher Scientific, United Kingdom | Cat#: A10036 | 1:400 |\n| polyclonal) | | RRID: AB_2534012 | |\n\nGFP, green fluorescent protein; RFP, red fluorescent protein", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed2.pdf" - }, - { - "text": "#### Table 9 Frozen Evaluation hyper-parameters.\n\n| Hyper-parameter | K400 | SSv2 | IN1K | Place205 | iNat21 |\n| --- | --- | --- | --- | --- | --- |\n| data | | | | | |\n| num_clips | 8 | 1 | N.A. | N.A. | N.A. |\n| num_frames | 16 | 16 | N.A. | N.A. | N.A. |\n| temporal_stride | 4 | 4 | N.A. | N.A. | N.A. |\n| horizontal_flip | true | true | true | true | true |\n| random_resize_scale | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) |\n| | | random_resize_aspect_ratio (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) | | | |\n| auto_augment | false | false | true | true | true |\n| optimization | | | | | |\n| batch_size | 256 | 256 | 1024 | 1024 | 1024 |\n| epochs | 20 | 20 | 20 | 20 | 20 |\n| lr | 1e-3 | 1e-3 | 1e-3 | 1e-3 | 1e-3 |\n| final_lr | 0 | 0 | 0 | 0 | 0 |\n| weight_decay | 0.01 | 0.01 | 0.01 | 0.01 | 0.01 |\n\nWeight-decay is also linearly increased from 0.04 to 0.4 throughout pretraining. The y-encoder weights are initialized identically to the x-encoder, and subsequently updated as an exponential moving average (EMA) (Tarvainen and Valpola, 2017) of the x-encoder weights using a momentum value which starts at 0.998 and is linearly increased to 1.0 during training (Caron et al., 2021; Assran et al., 2022). We scale all hyper-parameter schedules 25% beyond the actual training schedule. Specifically, the learning rate schedule, weight-decay schedule, and EMA schedule are computed assuming a training length of 112,500 iterations, even though we only train our model for 90,000 iterations. We found the last 25% of the default scheduler period to update hyper-parameters too aggressively, and simply truncating the schedulers improved performance.\n\nMasking. As described in Section 3, we propose a 3D Multi-Block masking strategy. We use two type of masks: short-range masks, where we take the union of 8 randomly sampled target blocks with a spatial scale of 0.15, and long-range masks, where we take the union of 2 randomly sampled target blocks with a spatial scale of 0.7. In both cases, the aspect ratio for all sampled blocks is randomly chosen in the range (0.75, 1.5).\n\n# D Evaluation details\n\n### D.1 Frozen classification\n\nAttentive Probing. Given an input video, xL, the V-JEPA target encoder Eθ(·) outputs a sequence of L tokens, Eθ(xL) = (s1, . . . , sL), where si ∈ R d . To pool this sequence of tokens into a single feature vector, we apply a lightweight non-linear cross-attention block which replace the self-attention operation of a transformer block with cross attention. Specifically, the cross-attention performs the following computation:\n\n$$\\sum_{i=1}^{L}{\\frac{\\exp(q^{\\top}\\mathbf{W_{k}}s_{i})}{\\sum_{j}\\exp(q^{\\top}\\mathbf{W_{k}}s_{j})}}\\mathbf{W_{v}}s_{i},$$\n\nwhere Wk,Wv ∈ Rd×d are the key and value matrices, and q ∈ Rd is a learnable query token. The output of the cross-attention is then added back to the query token (residual connection), and then fed into two-layer MLP with a single GeLU activation, followed by a LayerNorm, and finally a linear classifier. The parameters of the cross-attention block are jointly learned with that of the linear classifier for the downstream task, while the encoder parameters are kept frozen. Note that, in practice, we actually use an attentive probe with 12 heads, each of dimension 12. In Appendix E we show that baselines benefit from the attentive probing protocol.\n\nOptimization. For all the tasks, we use AdamW optimizer with a cosine scheduler (no warmup) that decays the learning rate from 0.001 to 0. We use a fixed weight-decay of 0.01 and apply simple data augmentations (random resized crops and horizontal flips) during training of the attentive probe, except on image tasks, where we apply AutoAugment (Dogus Cubuk et al., 2019). Table 9 reports the hyperparameters for each downstream evaluation.\n\nExtension to multiple clips. Unless stated otherwise, our attentive probe takes 8 clips of 16 frames as input on Kinetics, and 2 clips of 16 frames on Something-Somethingv2 to increase the temporal coverage of the video.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv3.pdf" - }, - { - "text": "*Conclusion:* In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by using Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interaction with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavityrelated noise as discussed in active optical clock [15–19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3–10]. Considering one have to apply the separated-field method in any phase detection as in Ramsey-Bord*e*´interferometer [2], to investigate the effects of phase differences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim.\n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Research and Development (863) Program.\n\n- ∗ E-mail: jbchen@pku.edu.cn\n- † E-mail: hongguo@pku.edu.cn.\n- [1] N. F. Ramsey, Phys. Rev. **76**, 996 (1949).\n- [2] B. Dubetsky and P. R. Berman, In *Atom Interferometry*, edited by P. R. Berman (Academic Press, Cambridge, MA, 1997).\n- [3] M. M. Salour, Rev. Mod. Phys. **50**, 667 (1978).\n- [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. **44**, 1254 (1980).\n- [5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. **13** 4345 (1980).\n- [6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A **24**, 1914 (1981).\n- [7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A **28**, 2248 (1983).\n- [8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.\n\nLett. **48**, 871 (1982).\n\n- [9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and P. R. Rice, Phys. Rev. A **40**, 5516 (1989).\n- [10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics **34**, 297 (1995)\n- [11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, **93**, 250602 (2004).\n- [12] A. D. Ludlow *et al.*, Opt. Lett. **32**, 641 (2007).\n- [13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. **101**, 260602 (2008).\n- [14] J. Chen, and X.Chen, In *Proceedings of the 2005 IEEE International Frequency Control Symposium and Exposition*, (IEEE, 2005), p.608.\n- [15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bulletin **54**, 348 (2009).\n- [16] D. Yu and J. Chen, Phys. Rev. A **78**, 013846 (2008).\n- [17] J. Chen, In *Frequency Standards and Metrology: Proceedings of the 7th Symposium*, edited by Maleki Lute (World Scientific Publishing Company, 2009).\n- [18] Y. Wang, Chinese Science Bulletin **54**, 347 (2009).\n- [19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. Lett. **102**, 163601 (2009)\n- [20] F. Strumia, Metrologia **8**, 85 (1972).\n- [21] G. Kramer, J. Opt. Soc. Am. **68**, 1634 (1978).\n- [22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR **32**, 455 (1972).\n- [23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. Phys. **9**, 171 (1976).\n- [24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett. **38**, 159 (1977).\n- [25] L. Davidovich, Rev. Mod. Phys. **68**, 127 (1996).\n- [26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, Phys. Rev. A **47**, 1431 (1993).\n- [27] M. Sargent III, M. O. Scully, and W. E. Lamb, *Laser Physics* (Addition Wesley, Reading, MA, 1974).\n- [28] N. A. Abraham, P. Mandel, and L. M. Narducci, *Dynamic Instabilities and Pulsations in Lasers*, Progress in Optics XXV, edited by E. Wolf (Elsevier, Amsterdam, 1988).\n- [29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, J. Phys. B **13**, 2231 (1980).\n- [30] K. An and M. S. Feld, Phys. Rev. A **56**, 1662(1997).\n- [31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. **84**, 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "Give me the advantages of Ferromagnetic semiconductors", - "target_page": 1, - "target_passage": "Ferromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Exchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\n\nK. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3\n\nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5\n\n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n\nInstitute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic 3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom\n\n4Diamond Light Source, Harwell Science and Innovation Campus,\n\n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n\n(Dated: August 24, 2018)\n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin overlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic circular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface layer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized at room temperature.\n\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\n\n2\n\nFerromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material. The realization of spin-valve devices from FM semiconductors requires the controlled switching of magnetization in adjacent layers between antiferromagnetic (AFM) and FM configurations. This has motivated several theoretical investigations of interlayer coupling in all-semiconductor devices1 , and AFM coupling has recently been demonstrated in (Ga,Mn)As multilayers separated by p-type non-magnetic spacers2 . However, the Curie temperature TC of (Ga,Mn)As is currently limited to 185 K in single layers3 , and is typically much lower for layers embedded within a heterostructure2 , which is an obstacle to the practical implementation of semiconductor spintronics.\n\nThe development of FM metal/FM semiconductor heterostructures has the potential to bring together the benefits of metal and semiconductor based spintronics, offering access to new functionalities and physical phenomena. Recent studies of MnAs/(Ga,Mn)As and NiFe/(Ga,Mn)As bilayer films have shown FM interlayer coupling and independent magnetization behavior, respectively4,5. Of particular interest is the Fe/(Ga,Mn)As system, since the growth of epitaxial Fe/GaAs(001) films is well-established6 . Remarkably, a recent x-ray magnetic circular dichroism (XMCD) study has shown that Fe may induce a proximity polarization in the near-surface region of (Ga,Mn)As, antiparallel to the Fe moment and persisting even above room temperature7 . Devices incorporating Fe/(Ga,Mn)As therefore offer the prospect of obtaining non-volatile room temperature spin-polarization in a semiconductor.\n\nUntil now, no information has been revealed about the coupling of Fe to (Ga,Mn)As layers away from the nearsurface region. At the surface, the (Ga,Mn)As layer may be highly non-stoichiometric and Mn-rich, due to its nonequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers were produced by a process including exposure to air followed by sputtering and annealing prior to Fe deposition, which may further disrupt the interface order. The origin of the interface magnetism then had to be inferred by comparison to a series of reference samples7 . Demonstration of coupling between the bulk of the layers, i.e., an exchange bias effect, would provide direct evidence of the interface magnetic order. Moreover, such coupling would offer new means of manipulating the FM semiconductor spin state and utilizing the proximity polarization effect in a spintronic device.\n\nHere, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures10,11) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref.7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260◦C, using previously established methods3,8. A low Mn concentration of x ≈ 0.03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼0 ◦C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L2,3 x-ray absorption and XMCD\n\nDidcot, Oxfordshire, OX11 0DE, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90◦ to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane h100i orientations, and the latter dominant close to TC (∼35 K) giving an easy axis along the [1¯10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the TC of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field HE, indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/d dependence of HE was found previously for MnAs/(Ga,Mn)As bilayers4 , and is generally observed in exchanged-biased thin films12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆E = MF SHEd = 0.003 erg/cm2 . This value is rather small compared to typical exchange bias systems12, reflecting the low moment density MF S of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures13, while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe L2,3 absorption edges in order to determine the magnetic response of the individual elements. In L2,3 XMCD, electrons are excited from a 2p core level to the unoccupied 3d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products – either fluorescent x-rays or electrons – of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L2,3 absorption, the probing depths for FY and TEY detection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where Il(r) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70◦ to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L2,3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/d dependence (dashed line).\n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73, 165205 (2006).\n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "# Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti(1,2,3), A. Rettori(2,3), and A. Cuccoli(2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n, decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n# I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties2 , and in view of possible technological applications3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed4,5. A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials6 , itinerant MnSi7 , binary compounds as FeGe8 , glass transition of spins9 , and XY helimagnets, as Holmium, Terbium or Dysprosium10. In the latter case, a new universality class was predicted because a Z2 × SO(2) symmetry is spontaneously broken in the ordered phase2 : In fact, when dealing with such systems, in addition to the SO(2) symmetry of the spin degrees of freedom S~ i , one has to consider also the Z2 symmetry of the spin chirality κij ∝ h S~ i × S~ j iz .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures12. Recent experimental data on ultra-thin Holmium films13 have been lately interpreted and discussed14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al.16, allows for competitive middle-range interactions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Qz such that Qzc ′ ≃ 30◦ , where c ′ = c/2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x − y planes, while z will be taken parallel to c. For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 − 16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as \"surface planes\", i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C0 =0.1 ppm. Note the change from linear to log scale on the y-axis at ∆R =10 Ω.\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations (∼10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2G0. The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d-levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged conductances, i.e. G = (G↑ + G↓)/2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, lφ, is smaller than the average distance between the dopants, d, we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\n$R_{s}(X)=1/G(X)-1/(2G_{0})$, (6)\n\nwhere G(X) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1/(2G0) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆R N ≈ X X Rs(X)(Θ[X, C] − Θ[X, C0]), (7)\n\nwhere N is the number of dopants, Θ[X, C] is the fractional coverage of species X at concentration C of the target and C0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.\n\nIn Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C0 = 0.1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when lφ < d. However, even for lφ > d and assuming that the Anderson localization length, lloc in the system exceeds lφ, Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance hRi [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N, should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where lφ > lloc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ϕl (T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\nfilm leads to an effective 2d-like trend. Region ii) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i) and ii).\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l, but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T . TN (8), an abrupt drop of ∆ϕ3 and ∆ϕ4, which rapidly reach an almost constant value, only slightly larger than ∆ϕ1. In the temperature range TN (8) . T < TC(8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi-FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Qz,max of the structure factor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is reported, again for n = 8 and for different lateral dimensions L 26. As expected from the previous argument, we see that Qz,max = 0 for TN (8) < T < TC(8), while it begins to shift to higher values as soon as the temperature decreases below TN (8), making apparent a progressive fan stabilization with Qz,max 6= 0 and reaching a value of about 21◦ for T = 10 K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements16) on a HCP lattice14,15, it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 − 16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), vs. temperature for thickness n = 8. Inset: magnetic vector (mx l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around TC(n) (error bars lye within point size).\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J1 − J2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ϕl with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦ , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures TN (n) and TC (n) vs. film thickness n.\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at TC(8) = 133.3(3) K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that TC(n) results quite n-independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify TC (n), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80 K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χκ (Fig. 4c), which for the largest L has a maximum at T = 85 K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of TN (8) by looking at the Binder cumulant u4(κ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at TN (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at TN (8), being the entropy substantially removed at TC (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n . 15, where a clear separation between TN (n) and TC(n) can be easily figured out. In such temperature window, the strong surface effects produce a quasi-FM set-up of the magnetic film structure along the z-direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of TN (n) and TC(n) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where TN (6) = 38(4), that is TN (6) ∼ 1 3 TC(6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below TC(n). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on NN layers (l + 1, l) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\nangle of the magnetization between nearest planes:\n\n$$\\Lambda\\varphi_{l}=\\varphi_{l+1}-\\varphi_{l}=\\arccos\\left[M_{l}^{x}M_{l+1}^{x}+M_{l}^{y}M_{l+1}^{y}\\right]\\tag{10}$$\n\nwhere (Mx l , My l ) is the magnetic vector profile for each plane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ϕl keeps an almost temperature independent very small value; what's more, ∆ϕl seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of \"bulk planes\" inside the film, so that we are left with only a 2d trend at TC(n), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n# IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i) high thickness, n > 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii) intermediate thickness, 6 ≤ n . 15, where the temperature corresponding to the onset of in-plane order, TC (n), is still ≃ T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature TN (n) < TC (n); iii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), \"Grupos Consolidados UPV/EHU del Gobierno Vasco\" (IT-319-07), e-I3 ETSF project (Contract Number 211956), \"Red Espanola de Super- ˜ computacion\", NABIIT and the Danish Center for Scientific ´ Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jose Castillejo programs. ´\n\n∗ Electronic address: juanmaria.garcia@ehu.es\n\n- [1] *Gas Sensing Materials, MRS Bull.*, vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, \"Electronic and transport properties of nanotubes\", Rev. Mod. Phys. 79(2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. 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Grigorian, \"Tailoring gas sensing properties of carbon nanotubes\", J. Appl. Phys. 104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, \"Variable range hopping in oxygen-exposed single-wall carbon nanotube networks\", Phys. Stat. Solidi A 205(6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, \"Influence of O2 and N2 on the conductivity of carbon nanotube networks\", Phys. Rev. B 79(19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, \"Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory\", Chem. Phys. Lett. 387(4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, \"Defective carbon nanotubes for single-molecule sensing\", Phys. Rev. B 80(15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc´ıa-Lastra, K. S. Thygesen, M. Strange, and Angel Rubio, \"Conductance of sidewall-functionalized ´ carbon nanotubes: Universal dependence on adsorption sites\", Phys. Rev. Lett. 101(23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, \"*Ab initio* study of an iron atom interacting with single-wall carbon nanotubes\", Phys. Rev. B 67(20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, \"Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3d transition metals: A first-principles study\", Phys. Rev. B 69(7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, \"Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes\", J. Phys. Chem. B 110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, \"First-principles study of metal adatom adsorption on graphene\", Phys. Rev. B 77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, \"Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes\", J. Phys. Chem. C 112(19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, \"Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems\", J. Phys. Chem. C 112(22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, \" ¨ *Ab initio* study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms\", Phys. Rev. B 78(19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, \"Embedding transition- ¨ metal atoms in graphene: Structure, bonding, and magnetism\", Phys. Rev. Lett. 102(12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, \"Real-space grid implementation of the projector augmented wave method\", Phys. Rev. B 71(3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, \"Generalized gradient approximation made simple\", Phys. Rev. Lett. 77(18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "I do not remember on wich samples SQUID magnetometry measurements were first performed", - "target_page": 2, - "target_passage": "SQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90◦ to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane h100i orientations, and the latter dominant close to TC (∼35 K) giving an easy axis along the [1¯10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the TC of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field HE, indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/d dependence of HE was found previously for MnAs/(Ga,Mn)As bilayers4 , and is generally observed in exchanged-biased thin films12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆E = MF SHEd = 0.003 erg/cm2 . This value is rather small compared to typical exchange bias systems12, reflecting the low moment density MF S of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures13, while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe L2,3 absorption edges in order to determine the magnetic response of the individual elements. In L2,3 XMCD, electrons are excited from a 2p core level to the unoccupied 3d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products – either fluorescent x-rays or electrons – of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L2,3 absorption, the probing depths for FY and TEY detection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where Il(r) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70◦ to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L2,3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures TN (n) and TC (n) vs. film thickness n.\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at TC(8) = 133.3(3) K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that TC(n) results quite n-independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify TC (n), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80 K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χκ (Fig. 4c), which for the largest L has a maximum at T = 85 K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of TN (8) by looking at the Binder cumulant u4(κ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at TN (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at TN (8), being the entropy substantially removed at TC (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n . 15, where a clear separation between TN (n) and TC(n) can be easily figured out. In such temperature window, the strong surface effects produce a quasi-FM set-up of the magnetic film structure along the z-direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of TN (n) and TC(n) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where TN (6) = 38(4), that is TN (6) ∼ 1 3 TC(6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below TC(n). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on NN layers (l + 1, l) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\nangle of the magnetization between nearest planes:\n\n$$\\Lambda\\varphi_{l}=\\varphi_{l+1}-\\varphi_{l}=\\arccos\\left[M_{l}^{x}M_{l+1}^{x}+M_{l}^{y}M_{l+1}^{y}\\right]\\tag{10}$$\n\nwhere (Mx l , My l ) is the magnetic vector profile for each plane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ϕl keeps an almost temperature independent very small value; what's more, ∆ϕl seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of \"bulk planes\" inside the film, so that we are left with only a 2d trend at TC(n), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n# IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i) high thickness, n > 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii) intermediate thickness, 6 ≤ n . 15, where the temperature corresponding to the onset of in-plane order, TC (n), is still ≃ T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature TN (n) < TC (n); iii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "### Materials & experimental systems\n\n| Methods |\n| --- |\n\n| n/a | Involved in the study | n/a | Involved in the study |\n| --- | --- | --- | --- |\n| | Antibodies | | ChIP-seq |\n| | Eukaryotic cell lines | | Flow cytometry |\n| | Palaeontology and archaeology | | MRI-based neuroimaging |\n| | Animals and other organisms | | |\n| | Clinical data | | |\n| | Dual use research of concern | | |\n| | Plants | | |\n\n# Magnetic resonance imaging\n\n### Experimental design\n\n| Design type | Structural & Diffusion MRI | |\n| --- | --- | --- |\n| Design specifications | No task-based fMRI used in this manuscript. | |\n| Behavioral performance measures | N/A; no performance metrics collected | |\n| Acquisition | | |\n| Structural Imaging type(s) | | |\n| 3 Field strength | | |\n| Sequence & imaging parameters | | High-resolution anatomical scans were acquired using a T1-weighted (T1w) magnetization prepared rapid gradient echo |\n| | | (MPRAGE) sequence (TR = 2500 ms, TE = 2.31 ms, T1 = 934 ms, flip angle = 7°, 0.8 mm thickness) followed by a gradient echo fieldmap (TR = 758 ms; TE1 = 4.92 ms; TE2 = 7.38 ms; flip angle = 60°). A T2-weighted (T2w) turbo spin echo (TSE) |\n| | | scan was also acquired with an oblique coronal orientation positioned orthogonally to the main axis of the hippocampus (TR/TE = 9860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, 2 mm slice thickness, 38 interleaved slices |\n| | with no gap, total acquisition time = 5:42 min). | |\n| Area of acquisition | T1-weighted and dMRI scans = whole-brain | |\n| | T2-weighted scan = high-resolution imaging of medial temporal lobe | |\n| Diffusion MRI Used Not used | | |\n| Parameters | TR = 4300 ms, echo time = 100.2 ms, 139 directions, b-max = 4990, FoV = 259 x 259 mm, 78 slices, 1.7986 x 1.7986 x 1.8 mm voxel | |\n\n# Preprocessing\n\nresolution\n\n| Preprocessing software | Gray Matter Volume & Cortical Thickness: |\n| --- | --- |\n| | Advanced Normalization Tools (ANTs), version 2.1.0 |\n| | FreeSurfer, version 7 |\n| | T2-weighted MTL scans: |\n| | Automatic Segmentation of Hippocampal Subfields (ASHS), version 7/2018 |\n| | Diffusion imaging: |\n| | QSIprep, version 0.15.3 |\n| | DSI Studio, version Chen-2022-07-31 |\n| Normalization | Normalization differed by modality due to inherent limitations of applicable processing pipelines. |\n| | Gray Matter Volume & Cortical Thickness: |\n| | All analyses were kept in native subject-space to limit the amount of warping and leverage the advantages of a precision |\n| | imaging design. |\n| | T2-weighted MTL scans: |\n| | T2w images were registered to the segmentation template (see below) using ANTs deformable registration. |\n| | Diffusion imaging: |\n| | Initial preprocessing through QSIprep normalized diffusion images to the skull-stripped T1w images. Diffusion images were |\n| | then reconstructed in MNI space using DSI studio's Q-space Diffeomorphic Reconstruction. |\n\nApril 2023", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed4.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ϕl (T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\nfilm leads to an effective 2d-like trend. Region ii) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i) and ii).\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l, but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T . TN (8), an abrupt drop of ∆ϕ3 and ∆ϕ4, which rapidly reach an almost constant value, only slightly larger than ∆ϕ1. In the temperature range TN (8) . T < TC(8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi-FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Qz,max of the structure factor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is reported, again for n = 8 and for different lateral dimensions L 26. As expected from the previous argument, we see that Qz,max = 0 for TN (8) < T < TC(8), while it begins to shift to higher values as soon as the temperature decreases below TN (8), making apparent a progressive fan stabilization with Qz,max 6= 0 and reaching a value of about 21◦ for T = 10 K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements16) on a HCP lattice14,15, it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 − 16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), vs. temperature for thickness n = 8. Inset: magnetic vector (mx l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around TC(n) (error bars lye within point size).\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J1 − J2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ϕl with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦ , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/d dependence (dashed line).\n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73, 165205 (2006).\n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12, 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev.109, 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2, 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199, 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77, 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8, 10049 (1996).\n- 6 C. M. Varma et al, Phys. Rev. Lett. 63, 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283, 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295, 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72, 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62, 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304, 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72, 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74, 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. B 69, 024514 (2004).\n- 14 J. Hwanget al, Phys. Rev. B 73, 014508 (2006).\n- 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, D. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. Greven, C. C. Homes and S. V. Dordevic, Phys. Rev. B 75, 054522 (2007).\n- 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94, 067002 (2005).\n- 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, Phys. Rev. B 70, 134504(2004), A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62, 568 (2003).\n- 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, Phys. Rev. B 58 2452 (1998).\n- 19 J. Hirsch, Physica C, 201, 347 (1992) and Ref 4.\n- 20 for a review see F. Marsiglio, J. Superconductivity and Novel Magnetism 22, 269 (2009).\n- 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. B 77 144510 (2008).\n- 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. Kuzmenko, and D. van der Marel, Phys. Rev. B 76, 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331, 150 (2000)\n\nF. Marsiglio for many discussions concerning the infrared conductivity and optical integrals and thank A. Boris, E. van Heumen, J. Hirsch, and F. Marsiglio for the comments on the manuscript. The work was supported by nsf-dmr 0906953.\n\nand Phys. Rev. B 62, 15131 (2000).\n\n- 24 A. Toschi, M. Capone, M. Ortolani, P. Calvani, S. Lupi and C. Castellani, Phys. Rev. Lett. 95, 097002 (2005).\n- 25 F. Marsiglio, F. Carbone, A. Kuzmenko and D. van der Marel, Phys. Rev. B 74, 174516 (2006).\n- 26 L. Benfatto, S. G. Sharapov, N. Andrenacci and H. Beck, Phys. Rev. B 71, 104511 (2005).\n- 27 D. van der Marel, H.J.A. Molegraaf, C. Presura, and I. Santoso, Concepts in Electron Correlations, edited by A. Hewson and V. Zlatic (Kluwer, 2003)\n- 28 L. Benfatto, J.P. Carbotte and F. Marsiglio, Phys. Rev. B 74, 155115 (2006)\n- 29 F. Marsiglio, Phys. Rev. B 73, 064507(2006).\n- 30 M.R. Norman and C. P´epin, Phys. Rev. B 66, 100506(R) (2002).\n- 31 J. Fink et al., Phys. Rev. B 74, 165102(R) (2006).\n- 32 M. Eschrig, Adv. Phys. 55, 47-183 (2006)\n- 33 M.R. Norman and A.V. Chubukov, Phys. Rev. B 73, 140501(R)(2006).\n- 34 A.E. Karakozov and E.G. Maksimov, cond-mat/0511185, A. E. Karakozov, E. G. Maksimov and O. V. Dolgov, Solid State Comm. 124, 119 (2002); A. E. Karakozov and E. G. Maksimov, ibid. 139, 80 (2006).\n- 35 see e.g., P. B. Allen, Phys. Rev. B 3, 305 (1971); S. V. Shulga, O. V. Dolgov and E. G. Maksimov, Physica C 178, 266 (1991).\n- 36 A. A. Abriskov and L. P. Gor'kov, JETP 35, 1090 (1959), Sang Boo Nam, Phys. Rev. 156, 470 (1967).\n- 37 Theory of superconductivity, Schrieffer, (W. A. Benjamin Inc., New York 1964).\n- 38 M.R. Norman, M. Randeria, H. Ding, and J.C. Campuzano, Phys. Rev. B 52, 615 (1995).\n- 39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253, 1(1995), J. C. Campuzano, M. R. Norman, and M. Randeria, \"Superconductivity\"(Vol-1), 923-992, Springer (2008).\n- 40 A. V. Chubukov, Ar. Abanov, and D. N. Basov, Phys. Rev. B 68, 024504 (2003).\n- 41 T. Valla et al., Phys. Rev. Lett 85, 828(2000).\n- 42 Kaminski et al., Phys. Rev. B 71, 014517 (2005).\n- 43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B 67, 140504(2003).\n- 44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett. 75, 4650 (1995).\n- 45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys. 52, 119 (2003).\n- 46 Dessau et al., Phys. Rev. Lett 66, 2160(1991), Norman et al, Phys. Rev. Lett. 79, 3506(1997).\n- 47 M.R. Norman and H. Ding, Phys. Rev. B 57, 11089(1998).\n- 48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev. B 66, 094515(2002).\n- 49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70, 174505(2004).\n- 50 In this respect, our results are consistent with the analysis", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 4: Top - a conductivity plot for the BCSI case in the presence of a lattice. The parameters are ∆ = 30 meV , Γ = 3.5 meV . Bottom – the behavior of Kubo sums. Note that (a) the spectral weight in the NS is always greater in the SCS, (b) the spectral weight decreases with Γ, and (c) the difference between NS and SCS decreases as Γ increases.\n\nlittle variation of ∆W(ωc) at above 0.1 − 0.3eV what implies that for larger ωc, ∆W(ωc) ≈ ∆WK >> ∆f(ωc).\n\nTo make this more quantitative, we compare in Fig. 6 ∆W(ωc) obtained for a constant DOS, when ∆W(ωc) = ∆f(ωc), and for the actual lattice dispersion, when ∆W(ωc) = ∆WK + ∆f(ωc). In the clean limit there is obviously little cutoff dependence beyond 0.1eV , i.e., ∆f(ωc) is truly small, and the difference between the two cases is just ∆WK. In the dirty limit, the situation is similar, but there is obviously more variation with ωc, and ∆f(ωc) becomes truly small only above 0.3eV . Note also that the position of the dip in ∆W(ωc) in the clean limit is at a larger ωc in the presence of the lattice than in a continuum.\n\n#### B. The Einstein boson model\n\nWe next consider the case of electrons interacting with a single boson mode which by itself is not affected by superconductivity. The primary candidate for such mode is an optical phonon. The imaginary part of the NS self energy has been discussed numerous times in the literature. We make one simplifying assumption – approximate the DOS by a constant in calculating fermionic self-energy. We will, however, keep the full lattice dispersion in the calculations of the optical integral. The advantage of this\n\nFIG. 5: The evolution of optical integral in NS(top) and SCS(bottom) for BCSI case. Plots are made for clean limit (solid lines, Γ = 3.5 meV ) and dirty limit (dashed lines, Γ = 150 meV ) for ∆ = 30 meV . Observe that (a) W(0) = 0 in the NS, but has a non-zero value in the SCS because of the δ-function (this value decreases in the dirty limit), and (b) the flat region in the SCS is due to the fact that σ ′ (ω) = 0 for Ω < 2∆. Also note that ∼ 90 − 95% of the spectral weight is recovered up to 1eV\n\napproximation is that the self-energy can be computed analytically. The full self-energy obtained with the lattice dispersion is more involved and can only be obtained numerically, but its structure is quite similar to the one obtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\n$$\\Sigma(i\\omega)=-\\frac{i}{2\\pi}\\lambda_{n}\\int d\\epsilon_{k}d(i\\Omega)\\chi(i\\Omega)G(\\epsilon_{k},i\\omega+i\\Omega)\\tag{13}$$\n\nwhere\n\n$$\\chi(i\\Omega)=\\frac{\\omega_{0}^{2}}{\\omega_{0}^{2}-(i\\Omega)^{2}}\\tag{14}$$\n\nand λn is a dimensionless electron-boson coupling. Integrating and transforming to real frequencies, we obtain\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,\\Theta(|\\omega|-\\omega_{o})$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,log\\left|\\frac{\\omega+\\omega_{o}}{\\omega-\\omega_{o}}\\right|\\tag{15}$$\n\nIn the SCS, we obtain for ω < 0\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "What are the differences observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes ?", - "target_page": 2, - "target_passage": "For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high mag netic fields, whereas for TEY at remanence it is approx imately a factor of two larger than at 1000 Oe.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/d dependence (dashed line).\n\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73, 165205 (2006).\n\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102, 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90◦ to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane h100i orientations, and the latter dominant close to TC (∼35 K) giving an easy axis along the [1¯10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the TC of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field HE, indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/d dependence of HE was found previously for MnAs/(Ga,Mn)As bilayers4 , and is generally observed in exchanged-biased thin films12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆E = MF SHEd = 0.003 erg/cm2 . This value is rather small compared to typical exchange bias systems12, reflecting the low moment density MF S of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures13, while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe L2,3 absorption edges in order to determine the magnetic response of the individual elements. In L2,3 XMCD, electrons are excited from a 2p core level to the unoccupied 3d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products – either fluorescent x-rays or electrons – of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L2,3 absorption, the probing depths for FY and TEY detection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as (Il − Ir)/(Il + Ir) where Il(r) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70◦ to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L2,3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "samples15, the projected Mn 3d magnetic moments are obtained as −1.4 µB and +0.8 µB per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory7 . Evidence for this can be observed from measurement of the Mn L2,3 XMCD signal at temperatures above the (Ga,Mn)As TC . Similar to the previous study7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L2,3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As7,9,15 but in contrast to Mn in more metallic environments such as MnxFe1−x 7 or MnAs16. A slight broadening is observed on the low energy side of the Mn L3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I0 exp(−z/λT EY ), the thickness of the strongly coupled interface layer is estimated to be ∼0.7 nm or 2-3\n\n- 1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-Donald, Phys. Rev. B 59, 9818 (1999); P. Sankowski and P. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D. Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev. B 78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys. Rev. B 79, 214430 (2009).\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101, 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93, 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91, 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78, 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103, 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref.7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.\n\nIn summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the TC of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101, 267201 (2008).\n\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247, 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74, 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96, 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99, 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192, 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85, 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68, 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 3. (color online) (a) Polarization-averaged Mn L 2 , 3 spectrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured in remanence at 2 K; (c) XMCD spectra measured under a 1000 Oe applied field at 2 K; (d) XMCD spectrum measured under a 2000 Oe applied field at 300 K. XMCD spectra are obtained using TEY (thick red lines) and FY (thin blue lines) detection.", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 5: Transition temperatures TN (n) and TC (n) vs. film thickness n.\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at TC(8) = 133.3(3) K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that TC(n) results quite n-independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify TC (n), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80 K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χκ (Fig. 4c), which for the largest L has a maximum at T = 85 K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of TN (8) by looking at the Binder cumulant u4(κ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at TN (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at TN (8), being the entropy substantially removed at TC (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n . 15, where a clear separation between TN (n) and TC(n) can be easily figured out. In such temperature window, the strong surface effects produce a quasi-FM set-up of the magnetic film structure along the z-direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of TN (n) and TC(n) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where TN (6) = 38(4), that is TN (6) ∼ 1 3 TC(6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below TC(n). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ϕl between magnetic moments on NN layers (l + 1, l) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\nangle of the magnetization between nearest planes:\n\n$$\\Lambda\\varphi_{l}=\\varphi_{l+1}-\\varphi_{l}=\\arccos\\left[M_{l}^{x}M_{l+1}^{x}+M_{l}^{y}M_{l+1}^{y}\\right]\\tag{10}$$\n\nwhere (Mx l , My l ) is the magnetic vector profile for each plane l. ∆ϕl is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ϕl keeps an almost temperature independent very small value; what's more, ∆ϕl seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of \"bulk planes\" inside the film, so that we are left with only a 2d trend at TC(n), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n# IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i) high thickness, n > 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii) intermediate thickness, 6 ≤ n . 15, where the temperature corresponding to the onset of in-plane order, TC (n), is still ≃ T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature TN (n) < TC (n); iii) low thickness,1 ≤ n ≤ 5, where TC(n) . T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "## Exchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\n\nK. Olejnik,1, 2 P. Wadley,3 J. Haigh,3 K. W. Edmonds,3 R. P. Campion,3 A. W. Rushforth,3 B. L. Gallagher,3\n\nC. T. Foxon,3 T. Jungwirth,2, 3 J. Wunderlich,1, 2 S. S. Dhesi,4 S. Cavill,4 G. van der Laan,4 and E. Arenholz5\n\n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n\nInstitute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic 3School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom\n\n4Diamond Light Source, Harwell Science and Innovation Campus,\n\n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n\n(Dated: August 24, 2018)\n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin overlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic circular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface layer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized at room temperature.\n\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\n\n2\n\nFerromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material. The realization of spin-valve devices from FM semiconductors requires the controlled switching of magnetization in adjacent layers between antiferromagnetic (AFM) and FM configurations. This has motivated several theoretical investigations of interlayer coupling in all-semiconductor devices1 , and AFM coupling has recently been demonstrated in (Ga,Mn)As multilayers separated by p-type non-magnetic spacers2 . However, the Curie temperature TC of (Ga,Mn)As is currently limited to 185 K in single layers3 , and is typically much lower for layers embedded within a heterostructure2 , which is an obstacle to the practical implementation of semiconductor spintronics.\n\nThe development of FM metal/FM semiconductor heterostructures has the potential to bring together the benefits of metal and semiconductor based spintronics, offering access to new functionalities and physical phenomena. Recent studies of MnAs/(Ga,Mn)As and NiFe/(Ga,Mn)As bilayer films have shown FM interlayer coupling and independent magnetization behavior, respectively4,5. Of particular interest is the Fe/(Ga,Mn)As system, since the growth of epitaxial Fe/GaAs(001) films is well-established6 . Remarkably, a recent x-ray magnetic circular dichroism (XMCD) study has shown that Fe may induce a proximity polarization in the near-surface region of (Ga,Mn)As, antiparallel to the Fe moment and persisting even above room temperature7 . Devices incorporating Fe/(Ga,Mn)As therefore offer the prospect of obtaining non-volatile room temperature spin-polarization in a semiconductor.\n\nUntil now, no information has been revealed about the coupling of Fe to (Ga,Mn)As layers away from the nearsurface region. At the surface, the (Ga,Mn)As layer may be highly non-stoichiometric and Mn-rich, due to its nonequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers were produced by a process including exposure to air followed by sputtering and annealing prior to Fe deposition, which may further disrupt the interface order. The origin of the interface magnetism then had to be inferred by comparison to a series of reference samples7 . Demonstration of coupling between the bulk of the layers, i.e., an exchange bias effect, would provide direct evidence of the interface magnetic order. Moreover, such coupling would offer new means of manipulating the FM semiconductor spin state and utilizing the proximity polarization effect in a spintronic device.\n\nHere, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures10,11) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref.7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260◦C, using previously established methods3,8. A low Mn concentration of x ≈ 0.03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼0 ◦C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L2,3 x-ray absorption and XMCD\n\nDidcot, Oxfordshire, OX11 0DE, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ϕl (T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\nfilm leads to an effective 2d-like trend. Region ii) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i) and ii).\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l, but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T . TN (8), an abrupt drop of ∆ϕ3 and ∆ϕ4, which rapidly reach an almost constant value, only slightly larger than ∆ϕ1. In the temperature range TN (8) . T < TC(8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi-FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Qz,max of the structure factor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is reported, again for n = 8 and for different lateral dimensions L 26. As expected from the previous argument, we see that Qz,max = 0 for TN (8) < T < TC(8), while it begins to shift to higher values as soon as the temperature decreases below TN (8), making apparent a progressive fan stabilization with Qz,max 6= 0 and reaching a value of about 21◦ for T = 10 K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements16) on a HCP lattice14,15, it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 − 16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Qz, position of the maximum of S(~q), vs. temperature for thickness n = 8. Inset: magnetic vector (mx l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\nFIG. 9: ∆ϕl for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around TC(n) (error bars lye within point size).\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J1 − J2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ϕl with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1. . . 5 and 8. . . 12 ), where ∆ϕl is roughly 10◦ , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 3: (color online) Binder cumulants at thickness n = 16, colors as in Fig. 2. (a): Binder cumulant for the order parameter defined in Eq. (3). (b): Binder cumulant extracted from the integral of the structure factor (see Sec. II). Inset: structure factor for L = 64 between T = 131 K (upper curve) and T = 140 K (lower), with 1 K temperature step.\n\n# III. RESULTS\n\nThe results obtained by MC simulations of the model introduced in Sec. II will be presented starting from n = 16, i.e. the highest investigated film thickness which still displays a bulk-like behaviour. In Fig. 2 the specific heat for samples with n = 16 and lateral dimension L = 24, 32, 48, 64 is shown. The location of the specific heat maximum shows a quite definite evolution toward the bulk transition temperature, T Ho N ≃ 132 K10 (it is worthwhile to note that for this XY model the mean field theory predicts a critical temperature T Ho N,MF ≃ 198 K).\n\nThe intensity of the maximum of cv has been analyzed by the MH technique for the same lateral dimensions (see inset of Fig. 2): it clearly appears as it increases with L in a smooth way.\n\nThe Binder cumulant for the average order parameter defined in Eq. (3) was obtained close to the cv peak and is reported in Fig. 3a; its analysis leads to an estimate of the critical temperature of the sample (given by the location of the common crossing point of the different curves reported in the figure) of TC (16) = 133.2(5) This value can be considered in a rather good agreement with the experimental ordering temperature of Holmium T Ho N , the relative difference being about 1%. Even such a mismatch between T Ho N and TC (16) could be completely eliminated by slightly adjusting the in-plane coupling constant J0, but, as discussed in Sec. II, we shall preserve the value reported in Refs. 13, and 12 in order to allow for a correct comparison with the results reported in those papers.\n\nThe development of the helical arrangement of magnetization along the film growth direction was investigated by looking at the integral of the structure factor S(~q) along the z-direction, i.e. by taking ~q = (0, 0, qz), and making again use of the cumulant analysis in order to locate the helical transition temperature at TN (16) =\n\nFIG. 4: (color online) Thermodynamic quantities obtained for thickness n = 8 in the temperature range 0-150 K. Colors and symbols as in Fig. 2. (a): specific heat; (b): chirality order parameter. (c): susceptibility χκ. (d): Binder cumulant for κ.\n\n133.1(3) K (see Fig. 3b). The crossing points of the Binder's cumulants of the helical order parameter immediately appear to be located, within the error bars, at the same temperature of those for the average magnetization previously discussed. In addition, it is worthwhile to observe that the peak evolution of S(0, 0, qz), in particular close to TN (16) (inset of Fig. 3b), displays the typical behaviour expected for an helical structure. We can thus conclude that for n = 16, as it is commonly observed in bulk samples, the establishment of the in-plane order coincides with onset of the perpendicular helical arrangement at TN (16). However, due to helix distortion in the surface regions, the maximum of S(0, 0, qz) stabilizes at values of qz sensibly smaller (e.g. Qz(TN (16)) ≈ 16◦ , and Qz(T = 10K) ≈ 28◦ ) with respect to the bulk one (QHo z = 30.5 ◦ ).\n\nThe MC simulations outcomes for n = 16 we just presented appear quite different with respect to those obtained at the same thickness for the model with six coupling constants along the z direction14,15. Indeed, for the J1-J2 model here investigated, we observe that all layers order at the same temperature, and we do not find any hint of the block-phase, with inner disordered planes intercalated to antiparallel quasi-FM four-layer blocks, previously observed; sample MC runs we made using the same hcp lattice employed in Refs. 14,15 shows that the presence or absence of the block phase is not related to the lattice geometry, but it is a consequence of the interaction range only.\n\nWe now move to describe and discuss MC simulation data for thinner samples. A graphical synthesis of the results obtained for n = 8 in reported in Fig. 4a-d. The specific heat cv, shown in Figs. 4a, reveals very small finite-size effects, which, however, cannot be unambiguously detected for the largest lattice size (L = 64), as they fall comfortably within the error range. Surprisingly, the specific heat maximum is located close to the bulk transition temperature as found for n = 16, and", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is Kingsgate ?", - "target_page": 2, - "target_passage": "Kingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "*Kingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects. Shareholders can look forward to the benefits of this strong operating and development platform, where Kingsgate aims to build value though operating, earnings and dividend growth for the benefit of all stakeholders.*\n\nCHILE\n\nAUSTRALIA\n\nTHAILAND", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Exploration Report\n\n### Summary\n\nKingsgate has a portfolio of exploration tenements and applications in Thailand, Chile and Lao PDR. Following the sale of exploration tenements to Caravel Minerals, exploration in Australia is currently only conducted in the vicinity of the Challenger Mine in South Australia and the Bowdens Silver Project in New South Wales.\n\nKingsgate's South East Asian exploration team continued their exploration activities on Thailand and surrounding countries. Strategically the team has turned the majority of their attention to projects which have the capacity to add value to the Company through exploration drilling subsequent resource expansion. These projects include the granted Mining Leases at Chatree and the granted Sayabouly Concession in the Lao PDR.\n\nOutside of these active areas, the South East Asian exploration team continues to review new opportunities throughout Thailand, Laos and their neighbouring countries.", - "page_start": 31, - "page_end": 31, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Corporate Information\n\nKingsgate Consolidated Limited ABN 42 000 837 472\n\n## Directors\n\nRoss Smyth-Kirk (Chairman) Gavin Thomas (Managing Director) Peter Alexander Craig Carracher Peter McAleer\n\n## Company Secretary\n\nRoss Coyle\n\n### Chief Executive Officer\n\nGavin Thomas\n\n## Stock Exchange Listing\n\nKingsgate Consolidated Limited is a Company limited by shares, listed on the Australian Stock Exchange under the code KCN. The Company's shares also trade in the United States of America over-the-counter (OTC) as an American Depository Receipt (ADR) under the code OTC: KSKGY.\n\n## Registered Office & Principal Business Address\n\nKingsgate Consolidated Limited\n\nSuite 801, Level 8, 14 Martin Place Sydney NSW 2000 Australia Tel: +61 2 8256 4800 Fax: +61 2 8256 4810 Email: info@kingsgate.com.au\n\n## Bangkok Office\n\nAkara Resources Public Company Limited\n\n19th Floor, Sathorn Thani Building 2 No. 92/54-55 North Sathorn Road Kwaeng Silom, Khet Bangrak Bangkok 10500 Thailand Tel: +66 2 233 9469 Fax: +66 2 236 5512\n\n## Chatree Mine Office\n\nAkara Resources Public Company Limited\n\nNo. 99 Moo 9, Tambon Khao Luk Amphur Thap Khlo Phichit 66230 Thailand Tel: +66 56 614 500 Fax: +66 56 614 195\n\n## Thailand Exploration Office\n\n#### Issara Mining Limited\n\n156/9-10 Moo 11, Tambol Dong Khui Amphur Chon Daen Phetchabun 67190 Thailand Tel: +66 56 649 253 Fax: +66 56 649 082\n\n## Challenger Mine\n\nChallenger Gold Operations Pty Ltd C/- 14 Lum Street Export Park SA 5950 Australia Tel: +61 8 8450 0100 Fax: +61 8 8234 3956\n\n## Chile Office\n\nLaguna Resources Chile Ltda San Pio X 2460 oficina 508 Providencia, Santiago Chile Tel: +56 2 2231 7565\n\n## Share Registry\n\nSecurity Transfer Registrars Pty Ltd 770 Canning Highway Applecross WA 6153 PO Box 535 Applecross WA 6953 Australia Tel: +61 8 9315 2333 Fax: +61 8 9315 2233 Email: registrar@securitytransfer.com.au Website: www.securitytransfer.com.au\n\n#### ADR Depository\n\n(American Depository Receipts) The Bank of New York Mellon ADR Division 101 Barclay Street, 22nd Floor New York, NY 10286 USA Tel: +1 212 815 2293\n\n## Auditor\n\nPricewaterhouseCoopers\n\n201 Sussex Street Sydney NSW 2000 Australia\n\nTel: +61 2 8266 0000 Fax: +61 2 8266 9999", - "page_start": 117, - "page_end": 117, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Independent Auditor's Report\n\n## Independent auditor's report to the members of Kingsgate Consolidated Limited\n\n### Report on the financial report\n\nWe have audited the accompanying financial report of Kingsgate Consolidated Limited (the company), which comprises the statement of financial position as at 30 June 2013, the statement of comprehensive income, statement of changes in equity and statement of cash flows for the year ended on that date, a summary of significant accounting policies, other explanatory notes and the directors' declaration for Kingsgate Group (the consolidated entity). The consolidated entity comprises the company and the entities it controlled at year's end or from time to time during the financial year.\n\n#### Directors' responsibility for the financial report\n\nThe directors of the company are responsible for the preparation of the financial report that gives a true and fair view in accordance with Australian Accounting Standards and the *Corporations Act 2001* and for such internal control as the directors determine is necessary to enable the preparation of the financial report that is free from material misstatement, whether due to fraud or error. In Note 1, the directors also state, in accordance with Accounting Standard AASB 101 Presentation of Financial Statements, that the financial statements comply with International Financial Reporting Standards.\n\n#### Auditor's responsibility\n\nOur responsibility is to express an opinion on the financial report based on our audit. We conducted our audit in accordance with Australian Auditing Standards. Those standards require that we comply with relevant ethical requirements relating to audit engagements and plan and perform the audit to obtain reasonable assurance whether the financial report is free from material misstatement.\n\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial report. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial report, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the consolidated entity's preparation and fair presentation of the financial report in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by the directors, as well as evaluating the overall presentation of the financial report.\n\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.", - "page_start": 113, - "page_end": 113, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Senior Management\n\nKingsgate's executives have a comprehensive range of skills and experience including mine development and operations, exploration, finance and administration. They are supported by highly qualified specialists, whose backgrounds cover the full scope of mining resources activities.\n\nSenior members of Kingsgate's management team are:\n\n## Gavin Thomas\n\nBSc (Geology), FAusIMM\n\n#### Managing Director and Chief Executive Officer\n\nGavin Thomas was appointed Chief Executive Officer of Kingsgate in 2004 and joined the Kingsgate Board on 16th November 2007. Gavin has had a successful career in developing mining companies from the exploration phase into mid-tier gold or copper producers. He has over 42 years of international experience in exploring for, evaluating, developing, operating and reclaiming mines in North and South America, Australia, the Southwest Pacific, Asia and Europe. Amongst Gavin's credits is the discovery of \"Lihir\" in Papua New Guinea, one of the largest gold deposits in the world. In particular, he has extensive experience in Thailand and South America.\n\n#### Duane Woodbury BEc (Hons)\n\n#### Chief Financial Officer\n\nDuane Woodbury was appointed Chief Financial Officer of Kingsgate on 1 September 2011. Duane has a BEc (Hons) Degree and has worked in various financial, accounting and advisory roles during his career in a number of locations, including London, New York and Singapore. He has been assisting Kingsgate in its business development initiatives since August 2007 and brings over 20 years of experience in financial markets and corporate finance transactions, principally with the Macquarie Group.\n\n#### Tim Benfield\n\nDip CSM (mining), MBA, MAusIMM\n\n#### Chief Operating Officer\n\nTim Benfield joined Kingsgate in February 2012 as Chief Operating Officer. Tim is a mining engineer with over 21 years underground and open pit experience in the mining industry in both operational and corporate roles. He has operational and project development experience in Australia, Africa and Saudi Arabia. This includes 10 years with Barrick Gold of Australia where he provided support to four operating mines and two development projects. Tim was most recently General Manager of the Pajingo Gold mine in Queensland for Evolution Mining Limited.\n\n#### Ross Coyle BA, FCPA, FCIS\n\n#### General Manager Finance and Administration Company Secretary\n\nRoss Coyle joined Kingsgate in March 2011 following the Company's acquisition of Dominion Mining Limited and was with the Dominion group for over 25 years. He is a qualified accountant and has over 30 years experience in finance and accounting within the resource industry. He was Finance Director of Dominion from 1996. Ross was appointed Kingsgate's Company Secretary in September 2011.\n\n#### Joel Forwood Bsc (Hons) FFin\n\n#### General Manager Corporate and Markets\n\nJoel Forwood joined Kingsgate in November 2010 and has over 27 years experience in the resource and investment industries covering investor relations, funds management and exploration. For over 12 years, he has been leading investor relations at a number of listed companies, most recently for Lihir Gold Limited. Prior to this he was a fund manager with Queensland Investment Corporation (QIC) following his early career in mineral exploration with BHP and corporate development with RGC.\n\n## Ronald James\n\nBSc (Geology), MAusIMM, MAIG\n\n#### General Manager Exploration and Resource Development\n\nRon James has 30 years of experience in exploration and mining at management level inclusive of setting up gold mines and exploration projects from their earliest stages through to development and sustainability. Before joining Kingsgate, he was Chief Mine Geologist at the Gold Ridge Mine in the Solomon Islands and later Group Exploration Manager for Ross Mining NL. Ron is familiar with the technical and operating requirements for emerging projects in a variety of terrains and environments and has a strong focus on maximising returns from ore bodies through optimum waste and ore classification as well as increasing reserves from nearmine resource development.", - "page_start": 40, - "page_end": 40, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Directors' Report\n\nYour Directors present their report on the Group consisting of Kingsgate Consolidated Limited and the entities it controlled at the end of, or during, the year ended 30 June 2013.\n\n## Directors\n\nThe following persons were Directors of Kingsgate Consolidated Limited during the whole of the financial year and up to the date of this report.\n\n- 〉 Ross Smyth-Kirk Chairman\n- 〉 Peter Alexander Non-Executive Director\n- 〉 Craig Carracher Non-Executive Director\n- 〉 Peter McAleer Non-Executive Director\n- 〉 Gavin Thomas Executive Director\n\n## Principal activities\n\nThe principal activities of Kingsgate Consolidated Limited are mining and mineral exploration in Australia, South East Asia and South America.\n\n## Dividends\n\nDividends paid to members during the financial year were as follows:\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| | $'000 | $'000 |\n| Final dividend declared for the year ended 30 June 2012 of | 15,148 | 6,829 |\n| 10 cents per fully paid share paid on 1 October 2012 | | |\n| Interim dividend declared for the year ended 30 June 2013 of | 7,591 | 15,196 |\n| 5 cents per fully paid share paid on 12 April 2013 | | |\n| Total dividends | 22,739 | 22,025 |\n\n## Review of operations and results\n\n#### Operational performance\n\nKingsgate is a gold mining, development and exploration company based in Sydney, Australia. Kingsgate owns and operates two gold mines, the world class Chatree Mine in Thailand and the underground Challenger Mine in South Australia. In addition, the Company has two advanced development projects, the Nueva Esperanza Silver / Gold Project, in the highly prospective Maricunga Gold / Silver Belt in Chile, and the Bowdens Silver Project in New South Wales, Australia. From this operating and development platform, Kingsgate aims to build value for all shareholders.\n\nGroup gold production was 199,897 ounces, a decrease of 4% on the previous corresponding year. The contribution from Chatree was 133,681 ounces with 66,216 ounces from Challenger.\n\nChatree gold production was 10% higher than the previous corresponding period as a result of an increase in throughput from the expanded Chatree process plant and access to higher grade oxide ore from Q Prospect.\n\nChallenger gold production was 24% lower than the previous corresponding year given additional dilution and depletion at Challenger Deeps and a shortfall in planned development. This resulted in lower ore tonnes from the mine that was supplemented by low grade stockpiled ore. Following the fall in the gold price a strategic review of Challenger was implemented that has resulted in a new mine plan to focus primarily on the higher grade Challenger West orebody. The new mine plan will be implemented during the first three months of the 2014 financial year.\n\nA lower gold price and industry wide cost pressures had a negative impact on the underlying earnings of the Group which contributed to a major impairment to the carrying value of a number of Group assets, particularly assets relating to the Challenger Gold Operations. Impairments totalling $332,808,000 were the major contributor to the after tax loss of $323,726,000 for the year.\n\nThe development projects continued to advance during the year. At Nueva Esperanza, the feasibility work shifted to focus on identifying the lowest cost and lowest power consumption development alternatives. This included reviewing a heap leach process option with on-site power generation. Further work is expected to be completed in the December quarter 2013. At Bowdens, the feasibility work has confirmed the optimum process route. Completion of the technical feasibility study including mine planning, infrastructure and metallurgy, and lodging of the Environmental Impact Statement (\"EIS\") are scheduled for 2014.", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### Brett Dunstone\n\nDip. Catering and Hotel Management – William Angliss College, B.Bus. Victoria University (part complete)\n\n#### General Manager – Human Resources\n\nBrett Dunstone joined Kingsgate in December 2012 and has over 25 years experience in senior human resource management roles across a diverse industry portfolio. Brett was formerly head of Human Resources for Crown Casino, Melbourne, the Myer group, key Village Roadshow entities and head of Employee Relations for the Coles Myer group. Brett has experience in supporting both large and emerging resource company development projects locally and overseas (BHP Billiton, Woodside, Equinox Minerals and Chalice Gold).\n\n### Michael Monaghan\n\nDip Eng (Mining) Dip Business MAusIMM MAICD SME\n\n#### Chief Operating Officer and General Manager – Akara Resources PCL\n\nMike Monaghan joined Kingsgate as the General Manager of Chatree Gold Mine in October 2012. He is a mining engineer with 28 years of management experience in both underground and open cut opeartions across a number of commodities as well as commissioning, mine management, turnaround management and environmental and safety compliance in Australia, Africa and Europe. Mike was most recently Mining Manager at Geita Gold mine in Tanzania for AngloGold Ashanti Limited. Prior to that he held General Manager and Mining Manager positions at Etruscan Resources Youga Gold Mine in Burkina Faso and Red back Mining's Chirano Gold Mine in Ghana.\n\n### Pakorn Sukhum\n\nBSc (Hons) University of London, UK MBA Sasin Graduate Institute of Business Administration Thailand\n\n#### Chief Executive Officer – Akara Resources PCL\n\nPakorn Sukhum joined the management team of Akara Resources PCL as Chief Executive Officer at the end of 2009. He brings to Akara over 24 years of industrial commercial managerial experience in various industries such as metallurgy, chemicals and ceramics in international and domestic markets of Thailand, having held senior management positions in both Thai and Multinational joint venture companies such as Basell Poyolefins, Bayer AG as well as Padeang Industry of Thailand. His major contributions and responsibilities have ranged from project management, commercial marketing and sales to business development.", - "page_start": 41, - "page_end": 41, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Auditor's Independence Declaration\n\n### Auditor's Independence Declaration\n\nAs lead auditor for the audit of Kingsgate Consolidated Limited for the year ended 30 June 2013, I declare that to the best of my knowledge and belief, there have been:\n\n- a) no contraventions of the auditor independence requirements of the *Corporations Act 2001* in relation to the audit; and\n- b) no contraventions of any applicable code of professional conduct in relation to the audit.\n\nThis declaration is in respect of Kingsgate Consolidated Limited and the entities it controlled during the period.\n\nBrett Entwistle Partner PricewaterhouseCoopers 23 September 2013", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## 29. Key management personnel disclosures\n\n#### (a) Directors\n\nThe following persons were Directors of Kingsgate during the financial year.\n\n- 〉 Ross Smyth-Kirk Chairman\n- 〉 Peter Alexander Non-Executive Director\n- 〉 Craig Carracher Non-Executive Director\n- 〉 Peter McAleer Non-Executive Director\n- 〉 Gavin Thomas Managing Director\n\n#### (b) Other key management personnel\n\n- 〉 Duane Woodbury Chief Financial Officer\n- 〉 Tim Benfield Chief Operating Officer\n- 〉 Phil MacIntyre Chief Operating Officer and General Manager Akara Mining Limited (retired 30 June 2013)\n- 〉 Ron James General Manager Exploration and Resources Development\n- 〉 Ross Coyle General Manager Finance and Administration and Company Secretary\n- 〉 Joel Forwood General Manager Corporate and Markets\n- 〉 Brett Dunstone General Manager Human Resources\n\n#### (c) Key management personnel compensation\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Short-term employee benefits | 4,671,017 | 4,456,171 |\n| Post-employee benefits | 169,385 | 195,722 |\n| Share-based payments | 821,961 | – |\n| Total Key Management Personnel compensation | 5,662,363 | 4,651,893 |", - "page_start": 105, - "page_end": 105, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The external auditor is requested to attend the Company's Annual General Meeting and be available to answer shareholder questions about the conduct of the audit and the preparation and content of the Audit Report.\n\nPricewaterhouseCoopers was appointed as external auditor of the Company for the 2013 financial year.\n\n## Risk Oversight and Management\n\nThe Board, through the Audit Committee, is responsible for ensuring that there are adequate policies in place in relation to risk management, compliance and internal control systems.\n\nKingsgate has a systematic and structured risk oversight and management program that involves a detailed analysis of material risks to the business and operates at various levels underpinned by specific systems and procedures.\n\nRisk monitoring, managing, mitigating and reporting is conducted regularly and includes the following:\n\n- 〉 regular internal management reporting;\n- 〉 reporting at Board and Committee meetings by relevant managers;\n- 〉 site visits by the Board and senior management;\n- 〉 internal and external audits; and\n- 〉 training, procedural manuals and meetings.\n\nThe Board has received assurance from the Managing Director and the Chief Financial Officer that the solvency declaration provided in accordance with section 295A of the *Corporations Act 2001* (Cth) is founded on a sound system of risk management and internal control and that the system is operating effectively in all material respects in relation to financial reporting risks.\n\nA summary of the Company's Risk Oversight and Management Policy is published in the 'Corporate Governance' section of the Company's website.\n\n## Remuneration Committee\n\nThe members of the Remuneration Committee as at the date of this Report are:\n\n- 〉 Mr Ross Smyth-Kirk (Chairman of Remuneration Committee);\n- 〉 Mr Peter McAleer;\n- 〉 Mr Craig Carracher; and\n- 〉 Mr Peter Alexander.\n\nThe Remuneration Committee's role is to oversee the Company's remuneration and compensation plans.\n\nTo ensure that the review of remuneration practices and strategies on which decision making is based is objective and well founded, the Remuneration Committee engages external remuneration consultants.\n\nThe Remuneration Committee supports and advises the Board in fulfilling its responsibilities to shareholders by:\n\n- 〉 ensuring shareholder and employee interests are aligned;\n- 〉 ensuring the Company is able to attract, develop and retain talented employees;\n- 〉 recommending to the Board, with the Managing Director, an appropriate executive remuneration policy;\n- 〉 determining the remuneration of Directors;\n- 〉 having regard to the Company's Diversity Policy, including issues relating to remuneration by gender;\n- 〉 reviewing and approving the remuneration of those reporting directly to the Managing Director and other senior executives, as appropriate; and\n- 〉 reviewing all equity based plans for approval by the Board.\n\nThe Remuneration Committee operates in accordance with the Company's Remuneration Policy. The policy is designed so that it motivates senior executives to pursue the long-term growth and success of the Company and demonstrates a clear relationship between senior executives' performance and remuneration.\n\nThe Remuneration Committee met one time during the 2013 financial year.\n\nThe Remuneration Committee operates in accordance with a charter published in the 'Corporate Governance' section of the Company's website.\n\n## Nomination Committee\n\nThe members of the Nomination Committee as at the date of this Report are:\n\n- 〉 Mr Ross Smyth-Kirk (Chairman of Nomination Committee);\n- 〉 Mr Peter McAleer; and\n- 〉 Mr Craig Carracher.\n\nThe role of the Nomination Committee supports and advises the Board in fulfilling its responsibility to ensure that it comprises individuals who are best able to discharge the responsibilities of the Directors, having regard to the law and the highest standards of governance, by:\n\n- 〉 assessing the skills required on the Board;\n- 〉 reviewing the structure, size and composition of the Board;\n- 〉 from time to time assessing the extent to which the required skills are represented on the Board and ensuring an appropriate succession planning is in place;\n- 〉 establishing processes for the review of the performance of individual Directors and the Board as a whole, its committees and key executives; and\n- 〉 establishing processes for the identification of suitable candidates for appointment to the Board.\n\nTo ensure that the Board has an appropriate mix of skills and experience, the Nomination Committee will consider men and women from diverse backgrounds for Board membership who have demonstrated high levels of integrity and performance in improving shareholder returns, and who can apply such skills and experience to the benefit of the Company.\n\nThe Nomination Committee met once during the 2013 financial year.\n\nThe Nomination Committee operates in accordance with a charter published in the 'Corporate Governance' section of the Company's website.\n\n## Ethical Standards and Code of Conduct\n\nThe Board and the Company's employees are expected to maintain the highest level of corporate ethics and personal behaviour.\n\nThe Company has established a Code of Conduct which provides an ethical and legal framework for all employees in the conduct of its business. The Code of Conduct defines how the Company relates to its employees, shareholders and the community in which the Company operates.\n\nThe core values of the Code of Conduct are:\n\n- 〉 honesty and integrity;\n- 〉 fairness and respect; and\n- 〉 trust and openness.\n\nThe Code of Conduct provides clear directions on conducting business internationally, interacting with governments, communities, business partners and general workplace behaviour having regard to the best practice corporate governance models. The Code of Conduct sets out a behavioural framework for all employees in the context of a wide range of ethical and legal issues.\n\nThe Code of Conduct is published in the 'Corporate Governance' section of the Company's website.", - "page_start": 37, - "page_end": 37, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What does demonstatre the feasibility study on the Nueva Esperanza Project ?", - "target_page": 6, - "target_passage": "The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "VIETNAM\n\nCAMBODIA\n\nCAMBODIA A M\n\n0 100 200 300\n\nHighway Freeway Power lines Hydro power dam Thermal power station\n\nKilometres\n\nTHAILAND\n\nBangkok\n\nKhon Kaen Kh CHATREE\n\n10°\n\n10°\n\nPhuket\n\n20°\n\nCHALLENGER\n\nN T\n\n130°\n\nW A\n\n135°\n\n30°\n\nQLD\n\nN S W\n\nVIC\n\nAdelaide\n\n140°\n\n35°\n\nL A O S\n\nL A O S\n\n100°\n\nChiang Mai\n\nChumphon\n\n## Nueva Esperanza Project\n\nChile\n\nu\n\n## Summary\n\nThe Nueva Esperanza Project is 100% owned by Kingsgate since February 2012. Nueva Esperanza is located in the Maricunga Gold Belt near Copiapó, a regional mining centre in Northern Chile. The silver-rich mineralisation is hosted by the Esperanza high-sulphidation epithermal alteration system associated with the Cerros Bravos volcanic complex.\n\nCHALLENGER GOLD MINE\n\nBarton West\n\nCundeelee (Tropicana Belt)\n\nBarton Central Tenements Area\n\nBlue Dam\n\nYalla Burra\n\nGolden Point\n\nNorthling\n\nBryah\n\nPerenjori\n\nCalingiri\n\nKukerin\n\nBullock Pool\n\nNanicup Bridge\n\nHolleton West\n\nWongan Hills\n\nLabyrinth\n\nBulgunnia\n\nThe project consists of three well-defined mineralised deposits and a number of undeveloped exploration targets. The main deposits are Arqueros, Chimberos and Teterita. Arqueros was previously mined on a limited scale by underground methods and Chimberos was exploited as an open pit mine, delivering about 40 million ounces of silver in 1998/99. All three deposits currently have a combined Mineral Resources of about 93 million ounces of silver equivalent or 1.6 million ounces of gold equivalent (EQ60)1 .\n\nA feasibility study for a decision to mine the Arqueros portion of Nueva Esperanza was completed in late 2012, demonstrating that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible. Work remained to integrate the Teterita and Chimberos deposits into the project, as well as to test lower cost options for processing. Continued metallurgical testwork has shown that mineralisation from all three deposits by heap leaching is technically and economically feasible and the preferred alternative for development.\n\nEnvironmental approvals to commence construction and mining at Nueva Esperanza were granted in July 2013 for the original Arqueros project. Work is underway to modify and update the environmental assessment to incorporate the heap leach process.\n\n1 Equivalence is based on gold/silver price ratio of 60. Gold equivalence = gold content plus (silver content *divided* by 60), whereas Silver equivalent silver content plus (gold content multiplied by 60).\n\nBOWDENS SILVER\n\n150°\n\nDubbo\n\n145°\n\nVIC\n\nTA S\n\n30°\n\nS A\n\n35°\n\nMudgee\n\nQLD\n\nNewcastle\n\nSydney", - "page_start": 29, - "page_end": 29, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Development Projects\n\n#### Bowdens\n\nThe Bowdens Project continued to advance during the year with field programs supporting the ongoing feasibility and environmental studies. Sterilisation drilling and additional metallurgical sampling were undertaken with the resource evaluation drilling completed in October 2012.\n\nDuring 2013, the process design and engineering work for the Definitive Feasibility Study (\"DFS\") progressed to a point where the draft study was close to completion as at 30 June 2013. The study encompassed detailed process design based on using the most recent metallurgical test results, capital and operating cost estimates, project water and power supply, infrastructure requirements and mine optimisation.\n\nThe preparation for lodgement of an Environmental Impact Statement (\"EIS\") to the NSW Department of Planning continues. It is envisaged that the EIS will be completed and lodged in 2014. Data for flora and fauna, surface water, groundwater, meteorology, ambient noise and dust levels are collected routinely. Further investigations of cultural heritage, social-economic impact, traffic impact, soil type and agricultural suitability have also been undertaken.\n\nWith the fall in metal prices in late 2013, work and expenditure on the DFS and EIS have been phased to coordinate and synchronise the timing of the two programs with completion and lodgement now not expected before mid-2014.\n\n#### Nueva Esperanza\n\nThe Nueva Esperanza Project was advanced during the year with the completion of a draft feasibility study. This study included a decision to mine the Arqueros and Teterita portions of Nueva Esperanza. The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns.\n\nAs a consequence, feasibility work has transitioned to assess a lower capital cost and lower power requirement options, namely the potential for heap leach processing. Metallurgical testwork recently completed demonstrated that processing of mineralisation from all three deposits by heap leaching has the potential to be technically and economically feasible and as a consequence may become the preferred alternative for development.\n\nEnvironmental approval for the original Arqueros Project was granted in July 2013.\n\n## Financials\n\nKingsgate made an after tax loss of $323.7 million for the full year to 30 June 2013 compared to an after tax profit of $75.0 million for the previous corresponding year. The result for the year reflected an impairment of $311.9 million pre-tax ($291.3 million post-tax) against the Challenger Mine and associated assets and an impairment of $20.4 million against greenfield exploration projects in Australia and Thailand.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Financial Summary | $000 | $000 |\n| Total sales revenue | 329,282 | 357,372 |\n| EBITDA before significant items | 115,845 | 168,583 |\n| (Loss) / profit before tax | (339,615) | 91,277 |\n| Income tax benefit / (expense) | 15,889 | (16,271) |\n| (Loss) / profit after income after tax | (323,726) | 75,006 |\n| Dividend declared (¢/share) | 5 | 20 |", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### *Notes to the Ore Reserves and Mineral Resources Table:*\n\n*Some rounding of figures may cause numbers to not add correctly.*\n\n- *(1) Nueva Esperanza equivalent factors:*\n- • Silver equivalent: AgEq (g/t) = Ag (g/t) + Au(g/t) x 60;\n- • Gold Equivalent: AuEq (g/t) = Au (g/t) + Ag (g/t) / 60;\n- • Calculated from prices of US$1,380/ oz Au and US$21.50/oz Ag, and *metallurgical recoveries of 70% Au* and 75% Ag estimated from test work by Kingsgate, and metallurgical recoveries of 85% Au and 78% Ag estimated from test work by *Kingsgate and Laguna.*\n- *(2) Bowdens equivalent factors:*\n- • Silver equivalent: AgEq (g/t) = Ag (g/t) + 22.4 x Pb (%) + 25.5 x Zn (%);\n- • Gold equivalent: AuEq (g/t) = AgEq (g/t) /45 ;\n- • Calculated from prices of US$28/oz Ag, US$1250/oz Au, US$2200/t Pb, US$2200/t Zn and metallurgical recoveries of 81% Ag, 73% Pb, and 83% Zn estimated from test work by Silver Standard, and assuming *consistent metallurgical recoveries for* gold and silver of 81%.\n- *(3) Chatree equivalent factors:*\n- • Chatree gold equivalent: AuEq/t = Au (g/t) + Ag (g/t) /105;\n- • Silver equivalent: AgEq g/t = Au (g/t) x 105 + Ag g/t;\n- • Calculated from prices of US$1480/oz Au and US$26/oz Ag and metallurgical recoveries of 80.5% Au and 43.6% silver based on metallurgical testwork and plant performance.\n- *(4) Challenger equivalent factors:*\n- • Silver equivalent: AgEq/t = Au (g/t) x 57;\n- • Calculated from prices of US$1480/oz Au and US$26/oz Ag and consistent *metallurgical recoveries for gold and silver.*\n- (5) Cut-off grade for Chatree is 0.35g/t Au; Nueva Esperanza is 0.5g/t AuEq; Bowdens is 30g/t AgEq. For Challenger it is 1.5 Au g/t for open cut resources, and 5.0 g/t for undeground resources.\n- (6) It is the Company's opinion that all the *elements included in the metal equivalents calculation have a reasonable potential to be recovered.*\n\n## Competent Persons Statement\n\nIn this report, information concerning Thailand operations relates to Exploration Results, Mineral Resources and Ore Reserve estimates and is based on and fairly represents information compiled by the following Competent Persons: Ron James, Brendan Bradley, Kevin Woodward and Suphanit Suphananthi who are employees of the Kingsgate Group – all except Brendan Bradley are members of The Australasian Institute of Mining and Metallurgy. Brendan Bradley is a member of the Australian Institute of Geoscientists. These people qualify as Competent Persons as defined in the 'Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves' (the JORC Code, 2012 edition) and possess relevant experience in relation to the mineralisation being reported herein as Exploration Results, Mineral Resources and Ore Reserves. Each Competent Person has consented to the public reporting of these statements and the inclusion of the material in the form and context in which it appears.\n\nIn this report, the information concerning Challenger operations that relates to Exploration Results, Mineral Resources and Ore Reserves estimates is based on and fairly represents information compiled by Stuart Hampton and Luke Phelps who are full-time employees of the Kingsgate Group. Both are members of The Australasian Institute of Mining and Metallurgy. These persons have sufficient experience that is relevant to the mineralisation and type of deposit under consideration and to the activity that they are undertaking to qualify as Competent Persons as defined in the 2012 Edition of the 'Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves'. Stuart Hampton and Luke Phelps consent to the inclusion in the report of the matters based on their information in the form in which it appears.\n\nThe information in this report that relates to Bowdens Mineral Resource estimation is based on and fairly represents work completed by Jonathon Abbott who is a full-time employee of MPR Geological Consultants and a member of the Australasian Institute of Geoscientists, and Ron James, who is a member of The Australasian Institute of Mining and Metallurgy. Mr Abbott and Mr James have sufficient experience that is relevant to the style of mineralisation and type of deposit under consideration and to the activity that they are undertaking to qualify as a Competent Person as defined in the 2012 Edition of the 'Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves'. Mr Abbott and Mr James consent to the inclusion in the report of the matters based on their information in the form and context in which it appears.\n\nThe information in this report that relates to Nueva Esperanza Mineral Resource estimation is based on and fairly represents work completed by Jonathon Abbott, Ron James and Maria Muñoz. These people qualify as Competent Persons as defined in the 'Australasian Code for Reporting of Exploration Results and Mineral Resources'(the JORC Code, 2012 edition) and possess relevant experience in relation to the mineralisation being reported herein as 'Exploration Results, Mineral Resources and Ore Reserves'. Mr Abbott, Mr James and Ms Muñoz consent to the inclusion in the report of the matters based on their information in the form and context in which it appears.", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "# Creating Opportunities\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 15\n\n# DELIVERING ON THE EXPLORATION STRATEGY\n\nExploration is a key growth driver for Santos and success with the drill bit is vital to adding value for Santos shareholders. During the past four years Santos has been working to build exploration opportunities by:\n\n- acquiring new exploration acreage\n- adding material exploration prospects\n- drilling wildcat exploration wells.\n\n#### **SUCCESS RATE OF 44% IN 2004**\n\nSantos' 2004 exploration effort produced good results, as the Company high graded its exploration acreage and started drilling one of the most exciting portfolios in the industry.\n\nSantos discovered hydrocarbons in seven of the sixteen wildcat wells that were drilled, achieving an impressive success rate of 44%.\n\nThe program added at least 93 million boe (including the pre-drill estimate for Jeruk) of recoverable resources that will be further evaluated by delineation and, in some cases, production history to determine 1P and 2P reserve additions.\n\nImportantly, these results were achieved with financial discipline, spending $126 million which was substantially less than forecast.\n\nThe most significant drilling result for the year was the Jeruk oil discovery in the Sampang PSC offshore East Java, Indonesia. The Jeruk discovery is still under evaluation but its commercial significance appears encouraging. Santos has confirmed an oil column of at least 379 metres with a likely gross recoverable resource in excess of the pre-drill estimate of 170 million barrels.\n\nSantos also had further exploration successes in the Cooper Basin in central Australia where four of six wildcat wells were cased and suspended as gas discoveries.\n\nThere was also success in the offshore Otway Basin with the Martha gas discovery near the Casino field, which is currently being evaluated to determine its commercial significance. Additional drilling is planned to occur nearby in 2005 to follow up this encouraging result.\n\nSantos discovered gas in the United States at the Torres 1A onshore well, which was brought onto production only two months after drilling was completed.\n\nOther wells in the offshore Otway Basin included the deep water Amrit 1 well, which was plugged and abandoned after failing to intersect economic hydrocarbons, and Callister 1 which was also plugged and abandoned with gas shows.\n\n**'2004 was a great year for our explorers. We started drilling one of the most exciting portfolios in our industry and our success to date shows that our strategy of basin excellence is delivering.'**\n\n#### **JACQUES GOUADAIN**\n\nVice President Geoscience and New Ventures\n\n**Float-off of Jack Bates rig prior to deep water drilling operations, offshore Otway Basin, Victoria.**", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# Managing Options\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 22\n\n# UNLOCKING THE VALUE OF STRATEGIC ASSETS\n\n**'Our objective is to derive value from undeveloped assets which have been outside of Santos' base business.'**\n\n**BRUCE WOOD** Vice President Strategic Projects Santos' Strategic Projects team focuses on assets that have proven difficult to commercialise or that need to be considered in a regional context rather than on an individual basis.\n\nThe other key activity for this team has been to lead Santos' continuous improvement focus.\n\n#### **UNITED STATES GAS**\n\nThe US gas business was a major focus in 2004 for a number of reasons, not the least of which are the higher gas prices in the US compared with the domestic Australian market, and the ability to rapidly commercialise new discoveries.\n\nAn ongoing development and delineation program was carried out during the year, yielding better than planned production. The exploration initiative also continued to seek higher risk but more material prospects, aimed at enhancing the move into the shallow water area of the Gulf of Mexico. Exploration results in this area during 2005 will shape Santos' future strategy in the US.\n\n#### **TIGHT GAS**\n\nHydrocarbons contained in traps with poor permeability are known as 'tight gas'. Large tight gas resources are known to exist in the Cooper Basin. Under current circumstances, this gas cannot be economically developed but, with the combination of improved production techniques and better commercial terms, could prove attractive.\n\nSantos assessed the resources and potential technologies that could be applied to unlock these resources during 2004 and is now working up a range of possible evaluation projects to be undertaken in 2005.\n\n#### **NORTHERN AUSTRALIA GAS**\n\nSantos has a significant existing gas resource base and some promising exploration acreage in the waters offshore Darwin, where it intends to drill a gas exploration well later this year.\n\nThe Company currently operates the Mereenie gas field in the Amadeus Basin in central Australia, which supplies gas to Darwin. Santos' first offshore gas production in northern Australia begins in 2006, sending Bayu-Undan gas to Darwin for conversion to LNG. Santos plans to build upon its growing position in the region to target further development which could ensure long-term gas supplies for the current market, or an expanded Northern Territory domestic market, or for export.\n\n#### **PAPUA NEW GUINEA GAS**\n\nSantos is in active discussions with the PNG Gas Project participants to potentially re-enter the PNG Gas Project. Santos has a significant interest in a large part of the liquids-rich Hides gas field which is integral to the development of the Project.\n\n## **2004 CONTINGENT RESOURCES** (TOTAL 1,443 mmboe)\n\n- Northern Australia 709 mmboe\n- Western Australia 71 mmboe\n- Central Australia 240 mmboe\n- Southern Australia 32 mmboe\n- Papua New Guinea 391 mmboe", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | 2013 | 2012 |\n| --- | --- | --- |\n| | $'000 | $'000 |\n| 9. Inventories | | |\n| Current | | |\n| Raw materials and stores | 10,656 | 10,947 |\n| Provision for obsolescence | (1,566) | (1,172) |\n| Stockpiles and work in progress | 48,329 | 43,365 |\n| Gold bullion | 4,613 | 2,939 |\n| Total inventories – current | 62,032 | 56,079 |\n| Non-current | | |\n| Stockpiles | 44,731 | 30,314 |\n| Total inventories – non-current | 44,731 | 30,314 |\n| 10. Other assets | | |\n| Current | | |\n| Prepaid mining services | 15,921 | 10,457 |\n| Prepayments | 12,489 | 15,011 |\n| Deferred cost of divestment | 8,408 | 7,298 |\n| Deferred stripping costs | – | 1,910 |\n| Other deposits | 1,294 | 452 |\n| Total other assets – current | 38,112 | 35,128 |\n| Non-current | | |\n| Deferred stripping costs | 26,903 | 19,626 |\n| Prepayments | 4,380 | 4,014 |\n| Other deposits | 6,514 | 4,218 |\n\n#### Total other assets – non-current 37,797 27,858\n\n#### Prepayments\n\nNon-current prepayments include prepaid royalties in respect of the Nueva Esperanza Silver / Gold Project in Chile and electricity and fuel supplies for Chatree Mine in Thailand.\n\n#### Other deposits\n\nOther deposits – non-current includes $1,838,000 restricted cash deposits against bank guarantees supporting the rehabilitation bond requirements against the Group's mining operations.", - "page_start": 86, - "page_end": 86, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### • better procurement\n\nThe first two features have obvious technical advantages regardless of data openness. The last two, being critical, are discussed separately in the next paragraph.\n\n### **4.4. Impose proper licensing and streamline procurement**\n\nAs with the first report prepared for this project, we will not delve into the details of *how* to license data because this topic continues to be followed and debated in all details by LAPSI and other projects or researchers. We will simply confirm the importance of establishing a proper license, at the national level, for all Public Data, that makes them Open in the right way and makes sure that what is opened stays open and that don't demand what isn't possible to enforce (e.g. attribution), because, quoting again Eaves, *\"no government should waste precious resources by paying someone to scour the Internet to find websites and apps that don't attribute\"*.\n\nWe want, however, to spend a few words about another legal/administrative side of the issue, that is procurement. Traditional procurement laws are very likely not flexible enough, in most countries, to handle the implementation of data-based public services. Here's why.\n\nWe know that if Public Data are Open, everybody, from volunteer activists to hired professionals, can very quickly write or maintain simple software applications that help to visualize and use them in all possible ways. Paradoxically, this is a problem when an Administration either wants to set up an Open Data programming contest (that besides being inexpensive, it's much simpler to organize and join than traditional tenders or grants) or *needs* to just pay somebody to write from scratch and maintain some new program of this type, or customize existing ones.\n\nThe reason is that, just because this type of software development is so quick, even hiring a professional to do it, or setting up a contest would be... too inexpensive to be handled with default procurement procedures. Quoting from Day Two: Follow the Data, Iterating and the $1200 problem:\n\n> A big problem for cities is procuring products under $10,000. How does a city pay for an awesome application like SeeClickFix when it doesn't fit the normal year-long planning and two-year implementation in the millions of dollars? In Tuscon, Andrew Greenhill tapped the Mayor's general budget for it, instead of trying to get the IT department to shell out. In San Francisco, Ed Reiskin uses discretionary spending. But every time, procurement gets messy. In reference to nepotism laws, Ed worries that he'll appear \"like I'm giving my buddies dollars.\" Building great products for cities has to include finding great strategies to pay for them. In San Francisco, Jay Nath doesn't even have a budget…which, he says is 'liberating' because he doesn't need to go through", - "page_start": 28, - "page_end": 28, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## **ACQUIRING NEW ACREAGE**\n\nFuture exploration success depends on quality exploration acreage. Santos acquired five exploration blocks in three hydrocarbon provinces during 2004. The most significant of these were in Egypt and Indonesia.\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 16\n\nEgypt and surrounding countries are a focus area for Santos. The Company has farmed in to three exploration blocks in Egypt with US petroleum group, Devon Energy, committing approximately $70 million to an eight-well exploration joint venture over the next three years in the Gulf of Suez. This is Santos' first move into the North Africa–Middle East region, which is considered the world's premier hydrocarbon province.\n\nSantos continues to seek other exploration opportunities in this area, concentrating on the Gulf of Suez and the onshore Desert Basins.\n\nSantos has acquired six exploration permits in Indonesia over the past three years, including an interest in the Donggala PSC in the Kutei Basin during late 2004. This block lies between Santos' other Kutei acreage: the Papalang and Popodi PSCs.\n\nThe addition of the Donggala PSC gives Santos a particularly strong presence in the Kutei Basin and covers a highly prospective trend, while adding to the Company's growing Indonesian operations.\n\nOther exploration acreage portfolio management and activities during 2004 included:\n\n- the award of exploration permit T/36P in the Sorell Basin, offshore Tasmania\n- the addition of three new venture areas in the shallow waters of the Gulf of Mexico and onshore Montana and Texas, which significantly expands and diversifies the US exploration acreage and prospect inventory\n- the farm-out of a 16.67% interest in the WA-264-P permit offshore Western Australia to Beach Petroleum\n- the farm-out of a 60% interest and operatorship of the NT/P61 permit in the Bonaparte Basin, offshore northern Australia to ConocoPhillips\n- the farm-out of a 70% interest in the deep water exploration block, Nth Bali 1 PSC, offshore East Java Basin to Total and Mitsui\n- the farm-out of a 25% interest in the VIC P/51 block containing the Callister prospect to Mitsui & Co subsidiary Mitwell Energy Resources.\n\nThese farm-outs continued the trend of risk-sharing with quality partners.\n\n#### **ADDING MATERIAL PROSPECTS**\n\nSantos is now in a position that exploration success in 2004 and good acreage management has created future options that will ultimately translate into greater value for the business in 2005 and beyond.\n\nThis has been achieved by focusing on 'basin excellence'. This means becoming a technical leader in basins, within our focus areas, entering early where possible to keep entry costs down, balancing the commercial and the technical risks and selecting the right co-venturers.\n\n# **2004 EXPLORATION EXPENDITURE BY CATEGORY**\n\n- Geoscience and other $37.5 million\n- Seismic $17.2 million\n- New ventures $7.3 million\n\nAn example of this is the strong position Santos has created in the Kutei Basin, with interests in three neighbouring production sharing contracts: Popodi, Donggala and Papalang.\n\n## **2004 EXPLORATION EXPENDITURE BY REGION**\n\n- United States $28.2 million\n2004 also marked the year that Santos drilled its first operated deep water wells – a significant achievement for a company that had its beginnings in a desert environment.", - "page_start": 17, - "page_end": 17, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## **HIGH IMPACT DRILLING IN 2005**\n\nThe 2005 exploration program has the highest resource potential of any program undertaken at Santos.\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 17\n\nSantos is planning a large, high impact drilling campaign that is already well underway.\n\nSantos plans to drill 25 wells and will invest $150 million testing prospects within its expanding domestic and international exploration portfolio – up 19% from the $126 million spent on exploration in 2004.\n\nOil is the main focus of the 2005 program with most activity in the Kutei and East Java Basins offshore Indonesia, the Gulf of\n\nSuez in Egypt, the Bonaparte Basin in the Timor Sea and the Carnarvon Basin offshore Western Australia.\n\nThe 2005 program reflects the increasing materiality of Santos' exploration portfolio and continues the emphasis on more globally-focused exploration as an important part of the Company's growth strategy.\n\nSantos has already had drilling success early in 2005 with the Hiu Aman 1 well – the first to be drilled by Santos in the Donggala PSC. Hiu Aman 1 has indicated the presence of a prolific hydrocarbon system in this area. The discovery should add other lower risk prospects to Santos'\n\nexploration portfolio. A multi-well drilling program will be undertaken in Santos' Kutei Basin PSCs during 2005.\n\nAnother gas discovery has been made at Hurricane 1 in the Carnarvon Basin, offshore Western Australia. While both wells were discoveries, they require further evaluation to determine their commercial significance.", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "### Exploration\n\nWith the approvals of the Special Prospecting Licence (\"SPL\") applications in Thailand still awaiting the Minister of Industry's consent, exploration attention over the past 12 months has focused on new exploration opportunities and Mineral Resource enhancement targets within the Mining Leases. This exploration formed part of a strategic exploration program within the mining leases at Chatree that commenced in late 2012. The program has successfully defined several new areas of mineralisation within the Mining Lease, most notably at Q and A North Prospects, and has also upgraded several larger areas of Inferred Resources to the Measured and Indicated Mineral Resource category.\n\n## Looking Ahead\n\nOver the current financial year and beyond, Kingsgate remains focused on optimising production within an uncertain metal price environment, continuing to build resources and reserves and advancing the development project pipeline of Nueva Esperanza and Bowdens. These initiatives are designed to grow earnings per share for the benefit of all shareholders.\n\nIn late September, Kingsgate's Thai subsidiary, Akara Resources Public Company Limited (\"Akara\") has submitted its listing application and draft Prospectus to the Thai Securities Exchange Commission (SEC) and the Stock Exchange of Thailand (SET) for an initial public offering of its shares on the SET.\n\nThe SEC and SET will review the draft Prospectus in the coming months in order to approve the listing of Akara. The decision to list Akara will depend on market conditions and other factors at the time of approval.\n\nGroup gold production for the full year to 30 June 2014 is expected to be in the range of 190,000 to 210,000 ounces. This includes 120,000 to 130,000 ounces from Chatree and 70,000 to 80,000 ounces from Challenger.", - "page_start": 6, - "page_end": 6, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is the Kingsgate net cash outflows from finiancing activities in 2013 ?", - "target_page": 11, - "target_passage": " Net cash outflows from financing activities was $1.7 million", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| | 2013 | 2012 |\n| --- | --- | --- |\n| 22. Dividends | $'000 | $'000 |\n| Final dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share paid on 1 October 2012 | 15,148 | 6,829 |\n| Interim dividend declared for the year ended 30 June 2013 of 5 cents per fully paid share paid on 12 April 2013 | 7,591 | 15,196 |\n| Total dividends | 22,739 | 22,025 |\n\nRefer Note 18 for the dividend reinvestment plan portion of total dividends.\n\nThe Group's franking credit balance as at 30 June 2013 is $880,548 (2012: $880,548).\n\n## 23. Related parties\n\n#### Transaction with related parties\n\nInformation on remuneration of Directors and Key Management Personnel is disclosed in Note 29.\n\n#### Controlling entity\n\nThe ultimate parent entity of the Group is Kingsgate Consolidated Limited.\n\n## 24. Employee benefits and share-based payments\n\n| Provision for employee benefits – current | 3,797 | 2,993 |\n| --- | --- | --- |\n| Provision for employee benefits – non-current | 5,416 | 4,482 |\n| Total employee provisions | 9,213 | 7,475 |\n\n#### Share-based payments\n\nThe following share-based payments were made during the year:\n\n- 〉 performance and deferred rights issued to employees $917,397 (2012: nil); and\n- 〉 shares issued as part consideration of a legal dispute $1,512,000 (2012: $3,024,000).\n\n#### Superannuation\n\nThe Group makes contributions on behalf of employees to externally managed defined contribution superannuation funds. Contributions are based on percentages of employee's wages and salaries and include any salary-sacrifice amounts. Contributions to defined contribution plans for 2013 were $964,000 (2012: $752,000).\n\n#### Kingsgate executive option plan\n\nThe terms of the options issued pursuant to the plan are as follows:\n\n- i. each option will entitle the holder to subscribe for one ordinary share of the Company;\n- ii. options are granted under the plan for no consideration; and\n- iii. options granted under the plan carry no dividend or voting rights.", - "page_start": 96, - "page_end": 96, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Finance Report\n\n## Summary\n\nKingsgate has recorded the following financial performance for the year to 30 June 2013:\n\n- 〉 Revenue of $329.3 million.\n- 〉 EBITDA (before significant items) of $115.8 million.\n- 〉 Profit before tax and significant items of $17.2 million.\n- 〉 Loss after tax and significant items of $323.7 million. This includes a net tax benefit of $20.6 million, relating to the Challenger Gold Operations (\"Challenger\") impairment.\n- 〉 Non-cash asset impairments and other significant items of $356.8 million pre-tax, with $311.9 million principally relating to Challenger ($291.3 million post-tax).\n- 〉 No final dividend has been declared. An interim dividend of 5 cents per share was declared for the half year to 31 December 2012.\n\n## Earnings\n\nThe lower realised gold price of US$1,588 per ounce (2012: US$1,663 per ounce), lower gold sales of 195,948 ounces (2012: 204,145 ounces) and industry wide cost pressures had a negative impact on the underlying earnings of the Group.\n\nThe lower gold price and changes to mine operating plans also resulted in a major impairment to the carrying value of a number of Group assets, particularly the Challenger Mine. The impairments were the major contributor to the after tax loss of $323.7 million for the year.\n\nThe fall in gold sales reflected a 24% decrease in production at Challenger compared to the prior year due to lower grade and volume of ore mined. The lower production at Challenger was offset by a 10% increase in gold production at the Chatree Gold Mine (\"Chatree\"), reflecting increased throughput from the expanded Chatree processing plant and higher grade ore mined.\n\n#### Cost of sales\n\nCost of sales before depreciation increased by 14% to $195.1 million compared to last year and largely reflects increased throughput and production from Chatree due to the first full year of operation of Plant #2. The total unit cash costs for Chatree for the year were US$767/oz (US$620/oz excluding royalties), up from US$618/oz in 2012. The total unit cash costs for Challenger for the year were US$1,135/oz (2012: US$862/oz), with the increase mainly due to the lower throughput and lower production from the Challenger Mine. On a unit cost basis, total cash costs for the Group were US$888/oz, up from US$720/oz last year.\n\n#### Depreciation and amortisation\n\nThe increase in depreciation and amortisation to $85.6 million (2012: $67.6 million) reflects amortisation of the higher capitalised development costs at the Challenger Mine, depreciation of Plant #2 at Chatree and commencement of amortising the capital cost of the Chatree Tailings Storage Facility #2.\n\n#### Impairment and write-downs\n\nFollowing a strategic review of Challenger, a new mine plan focussing mainly on the Challenger West orebody was implemented effective 1 July 2013.\n\nBased on the revised plan Challenger is expected to generate positive cash flows though, as a result of this plan together with the continuing low gold price environment, the estimated future cash flows no longer supported the full recovery of the carrying value. For this reason, the Group has recorded a pre-tax impairment charge of $311.9 million ($291.3 million post tax) related to the carrying value of the property, plant and equipment and mine properties at Challenger so that the carrying value reflects recoverable value.\n\nA review of the carrying value of all regional greenfield exploration projects was also conducted which resulted in the write down of $6.1 million, primarily against the Barton West Mineral Sands project in South Australia and the write down of $14.3 million against the carrying value of exploration projects in Thailand that fall outside the Chatree Mine area of influence.\n\nThe impairment and write-downs are non-cash items and therefore have no impact on the Company's cash position. The written down asset values do not create any concern with regard to conditions around the Company's debt facilities.", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The contractual cash flows presented above in respect of 30 June 2013 and the increase in the one year or less time category of $46,132,000 when compared to 30 June 2012 mainly relates to classification of the corporate loan facility of $20,000,000 and the convertible loan facility of $35,000,000 as current liability at 30 June 2013. These facilities were mainly included in the one to two years and two to five years' time category at 30 June 2012. As indicated in Note 16, these facilities have been classified as current liabilities at 30 June 2013 on the basis that at balance sheet date it was the Group's intention to restructure and amalgamate these facilities in the next financial year.\n\nSubsequent to the end of the financial year, the Group has received from its lenders a credit approved term sheet (subject to formal documentation) for the restructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to $40,000,000. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n\n- 〉 Tranche one will be a $25,000,000 Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part of the Akara IPO although at Kingsgate's election repayment can be made by either cash or in Kingsgate's shares.\n- 〉 Tranche two is an amortising facility with $5,000,000 to be repaid during the 2014 financial year and the balance of $10,000,000 repaid during the 2015 financial year.\n\nThe Group also has a three year $25,000,000 Convertible Revolving Credit Facility available. At the date of this report the facility is undrawn. Under the terms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is intended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the Company to repay any cash drawdown under the facility by issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although this position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP over a period by reference to the draw down date. Shareholder approval is not required.\n\nAs indicated in Note 16, Kingsgate's Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to US$125,000,000 (fully drawn as at year end) and an additional Thai Baht denominated working capital facility equivalent to US$15,000,000 (undrawn as at year end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100,000,000 Baht denominated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n\n#### (d) Fair value measurements\n\nThe carrying values of financial assets and liabilities of the Group approximate their fair values. Fair values of financial assets and liabilities have been determined for measurement and / or disclosure purposes.\n\n#### Fair value hierarchy\n\nThe Group classifies assets and liabilities carried at fair value using a fair value hierarchy that reflects the significance of the inputs used in determining that value. The table following analyses financial instruments carried at fair value, by the valuation method. The different levels in the hierarchy have been defined as follows:\n\n- 〉 Level 1: quoted prices (unadjusted) in active markets for identical assets or liabilities;\n- 〉 Level 2: inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly (as prices) or indirectly (derived from prices); and\n- 〉 Level 3: inputs for the asset or liability that are not based on observable market data (unobservable inputs).\n\n| | Level 1 | Level 2 | Level 3 | Total |\n| --- | --- | --- | --- | --- |\n| | $'000 | $'000 | $'000 | $'000 |\n| 30 June 2013 | | | | |\n| Available-for-sale financial asset | *767 | – | – | 767 |\n| Derivatives held for trading | – | (1,271) | – | (1,271) |\n| Total as at 30 June 2013 | 767 | (1,271) | – | (504) |\n| 30 June 2012 | | | | |\n| Available-for-sale financial asset | 1,751 | – | – | 1,751 |\n| Derivatives held for trading | – | (2,685) | – | (2,685) |\n| Total as at 30 June 2012 | 1,751 | (2,685) | – | (934) |\n\n* Level 1 asset includes available-for-sale financial assets of $767,000 at 30 June 2013 which relate to investments in listed entities.", - "page_start": 104, - "page_end": 104, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Notes to the Financial Statements\n\nfor the year ended 30 June 2013\n\nThe Financial Report of Kingsgate Consolidated Limited (Kingsgate or the \"Company\") for the year ended 30 June 2013 was authorised for issue in accordance with a resolution of Directors on 23 September 2013.\n\nKingsgate is a Company limited by shares incorporated in Australia whose shares are publicly traded on the Australian Securities Exchange using the ASX code KCN. The consolidated financial statements of the Company as at and for the year ended 30 June 2013 comprise the Company and its subsidiaries (together referred to as the \"Group\" and individually as \"Group entities\"). A description of the nature of the Group's operations and its principal activities is included in the Directors' Report.\n\n## 1. BASIS OF PREPARATION\n\nThe general purpose financial statements have been prepared in accordance with Australian Accounting Standards, other authoritative pronouncements of the Australian Accounting Standards Board and the *Corporations Act 2001*. The Company is a for-profit entity for the purpose of preparing the financial statements.\n\n#### Compliance with IFRS\n\nThe financial statements comply with International Financial Reporting Standards (IFRS) adopted by the International Accounting Standards Board (IASB).\n\n#### Historical cost convention\n\nThe financial statements have been prepared under the historical cost convention, as modified by the revaluation of available-for-sale financial assets and financial instruments (including derivative instruments) at fair value through profit or loss.\n\n#### Functional and presentation currency\n\nThe financial statements of the Group entities are measured using the currency of the primary economic environment in which the entity operates (\"the functional currency\"). The consolidated financial statements are presented in Australian dollars, which is the Company's functional currency and presentation currency.\n\n#### Rounding of amounts\n\nThe Company is of a kind referred to in ASIC Class Order 98/100 dated 10 July 1998 and in accordance with that Class Order, all financial information presented in Australian dollars has been rounded to the nearest thousand, or in certain cases, the nearest dollar.\n\n#### Critical accounting estimates\n\nThe preparation of financial statements requires the use of certain critical accounting estimates. It also requires management to exercise its judgement in the process of applying the Group's accounting policies. The areas involving a higher degree of judgement or complexity, or areas where assumptions and estimates are significant to the financial statements are disclosed in Note 3.\n\n## 2. SIGNIFICANT ACCOUNTING POLICIES\n\nThe principal accounting policies adopted in the preparation of the financial statements are set out below. These policies have been consistently applied to all the years presented.\n\n#### a. Principles of consolidation\n\n#### (i) Business combinations\n\nBusiness combinations are accounted for using the acquisition method as at the acquisition date, which is the date on which control is transferred to the Group. Control is the power to govern the financial and operating policies of an entity so as to obtain benefits from its activities. In assessing control, the Group takes into consideration potential voting rights that currently are exercisable.\n\nThe consideration transferred for the acquisition of a subsidiary comprises the fair values of the assets transferred, the liabilities incurred and the equity interests issued by the Group. The consideration transferred does not include\n\namounts related to the settlement of a preexisting relationship. Such amounts are generally recognised in profit or loss.\n\nCosts related to the acquisition, other than those associated with the issue of debt or equity securities, that the Group incurs in connection with a business combination are expensed as incurred. Any contingent consideration payable is recognised at fair value at the acquisition date.\n\nAcquisitions of non-controlling interests are accounted for as transactions with owners in their capacity as owners and therefore no goodwill is recognised as a result of such transactions. The non-controlling interest in the acquiree is based on the fair value of the acquiree's net identifiable assets. The adjustments to non-controlling interests are based on the proportionate amount of the net assets of the subsidiary.\n\nThe acquisition of an asset or group of assets that is not a business is accounted for by allocating the cost of the transaction to the net identifiable assets and liabilities acquired based on their fair values.\n\n#### (ii) Subsidiaries\n\nSubsidiaries are entities controlled by the Group. The financial statements of subsidiaries are included in the consolidated financial statements from the date that control commences until the date that control ceases.\n\nThe accounting policies of subsidiaries have been changed when necessary to align them with the policies adopted by the Group. Losses applicable to the non-controlling interests in a subsidiary are allocated to the non-controlling interests even if doing so causes the noncontrolling interests to have a deficit balance.\n\nIntra-group balances and transactions, and any unrealised gains arising from intra-group transactions, are eliminated in preparing the consolidated financial statements. Unrealised losses are also eliminated unless the transaction provides evidence of the impairment of the asset transferred.", - "page_start": 69, - "page_end": 69, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Financial results\n\nKingsgate made an after tax loss of $323.7 million for the full year to 30 June 2013 compared to an after tax profit of $75.0 million for the previous corresponding year. The result for the year reflected an impairment of $311.9 million pre-tax ($291.3 million post-tax) against the Challenger Mine and associated assets and an impairment of $20.4 million against greenfield exploration projects in Australia and Thailand.\n\n| | 2013 | 2012 | 2011 | 2010 | 2009 |\n| --- | --- | --- | --- | --- | --- |\n| Net (loss) / profit after tax ($'000) | (323,726) | 75,006 | 20,879 | 73,066 | 32,522 |\n| Dividends paid (Cash and DRP) ($'000) | 22,739 | 22,026 | 33,647 | 29,082 | – |\n| Share price 30 June ($) | 1.27 | 4.85 | 8.00 | 9.47 | 6.70 |\n| Basic (loss) / earnings per share (Cents) | (213.3) | 52.5 | 18.7 | 75.2 | 34.9 |\n| Diluted (loss) / earnings per share (Cents) | (213.3) | 52.5 | 18.6 | 74.5 | 34.9 |\n\n#### EBITDA before significant items\n\nBefore pre-tax significant items, the pre-tax profit of the Group was $17.2 million. Pre-tax significant items are detailed below.\n\nEBITDA before significant items was $115.8 million down from $168.6 million in the previous year.\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| Consolidated | $'000 | $'000 |\n| (Loss) / Profit before tax | (339,615) | 91,277 |\n| Significant items (pre-tax) | | |\n| Foreign exchange (gain) / loss | 745 | (1,268) |\n| Dominion acquisition costs | – | 964 |\n| Write off of capitalised borrowing fees | 5,722 | – |\n| Change in fair value of undesignated gold contracts held for trading | (1,414) | 425 |\n| Change in fair value of available-for-sale financial assets | 855 | 260 |\n| Share of loss in associate | 1,353 | – |\n| Loss on sale of exploration assets (Quadrio Resources Limited) | 16,709 | – |\n| Impairment Challenger Gold Project | 311,850 | – |\n| Impairment of capitalised exploration | 20,421 | – |\n| Impairment of associate | 537 | – |\n| Profit before tax and significant items | 17,163 | 91,658 |\n| Finance costs | 13,087 | 9,372 |\n| Depreciation and amortisation | 85,595 | 67,553 |\n| EBITDA before significant items | 115,845 | 168,583 |\n\nEBITDA before significant items is a financial measure which is not prescribed by International Financial Reporting Standards (\"IFRS\") and represents the profit under IFRS adjusted for specific significant items. The table above summarises key items between statutory profit before tax and EBITDA before significant items. The EBITDA before significant items has not been subject to any specific auditor review procedures by our auditor but has been extracted from the accompanying audited financial statements.", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Financing Arrangements\n\n#### Corporate loan facility\n\nKingsgate has a three year secured loan facility with Investec which was amended during the year. The amended facility has a limit of $40 million (30 June 2012: $50 million), of which $20 million has been drawn down as at 30 June 2013 (30 June 2012: $40 million).\n\n#### Convertible loan facility\n\nKingsgate has a five year A$35 million convertible loan facility with Investec entered into in a prior period to provide funding for the Bowdens acquisition. Kingsgate has the option to make a prepayment against the facility with an issue of Kingsgate shares.\n\n#### Restructure of corporate loan and convertible loan facilities\n\nAs indicated previously in the Preliminary Final report, at balance date it was the Group's intention to restructure and amalgamate these facilities in the next financial year. This relates to the potential for completion of the Initial Public Offering (\"IPO\") of Akara on the Stock Exchange of Thailand and the updated mine plan for Challenger. Any restructure would optimise the Group's anticipated balance sheet liquidity and operational cash flows. Accordingly, the Group classified the total amount drawn down under these facilities of $55 million as a current liability at 30 June 2013.\n\nSubsequent to the end of the financial year, the Group received from its lenders a credit approved term sheet (subject to formal documentation) for the restructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to $40 million. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n\n- 〉 Tranche one will be a $25 million Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part of the Akara IPO, although at Kingsgate's election repayment can be made by either cash or in Kingsgate's shares.\n- 〉 Tranche two is an amortising facility with $5 million to be repaid during the 2014 financial year and the balance of $10 million repaid during the 2015 financial year.\n\n#### Convertible revolving credit facility\n\nThe Group also has a three year $25 million Convertible Revolving Credit Facility available. As at the date of this report the facility is undrawn. Under the terms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is intended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the company to repay any cash drawdown under the facility by the issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although this position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP over a period by reference to the draw down date. Shareholder approval is not required.\n\n#### Multi-currency and syndicated loan facilities\n\nKingsgate's Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to US$125 million (fully drawn as at period end) and an additional Thai Baht denominated working capital facility equivalent to US$15 million (undrawn as at year end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100 million Baht denominated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n\n## Financial Position\n\nShareholders' equity at 30 June 2013 was $474 million (2012: $776 million). The decrease of $302 million reflects the year's loss together with dividends paid.\n\n## Dividends\n\nNo final dividend has been declared for the year ended 30 June 2013.\n\nAn interim dividend declared for the half-year ended 31 December 2012 of 5 cents per fully paid share was paid on 12 April 2013.\n\nA final dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share was paid on 1 October 2012.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Statement of Cash Flows\n\nfor the year ended 30 June 2013\n\n| | | 2013 | 2012 |\n| --- | --- | --- | --- |\n| | Note | $'000 | $'000 |\n| Cash flows from operating activities | | | |\n| Receipts from customers (net of goods and services tax) | | 332,624 | 361,754 |\n| Payments to suppliers and employees (net of goods and services tax) | | (224,500) | (182,759) |\n| Interest received | | 2,587 | 1,394 |\n| Finance costs paid | | (10,120) | (8,431) |\n| Income tax paid | | (15,571) | (6,711) |\n| Net cash inflow from operating activities | 25 | 85,020 | 165,247 |\n| Cash flows from investing activities | | | |\n| Payments for property, plant and equipment | | (7,035) | (92,343) |\n| Payments for exploration, evaluation and development | | (122,722) | (75,054) |\n| Payments for acquisition of Bowdens Silver Project | | – | (41,000) |\n| Cash acquired on acquisition of subsidiaries, net of cash paid | | – | 136 |\n| Interest capitalised to expansion and development projects | | (3,948) | (6,939) |\n| Deposits and debt service reserve account | | (8,612) | (2,470) |\n| Payments for other assets | | (108) | (3,526) |\n| Net cash outflow from investing activities | | (142,425) | (221,196) |\n| Cash flows from financing activities | | | |\n| Proceeds from borrowings, net of transaction costs | | 133,968 | 96,627 |\n| Repayment of borrowings | | (116,250) | (26,622) |\n| Proceeds from the issue of shares | | – | 70,792 |\n| Payments for acquisition of non-controlling interests | | – | (11,359) |\n| Dividends paid | | (19,409) | (18,933) |\n| Net cash (outflow) / inflow from financing activities | | (1,691) | 110,505 |\n| Net (decrease) / increase in cash held | | (59,096) | 54,556 |\n| Cash at the beginning of the year | | 90,623 | 35,864 |\n| Effects of exchange rates on cash and cash equivalents | | 1,460 | 203 |\n| Cash at the end of the year | 7 | 32,987 | 90,623 |\n\nThe above Statement of Cash Flows should be read in conjunction with the accompanying notes.", - "page_start": 68, - "page_end": 68, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## 6. Income tax continued\n\n| | | 2013 | 2012 |\n| --- | --- | --- | --- |\n| | | $'000 | $'000 |\n| c) | Tax recognised in other comprehensive income | | |\n| | Available-for-sale investment revaluation reserve | (39) | (300) |\n| | Foreign exchange losses recognised directly in foreign currency translation reserves | 566 | 103 |\n| | Total tax recognised in other comprehensive income | 527 | (197) |\n\n#### d) Deferred tax liabilities offset\n\nDeferred tax liabilities amounting to $853,000 (2012: $774,000) have been offset against deferred tax asset.\n\n| e) | Unrecognised deferred tax assets | | |\n| --- | --- | --- | --- |\n| | Tax losses – Australian entities | 211,548 | 5,627 |\n| | Tax losses – other entities | 9,237 | 2,185 |\n| | Temporary difference | 130,113 | – |\n| | Subtotal | 350,898 | 7,812 |\n| | Unrecognised deferred tax assets | 104,345 | 2,344 |\n\n#### f) Tax consolidation group\n\nKingsgate Consolidated Limited and its whollyowned Australian subsidiary have implemented the tax consolidation legislation as of 1 July 2003. The accounting policy in relation to this legislation is set out in Note 2d.\n\nOn adoption of the tax consolidation legislation, the entities in the tax-consolidation group entered into a tax sharing agreement which, in the opinion of the Directors, limits the joint and several liabilities of the wholly-owned entities in\n\nthe case of default by the head entity, Kingsgate Consolidated Limited.\n\nThe entities have also entered into a tax funding agreement under which the wholly-owned entities fully compensate Kingsgate for any current tax payable assumed and are compensated for any current tax receivable and deferred assets relating to the unused tax losses or unused tax credits that are transferred to Kingsgate under the tax legislation. The funding\n\namounts are determined by reference to the amounts recognised in the wholly-owned entities' financial statements.\n\nThe amount receivable / payable under the tax funding agreement are due upon receipt of the funding advice from the head entity, which is issued as soon as practicable after the end of each financial year. The head entity may also require payment of interim funding amounts to assist with its obligations to pay tax instalments.\n\n| | | Assets | | Liabilities | | Net | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| g) | Recognised deferred tax assets | 2013 | 2012 | 2013 | 2012 | 2013 | 2012 |\n| and liabilities | | $'000 | $'000 | $'000 | $'000 | $'000 | $'000 |\n| Deferred tax assets / liabilities: | | | | | | | |\n| Derivatives | | 384 | 808 | – | – | 384 | 808 |\n| Employee benefits | | 1,789 | 1,571 | – | – | 1,789 | 1,571 |\n| Provision for restoration and rehabilitation | | 5,167 | 3,390 | – | – | 5,167 | 3,390 |\n| Provision for obsolescence | | 309 | 278 | – | – | 309 | 278 |\n| Unrealised exchange (gains) / losses | | 1,265 | 2,990 | (2,020) | (200) | (755) | 2,790 |\n| Other items | | 1,147 | 1,096 | (467) | – | 680 | 1,096 |\n| Tax losses | | – | 36,334 | – | – | – | 36,334 |\n| Available-for-sale financial assets | | 334 | 78 | – | (39) | 334 | 39 |\n| Mine properties and exploration | | 3,706 | – | (11,447) | (65,205) | (7,741) | (65,205) |\n| Total deferred tax assets / (liabilities) | | 14,101 | 46,545 | (13,934) | (65,444) | 167 | (18,899) |\n| Set off tax | | (3,706) | (36,334) | 3,706 | 36,334 | – | – |\n| Net deferred tax assets (liabilities) | | 10,395 | 10,211 | (10,228) | (29,110) | 167 | (18,899) |", - "page_start": 83, - "page_end": 83, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Independent Auditor's Report\n\n## Independent auditor's report to the members of Kingsgate Consolidated Limited\n\n### Report on the financial report\n\nWe have audited the accompanying financial report of Kingsgate Consolidated Limited (the company), which comprises the statement of financial position as at 30 June 2013, the statement of comprehensive income, statement of changes in equity and statement of cash flows for the year ended on that date, a summary of significant accounting policies, other explanatory notes and the directors' declaration for Kingsgate Group (the consolidated entity). The consolidated entity comprises the company and the entities it controlled at year's end or from time to time during the financial year.\n\n#### Directors' responsibility for the financial report\n\nThe directors of the company are responsible for the preparation of the financial report that gives a true and fair view in accordance with Australian Accounting Standards and the *Corporations Act 2001* and for such internal control as the directors determine is necessary to enable the preparation of the financial report that is free from material misstatement, whether due to fraud or error. In Note 1, the directors also state, in accordance with Accounting Standard AASB 101 Presentation of Financial Statements, that the financial statements comply with International Financial Reporting Standards.\n\n#### Auditor's responsibility\n\nOur responsibility is to express an opinion on the financial report based on our audit. We conducted our audit in accordance with Australian Auditing Standards. Those standards require that we comply with relevant ethical requirements relating to audit engagements and plan and perform the audit to obtain reasonable assurance whether the financial report is free from material misstatement.\n\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial report. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial report, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the consolidated entity's preparation and fair presentation of the financial report in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by the directors, as well as evaluating the overall presentation of the financial report.\n\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.", - "page_start": 113, - "page_end": 113, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Directors' Report\n\nYour Directors present their report on the Group consisting of Kingsgate Consolidated Limited and the entities it controlled at the end of, or during, the year ended 30 June 2013.\n\n## Directors\n\nThe following persons were Directors of Kingsgate Consolidated Limited during the whole of the financial year and up to the date of this report.\n\n- 〉 Ross Smyth-Kirk Chairman\n- 〉 Peter Alexander Non-Executive Director\n- 〉 Craig Carracher Non-Executive Director\n- 〉 Peter McAleer Non-Executive Director\n- 〉 Gavin Thomas Executive Director\n\n## Principal activities\n\nThe principal activities of Kingsgate Consolidated Limited are mining and mineral exploration in Australia, South East Asia and South America.\n\n## Dividends\n\nDividends paid to members during the financial year were as follows:\n\n| | 2013 | 2012 |\n| --- | --- | --- |\n| | $'000 | $'000 |\n| Final dividend declared for the year ended 30 June 2012 of | 15,148 | 6,829 |\n| 10 cents per fully paid share paid on 1 October 2012 | | |\n| Interim dividend declared for the year ended 30 June 2013 of | 7,591 | 15,196 |\n| 5 cents per fully paid share paid on 12 April 2013 | | |\n| Total dividends | 22,739 | 22,025 |\n\n## Review of operations and results\n\n#### Operational performance\n\nKingsgate is a gold mining, development and exploration company based in Sydney, Australia. Kingsgate owns and operates two gold mines, the world class Chatree Mine in Thailand and the underground Challenger Mine in South Australia. In addition, the Company has two advanced development projects, the Nueva Esperanza Silver / Gold Project, in the highly prospective Maricunga Gold / Silver Belt in Chile, and the Bowdens Silver Project in New South Wales, Australia. From this operating and development platform, Kingsgate aims to build value for all shareholders.\n\nGroup gold production was 199,897 ounces, a decrease of 4% on the previous corresponding year. The contribution from Chatree was 133,681 ounces with 66,216 ounces from Challenger.\n\nChatree gold production was 10% higher than the previous corresponding period as a result of an increase in throughput from the expanded Chatree process plant and access to higher grade oxide ore from Q Prospect.\n\nChallenger gold production was 24% lower than the previous corresponding year given additional dilution and depletion at Challenger Deeps and a shortfall in planned development. This resulted in lower ore tonnes from the mine that was supplemented by low grade stockpiled ore. Following the fall in the gold price a strategic review of Challenger was implemented that has resulted in a new mine plan to focus primarily on the higher grade Challenger West orebody. The new mine plan will be implemented during the first three months of the 2014 financial year.\n\nA lower gold price and industry wide cost pressures had a negative impact on the underlying earnings of the Group which contributed to a major impairment to the carrying value of a number of Group assets, particularly assets relating to the Challenger Gold Operations. Impairments totalling $332,808,000 were the major contributor to the after tax loss of $323,726,000 for the year.\n\nThe development projects continued to advance during the year. At Nueva Esperanza, the feasibility work shifted to focus on identifying the lowest cost and lowest power consumption development alternatives. This included reviewing a heap leach process option with on-site power generation. Further work is expected to be completed in the December quarter 2013. At Bowdens, the feasibility work has confirmed the optimum process route. Completion of the technical feasibility study including mine planning, infrastructure and metallurgy, and lodging of the Environmental Impact Statement (\"EIS\") are scheduled for 2014.", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "To which countries extend the marriage regulations ?", - "target_page": 1, - "target_passage": "These Regulations extend to England and Wales. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## **2021 No. 538**\n\n## **MARRIAGE, ENGLAND AND WALES**\n\n# The Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\n| Made - - - | - | 29th April 2021 |\n| --- | --- | --- |\n| Coming into force - | - | 4th May 2021 |\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949(**a**).\n\n#### **Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n\n(2) These Regulations come into force on 4th May 2021.\n\n(3) These Regulations extend to England and Wales.\n\n(4) In these Regulations, \"chapel\" does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies(**b**).\n\n#### **Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in which banns of matrimony may be published.\n\n(2) Books provided under paragraph (1) are to be known as \"registers of marriage services\".\n\n(3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n\n(4) The register must be made of durable material.\n\n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it—\n\n(<b>a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by paragraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently renumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic Storage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act 2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also inserted subsection (1A).\n\n(<b>b) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to the Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15).\n\n(<b>c) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including references to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "I approve\n\n*Kevin Foster* Parliamentary Under Secretary of State 29th April 2021 Home Office\n\n## **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)* \n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as \"registers of marriage services\" to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n- (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## **Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)—\n\n- (a) the date and place of the marriage;\n- (b) the name and surname of each party;\n- (c) the date of birth of each party;\n- (d) the occupation (if any) of each party;\n- (e) the address of each party at the time of the marriage;\n- (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n- (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n- (h) the name and surname of the clergyman by whom the marriage was solemnized.\n\n(3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n\n- (4) After making a record under paragraph (2) the clergyman must sign it.\n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n### **Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must—\n\n- (a) ensure that the register is kept in that church or chapel, and\n- (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\n*Abi Tierney* Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "When looking at the **differences between countries** in 2020, the countries with the highest values are: Poland (36.6%), Finland (25.7%) and Sweden (20.3%); all three are far above the average. Austria, Luxembourg and Germany have figures close to the EU27 average of 10.3%. In most other countries the response values are under or close to 6%, like in Estonia, Romania, Ireland, Latvia, Lithuania, Hungary, Malta, Bulgaria, Greece, Croatia, Cyprus, Czechia and Slovenia.257", - "page_start": 92, - "page_end": 92, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "# SCHEDULES\n\nSCHEDULE 1 Regulation 2(1)\n\n# Category 1 countries and territories\n\n| Australia |\n| --- |\n| Brunei |\n| Falkland Islands |\n| Faroe Islands |\n| Gibraltar |\n| Iceland |\n| Israel |\n| New Zealand |\n| Portugal, including the Azores and Madeira |\n| Saint Helena, Ascension and Tristan da Cunha |\n| Singapore |\n| South Georgia and the South Sandwich Islands |\n\n# SCHEDULE 2 Regulation 2(1)\n\n# Category 2 countries and territories\n\nAny country or territory outside the common travel area not listed in Schedule 1 or Schedule 3.\n\n# SCHEDULE 3 Regulation 2(1)\n\n# Category 3 countries and territories\n\nAngola Argentina Bangladesh Bolivia Botswana Brazil Burundi Cape Verde\n\nChile", - "page_start": 31, - "page_end": 31, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "#### **Regulation 19(1)(e)**\n\n**7.** Breach of regulation 8(2), (3), (4), (5), (7), (9), (10), (12) or (13) (requirement for offshore workers to undertake tests)—\n\n- (a) in the case of a first fixed penalty notice, £1,000;\n- (b) in the case of a second fixed penalty notice, £2,000;\n- (c) in the case of a third and subsequent fixed penalty notice, £3,000.\n\n#### **Regulation 19(1)(f)**\n\n**8.** Breach of regulation 9(2), (7) or (13) (requirement to self-isolate, travel to place of selfisolation or require child to self-isolate or travel to place of self-isolation)—\n\n- (a) in the case of the first fixed penalty notice, £1,000;\n- (b) in the case of the second fixed penalty notice, £2,000;\n- (c) in the case of the third fixed penalty notice, £4,000;\n- (d) in the case of the fourth and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(1)(g)**\n\n**9.** Breach of requirement in or imposed under regulation 11 (self-isolation directions) unless the requirement relates to Schedule 11 (additional measures applicable to arrivals from category 3 countries or territories), £1,000.\n\n#### **Regulation 19(1)(h)**\n\n**10.** Breach of a requirement in or imposed under regulation 11 (self-isolation directions) where the requirement relates to Schedule 11, £10,000.\n\n#### **Regulation 19(1)(i) and (j)**\n\n**11.** Breach of a requirement in Schedule 11 except under paragraph 3 of that Schedule—\n\n- (a) in the case of the first fixed penalty notice, £5,000;\n- (b) in the case of the second fixed penalty notice, £8,000;\n- (c) in the case of the third and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(1)(j)**\n\n**12.** Breach of a requirement in paragraph 3 of Schedule 11, £10,000\n\n#### **Regulation 19(1)(k)**\n\n**13.** Breach of a requirement in paragraph 4 of Schedule 9 (employers' obligations relating to workforce tests)—\n\n- (a) in the case of the first fixed penalty notice, £1,000;\n- (b) in the case of the second fixed penalty notice, £2,000;\n- (c) in the case of the third fixed penalty notice, £4,000;\n- (d) in the case of the fourth and subsequent fixed penalty notice, £10,000.\n\n#### **Regulation 19(7)(a)**\n\n**14.** Breach of requirement under regulation 13(1) (passenger information requirement by operator), £4,000.", - "page_start": 86, - "page_end": 86, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# SCHEDULE 4 Regulation 2(5)\n\n### Exemptions\n\n**1.**—(1) A person (\"P\"), other than a person described in sub-paragraph (2), who is—\n\n- (a) a member of a diplomatic mission in the United Kingdom;\n- (b) a member of a consular post in the United Kingdom;\n- (c) an officer or servant of an international organisation;\n- (d) employed by an international organisation as an expert or on a mission;\n- (e) a representative to an international organisation;\n- (f) a representative at an international or United Kingdom conference who is granted privileges and immunities in the United Kingdom;\n- (g) a member of the official staff of a representative to an international organisation, or of a person falling within paragraph (f);\n- (h) described in paragraph (a) or (b) who is passing through the United Kingdom to commence or continue their functions at a diplomatic mission or consular post in another country or territory, or to return to the country of their nationality;\n- (i) a representative of a foreign country or territory travelling to the United Kingdom to conduct official business with the United Kingdom;\n- (j) a representative of the government of a British overseas territory;\n- (k) a diplomatic courier or a consular courier;\n- (l) a member of the family forming part of the household of a person falling within any of paragraphs (a) to (k).\n- (2) A person (\"P\") where—\n\t- (a) P either—\n\t\t- (i) travelled to the United Kingdom for the purpose of attending or facilitating a G7 event, and P is in England for the purpose of attending or facilitating a G7 event or of travelling in order to leave England, or\n\t\t- (ii) travelled to the United Kingdom for another purpose, and after their arrival in England is attending, facilitating, or travelling to or from a G7 event;\n\t- (b) P has been invited by Her Majesty's Government to attend or facilitate the event;\n\t- (c) the relevant person has provided written confirmation to the relevant Department that P will comply with the health protocols for the event; and\n\t- (d) the relevant Department has provided written confirmation to the relevant person that P is a person described in this sub-paragraph.\n\n(3) The conditions referred to in regulation 9(15)(a)(i) (persons who are not required to comply with regulation 9) are that—\n\n- (a) the relevant head of the mission, consular post, international organisation, or conference, office representing a foreign territory in the United Kingdom or a Governor of a British overseas territory (as the case may be), or a person acting on their authority, confirms in writing to the Foreign, Commonwealth and Development Office that—\n\t- (i) P is required to undertake work which is essential to the functioning of the mission, consular post, international organisation, conference, or office, or to undertake work which is essential to the foreign country represented by the mission or consular post, the foreign territory represented by the office or the British overseas territory, and\n\t- (ii) that work cannot be undertaken whilst P is complying with regulation 9; and", - "page_start": 33, - "page_end": 33, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# **Annex 1: Non‐Annex I (NAI) Parties**\n\n| 1 | Afghanistan | AFG |\n| --- | --- | --- |\n| 2 | Albania | ALB |\n| 3 | Algeria | DZA |\n| 4 | Andorra | AND |\n| 5 | Angola | AGO |\n| 6 | Antigua and Barbuda | ATG |\n| 7 | Argentina | ARG |\n| 8 | Armenia | ARM |\n| 9 | Azerbaijan | AZE |\n| 10 | Bahamas | BHS |\n| 11 | Bahrain | BHR |\n| 12 | Bangladesh | BGD |\n| 13 | Barbados | BRB |\n| 14 | Belize | BLZ |\n| 15 | Benin | BEN |\n| 16 | Bhutan | BTN |\n| 17 | Bolivia | BOL |\n| 18 | Bosnia and Herzegovina | BIH |\n| 19 | Botswana | BWA |\n| 20 | Brazil | BRA |\n| 21 | Brunei Darussalam | BRN |\n| 22 | Burkina Faso | BFA |\n| 23 | Burundi | BDI |\n| 24 | Cambodia | KHM |\n| 25 | Cameroon | CMR |\n| 26 | Cape Verde | CPV |\n| 27 | Central African Republic | CAF |\n| 28 | Chad | TCD |\n| 29 | Chile | CHL |\n| 30 | China | CHN |\n| 31 | Colombia | COL |\n| 32 | Comoros | COM |\n| 33 | Congo | COG |\n| 34 | Cook Islands | COK |\n| 35 | Costa Rica | CRI |\n| 36 | Cote d'Ivoire | CIV |\n| 37 | Cuba | CUB |\n| 38 | Democratic People's | PRK |\n| | Republic of Korea | |\n| 39 | Democratic Republic of the | COD |\n| | Congo | |\n| 40 | Djibouti | DJI |\n| 41 | Dominica | DMA |\n\n| 42 | Dominican Republic | DOM |\n| --- | --- | --- |\n| 43 | Ecuador | ECU |\n| 44 | Egypt | EGY |\n| 45 | El Salvador | SLV |\n| 46 | Equatorial Guinea | GNQ |\n| 47 | Eritrea | ERI |\n| 48 | Ethiopia | ETH |\n| 49 | Fiji | FJI |\n| 50 | Gabon | GAB |\n| 51 | Gambia | GMB |\n| 52 | Georgia | GEO |\n| 53 | Ghana | GHA |\n| 54 | Grenada | GRD |\n| 55 | Guatemala | GTM |\n| 56 | Guinea | GIN |\n| 57 | Guinea-Bissau | GNB |\n| 58 | Guyana | GUY |\n| 59 | Haiti | HTI |\n| 60 | Honduras | HND |\n| 61 | India | IND |\n| 62 | Indonesia | IDN |\n| 63 | Iran (Islamic Republic of) | IRN |\n| 64 | Iraq | IRQ |\n| 65 | Israel | ISR |\n| 66 | Jamaica | JAM |\n| 67 | Jordan | JOR |\n| 68 | Kazakhstan | KAZ |\n| 69 | Kenya | KEN |\n| 70 | Kiribati | KIR |\n| 71 | Kuwait | KWT |\n| 72 | Kyrgyzstan | KGZ |\n| 73 | Lao People's Democratic Republic | LAO |\n| 74 | Lebanon | LBN |\n| 75 | Lesotho | LSO |\n| 76 | Libya | LBY |\n| 77 | Liberia | LBR |\n| 78 | Madagascar | MDG |\n| 79 | Malawi | MWI |\n| 80 | Malaysia | MYS |\n| 81 | Maldives | MDV |\n| 82 | Mali | MLI |\n| 83 | Marshall Islands | MHL |", - "page_start": 44, - "page_end": 44, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "#### **Further requirements on arrivals from category 2 countries and territories**\n\n**9.**—(1) This regulation applies where a person (\"P\")—\n\n- (a) arrives in England from—\n\t- (i) a category 2 country or territory,\n\t- (ii) within the common travel area or from a category 1 country or territory, and has at any time in the period beginning with the 10th day before the date of their arrival in England, departed from or transited through a category 2 country or territory, or\n\t- (iii) a category 3 country or territory or has at any time in the period beginning with the 10th day before the date of their arrival in England departed from or transited through a category 3 country or territory; and\n- (b) is not a Schedule 11 passenger.\n- (2) P must remain in isolation from others (\"self-isolate\") in accordance with this regulation.\n- (3) P must self-isolate—\n\t- (a) unless sub-paragraph (b), (c), or (d) applies—\n\t\t- (i) where P has arrived from outside the common travel area, at an address specified in P's Passenger Locator Form, as required by regulation 3 and paragraph 2(a) of Schedule 6,\n\t\t- (ii) where P has arrived from within the common travel area, or is a person described in paragraph 1 of Schedule 4 (other than one described in paragraph (15)(a)(i) or (b)), at a place at which they intend to self-isolate while in England,\n\t\t- (iii) where it is not possible for P to self-isolate in accordance with paragraph (i) or (ii), in accommodation facilitated by the Secretary of State for the purposes of P's selfisolation;\n\t- (b) where P is an asylum seeker, in accommodation provided or arranged under section 4, 95 or 98 of the Immigration and Asylum Act 1999(**a**);\n\t- (c) where P is a person described in paragraph 9(1) of Schedule 10 to the Immigration Act 2016 (powers of Secretary of State to enable person to meet bail conditions)(**b**), in accommodation provided or arranged under that paragraph; or\n\t- (d) where P is a person described in paragraph 13(2)(c)(i) of Schedule 4 (driver of a goods vehicle)—\n\t\t- (i) in the goods vehicle while undertaking the work described in that paragraph,\n\t\t- (ii) in the goods vehicle while not undertaking the work described in that paragraph if P is travelling alone in a goods vehicle with a compartment behind the driver's seat intended to be used for sleeping (\"a sleeper cab\"), unless paragraph (iii)(bb) applies to P,\n\t\t- (iii) in a hotel, hostel or bed and breakfast accommodation while not undertaking the work described in that paragraph—\n\t\t\t- (aa) if P is travelling in a goods vehicle without a sleeper cab, or\n\t\t\t- (bb) if self-isolating in a goods vehicle would contravene Article 8 of Regulation (EC) No. 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport,\n\n(<b>a) 1999 c. 33. Section 4 was amended by section 49 of the Nationality, Immigration and Asylum Act 2002 (c. 41), by section 10(1) of the Asylum and Immigration (Treatment of Claimants, etc.) Act 2004 (c. 19), by section 43(7) of the Immigration, Asylum and Nationality Act 2006 (c. 13), and by paragraph 1 of Schedule 11 to the Immigration Act 2016 (c. 19). Section 95 was amended by section 50(1) of the Nationality, Immigration and Asylum Act 2002 and by paragraph 29 of Schedule 10 to the Immigration Act 2016.\n\n(<b>b) 2016 c. 19.", - "page_start": 12, - "page_end": 12, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational needs and disability in order to provide exceptions to time limits set out in that legislation where they cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review the effectiveness of the Regulations during the period in which they have effect. The Regulations cease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 ('the SEND Regulations 2014').\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain requirements in those Regulations for actions to be taken within specified time limits where it is not reasonably practicable for a person to meet those requirements for a reason relating to the incidence or transmission of coronavirus. Instead, any such requirement is to be read as a requirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 ('the Personal Budgets Regulations 2014').\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as regulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) Regulations 2015 ('the Detained Persons Regulations 2015').\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to the ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal Budgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax time limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 ('the First-tier Tribunal Regulations 2017').\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to those in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency measure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\n \n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "What the parochial church council must provide to make marriage records ?", - "target_page": 1, - "target_passage": " The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(c) in that parish in which banns of matrimony may be published.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## **2021 No. 538**\n\n## **MARRIAGE, ENGLAND AND WALES**\n\n# The Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\n| Made - - - | - | 29th April 2021 |\n| --- | --- | --- |\n| Coming into force - | - | 4th May 2021 |\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949(**a**).\n\n#### **Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n\n(2) These Regulations come into force on 4th May 2021.\n\n(3) These Regulations extend to England and Wales.\n\n(4) In these Regulations, \"chapel\" does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies(**b**).\n\n#### **Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in which banns of matrimony may be published.\n\n(2) Books provided under paragraph (1) are to be known as \"registers of marriage services\".\n\n(3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n\n(4) The register must be made of durable material.\n\n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it—\n\n(<b>a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by paragraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently renumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic Storage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act 2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also inserted subsection (1A).\n\n(<b>b) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to the Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15).\n\n(<b>c) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including references to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "I approve\n\n*Kevin Foster* Parliamentary Under Secretary of State 29th April 2021 Home Office\n\n## **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)* \n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as \"registers of marriage services\" to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n- (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## **Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)—\n\n- (a) the date and place of the marriage;\n- (b) the name and surname of each party;\n- (c) the date of birth of each party;\n- (d) the occupation (if any) of each party;\n- (e) the address of each party at the time of the marriage;\n- (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n- (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n- (h) the name and surname of the clergyman by whom the marriage was solemnized.\n\n(3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n\n- (4) After making a record under paragraph (2) the clergyman must sign it.\n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n### **Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must—\n\n- (a) ensure that the register is kept in that church or chapel, and\n- (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\n*Abi Tierney* Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "bankrupt under any law in force in any part of the Commonwealth and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full; or\n\n- (b) he or she has been convicted of any offence involving dishonesty in any country.\n(7) A person appointed a member of the Commission shall not enter upon the duties of the office of Commissioner until he or she has taken and subscribed the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by an Act of Parliament.\n\n(8) The Commission shall regulate its own procedure and proceedings.\n\n(9) The Chairman shall preside over all proceedings, and in his or her absence, the legal practitioner referred to in subsection (1)(b) shall preside over the proceedings.\n\n(10) The quorum shall be four members, one of whom shall be the Chairman or the said legal practitioner.\n\n(11) All issues shall be decided by the decision of the majority of the members present and voting.\n\n(12) The Commission shall be responsible for-\n\n- (a) the conduct and supervision of elections of the Elected Members of the National Assembly and members of a local authority, and conduct of a referendum;\n- (b) giving instructions and directions to the Secretary of the Commission appointed under section 66 in regard to the exercise of his or her functions under the electoral law prescribed by an Act of Parliament;\n- (c) ensuring that elections are conducted efficiently, properly, freely and fairly; and\n- (d) performing such other functions as may be prescribed by an Act of Parliament. (13) The Commission shall on the completion of any election conducted by it,\n\nsubmit a report on the exercise of its functions under the preceding provisions of this section to the Minister for the time being responsible for matters relating to such elections, and that Minister shall, not later than seven days after the National Assembly first meets after he or she has received the report, lay it before the National Assembly.\n\n# **66. Appointment of Secretary to Independent Electoral Commission**\n\n(1) There shall be a Secretary to the Independent Electoral Commission referred to in section 65A (in this section referred to as \"the Secretary\").\n\n- (2) The Secretary shall be appointed by the President.\n(3) The functions of the Secretary shall, subject to the directions and supervision of the Independent Electoral Commission, be to exercise general supervision over the registration of voters for elections of-\n\n- (a) the Elected Members of the National Assembly; and\n- (b) the members of any local authority,\n- and over the conduct of such elections.\n\n(4) A person shall not be qualified to be appointed as Secretary to the Independent Electoral Commission if-\n\n- (a) he or she is not a citizen of Botswana;\n- (b) he or she has been declared insolvent or adjudged or otherwise declared bankrupt under any law in force in any part of the Commonwealth and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full; or\n- (c) he or she has been convicted of any offence involving dishonesty in any country.\n\n(5) A person shall not enter upon the duties of the office of Secretary until he or she has taken and subscribed to the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by an Act of Parliament.", - "page_start": 30, - "page_end": 30, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "for local government; and\n\n- (c) select a Member to the Ntlo ya Dikgosi for that region by election or in such other manner as the Regional Electoral College may agree.\n(5) Notwithstanding the provisions of section 77(1)(a) and subsections (2) and (4)(c) of this section, the areas of Ghanzi and Kgalagadi shall each have the option of either selecting one Member under subsection (2) of this section or of each selecting two regional Members under subsection (4)(c) of this section, but may not select Members under both subsections.\n\n# **79. Qualifications for membership of Ntlo ya Dikgosi**\n\n(1) A person shall be qualified to be appointed under section 77(1)(b) as a Member of the Ntlo ya Dikgosi if he or sheó\n\n- (a) is a citizen of Botswana; and\n- (b) has attained the age of 21 years.\n\n(2) No person shall be qualified to be appointed, selected or designated as a Member of the Ntlo ya Dikgosi if he or sheó\n\n- (a) is, by virtue of his or her own act, under any acknowledgement of allegiance, obedience or adherence to a foreign power or state;\n- (b) has been declared insolvent or adjudged or otherwise declared bankrupt under any law in force in any part of the Commonwealth or any country with a comparable legal system and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full;\n- (c) is certified insane or otherwise adjudged or declared to be of unsound mind under any law for the time being in force in Botswana;\n- (d) subject to such exceptions as may be prescribed by Parliament, holds any public office, or is acting in any public office by virtue of a contract of service expressed to continue for a period exceeding six months;\n- (e) is under sentence of death imposed on him or her by a court in any part of the Commonwealth or any country with a comparable legal system, or is under a sentence of imprisonment (by whatever name called) exceeding six months imposed on him or her by such a court or substituted by a competent authority for some other sentence imposed on him or her by such a court;\n- (f) holds, or is acting in,anyoffice the functions ofwhichinvolveany responsibility for, or in connection with, the conduct of any elections to the National Assembly or the compilation or revision of any electoral register for the purposes of such elections; or\n- (g) is disqualified for election to the National Assembly by virtue of provision made in pursuance of section 62 (2) of this Constitution.\n\n(3) For the purposes of this section, two or more terms of imprisonment that are required to be served consecutively shall be regarded as a single term of imprisonment for the aggregate period of those terms, and no account shall be taken of a sentence of imprisonment imposed as an alternative to or in default of the payment of a fine.\n\n(4) A Member of the Ntlo ya Dikgosi shall not, while he or she is such a Member, participate in party politics, but active participation in politics prior to being a Member of the Ntlo ya Dikgosi shall not bar any person from being such a Member.\n\n# **80. Oath of allegiance**\n\nEvery Member of the Ntlo ya Dikgosi shall, before taking his or her seat therein, take and subscribe before the Ntlo ya Dikgosi the oath of allegiance.\n\n# **81. Secretary to Ntlo ya Dikgosi**\n\nThere shall be a Secretary to the Ntlo ya Dikgosi whose office shall be an office in the public service.\n\n**82. Tenure of office of Members of Ntlo ya Dikgosi** (1) A Member of the Ntlo ya", - "page_start": 35, - "page_end": 35, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(1) The High Court shall have jurisdiction to hear and determine any question whether-\n\n- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant;\n- (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker.\n\n(2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker.\n\n(3) Parliament may make provision with respect to-\n\n- (a) the persons who may apply to the High Court for the determination of any question under this section;\n- (b) the circumstances and manner in which the conditions upon which any such application may be made; and\n- (c) the powers, practice and procedure of the High Court in relation to any such application.\n\n## **70. Clerk of the Assembly**\n\n(1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service.\n\n(2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service.\n\n## **PART II**\n\n## **General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members**\n\nThe Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance.\n\n## **72. Presiding in Assembly**\n\nThere shall preside at any sitting of the National Assembly-\n\n- (a) the Speaker;\n- (b) in the absence of the Speaker, the Deputy Speaker; or\n- (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting.\n\n### **73. Quorum in Assembly**\n\nIf objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly.\n\n## **74. Voting in Assembly**\n\n(1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting.\n\n(2) ...\n\n(3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost.\n\n## **75. Unqualified persons sitting or voting**\n\nAny person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "description of the boundaries of those constituencies.\n\n(2) The boundaries of each constituency shall be such that the number of inhabitants thereof is as nearly equal to the population quota as is reasonably practicable:\n\nProvided that the number of inhabitants of a constituency may be greater or less than the population quota in order to take account of natural community of interest, means of communication, geographical features, density of population, and the boundaries of Tribal Territories and administrative districts.\n\n(3) In this section \"population quota\" means the number obtained by dividing the number of inhabitants of Botswana (as ascertained by reference to the latest comprehensive national population census in Botswana) by the number of constituencies into which Botswana is divided under section 63 of this Constitution.\n\n(4) The President shall as soon as practicable after the submission of the report of the Delimitation Commission, by Proclamation published in the Gazette, declare the boundaries of the constituencies as delimited by the Commission.\n\n(5) A Proclamation made under subsection (4) of this section shall come into force at the next dissolution of the National Assembly after it is made.\n\n(6) The Commission may by regulation or otherwise regulate its own procedure and may, subject to its rules of procedure, act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings:\n\nProvided that any decision of the Commission shall require the concurrence of a majority of all its members.\n\n(7) In the exercise of its functions under this section the Delimitation Commission shall not be subject to the direction or control of any other person or authority.\n\n(8) A Delimitation Commission shall stand dissolved upon the date on which its report is delivered to the President.\n\n## **65A. Appointment of Independent Electoral Commission**\n\n(1) There shall be an Independent Electoral Commission which shall consist of-\n\n- (a) a Chairman who shall be a judge of the High Court appointed by the Judicial Service Commission;\n- (b) a legal practitioner appointed by the Judicial Service Commission; and\n- (c) five other persons who are fit, proper and impartial, appointed by the Judicial Service Commission from a list of persons recommended by the All Party Conference.\n\n(2) Where the All Party Conference fail to agree on all or any number of persons referred to in subsection (1)(c) of this section up to dissolution of Parliament, the Judicial Service Commission shall appoint such person or persons as are necessary to fill any\n\nvacancy.(3) For the purposes of this section, \"All Party Conference\" means a meeting of all registered political parties convened from time to time by the Minister.\n\n(4) The first appointments of the Chairman and the Members of the Commission shall be made not later than 31st January, 1999, and thereafter subsequent appointments shall be made at the last dissolution of every two successive lives of Parliament.\n\n(5) The Chairman and the members of the Commission shall hold office for a period of two successive lives of Parliament.\n\n(6) A person shall not be qualified to be appointed as a member of the Independent Electoral Commission if-\n\n(a) he or she has been declared insolvent or adjudged or otherwise declared", - "page_start": 29, - "page_end": 29, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? 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For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "### own procedure.\n\n(14) Except as may be otherwise provided in its rules or procedure, the Commission may act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n\n(15) Any decision of the Commission shall require the concurrence of a majority of all the members thereof.\n\n(16) A member of the Commission shall not, during the tenure of his or her office or during the three years immediately following such tenure, be eligible for appointment to any public office other than that of Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organization.\n\n### **110. Appointment, etc., of public officers**\n\n(1) Subject to the provisions of this section and of sections 111, 113 and 114 of this Constitution, power to appoint persons to hold or to act in any office in the public service, to exercise disciplinary control over persons holding or acting in such offices and to remove from such offices shall vest in such person or persons as may be prescribed by Act of Parliament.\n\n(2) The provisions of this section shall not apply in relation to the following offices, that is to say-\n\n- (a) the office of judge of the Court of Appeal or of the High Court;\n- (b) any office to which section 104 or 112 of the Constitution applies.\n\n(3) Before any person or persons as may have been prescribed under the provisions of subsection (1) exercise power to appoint to or to act in any public office any person who holds or is acting in any office the power to make appointments to which is vested by this Constitution in the President acting in accordance with the advice of the Judicial Service Commission such person shall consult with the Judicial Service Commission.\n\n### **111. Appeals to President**\n\n(1) Any person other than a member of the Botswana Police Force or the Prison Service who has been removed from office or subjected to any other punishment by the exercise of any powers conferred on any person under the provisions of section 110 of this Constitution may appeal to the Public Service Commission who may dismiss such appeal or allow it wholly or in part.\n\n(2) Subject to the provisions of subsection (3) every decision of the Public Service Commission under the provisions of this section shall be final.\n\n(3) Notwithstanding anything contained in subsection (2) if the Public Service Commission dismisses an appeal or allows it in part only the person who appealed may appeal to the President.\n\n(4) If any person appeals to the President in accordance with the provisions of subsection (3) of this section the President shall either dismiss the appeal or shall order that it be heard by a tribunal appointed by the President, the Chairman of which shall be a person who holds or has held high judicial office or is qualified to be appointed as a judge of the High Court.\n\n(5) If the President appoints a tribunal to hear an appeal in accordance with subsection (4) of this section the tribunal shall hear the appeal and shall advise the President whether or not the appeal should be allowed either wholly or in part, and the President shall act in accordance with that advice.\n\n### **112. Powers of President in relation to certain public offices**\n\n(1) The power to appoint a person to hold or act in offices to which this section applies and to remove from office and to exercise disciplinary control over persons", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- **33.**—(1) Any of the following—\n\t- (a) a person (\"P\") who—\n\t\t- (i) before travelling to the United Kingdom has made arrangements with a provider in the United Kingdom to receive healthcare (or, where P is a child, on whose behalf such arrangements have been made),\n\t\t- (ii) is in possession of written confirmation of the arrangements from the provider,\n\t\t- (iii) has travelled to the United Kingdom to receive that healthcare, and\n\t\t- (iv) is attending a place to receive that healthcare or is travelling directly between that place and the place where they are self-isolating;\n\t- (b) a person who—\n\t\t- (i) is accompanying P for the purpose of providing necessary care or support to P in the circumstances referred to in sub-paragraph (1)(a)(iv), or\n\t\t- (ii) is travelling, for the purpose of so accompanying P, directly between the place where they are self-isolating and either of the places referred to in sub-paragraph (1)(a)(iv),\n\nwhere that person has travelled to the United Kingdom for that purpose and is in possession of the confirmation referred to in sub-paragraph (1)(a)(ii) or a copy of it;\n\n- (c) an accompanying child who is accompanying P or, where P is a child, is accompanying a person referred to in sub-paragraph (1)(b);\n- (d) a live donor who is attending a place for the purpose referred to in the definition of \"live donor\" or is travelling directly between that place and the place where they are selfisolating.\n- (2) For the purposes of this paragraph—\n\t- (a) \"accompanying child\", in relation to P, means a child who has arrived in England with P and for whom P has responsibility, or where P is a child, a child who has arrived in England with the person referred to in sub-paragraph (1)(b) and for whom that person has responsibility;\n\t- (b) \"healthcare\" means all forms of healthcare provided for individuals, whether relating to mental or physical health, including healthcare in connection with giving birth;\n\t- (c) \"live donor\" means a person who—\n\t\t- (i) has travelled to the United Kingdom for the purpose of donation of material which consists of or includes their human cells pursuant to arrangements made with a provider in the United Kingdom before travelling to the United Kingdom, and which are to be used by the provider for the purpose of providing healthcare, and\n\t\t- (ii) is in possession of written confirmation of the arrangements from the provider;\n\t- (d) \"provider\" means a provider of healthcare;\n\t- (e) references to a place where a person is self-isolating are to a place where they are required to self-isolate, or permitted to be at, by virtue of regulation 9.\n\n**34.**—(1) A person who has travelled to the United Kingdom for the purpose of transporting material which consists of, or includes, human cells or blood and which is to be used for the provision of healthcare by a provider.\n\n(2) For the purposes of sub-paragraph (1)—\n\n- (a) \"blood\" includes blood components;\n- (b) \"healthcare\" and \"provider\" have the meanings given in paragraph 33(2).\n\n**35.** A person who is an \"inspector\" within the meaning given in regulation 8(1) of the Human Medicines Regulations 2012(**a**), or who has been appointed as an inspector under regulation 33 of\n\n(<b>a) S.I. 2012/1916.", - "page_start": 43, - "page_end": 43, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the prison population grew in average by year between 1993 and 2008 ?", - "target_page": 8, - "target_passage": "The prison population grew rapidly between 1993 to 2008, at an average of 4% a year.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **2. Recent trends in the population**\n\nThe 'Story of the Prison Population 1993 to 2012' is an in-depth look at what happened to the prison population between 1993 and 2012 and the major factors contributing to the changes.4 \n\nThe prison population grew rapidly between 1993 to 2008, at an average of 4% a year. This rapid rise was driven by:\n\n- increased numbers of people sentenced to immediate custody from 1993 to 2002;\n- increases in the average custodial sentence length and increased use of indeterminate sentences; and\n- an increase in numbers recalled to prison following breaches of the conditions of licence and these offenders spending longer in prison once recalled.\n\nThe rise in the prison population slowed considerably from the summer of 2008, in part due to the introduction of the Criminal Justice and Immigration Act (CJIA) 20085 which changed sentencing and offender management in ways which helped to reduce growth in the prison population.\n\nThis flatter trend continued until the public disorder seen in UK cities from 6 to 9 August 2011 which had an immediate but temporary impact on the prison population.\n\nDuring 2012 and into 2013, the prison population began to fall due to a falling remand population and a continued decline in the number of under 18s in custody. The falling remand population during 2012 reflected falling volumes going through the courts plus the introduction, in December 2012, of measures restricting the use of remand for all offenders who would be unlikely to receive a custodial sentence.6\n\nFrom the end of August 2013 to the end of October 2013, the remand population rose sharply, driving an overall increase in the prison population. This was being driven by an increase in demand in the Crown Courts, especially among more serious tri-able either way cases. The total population has continued to rise since the beginning of 2014 and reached 85,9257 on the\n\n4 Story of the Prison Population: www.gov.uk/government/publications/story-of-the-prisonpopulation-1993-2012\n\n5 services.parliament.uk/bills/2007-08/criminaljusticeandimmigration.html 6 http://services.parliament.uk/bills/2010-11/legalaidsentencingandpunishmentofoffenders.html 7 www.gov.uk/government/statistics/prison-population-figures-2014", - "page_start": 7, - "page_end": 7, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## **4. Results**\n\nThe Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020.\n\nChart 2 presents Prison population projections from November 2014 to December 2020.\n\n#### **Chart 2: Projected monthly prison population (all scenarios)**\n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 by the end of June 2015 and then fall to 81,400 by the end of June 2020.\n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 by the end of June 2015 and to 98,900 by the end of June 2020.\n\nThe projected trends reflect the cumulative impacts of the various sentencing, legislative and procedural assumptions that are used to generate the projections. The seasonal pattern reflects the dip in the prison population which is always seen around the Christmas period.\n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by June 2020. The projected population increase is largely due to the recent trends in case mix where we have seen more serious cases come before the courts. This results in offenders receiving longer custodial sentence lengths, which in turn places an upward pressure on the prison population. The growth in this scenario is largely driven by the rise in the determinate population which is projected to grow to 60,200 by June 2020. This is partially due to the", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Key points**\n\nThis bulletin presents projections of the prison population in England and Wales from November 2014 to December 2020. The prison population projections are based on assumptions about future custodial convictions and incorporate the anticipated impacts of agreed policy and procedural initiatives.\n\nThe \"Central Scenario\" estimates that the prison population will increase from the current position 85,9251 to 87,700 by June 2015. By the end of June 2020 the prison population is projected to be 90,200. This Central Scenario is our best estimate based on the available information. The projected prison population under our Central Scenario is shown in Chart 1.\n\nThe prison population projections are produced using a model of flows of offenders into and out of prison which counts the resulting prison population each month.\n\n## **Chart 1: Projected prison population (Central Scenario)**\n\nThe Central Scenario has been modelled assuming custodial convictions are broadly in line with recent trends and average length of sentence to be flat based on recent trends.\n\nThe projections do not attempt to estimate the impact of any future Government policy that is yet to achieve Royal Assent, and therefore become less certain over time.\n\n1 As at 21 November 2014: www.gov.uk/government/statistics/prison-population-figures-2014", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## **3a) Producing prison population projections**\n\nPrison population projections are produced using the Prison Population Stock-Flow Model. The principal sub-populations in prison – determinate sentence, life sentence, imprisonment for public protection (IPP) and remand – are modelled using stock-flow structures based on the generic structure shown in Figure B2. The stock-flow structures model the flow of offenders into and out of prison and count the resulting prison population at the end of each month.\n\n#### **Figure B2: Generic stock-flow structure in the Prison Population Stock-Flow Model**\n\nAverage Time Served\n\nFor the determinate population, the monthly inflows to prison are based on the custodial convictions projections described above. These custodial convictions include offenders that may already be serving a sentence for a previous crime or those who would serve their whole custodial sentence on remand, meaning that they would not be a new reception to prison. To convert from custodial convictions to prison receptions we apply a conversion ratio derived from the historical proportions of custodial convictions to prison receptions for each sub-population averaged over the last twelve months of historical data (April 2013 to March 2014 inclusive).\n\nMonthly outflows for the determinate population are based on observed custodial sentence lengths and the observed percentage of sentence length served taken from October 2013 to April 2014. Each projected offender that enters the model is given a custodial sentence length that is randomly selected from the relevant distribution. These distributions are populated with custodial sentence lengths from actual offender receptions who share the same characteristics of offence, gender and age group in the observed time period. The percent of custodial sentence length served is derived in the same manner, except that the observed distribution is made up of discharged offenders further disaggregated by custodial sentence length band.\n\nFor offenders who receive the new EDS sentence an adjustment is made to the percent of custodial length served to reflect that these offenders will spend a greater proportion of their sentence in custody than standard determinate sentenced offenders discharged to date.\n\nProjected prison receptions are sub-divided by age category (Juvenile, Young Adult, Adult) with the exact age of the offender attributed in the same manner as the custodial sentence lengths. This allows the model to explicitly age the offenders whilst in prison (e.g. move from Juvenile to Young Adult categories).", - "page_start": 26, - "page_end": 26, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## **Contents**\n\n| Key points | 2 |\n| --- | --- |\n| 1. Central Scenario | 4 |\n| 2. Recent trends in the population | 6 |\n| 3. Modelling methodology and projection scenarios | 8 |\n| 4. Results | 11 |\n| 5. Previous Projections | 13 |\n| 6. Caveats on prison population projections | 14 |\n| Appendix A: Additional tables | 15 |\n| Appendix B: Detail of models, scenarios and assumptions | 21 |\n| Contact Points for further information | 28 |", - "page_start": 2, - "page_end": 2, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Appendix A: Additional tables9**\n\nAnnual tables of overall projected prison population\n\n**Table A1: Projected prison population (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 87,100 | 87,700 | 88,900 |\n| Jun-16 | 86,800 | 89,100 | 92,000 |\n| Jun-17 | 85,200 | 89,300 | 93,600 |\n| Jun-18 | 83,900 | 89,700 | 95,800 |\n| Jun-19 | 82,600 | 90,100 | 97,600 |\n| Jun-20 | 81,400 | 90,200 | 98,900 |\n\n**Table A2: Average projected prison population (financial year figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 | 87,000 | 88,200 | 89,700 |\n| 2016/17 | 86,200 | 89,100 | 92,400 |\n| 2017/18 | 84,700 | 89,300 | 94,100 |\n| 2018/19 | 83,400 | 89,800 | 96,300 |\n| 2019/20 | 82,200 | 90,100 | 97,900 |\n\n**Table A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario projections (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | 2013 | 2014 | Difference |\n| Jun-14 | 83,400 | -- | -- |\n| Jun-15 | 82,100 | 87,700 | 6.8% |\n| Jun-16 | 82,000 | 89,100 | 8.6% |\n| Jun-17 | 81,600 | 89,300 | 9.4% |\n| Jun-18 | 81,500 | 89,700 | 10.1% |\n| Jun-19 | 81,800 | 90,100 | 10.2% |\n| Jun-20 | -- | 90,200 | -- |\n\n<b>9 All figures are rounded to the nearest hundred. Sub-populations may not sum to total populations due to rounding and due to overlaps in some sub-population categories.", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "21 November 2014. The latest projections assume demand in the courts remains at this higher level.\n\nTable 1 summarises these changes.\n\n| Table 1: Population in custody changes from 2006 to 2014 |\n| --- |\n\n| | | Offender Management Statistics | Year on year % |\n| --- | --- | --- | --- |\n| | Start of Year | End of Year | difference |\n| June 2006 to June 2007 | 77,982 | 79,734 | 2.2% |\n| June 2007 to June 2008 | 79,734 | 83,194 | 4.3% |\n| June 2008 to June 2009 | 83,194 | 83,454 | 0.3% |\n| June 2009 to June 2010 | 83,454 | 85,002 | 1.9% |\n| June 2010 to June 2011 | 85,002 | 85,374 | 0.4% |\n| June 2011 to June 2012 | 85,374 | 86,048 | 0.8% |\n| June 2012 to June 2013 | 86,048 | 83,842 | -2.6% |\n| June 2013 to June 2014 | 83,842 | 85,509 | 2.0% |\n\nFurther statistics and commentary on the changes seen in prison population over the last year, is presented in the Offender Management Statistics Quarterly publication. This is available online on GOV.UK at: www.gov.uk/government/collections/offender-management-statistics-quarterly", - "page_start": 8, - "page_end": 8, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "At the core of the method is a model of flows of offenders into and out of prison which counts the resulting prison population each month for sentenced, recall and remand prisoners.\n\nInputs to the prison projections model include projections of future custodial convictions. These are generated from time series projections of numbers of defendants entering the criminal courts and take into account the age, gender and offence of defendants entering the system, the flow of cases through the courts and the sentences which concluded cases attract.\n\nThe prison projections model monitors the sizes of the sentenced, recall and remand prison populations. These populations depend on the inflows defined above and the outflows. These outflows are defined by observed distributions of custodial sentence lengths, and the proportion of custodial sentences served for subsets of these populations. The model also simulates the ageing of the prison population over time.\n\nThe projection model is based on data up to June 2014 from various sources including court proceedings and performance data, sentencing data and prison receptions and population data.\n\nThe results of the prison projections model are supplemented with an estimate of the future non-criminal and fine defaulter populations, which is based on the latest available data to September 2014.\n\nThree scenarios have been modelled. These scenarios track the impact of three different incremental changes in sentencing behaviour:\n\n- The Central Scenario assumes custodial convictions are broadly in line with recent trends. The average length of sentence is assumed to be flat based on recent trends in sentence lengths. This broadly reflects the assumptions for Scenario 2 in the November 2013 projections.\nWe also consider two illustrative scenarios\n\n- Scenario 1 assumes that custodial convictions will fall against recent trends. The average length of sentence is assumed to be lower than what has been observed in recent trends in sentence lengths.\n- Scenario 2 assumes a rise in custodial convictions when compared to recent trends. Also the average length of sentence is assumed to be higher than what has been observed in recent trends in sentence lengths.\n\nThe three scenarios also incorporate the impact of:\n\n- trends in the age, gender and offence of defendants entering the system and in the flow of cases through the courts;", - "page_start": 10, - "page_end": 10, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **5. Previous Projections**\n\nAt the end of September 2014 the published prison population was within 1.8 % of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 Scenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does not indicate which scenario the actual prison population will track going forward.\n\nDifferences between the 2013 projections and the actual population could be explained by changes, different to those projected, in overall demand, offence mix, age and gender of defendants, court routes, custody rates or sentence lengths.\n\nChart 3 plots the 2014 Central Scenario projection against the three 2013 prison population projections. The 2014-2020 Central Scenario projection is above all three scenarios from last year. The higher level of the new projections can be attributed to a more serious case mix coming into the courts with a resulting increase in average custodial sentence lengths. The projection for June 2019 in the Central Scenario this year is 10.2 % above the equivalent scenario (Scenario 2) last year.\n\n**Chart 3: Comparing 2013 and 2014 projections (November 2014 – December 2020)**", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Prison Population Projections 2014 – 2020 England and Wales**\n\nMinistry of Justice Statistics Bulletin\n\nPublished 27th November 2014\n\n| 0 0 |\n| --- |\n| 0 0 0 |\n| 0 0 0 |\n| 0 0 |\n| 0 0 |\n| 0 0 0 |\n| 0 0 0 |\n| 0 0 0 |", - "page_start": 0, - "page_end": 0, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "Do you know the prison population estimation for the and of June 2020 ?", - "target_page": 13, - "target_passage": "The Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **4. Results**\n\nThe Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020.\n\nChart 2 presents Prison population projections from November 2014 to December 2020.\n\n#### **Chart 2: Projected monthly prison population (all scenarios)**\n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 by the end of June 2015 and then fall to 81,400 by the end of June 2020.\n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 by the end of June 2015 and to 98,900 by the end of June 2020.\n\nThe projected trends reflect the cumulative impacts of the various sentencing, legislative and procedural assumptions that are used to generate the projections. The seasonal pattern reflects the dip in the prison population which is always seen around the Christmas period.\n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by June 2020. The projected population increase is largely due to the recent trends in case mix where we have seen more serious cases come before the courts. This results in offenders receiving longer custodial sentence lengths, which in turn places an upward pressure on the prison population. The growth in this scenario is largely driven by the rise in the determinate population which is projected to grow to 60,200 by June 2020. This is partially due to the", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Key points**\n\nThis bulletin presents projections of the prison population in England and Wales from November 2014 to December 2020. The prison population projections are based on assumptions about future custodial convictions and incorporate the anticipated impacts of agreed policy and procedural initiatives.\n\nThe \"Central Scenario\" estimates that the prison population will increase from the current position 85,9251 to 87,700 by June 2015. By the end of June 2020 the prison population is projected to be 90,200. This Central Scenario is our best estimate based on the available information. The projected prison population under our Central Scenario is shown in Chart 1.\n\nThe prison population projections are produced using a model of flows of offenders into and out of prison which counts the resulting prison population each month.\n\n## **Chart 1: Projected prison population (Central Scenario)**\n\nThe Central Scenario has been modelled assuming custodial convictions are broadly in line with recent trends and average length of sentence to be flat based on recent trends.\n\nThe projections do not attempt to estimate the impact of any future Government policy that is yet to achieve Royal Assent, and therefore become less certain over time.\n\n1 As at 21 November 2014: www.gov.uk/government/statistics/prison-population-figures-2014", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Appendix A: Additional tables9**\n\nAnnual tables of overall projected prison population\n\n**Table A1: Projected prison population (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 87,100 | 87,700 | 88,900 |\n| Jun-16 | 86,800 | 89,100 | 92,000 |\n| Jun-17 | 85,200 | 89,300 | 93,600 |\n| Jun-18 | 83,900 | 89,700 | 95,800 |\n| Jun-19 | 82,600 | 90,100 | 97,600 |\n| Jun-20 | 81,400 | 90,200 | 98,900 |\n\n**Table A2: Average projected prison population (financial year figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 | 87,000 | 88,200 | 89,700 |\n| 2016/17 | 86,200 | 89,100 | 92,400 |\n| 2017/18 | 84,700 | 89,300 | 94,100 |\n| 2018/19 | 83,400 | 89,800 | 96,300 |\n| 2019/20 | 82,200 | 90,100 | 97,900 |\n\n**Table A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario projections (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | 2013 | 2014 | Difference |\n| Jun-14 | 83,400 | -- | -- |\n| Jun-15 | 82,100 | 87,700 | 6.8% |\n| Jun-16 | 82,000 | 89,100 | 8.6% |\n| Jun-17 | 81,600 | 89,300 | 9.4% |\n| Jun-18 | 81,500 | 89,700 | 10.1% |\n| Jun-19 | 81,800 | 90,100 | 10.2% |\n| Jun-20 | -- | 90,200 | -- |\n\n<b>9 All figures are rounded to the nearest hundred. Sub-populations may not sum to total populations due to rounding and due to overlaps in some sub-population categories.", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Prison Population Projections 2014 – 2020 England and Wales**\n\nMinistry of Justice Statistics Bulletin\n\nPublished 27th November 2014\n\n| 0 0 |\n| --- |\n| 0 0 0 |\n| 0 0 0 |\n| 0 0 |\n| 0 0 |\n| 0 0 0 |\n| 0 0 0 |\n| 0 0 0 |", - "page_start": 0, - "page_end": 0, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## **Contents**\n\n| Key points | 2 |\n| --- | --- |\n| 1. Central Scenario | 4 |\n| 2. Recent trends in the population | 6 |\n| 3. Modelling methodology and projection scenarios | 8 |\n| 4. Results | 11 |\n| 5. Previous Projections | 13 |\n| 6. Caveats on prison population projections | 14 |\n| Appendix A: Additional tables | 15 |\n| Appendix B: Detail of models, scenarios and assumptions | 21 |\n| Contact Points for further information | 28 |", - "page_start": 2, - "page_end": 2, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Annual tables of subgroups within the overall projected prison population\n\n**Table A4: Projected determinate sentence prison population (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 54,600 | 55,500 | 56,600 |\n| Jun-16 | 54,400 | 57,000 | 60,000 |\n| Jun-17 | 53,500 | 57,900 | 62,300 |\n| Jun-18 | 52,600 | 58,800 | 64,900 |\n| Jun-19 | 51,800 | 59,600 | 67,200 |\n| Jun-20 | 51,000 | 60,200 | 68,900 |\n\n**Table A5: Projected indeterminate sentence prison population (end of June figures)** \n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 12,200 | 12,200 | 12,200 |\n| Jun-16 | 11,700 | 11,700 | 11,700 |\n| Jun-17 | 11,000 | 11,000 | 11,000 |\n| Jun-18 | 10,500 | 10,500 | 10,500 |\n| Jun-19 | 10,100 | 10,100 | 10,100 |\n| Jun-20 | 9,600 | 9,600 | 9,600 |\n\n| Table A6: Projected remand prison population (end of June figures) |\n| --- |\n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 12,900 | 12,300 | 11,700 |\n| Jun-16 | 13,000 | 12,300 | 11,600 |\n| Jun-17 | 12,900 | 12,300 | 11,600 |\n| Jun-18 | 13,000 | 12,300 | 11,600 |\n| Jun-19 | 13,000 | 12,300 | 11,700 |\n| Jun-20 | 13,000 | 12,300 | 11,700 |\n\n| Table A7: Projected recall prison population (end of June figures) |\n| --- |\n\n| | | Sentencing Scenarios | |\n| --- | --- | --- | --- |\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 5,400 | 5,700 | 6,300 |\n| Jun-16 | 5,700 | 6,100 | 6,700 |\n| Jun-17 | 5,800 | 6,100 | 6,800 |\n| Jun-18 | 5,800 | 6,100 | 6,800 |\n| Jun-19 | 5,800 | 6,100 | 6,800 |\n| Jun-20 | 5,800 | 6,100 | 6,800 |", - "page_start": 17, - "page_end": 17, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **5. Previous Projections**\n\nAt the end of September 2014 the published prison population was within 1.8 % of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 Scenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does not indicate which scenario the actual prison population will track going forward.\n\nDifferences between the 2013 projections and the actual population could be explained by changes, different to those projected, in overall demand, offence mix, age and gender of defendants, court routes, custody rates or sentence lengths.\n\nChart 3 plots the 2014 Central Scenario projection against the three 2013 prison population projections. The 2014-2020 Central Scenario projection is above all three scenarios from last year. The higher level of the new projections can be attributed to a more serious case mix coming into the courts with a resulting increase in average custodial sentence lengths. The projection for June 2019 in the Central Scenario this year is 10.2 % above the equivalent scenario (Scenario 2) last year.\n\n**Chart 3: Comparing 2013 and 2014 projections (November 2014 – December 2020)**", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## **3a) Producing prison population projections**\n\nPrison population projections are produced using the Prison Population Stock-Flow Model. The principal sub-populations in prison – determinate sentence, life sentence, imprisonment for public protection (IPP) and remand – are modelled using stock-flow structures based on the generic structure shown in Figure B2. The stock-flow structures model the flow of offenders into and out of prison and count the resulting prison population at the end of each month.\n\n#### **Figure B2: Generic stock-flow structure in the Prison Population Stock-Flow Model**\n\nAverage Time Served\n\nFor the determinate population, the monthly inflows to prison are based on the custodial convictions projections described above. These custodial convictions include offenders that may already be serving a sentence for a previous crime or those who would serve their whole custodial sentence on remand, meaning that they would not be a new reception to prison. To convert from custodial convictions to prison receptions we apply a conversion ratio derived from the historical proportions of custodial convictions to prison receptions for each sub-population averaged over the last twelve months of historical data (April 2013 to March 2014 inclusive).\n\nMonthly outflows for the determinate population are based on observed custodial sentence lengths and the observed percentage of sentence length served taken from October 2013 to April 2014. Each projected offender that enters the model is given a custodial sentence length that is randomly selected from the relevant distribution. These distributions are populated with custodial sentence lengths from actual offender receptions who share the same characteristics of offence, gender and age group in the observed time period. The percent of custodial sentence length served is derived in the same manner, except that the observed distribution is made up of discharged offenders further disaggregated by custodial sentence length band.\n\nFor offenders who receive the new EDS sentence an adjustment is made to the percent of custodial length served to reflect that these offenders will spend a greater proportion of their sentence in custody than standard determinate sentenced offenders discharged to date.\n\nProjected prison receptions are sub-divided by age category (Juvenile, Young Adult, Adult) with the exact age of the offender attributed in the same manner as the custodial sentence lengths. This allows the model to explicitly age the offenders whilst in prison (e.g. move from Juvenile to Young Adult categories).", - "page_start": 26, - "page_end": 26, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **1. Central Scenario**\n\nThis bulletin presents prison population projections for England and Wales from November 2014 to December 2020. The central projection is produced to aid development, capacity planning and resource allocation within the Criminal Justice System (CJS) and the National Offender Management Service (NOMS). The latest published useable operational capacity (21 November 2014) is 88,0152 .\n\nThe Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020.\n\nThe Central Scenario tracks the impact of current trends in sentencing on custodial convictions, custodial sentence lengths and hence on the resulting prison population. These assumptions have been agreed through a consultative process. Government policy is only included in these projections when it has received Royal Assent. These projections also take into account other drivers including:\n\n- trends in the age, gender and offence of defendants entering the system and in the flow of cases through the courts;\n- assumptions regarding future parole hearing frequency and expected outcomes for indeterminate (Life and Indeterminate for the Public Protection) sentences;\n- the Home Office gaining access to all 580 places at the Verne Immigration Removal Centre (IRC) by January 2015;\n- the impacts of the Offender Rehabilitation Act 20143 which achieved Royal Assent on 13 March 2014 meaning offenders sentenced to custodial sentences of less than 12 months will be released subject to licence. There will also be a new post-sentence supervision period following licence for offenders released from custodial sentences of less than 2 years;\n- the impacts of the Release on Temporary Licence (ROTL) review deciding that all offenders who have previously absconded will no longer be allowed to return to the open estate or be released on temporary licence except in exceptional circumstances.\n\n2 www.gov.uk/government/statistics/prison-population-figures-2014 3 www.justice.gov.uk/transforming-rehabilitation", - "page_start": 5, - "page_end": 5, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "# **Appendix B: Detail of models, scenarios and assumptions**\n\n## **The updated modelling approach**\n\nThe prison projections form part of the Ministry of Justice's wider work to develop a consistent and coherent suite of models of the criminal courts and offender management, driven by common projections of demand for the Ministry of Justice's services.\n\nThe prisons model used to generate the 2014 projections has not changed substantially from that used in the 2013 projections. As in the 2013 projections custodial sentence lengths used in the model are disaggregated by gender, age of the offender and offence type. The total time to be served in prison by projected future prisoners is assigned by matching their gender and age characteristics to relevant distributions of (i) custodial sentence lengths and (ii) the percentage of custodial sentence served. These distributions are derived from data for the period October 2013 to April 2014. This allows us to:\n\n- understand the Criminal Justice System factors which contribute to change in the prison population, including sentences lengths issued, the percentage of sentence served in custody, trial court and sentencing court changes, or shifts in the demographic characteristics of defendants;\n- model the impact on the prison population of specific Ministry of Justice and other Criminal Justice Agency policy changes; and\n- quantify the impact of uncertainty around the time a defendant serves in prison on the prison population.\n\n## **Overview of the modelling approach**\n\nCentral to the modelling approach is the Prison Population Stock-Flow model. Projections of future custodial convictions are fed into this model and outputs are adjusted to account for the impact of changes in legislation and process on the prison population, as shown in Figure B1, and described below.", - "page_start": 22, - "page_end": 22, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the phone number of the Ministry of Justice press office ?", - "target_page": 30, - "target_passage": "Press enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Contact Points for further information**\n\nCurrent and previous editions of this publication are available for download from www.justice.gov.uk/publications/statistics-and-data/index.htm\n\nPress enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536\n\nOther enquiries about these statistics should be directed to:\n\nJustice Statistics Analytical Services Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ\n\nGeneral enquiries about the statistical work of the Ministry of Justice can be emailed to: statistics.enquiries@justice.gsi.gov.uk\n\nGeneral information about the official statistics system of the UK is available from www.statistics.gov.uk", - "page_start": 29, - "page_end": 29, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Alternative format versions of this report are available on request from the Ministry of Justice at statistics.enquiries@justice.gsi.gov.uk\n\n© Crown copyright Produced by the Ministry of Justice", - "page_start": 30, - "page_end": 30, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "#### **FOR FURTHER INFORMATION, PLEASE CONTACT**\n\n#### **Investor Relations Nissan Motor Co., Ltd.**\n\nGlobal Communications, CSR and IR Division 17-1, Ginza 6-chome, Chuo-ku Tokyo 104-8023, Japan phone: +81(0)3-5565-2334 fax: +81(0)3-3546-2669 e-mail: nissan-ir@mail.nissan.co.jp\n\n#### **Corporate Information Website**\n\nhttp://www.nissan-global.com/\n\n#### **Investor Relations Website**\n\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "$${\\mathrm{Sout}}_{\\mathrm{thampton}}^{\\mathrm{boson},\\alpha}$$\n\n## **3.5 Help Desk**\n\n#### **3.5.1 How to contact the Portal's Help Desk**\n\nThe European Data Portal Help Desk can be contacted:\n\n- **By email**: help@europeandataportal.eu\n- **By phone**: the Portal's Help Desk is staffed by a multilingual team of experts, who can be contacted from Monday to Friday from 09:30 to 17:30 (CET).\n\t- o EN: (+352) 31 44 01-448\n\t- o FR: (+352) 31 44 01-449\n- By providing comments and suggestions via the **online contact/feedback form** available from the Portal's home page.\n\nFrom the header:\n\n| EUROPEAN | | | Newsletter FAQ Search Contact | Cookies Legal notice | English (en) | > ರ |\n| --- | --- | --- | --- | --- | --- | --- |\n| DATA PORTAL | | | | Search site content ... | | |\n| European Data Portal | | | | | | |\n| C What we do - | Data- | | Providing Data . | Using Data - | Resources . | |\n| Search Datasets | | | | | | |\n| Enter keywords ... | | Search Q | | | | |\n| | SPARQL Search | | | | | |\n\n#### From the footer:\n\n| Newsletter | Follow us on | | |\n| --- | --- | --- | --- |\n| Stay informed on our latest news! | Funded by the | in | European Union |\n| Subscribe | name@example.com | | |\n| Help us improve | Your feedback will help us to improve the overall user experience. Any suggestions? | | |\n| Newsletter FAQ Searc 1 Contact | Last update: 14/10/2019 Version: 4.3 | ookies Legal notice | |\n\nAfter clicking on the \"Contact\" item, the following form is displayed:", - "page_start": 47, - "page_end": 47, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "### **GETTING IN TOUCH WITH THE EU**\n\n#### **In person**\n\nAll over the European Union there are hundreds of Europe Direct centres. You can find the address of the centre nearest you online (european-union.europa.eu/contact-eu/meet-us_en).\n\nOn the phone or in writing\n\nEurope Direct is a service that answers your questions about the European Union. You can contact this service:\n\n- by freephone: 00 800 6 7 8 9 10 11 (certain operators may charge for these calls),\n- at the following standard number: +32 22999696,\n- via the following form: european-union.europa.eu/contact-eu/write-us_en.\n\n### **FINDING INFORMATION ABOUT THE EU**\n\n#### **Online**\n\nInformation about the European Union in all the official languages of the EU is available on the Europa website (european-union.europa.eu).\n\n#### **EU publications**\n\nYou can view or order EU publications at op.europa.eu/en/publications. Multiple copies of free publications can be obtained by contacting Europe Direct or your local documentation centre (european-union.europa.eu/contact-eu/meet-us_en).\n\n#### **EU law and related documents**\n\nFor access to legal information from the EU, including all EU law since 1951 in all the official language versions, go to EUR-Lex (eur-lex.europa.eu).\n\n#### **EU open data**\n\nThe portal data.europa.eu provides access to open datasets from the EU institutions, bodies and agencies. These can be downloaded and reused for free, for both commercial and non-commercial purposes. The portal also provides access to a wealth of datasets from European countries.", - "page_start": 162, - "page_end": 162, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Corporate Headquarters 1 Applied Plaza Cleveland, Ohio 44115 216/426-4000 **Applied.com**\n\n25358_AIT_Report_WT.indd 46 8/23/12 8:33 AM", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "# **DRAFT FRAMEWORK CONTRACT FOR SERVICES**\n\n# **NUMBER — ECHA/2019/355**\n\n1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [*forename, surname, function, directorate of authorising officer*],\n\nof the one part and\n\n2. [*Full official name*]\n\n[*Official legal form* ]\n\n**[***Statutory registration number or ID or passport number***]**\n\n[*Full official address*]\n\n[*VAT registration number*]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[*For joint tenders,* r*epeat these data as many times as there are contractors and continue numbering*]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [*forename, surname, function of legal representative and name of company in the case of a joint tender*],\n\non the other part,\n\n#### HAVE AGREED\n\nto the **special conditions,** the **general conditions for framework contracts** for services and the following annexes:\n\n- **Annex I –** Tender specifications (reference No [*complete*] of [*insert date*])\n- **Annex II** Contractor's tender (reference No [*complete*] of [*insert date*])\n- **Annex III –** [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "| con·terr | pgemini invent | Fraunhofer EOKUS | | | | | the Lisboncou |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Newsletter FAQ Search Contact Cookies Legal notice | | | | | English (en) | | |\n| | | | | | Search site content .. | Q | |\n| | EUI pean Data Portal > Co | | | | | | |\n| Providing Data + | What we do - LI | Data + | | Using Data + | Resources - | | |\n| | Contact | | | | | | |\n| Your email address* | Your name* | | | | | | |\n| | Please choose an issue type: | | | | | | |\n| | General information request | | | | | | |\n| | Summary * | | | | | | |\n| | Description* | | | | | | |\n| Drop your file to upload here | | | | | | | |\n| or Browse | | | | | | | |\n| | What code is in the image ? * | | | | | | |\n| | Enter the characters shown in the image | | | | | | |\n| | Submit | | | | | | |\n| Call us between 09:30 - 17:30 (CET) | | | EN: +352 31 44 01-448 | | | | |\n| FR: +352 31 44 01-449 | | | email: help@europeandataportal.eu | | | | |", - "page_start": 48, - "page_end": 48, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "#### **3.1.1 How to browse through the Editorial Content of the Portal**\n\nThe editorial content of the Portal is organized into 4 main menu items:\n\n- 1. What we do\n- 2. Providing Data\n- 3. Using Data\n- 4. Resources\n\n| European Data Portal | | | | |\n| --- | --- | --- | --- | --- |\n| 1 What we do- | Data - | Providing Data- | Using Data . | Resources - |\n\n- **1. Click on \"What we do\", then on sub-menu \"Our Activities\"**\nThe system displays a separate page with information on what is done in the Portal.\n\n| Newsletter FAQ Search Contact Cookies Legal notice Login > | English (en) |\n| --- | --- |\n| Search site content ... ರ | |\n| European Data Portal > What we do > Our Activities | |\n| 1 What we do- Data - Providing Data- Using Data - | Resources - |\n| Our Activities Open Data Maturity Factsheets and Reports Featured Highlights Calendar News | |\n| Our Activities | |\n| The European Data Portal harvests the metadata of Public Sector Information available on | |\n| public data portals across European countries. Information regarding the provision of data and | |\n| the benefits of re-using data is also included. | |\n| What is Open Data? | |\n| Open (Government) Data refers to the information collected, produced or paid for by the public bodies (also referred to as Public Sector Information) | |\n| and made freely available for re-use for any purpose. The licence will specify the terms of use. These principles for Open Data are described in detail | |\n| in the Open Definition &. | |\n| Public sector information is information held by the public sector. The Directive on the re-use of public sector information provides a common legal | |\n| framework for a European market for goverment-held data. It is built around the key pillars of the internal market: free flow of data, transparency and | |\n| fair competition. It is important to note that not all of the public sector information is Open Data. | |\n| Find out more about the PSI Directive a and other non-legislative activities of DG CONNECT & in this area. | |\n| About the European Data Portal | |\n| Going beyond the harvesting of metadata, the strategic objective of the European Data Portal is to improve accessibility and increase the value of | |\n| Open Data: | |\n| · Accessibility: How to access this information? Where to find it? How to make it available in the first place? In | |\n| countries? In what language? | |\n| · Value: For what purpose and what economic gain? Societal gain? Democratic gain? In what format? What is the critical mass? | |\n| The European Data Portal addresses the whole data value chain: from data publishing to data re-use. | |\n| Within the Portal, sections are dedicated to: | |\n| Searching datasets: Categories have been established to structure the metadata harvested from the various countries. These categories follow the | |\n| revision of the DCAT Application Profile & and have been mapped against the Eurovoc Thesaurus G. | |", - "page_start": 9, - "page_end": 9, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is SOLR ?", - "target_page": 4, - "target_passage": "Search engine used for portal content search and dataset search ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Class hierar 团田目回区 | | DL Query Snap SPARQL Query | | | |\n| --- | --- | --- | --- | --- | --- |\n| Asserted | | DL query: | | | ■■□网 |\n| owl:Thing | | Query (class expression) | | | |\n| Person | Customer | Customer and purchasedPizza some ( hasTopping some (hasSpiciness value Hot)) | | | |\n| Pizza | Employee | | | | |\n| PizzaBase | | Execute Add to ontology | | | |\n| PizzaTopping | | | | | |\n| Spiciness | | | | | |\n| | | Query results | | | |\n| | | Superclasses (3 of 3) | | Query for | |\n| | | Customer | | Direct superclasses | |\n| | | Person | ? | Superclasses | |\n| | | owl:Thing | | Equivalent classes | |\n| | | Subclasses (1 of 1) | | Direct subclasses | |\n| | | owl:Nothing | 2 | V Subclasses | |\n| | | | | Instances | |\n| | | Instances (4 of 4) | | | |\n| | | Customer1 | | | |\n| | | Customer4 | | Result filters | |\n| | | Customer8 | | Name contains | |\n| | | Customer9 | | | |\n| | | | Reasoner active | V Show Inferences | 를 |\n\nFigure 9.1 The DL Query Tab\n\n#### 9.2 SPARQL Queries\n\nSPARQL is a powerful language, and one could write a whole book about it. In fact, there are books written about it. The best one I have seen is the O'Reilly book Learning SPARQL by Bob DuCharme. This is an excellent book that not only goes into SPARQL but into topics such as RDF/RDFS and how triples are used to represent all information in OWL. I will only touch on those issues here, there is much more to say about them and DuCharme's book is a great place to learn more. If some of the following is a bit hard to understand don't be discouraged. This is just an attempt to give a very high level introduction to something that requires significant study to really understand.\n\nEssentially SPARQL is to the Semantic Web and Knowledge Graphs as SQL is to relational databases. Just as SQL can do more than just query, it can also assert new information into a database, so SPARQL can as well. The current SPARQL plugins for Protégé are somewhat limited and don't support the statements such as INSERT for entering new data so we will just cover the basics of using SPARQL as a query language but keep in mind there is a lot more to it than what we briefly cover here.\n\n#### 9.21 Some SPARQL Pizza Queries\n\nTo start with go to the SPARQL Query tab. If it isn't already there you can as always add it using Window>Tabs>SPARQL Query. This tab consists of two views, the top which holds the query and the bottom which holds the results. There should be some text already there. It may look confusing, but we'll explain it. Just to start with hit the Execute button at the bottom of the tab. You should see a bunch of classes and class expressions returned.", - "page_start": 67, - "page_end": 67, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Acronym | Description |\n| --- | --- |\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |\n\n*Table 1-2: Abbreviations and Acronyms*", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "| Individuals by class | × DL Query | x SWRLTab SPARQL Query | SHACL Editor | × Minimal SHACL Editor | | × |\n| --- | --- | --- | --- | --- | --- | --- |\n| Active ontology | | Classes Object properties | | × Data properties | | × |\n| Class团团目回区 | SHACL editor: | | | | 0808 | |\n| | Open Save | Validate | | | | |\n| owl: I hing | @prefix rdf: | . | | | | |\n| Person | | | | | | |\n| = Customer | @prefix sh: | . | | | | |\n| Employee | @prefix xsd: | . | | | | |\n| Pizza | @prefix rdfs: | . | | | | |\n| | | @prefix pizza: . | | | | |\n| PizzaBase | | | | | | |\n| PizzaTopping | @prefix owl: | . | | | | |\n| Spiciness | | | | | | |\n| | pizza:EmployeeShape | | | | | |\n| | a sh:NodeShape ; | | | | | |\n| | | sh:targetClass pizza:Employee ; # Applies to all employees | | | | |\n| | sh:property [ | # :b0 | | | | |\n| | | sh:path pizza:ssn ; # constrains the values of pizza:ssn | | | | |\n| | sh:minCount 1 ; | | | | | |\n| | sh:maxCount 1 ; | | | | | |\n| | ] : | | | | | |\n| | sh:property [ | # :bl | | | | |\n| Direc 2 11 = □ 区 | | # constrains the values of pizza:ssn | | | | |\n| | | sh:path pizza:ssn ; | | | | |\n| | | sh: datatype xsd: string ; | | | | |\n| For: ● Employee | | sh:pattern \"^\\\\d{3}-\\\\d{2}-\\\\d{4}$\" ; | | | | |\n| | | sh:severity sh:Warning ; | | | | |\n| Chef | ] ; | | | | | |\n| Manager | | sh:property [ : : 2 | | | | |\n| Waiter1 | | | | | | |\n| Waiter2 | SHACL constraint violations: unknown | | | | 四号回网 | |\n| | Severity | SourceShape Message | FocusNode | Path | Value | |\n| | | | | Полавности подати 14 Сенти Informance | | ! |\n\nNow hit the Validate button. You should see several messages displayed in the long SHACL constraint violations view at the bottom. If you had the Employee class selected when you clicked on Validate, then this view should now read: SHACL constraint violations: 5/8. This means that there were 8 constraint violations and 5 of them were on instances of the Employee class. You can see the violations that apply to each Employee by clicking on each individual. You can resize the various columns in this view which is helpful to view the information you need. The most useful data is in the Message, Path, and Value columns. All the other columns such as Severity and Source can be made as small as possible to make more room for those other columns. If you do this and click on the Chef individual you will see that she has one constraint violation. See figure 11.2.\n\nYou can see that the Chef individual has 2 values for the ssn property which is more than allowed. If you examine the Chef individual in the Individuals by class view you will see that this is indeed the case.", - "page_start": 79, - "page_end": 79, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "# **Document indexing**\n\n*Document indexing* is used for reports that contain logical items, such as customer name or number. Each of the items in a report can be individually indexed on values, such as account number, customer name, and balance. Content Manager OnDemand supports up to 128 index values per item. With document indexing, the user is not necessarily required to know about reports or report cycles to retrieve a document from Content Manager OnDemand.\n\n# **Report indexing**\n\n*Report indexing* is used for reports that contain many pages of the same type of data, such as a transaction log. Each line in the report usually identifies a specific transaction, and it is not cost-effective to index each line. Content Manager OnDemand stores the report as groups of pages and indexes each group.\n\nWhen reports include a sorted transaction value (for example, transaction date and number), Content Manager OnDemand can index the data on the transaction value. This indexing is done by extracting the beginning and ending transaction values for each group of pages and storing the values in the database. This type of indexing lets users retrieve a specific transaction value directly.\n\n# **1.3 Content Manager OnDemand server and its components**\n\nOn IBM z/OS® and Multiplatforms (MP) systems, the Content Manager OnDemand server can be implemented as a library server and one or more object servers that are on one or more nodes that are connected to a Internet Protocol network. For the Content Manager OnDemand system overview, see Figure 1-1 on page 5.\n\n# **1.3.1 Library server and object server**\n\nA Content Manager OnDemand *library server* maintains two sets of database tables:\n\n- - The first set of database tables contains indexes about the reports that are stored in the Content Manager OnDemand Archive.\n- - The second set of database tables contains information about the objects that are defined to the system, such as users, groups, printers, application groups, applications, folders, cabinets, and storage sets.\n\nThe database manager provides the database engine and utilities to administer the database. The library server processes client logons, queries, and print requests and updates to the database. The major functions that run on the library server are the request manager, the database manager, and the server print manager.\n\nA Content Manager OnDemand *object server* maintains documents on cache storage volumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM on z/OS systems, or ASM on IBM i systems, allow hierarchical storage management techniques to be applied to the stored documents. An object server loads data, retrieves documents, and expires documents. The major functions that run on an object server are the cache storage manager, data loading and maintenance programs, and optionally, the ASM.\n\nThe basic Content Manager OnDemand configuration is a library server and an object server on the same physical system or node. This single library or object server configuration supports the database functions and cache storage on one system. You can add an ASM to the single library or object server configuration to maintain documents on archive media.", - "page_start": 33, - "page_end": 33, - "source_file": "sg246915.pdf" - }, - { - "text": "### **3.7 SPARQL Manager**\n\nThe SPARQL Manager provides a graphical user interface (GUI) for sending user defined queries to the Virtuoso SPARQL query engine.\n\nThe powerful SPARQL Protocol and RDF Query Language are primarily aimed at professionals for querying metadata as Linked Data. A basic knowledge of the DCAT-AP specification is highly recommended.\n\nIn the future, users of the SPARQL Manager will be able to save their queries for scheduled execution. Additionally a notification will be send to the user when a result has changed.\n\nClicking the info icon in the upper right corner will display a step-by-step walkthrough of all components with a short info about their function.\n\nThis is possible in both of modes of the SPARQL Manager, the search and the assistant mode, which will be described in the following sections.\n\n| Newsletter FAQ Search Contact Cookies Legal notice Login | | | | | English (en) | > |\n| --- | --- | --- | --- | --- | --- | --- |\n| PORTAL | | | | Search site content ... | | ರ |\n| European Data Portal > Home | | | | | | |\n| 0 What we do ▼ Data - | | Using Data ▼ | Providing Data - | | Resources - | |\n| Search with SPARQL-Query | | | | | | |\n| Search for metadata in the European Data Portal triple store using SPARQL queries. | | | | | | |\n| The SPARQL manager sends user defined SPARQL queries to the Virtuoso SPARQL query engine. | | | | | | |\n| SPARQL specifications can be found on the W3C web site Please note that this is a tool for SPARQL experts. | | | | | | |\n| 0 Prefixes | | | | Examples: | | |\n| | | Number of datasets | | | | |\n| 1 SELECT (count(*) AS ?count) WHERE { { ?s a dcat:Dataset } } LIMIT 100 | | | | | | |\n| | | All dataset URIs | | | | |\n| | | Categories/themes and their number of | | | | |\n| | | datasets | | | | |\n| Format > | RDF/XML | | Q Execute the SPARQL query. | | | |\n| Limit | 100 | > | | | | |\n\n#### **3.7.1 SPARQL Search**\n\nIn this mode you can load some predefined example queries from the right side into the editable text area to introduce yourself with the very basic SPARQL syntax. Limiting the number of returned results is possible by selecting a value from the Limit-dropdown or by editing the query directly. Furthermore the format for the result can be selected. After clicking the Search-Button the result is displayed in Result data preview area below. The preview may be truncated depending on the size of the result. The complete result could always be downloaded as a file by clicking the Download-link on the right side.", - "page_start": 53, - "page_end": 53, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Documents are identified (indexed) by date, with one or more other fields, such as customer name, customer number, or invoice number. A date is optional but highly recommended for optimizing document search performance.\n\nOur example fictitious company, AFinancial Co, prints customer credit card statements monthly. This report, the customer credit card statements (Customer Statements), consists of thousands of individual customer statements. The company also prints transaction logs monthly. This second report, the transaction log (Transaction Report), contains thousands of customer transactions per month. The company must load these two reports into Content Manager OnDemand so that their data can be stored, then easily searched, retrieved, and viewed later. Let us look at how these two large reports might be broken up into individual Content Manager OnDemand documents.\n\nReports are \"loaded\" into the Content Manager OnDemand system. A Content Manager OnDemand application describes how the report will be divided into documents. Figure 1-2 on page 8 illustrates two reports, their associated Content Manager OnDemand applications, and documents. Let us look at how the associated applications divide the reports into Content Manager OnDemand documents.\n\nThe first report that we look at is the Customer Statements report. For this example, the report consists of 63,097 individual customer statements. An administrator can define a \"*Statement application*\" for this report that breaks up the report into logical documents. The Statement application uses the document indexing method to divide the report into documents that are based on customer name or customer number. Each statement in the report becomes a document in Content Manager OnDemand. Users can retrieve a statement by specifying the date and any combination of customer name and number.\n\nCertain reports might not have a logical way of breaking up into individual documents. For example, the Transaction Report is not sorted by customer name or number. The report is generated based on the transactions of the day and time, and the customers that are associated with the transactions. In this case, we can break up the report into groups of pages. An administrator can define a \"*Trans application*\" for the report that contains lines of sorted transaction data. The Trans application uses the report indexing method to divide the report into documents. Each group of 100 pages in the report becomes a document in Content Manager OnDemand. Each group is indexed by using the first and last sorted transaction values (transaction date and number) that occur in the group. Users can retrieve the group of pages that contains a specific transaction number by specifying the date and the transaction number. Content Manager OnDemand retrieves the document that contains the value that is entered by the user.\n\nTo summarize this example, as shown in Figure 1-2 on page 8:\n\n- - Customer Statements report: Contains all customer statements for a month. Customer Statements documents: Each customer statement is a document.\n- - Transaction Report: Logs all transactions as they occur for a month. Transaction Report documents: Every 100 pages of the report are a document.", - "page_start": 30, - "page_end": 30, - "source_file": "sg246915.pdf" - }, - { - "text": "#### **3.7.3 SPARQL Saving/Modifying a Query**\n\n| EUROPEAN | | Newsletter FAQ Search Contact Cookies Legal notice Login | | | English (en) | > |\n| --- | --- | --- | --- | --- | --- | --- |\n| DATA PORTAL | | | | Search site content ... | | ರ |\n| European Data Portal > Home | | | | | | |\n| C What we do ▼ | Data ▼ | Providing Data - | Using Data ▼ | | Resources - | |\n| Query details | | | Query Results | | | i |\n| Query name | Public query | | | | | |\n| | | नेंद्र | Creation time | | | |\n| SPARQL query | SELECT ?theme (count(?theme) AS ?count) WHERE {?s a dcat:Dataset . ?s dcat:theme ? | | 50 2018-03-01 | | 0 Details | |\n| theme} | GROUP BY ?theme LIMIT 100 | | 51 2018-03-02 | | 0 Details | |\n| | | | Next run | | | |\n| Format | RDF/XML | > | disabled | | | |\n| Query comment | Query comment | | | | | |\n| Enabled 0 | | | | Q Search | | |\n| ਨ Public | | | | | | |\n| Back | | | | | | |\n\nOnce a user is logged-in, he/she has the oppotunity to save custom queries. A corresponding name and the actual query as well as a result format have to be provided.\n\nThe user may as well enter an email address in order to receive a notification email from the system and a comment which describes the query.\n\nSelecting a schedule string lets the query run automatically if the checkbox \"Enabled\" is selected.\n\nIf the user likes to share and lets other users see the query he/she may select the \"Public\" checkbox.\n\nThe same page will be displayed if the user decides to modify one of his/her queries. A list of all results on the right side lets the user decide which result he/she likes to display.", - "page_start": 55, - "page_end": 55, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **10.1 Introduction**\n\nFor this chapter, unless explicitly stated otherwise, the term \"data\" is used to refer to the report data, the extracted documents or segments, and their related indexes and the extracted resources.\n\nA Content Manager OnDemand system logically stores data in *application groups*. An application group is defined by the Content Manager OnDemand administrator. It consists of data that has the same indexing, data storage, and expiration requirements. The application group definition also specifies where the report and document data are stored, how long the data is stored, and how the data expires. The method or methods that can be used to expire the data are a function of the application group parameters that are defined before the data is loaded into Content Manager OnDemand. In a Content Manager OnDemand system, data typically goes through a lifecycle of loading, storing, migration, and an expiration process.\n\n# **10.2 Loading and storing the data**\n\nThe Content Manager OnDemand architecture allows the control and management of the data throughout its lifecycle. The data lifecycle begins with running an efficient load process. Each load process invocation ingests report data for a specified application group.\n\nDuring a load process, Content Manager OnDemand stores report (document) data, its resources, and index data, as shown in Figure 10-1.\n\nFigure 10-1 Data and index storage locations\n\nThe Content Manager OnDemand load process identifies, segments, and compresses groups of documents into storage objects that are then stored in the Content Manager OnDemand archive, as illustrated in Figure 10-1. To improve the efficiency of the storage process, Content Manager OnDemand aggregates the stored documents (typically a few kilobytes in size) into storage objects. This aggregation provides efficient, high-volume storage, retrieval, and expiration performance.", - "page_start": 243, - "page_end": 243, - "source_file": "sg246915.pdf" - }, - { - "text": "| | JPEAN | | Newsletter FAQ Search Contact Cookies Legal notice Login | | English (en) | > |\n| --- | --- | --- | --- | --- | --- | --- |\n| DATA PORTAL | | | | Search site content ... | | ರ |\n| European Data Portal > Home | | | | | | |\n| 合 | What we do ▼ | Data - | Providing Data - | Using Data - | Resources - | |\n| SPARQL assistant | | | | | | i |\n| Search for keyword in | | - field | - Category / theme | - Distribution format | | |\n| | Only count number of results | | | | | |\n| Prefixes | | | | | | 0 |\n| 1 | | SELECT (count(*) AS ?count) WHERE { { ?s a dcat:Dataset } } LIMIT 100 | | | | |\n| Format | RDF/XML | | > | Q Execute the SPARQL query. | | |\n| Limit | 100 | | > | | | |\n\nThe SPARQL assistant extends the functionality of the simple SPARQL search described in the previous section. More complex queries for datasets could be built by clicking several options in the GUI.\n\n- 1. Category/Theme\nSelect one or more Categories/Themes defined in the DCAT-AP standard to filter the results. Datasets will only be listed in the result if they belong to all selected categories/themes.\n\n- 2. Distribution format\nDatasets can contain distributions in different formats. You can select one or more formats to exclude datasets from the result which distributions do not contain the desired formats. If your format selection by the DCAT-AP standard is to strict you may enter a custom format string at the bottom of the list, which will result in a simple text comparison in the format label field.\n\n- 3. Search for keyword\nEnter a search term which must be found in the dataset. You can limit this to the title or the description. By enabling both options the term has to occur in the title and the description.\n\n- 4. Count number of results\nBy clicking the \"only count number of results\" option, only the number of results that matches the SPARQL query is returned.", - "page_start": 54, - "page_end": 54, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "**Important:** Folder queries that use filter fields alone result in a sequential scan through database tables. An index field must always be included in folder queries. For more information about folders, see 3.1.4, \"Folders\" on page 54.\n\nA thorough understanding of the way that users search for documents in the system is required before you determine the fields that will be indexes and the fields that will be filters. Only fields that will be heavily used when users are searching for and retrieving documents need a type of index. An index field will always be included in a folder query.\n\n**Note:** Date fields are almost always defined as filters, not indexes.\n\n### *Segment*\n\n*Segment* is the date or date and time field that is used to limit the number of tables that are searched during a folder query. By using a segment date to limit folder queries to a single table or a limited set of tables, performance is improved. The segment date is especially important for application groups that contain a large amount of data.\n\nIf the expiration type is segment, Content Manager OnDemand also uses the segment field to determine when to delete data from the application group. You might specify only one segment field for each application group.\n\n**Note:** The date field that is used for the segment date must always have a type of *filter*. By default, an index is created for the segment date, and setting the segment date to a type of index creates unnecessary processing.\n\n# *Application ID field*\n\nThe application ID field is used to identify an application within an application group when you create an application group that contains more than one application. The database mapping fields are used to map the value to be stored in the database as the label that is displayed for folder queries and in the subsequent query hit list. A query can be made against a specific application in an application group or against all of the applications in an application group.\n\n# **3.1.3 Applications**\n\nAn application defines the data to index and load. An application associates the data with an application group and specifies the type of indexing process to perform on the data. It also defines any logical views to be put in place for users and determines any special print options to use with the data. In this section, we consider several of the load information attributes that are defined for an application.\n\n# **Load Information tab**\n\nThe Load Information tab specifies the processing and resource information that the Content Manager OnDemand loader uses to load the input data onto storage volumes and to load the associated index data into the database.", - "page_start": 74, - "page_end": 74, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is the function of the Graphical Data Visualisation Tool module ?", - "target_page": 6, - "target_passage": "How to visualize graphical data from a dataset resource ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "### **3.4 Graphical Data Visualisation Tool**\n\nThis section describes the features of the graphical visualisation tool for numeric data. The features are currently available for XLS (Excel) and CSV files, except for the selection of the sheet name which is applicable only for Excel files.\n\nMost GUI elements from the \"Graph\" tab (records selection, search box, filters and fields buttons) are also available on the \"Grid\" tab and work in the same way.\n\n#### **3.4.1 How to visualize graphical data from a dataset resource**\n\nAs a result of a dataset search, the system displays on the \"Dataset\" tab all distributions (resource/data files) that are part of the selected dataset. Each XLS or CSV distribution of the dataset can be further explored by clicking on \"Open Visualization\" under the \"Options\" button – if available.\n\n| C | What we do ▼ Data ▼ Using Data · | Providing Data · | Resources · |\n| --- | --- | --- | --- |\n| | Dataset Categories Similar Datasets | | Feedback |\n| | English Indices of Deprivation 2010 | | |\n| | 2 data.gov.uk | | Updated: - |\n| | The English Indices of Deprivation 2010 provide a relative measure of deprivation at small area level across | | |\n| | England. Areas are ranked from least deprived to most deprived on seven different dimensions of deprivation and | | |\n| | an overall composite measure of multiple deprivation. Most of the data underlying the 2010 Indices are for the | | |\n| | year 2008. The domains used in the Indices of Deprivation 2010 are: income deprivation; employment deprivation; | | |\n| | health deprivation and disability; education deprivation; crime deprivation; barriers to housing and services | | |\n| | deprivation; and living environment deprivation. Each of these domains has its own scores and ranks, allowing | | |\n| | users to focus on specific aspects of deprivation. In addition, two supplementary indices measure income | | |\n| | deprivation amongst children - the Income Deprivation Affecting Children Index (IDACI) - and older people - the | | |\n| | Income Deprivation Affecting Older People Index (IDAOPI). | | |\n| i | An updated translation of this dataset is in progress. | | × |\n| | Distributions (19) | | |\n| xr2 | 2010: Supplementary indices children & older people Options | | Download ~ |\n| | Licence: open-government-licence Open Visualisation | | |\n| CSV | 2010: All domains, sub domains & supplementary indices Options V | | Download v |\n| | Licence: open-government-licence | | |\n| ਮਾਟ | 2010: Sub-domains barriers to housing & services Options V | | Download v |", - "page_start": 42, - "page_end": 42, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "### **3.3 Visualization of Geo-Spatial Data (map.apps)**\n\nThe visualization of geo-spatial data within the European Data Portal provides previewing functionality for spatial open data. The aim is to allow the user to assess if a dataset meets specific requirements in terms of spatial and thematic coverage. The functionality that is provided in the header (links to disclaimers and language switching) is consistent in the entire portal.\n\n#### **3.3.1 How to visualize geo-spatial data from a dataset resource**\n\nAccessing the geo-spatial visualization is achieved via the Data Platform interface. A user searches for specific data, enters the dataset view of reasonable results and displays the available distributions (see Section 3.2.5). If a dataset distribution is supported by the geo-spatial visualization, a globe button is displayed (see Figure 3). This is the entry point into the map viewer application. Supported formats are OGC Web Map Service (WMS) and GeoJSON. If the user visits the geo-spatial visualization for the first time, an interactive user tutorial is provided to guide the use through specific functions of the user interface, similar to this written user manual.\n\n| C | What we do ~ Providing Data T Using Data ▼ Resources ' | Data ▼ |\n| --- | --- | --- |\n| | Dataset Categories Similar Datasets Feedback | |\n| | Erfassung des Seehundbestandes im Niedersächsischen | |\n| | Wattenmeer 2018 (UIG) Monitoring of Common seals in the | |\n| | Wadden Sea of Lower Saxony 2018 | |\n| | GovData Updated: - | |\n| | Erfassung des Seehundbestandes im Niedersächsischen Wattenmeer 2018. Der Seehundbestand im | |\n| | Niedersächsischen Wattenmeer wird jährlich ermittelt. Dazu werden in den Sommermonaten (Mai - September) | |\n| | Zählflüge durchgeführt. Während dieser Monate vollziehen sich Geburt, Aufzucht der Jungtiere und Haanwechsel bei den Seehunden. Die Zählungen erfolgen bei Niedrigwasser. Zu dieser Zeit ruhen die Seehunde auf den | |\n| | trockengefallenen Liegeplätzen. Die Zählungen sind trilateral über den 'Seal Management Plan' koordiniert. Die | |\n| | Daten sind Bestandteil des Trilateral Monitoring and Assessment Program (TMAP). Monitoring of Common seals in the Wadden Sea of Lower Saxony 2018. The common seal population in the Wadden Sea of Lower Saxony is | |\n| | annually determined by aerial surveys at low tides during the summer months (May - September). In this period | |\n| | whelping, nursing and moulting of the seals take place. The counts are trilaterally coordinated according to the | |\n| | 'Seal Management Plan'; the data are part of the Trilateral Monitoring and Assessment Program (TMAP). | |\n| | An updated translation of this dataset is in progress, × | |\n| | Distributions (11) | |\n| | WFS: GetCapabilities (2.0.0) Download v | |\n| | No Licence Provided | |\n| | WMS: GetCapabilities (1.3.0) Options Download v | |\n| | No Licence Provided ben Geo-Visualization | |\n| | WMS: GetCapabilities Options V Download v | |\n| | No Licence Provided | |\n| XML | XML-Metadaten: Erfassung des Seehundbestandes im Niedersächsischen Watte ... Download v | |\n| | No Licence Provided | |\n| | spaettet-s ... umweltüber .. fauna inspireide_ nordsee | environmen. |\n| | wadden-sea. biologie phoca-vitu_ inspire common-sea .. | gewone-zee. |\n| | nationalpa ... niedersäch. opendata | meeressäug .. |\n| | Dataset Extent | |\n| | + | |\n\n*Figure 3 – Dataset Resource Page with Link to Geo-Spatial Visualisation.*", - "page_start": 37, - "page_end": 37, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **Portal Version 4.3 – User Manual**\n\n*V1.0*\n\n*October 2019*\n\n# **Table of Contents**\n\n| 1 | Introduction 4 |\n| --- | --- |\n| 1.1 | Purpose of the Document 4 |\n| 1.2 | Reference Documents 4 |\n| 1.3 | Terminology 4 |\n| 2 | Approach 6 |\n| 3 | Main User Functions of the Portal 6 |\n| 3.1 | Portal Home Page 8 |\n| 3.1.1 | How to browse through the Editorial Content of the Portal 10 |\n| 3.1.2 | How to view / search for \"Latest News\" 17 |\n| 3.1.3 | How to view / search for \"Open Data Events\" 18 |\n| 3.1.4 | How to subscribe to the EDP Newsletter 19 |\n| 3.1.5 | How to view \"Tweets\" on the EDP 20 |\n| 3.1.6 | How to switch to another User Language 21 |\n| 3.1.7 | How to search for EDP Site Content 22 |\n| 3.1.8 | How to Search for Datasets by Data Category 23 |\n| 3.1.9 | How to Search for Datasets by Keyword 25 |\n| 3.2 | Datasets (Data Platform) 26 |\n| 3.2.1 | Entering the Datasets-View 27 |\n| 3.2.2 | How to filter datasets by using \"Faceted Search\" 27 |\n| 3.2.3 | How to store personal queries 29 |\n| 3.2.4 | How to filter datasets by geographical area 31 |\n| 3.2.5 | How to download dataset distributions 33 |\n| 3.2.6 | How to view licensing information 34 |\n| 3.2.7 | How to switch to another user language 36 |\n| 3.2.8 | How to browse by data catalogues 37 |\n| 3.3 | Visualization of Geo-Spatial Data (map.apps) 38 |\n| 3.3.1 | How to visualize geo-spatial data from a dataset resource 38 |\n| 3.4 | Graphical Data Visualisation Tool 43 |\n| 3.4.1 | How to visualize graphical data from a dataset resource 43 |", - "page_start": 1, - "page_end": 1, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **2 Approach**\n\nThe approach used for this User Manual was based on the identification of the main user functions of the Portal and the description of each function from the user's perspective in terms of \"*How to*…\".\n\nEach main function documentation consists of a screen snapshot, the steps required to execute the function and optionally a screenshot with the results.\n\n# **3 Main User Functions of the Portal**\n\nThis section describes all of the main user functions supported by the Portal Version 3.0.\n\n| The table 1-3 below lists the described functions by module. |\n| --- |\n\n| | Module Name | Function |\n| --- | --- | --- |\n| 1 | Portal HomePage | - How to browse through the Editorial Content Data) - How to view / search for \"Latest News\" - How to view / search for \"Open Data Events\" |\n| | | (how to access Resources on Open Data: eLearning |\n| | | modules, Training Companion, Reports about Open |\n| | | - How to subscribe to the EDP Newsletter |\n| | | - How to view \"Tweets\" on the EDP |\n| | | - How to switch to another User Language |\n| | | - How to search for EDP Site Content |\n| | | - How to search for Datasets by Data Category |\n| | | - How to search for Datasets by Keyword |\n| 2 | Datasets (Data Platform) | Entering the Datasets-View |\n| | | How to filter datasets by using \"Faceted Search\" |\n| | | How to store personal queries |\n| | | How to filter datasets by geographical area |\n| | | How to download dataset distributions |\n| | | How to view licensing information |\n| | | How to switch to another user language |\n| | | How to browse by data catalogues |\n| 3 | Visualization of Geo-Spatial | How to visualize geo-spatial data from a dataset resource |\n| | Data (map.apps) | |\n| 4 | Graphical Data Visualisation | How to visualize graphical data from a dataset resource |\n| | Tool | |\n| 5 | Help Desk | How to contact The Portal's Help Desk |\n| 6 | Metadata Quality Assurance | Monitoring tool for the metadata quality: |\n| | (MQA) | ‐ The Global Dashboard View |\n| | | ‐ The Catalogue details view |\n| 7 | SPARQL Manager | How to run SPARQL Queries using: |\n| | | - SPARQL Search |", - "page_start": 5, - "page_end": 5, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "After clicking on the \"Open Visualization\" button, the user should execute the following steps:\n\n#### **Step 1: Select a Sheet Name**\n\nThe Portal is parsing the XLS file and lists all available worksheets. Select one of the sheets contained in the XLS file.\n\n| Sheet Names: |\n| --- |\n| Notes |\n| Select a sheet |\n| Notes |\n| IDACI and IDAOPI |\n\n#### **Step 2: The Grid View**\n\nThe grid appears once the user has clicked on a file name (and a sheet name in case of an Excel file).\n\n| Sheet Names: | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| IDACI and IDAOPI | | | | | | | | | | | V |\n| Grid Graph | | 32482 record(s) | 1 રર | 100 | » | Q | Search data ... | | Go » | Filters | Fields |\n| LSOA | PRE 200 ... | PRE 200 ... | POST 2 ... | POST 2 ... | GOR CO ... | GOR NA ... | IDACI s ... | Rank of ... | IDAOPI ... | Rank of ... | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.04 | 28761 | 0.00 | 32456 | |\n| E01000 ... | 00AA | City of L ... | 00AA | City of L ... | H | London | 0.00 | 32415 | 0.03 | 32339 | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.19 | 13938 | 0.18 | 14932 | |\n| E01000 ... | 00AA | City of L ... | 00AA | City of L ... | H | London | 0.05 | 27689 | 0.07 | 29527 | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.29 | 8404 | 0.35 | 4973 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.21 | 12445 | 0.18 | 15003 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.46 | 3011 | 0.39 | 3309 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.64 | 463 | 0.41 | 2925 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.25 | 10525 | 0.41 | 6688Z | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.56 | 1217 | 0.38 | 3872 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.35 | 6267 | 0.39 | 3389 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.53 | 1601 | 0.29 | 7732 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.43 | 3853 | 0.33 | 5529 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.38 | 5189 | 0.33 | 5801 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.44 | 3645 | 0.32 | 5887 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.32 | 7495 | 0.29 | 7297 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.40 | 4560 | 0.37 | 3991 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.39 | 5031 | 0.28 | 7984 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.38 | 5273 | 0.31 | 6382 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.32 | 7482 | 0.36 | 4455 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.43 | 3949 | 0.36 | 4639 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.30 | 8175 | 0.35 | 4798 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.49 | 2416 | 0.32 | 5962 | す |", - "page_start": 43, - "page_end": 43, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "The two buttons on the bottom right of the map viewer (see Figure 7) can be used to display an informational disclaimer and to start the user interface tutorial.\n\n*Figure 7 – Disclaimer and tutorial buttons.*\n\nIn some cases the user might experience the display of an error message. The geo-spatial visualization tries to support all flavors of external services but cannot guarantee to work with broken services. In these situations an error message dialog is presented and the user can decide if a support ticket shall be opened (see Figure 8).", - "page_start": 40, - "page_end": 40, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "*Figure 5 – Feature Info tool.*\n\nThe different displayed layers can be examined using the \"Legend\" tool. If the external service provides legend graphics, the user can interpret the given symbology and temporarily disable the display of layers (see Figure 6).\n\n*Figure 6 – Legend tool.*", - "page_start": 39, - "page_end": 39, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **4 Using the system**\n\nThis section provides a description of the various functions of the system represented by each tab indicated in section 3.2.3 above.\n\n# **4.1 Data Entry**\n\nThe data entry tab provides the function to **input data** into the system through the use of **grids**. To display the grid, a node has to be selected from the **navigation tree**. (Figure 23)\n\n# **4.2 Navigation tree**\n\nTo expand or collapse the tree, click on the or signs in front of the nodes, respectively. You can also expand or collapse the entire tree by clicking the plus and minus signs at the bottom of the tree.\n\n# **4.3 Grids**\n\nEach node on the navigation tree has a corresponding **grid**.\n\nA grid includes elements required for reporting information such as activity data, other relevant information, and emissions/removals data.", - "page_start": 16, - "page_end": 16, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### **Step 3: The Graph Tab**\n\nClick on the graph tab in order to display the corresponding graph.\n\n- 1. Selection of the sheet name\n- 2. Button to go back to the \"Grid\" view\n- 3. Selection of a range of data records\n- 4. Search box\n- 5. Filters button to open the filters form\n- 6. Fields button to open the fields box\n- 7. Select box to select the graph type\n- 8. Select box to select the group column (Axis 1)\n- 9. Select box to select the series A (Axis 2)\n- 10. Button to add series", - "page_start": 44, - "page_end": 44, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Figure 11.3 Gruff Visualization of the EmployeeShape\n\nFigure 11.4 Gruff Visualization of the CustomerShape", - "page_start": 81, - "page_end": 81, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "How to view “Tweets” on the EDP ?", - "target_page": 20, - "target_passage": "The Home Page displays the latest tweets on the European Data Portal in the “Tweets” panel on the right hand side. ‐ ‐ Click on any of the tweets to display the complete tweet on twitter. Scroll vertically to see previous tweets. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### **3.1.5 How to view \"Tweets\" on the EDP**\n\nThe Home Page displays the latest tweets on the European Data Portal in the \"Tweets\" panel on the right hand side.\n\n- ‐ **Click on any of the tweets to display the complete tweet on twitter.**\n- ‐ **Scroll vertically to see previous tweets.**", - "page_start": 19, - "page_end": 19, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **Portal Version 4.3 – User Manual**\n\n*V1.0*\n\n*October 2019*\n\n# **Table of Contents**\n\n| 1 | Introduction 4 |\n| --- | --- |\n| 1.1 | Purpose of the Document 4 |\n| 1.2 | Reference Documents 4 |\n| 1.3 | Terminology 4 |\n| 2 | Approach 6 |\n| 3 | Main User Functions of the Portal 6 |\n| 3.1 | Portal Home Page 8 |\n| 3.1.1 | How to browse through the Editorial Content of the Portal 10 |\n| 3.1.2 | How to view / search for \"Latest News\" 17 |\n| 3.1.3 | How to view / search for \"Open Data Events\" 18 |\n| 3.1.4 | How to subscribe to the EDP Newsletter 19 |\n| 3.1.5 | How to view \"Tweets\" on the EDP 20 |\n| 3.1.6 | How to switch to another User Language 21 |\n| 3.1.7 | How to search for EDP Site Content 22 |\n| 3.1.8 | How to Search for Datasets by Data Category 23 |\n| 3.1.9 | How to Search for Datasets by Keyword 25 |\n| 3.2 | Datasets (Data Platform) 26 |\n| 3.2.1 | Entering the Datasets-View 27 |\n| 3.2.2 | How to filter datasets by using \"Faceted Search\" 27 |\n| 3.2.3 | How to store personal queries 29 |\n| 3.2.4 | How to filter datasets by geographical area 31 |\n| 3.2.5 | How to download dataset distributions 33 |\n| 3.2.6 | How to view licensing information 34 |\n| 3.2.7 | How to switch to another user language 36 |\n| 3.2.8 | How to browse by data catalogues 37 |\n| 3.3 | Visualization of Geo-Spatial Data (map.apps) 38 |\n| 3.3.1 | How to visualize geo-spatial data from a dataset resource 38 |\n| 3.4 | Graphical Data Visualisation Tool 43 |\n| 3.4.1 | How to visualize graphical data from a dataset resource 43 |", - "page_start": 1, - "page_end": 1, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "#### **3.1.7 How to search for EDP Site Content**\n\nIn order to search within the Portal's site content (i.e. editorial content, articles, events, reports etc.), **enter any keyword in the \"Search site content\" text box and click on the button**.\n\n| | EUROPEAN | | Newsletter FAQ Search Contact Cookies Legal notice Login | English (en) |\n| --- | --- | --- | --- | --- |\n| | DATA PORTAL | | Search site content ... | |\n| European Data Portal | | | | |\n| What we do - | | Data - | Providing Data▼ Using Data - | Resources - |\n\nThe site will display all matching content found (here for keyword \"Brussels\"):\n\n| | | Newsletter FAQ Search Contact Cookies Legal notice English (en) > |\n| --- | --- | --- |\n| | | Search site content ... ರ |\n| European Data Portal > Search | | |\n| f What we do - | Providing Data - | Data - Using Data - Resources - |\n| Search | | |\n| Current search | | Brussels ರ Sort by V |\n| Search found 164 item(s) | | |\n| Brussels | | |\n| | | @ Reqister for European Week of Regions and Cities |\n| | | Brussels, Belgium 03/10/2019 If you haven't already, save the date and join the European Week of Regions and .. |\n| | | Cities (EWRC) in Brussels, Belgium on 7 to 10 October 2019 next week. EWRC is an annual four-day event ... |\n| Filter by content type: | | |\n| EDP Events (68) | | Two weeks until the European Week of Regions and Cities |\n| | | Brussels, Belgium! 26/09/2019 Save the date and join the European Data Portal (EDP) at the European Week of .. |\n| Article (50) | | in EU policymaking. This year, the event will be held in Brussels, Belgium on 7 to 10 October 2019 |\n| 因 Document (33) | | @ Save the date: Connected Mobility Summit 2019 |\n| 트 Simplenews newsletter | | organisation based in Brussels, Belgium that covers politics and policy from across the European Union and .. |\n| (7) | | |\n| | | European Week of Regions and Cities |\n| Highlights (4) | | Monday, 7 October, 2019 - Thursday, 10 October, 2019 |\n| | | Brussels, Belgium |\n| Library Use Case (2) | | |\n| | | @ Open food data on the European Data Portal |\n| | | ' from data.gov.be - a dataset on the location of food trucks in the City of Brussels. ' Nutrition ... |\n\n#### **Note:**\n\nThe \"Search site content\" does **not** perform any search on datasets.\n\nIn order to search for datasets from the EDP Home page, the user should refer to section 3.2.", - "page_start": 21, - "page_end": 21, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "- 58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption? In Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012; pp. 261–270.\n- 59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring Information Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of Microposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12.\n- 60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy on twitter. In *Between the Public and Private in Mobile Communication*; Routledge: Abingdon, UK, 2017; pp. 303–323.\n- 61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. *Int. J. Press.* **2013**, *18*, 138–166.\n- 62. Papacharissi, Z.; de Fatima Oliveira, M. Affective news and networked publics: The rhythms of news storytelling on# Egypt. *J. Commun.* **2012**, *62*, 266–282.\n- 63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag sentiment classification approach. In Proceedings of the 20th ACM International Conference on Information and Knowledge Management, Scotland, UK, 24–28 October 2011; pp. 1031–1040.\n- 64. Laniado, D.; Mika, P. Making sense of twitter. In Proceedings of the International Semantic Web Conference 2010, Shanghai, China, 7–11 November 2010; pp. 470–485.\n- 65. González-Ibánez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings of the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies: Short Papers—Volume 2, Portland, OR, USA, 19–24 June 2011; pp. 581–586.\n- 66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on twitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona, Spain, 17–21 July 2011.\n- 67. Kitzie, V.; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter. In Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for the Community, St. Louis, MO, USA, 6–10 October; 2015; p. 41.\n- 68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In *Hashtag Publics. The Power and Politics of Discursive Networks*; Peter Lang: New York, NY, USA, 2015; pp. 61–76.\n- 69. Rushkoff, D. 17. Permanent revolution: Occupying democracy. In *The Playful Citizen*; Amsterdam University Press: Amsterdam, The Netherlands, 2013; p. 335.\n- 70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore hashtag. *IC Rev. Científica De Inf. Y Comun.* **2015**, *11*, 49–57.\n- 71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. *Commun. Politics Cult.* **2011**, *44*, 37–56.\n- 72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and conversations about the 2013 IPCC Working Group 1 report. *PLoS ONE* **2014**, *9*, e94785. [CrossRef]\n- 73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P.; Yan, H.; Li, X. Comparing twitter and traditional media using topic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18–21 April 2011; pp. 338–349.\n- 74. Doctor, V. Hashtag History: When and What Started It? Available online: https://www.hashtags.org/featured/ hashtag-history-when-and-what-started-it/ (accessed on 16 January 2020).\n- 75. Newman, T.P. Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the release of the Working Group I Summary for Policymakers. *Public Underst. Sci.* **2017**, *26*, 815–825. [CrossRef]\n- 76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore the ecologies of two climate change protests. *Commun. Rev.* **2011**, *14*, 197–215. [CrossRef]\n- 77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in Millions). 2019. Available online: https://www.statista.com/statistics/282087/number-of-monthly-activetwitter-users/ (accessed on 10 October 2019).\n- 78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin': Evolution of Twitter users and behavior. In Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI, USA, 1–4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "http://www.facebook.com/IBMRedbooks\n\n- - Follow us on Twitter: http://www.twitter.com/ibmredbooks\n- -Look for us on LinkedIn:\n\nhttp://www.linkedin.com/groups?home=&gid=2130806\n\n- - Explore new Redbooks publications, residencies, and workshops with the IBM Redbooks weekly newsletter:\nhttps://www.redbooks.ibm.com/Redbooks.nsf/subscribe?OpenForm\n\n- -Stay current on recent Redbooks publications with RSS Feeds:\nhttp://www.redbooks.ibm.com/rss.html", - "page_start": 20, - "page_end": 20, - "source_file": "sg246915.pdf" - }, - { - "text": "Figure 8.2 Viewing the New Instances in the Individuals by Class tab", - "page_start": 65, - "page_end": 65, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "#### **3.1.4 How to subscribe to the EDP Newsletter**\n\nOn the Portal Home Page:\n\n- ‐ **Either Click on the \"Newsletter\" item in the page header:**\nThen, on the \"Newsletter subscriptions\" page:\n\n- **Enter your E-Mail address**\n- **Click on the button \"Subscribe\"**\n\nThe system will display a notification message after successful subscription.\n\n| EUROPEAN | | Newsletter | FAQ Search Contact Cookies Legal notice Login | English (en | ▶ |\n| --- | --- | --- | --- | --- | --- |\n| DATA PORTAL | | | | Search site content ... | Q |\n| European Data Portal | | | | | |\n| What we do- | Data- | | Using Data - Providing Data- | Resources - | |\n| Search Datasets | | | | | |\n| Enter keywords ... | | Search Q | | | |\n| SPARQL Search | | | | | |\n\nOr\n\n- ‐ **Enter your email address directly in the footer and click on the \"Subscribe\" button.**\n\n| | | Newsletter | Follow us on | |\n| --- | --- | --- | --- | --- |\n| Funded by the | European Union | Stay informed on our latest news! | | in |\n| | | name@example.com | Subscribe | |\n| | | ... Help us improve | | |\n| | | | Your feedback will help us to improve the overall user experience. Any suggestions? | |\n| Last update: 14/10/2019 Version: 4.3 | | | | Newsletter FAQ Search Contact Cookies Legal notice |\n\nThe system will display a notification message after successful subscription.", - "page_start": 18, - "page_end": 18, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the \"climate change\" dataset contained the #climatechange hashtag and all the tweets in the \"global warming\" dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n#### *3.3. Measurement*\n\n#### 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for \"#cimatechange redistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic\", a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n#### 3.3.2. Temporal Analysis\n\nA temporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are different to represent the changes in the associations of key hashtags for each discourse.\n\nThe correlation between climate change and global warming discourses was measured every year to observe whether the two discourses converged or diverged over time. Considering computing power limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that year were included in the calculations. First, we measured to what extent the two discourses resemble each other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags in each network were selected with a rank order according to their centrality. Then, Spearman's rank correlation coefficient was used to examine the correlation of the rank orders of the selected nodes in the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two discourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled each other in the associations between the key hashtags for each year. For every year, we obtained the union of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "- -Access\n- -Settings\n\n# **5.2.3 Notification icons and help**\n\nTwo notification icons are in the top navigation area of the GUI (see Figure 5-11). The left icon indicates warning and error alerts that were recorded in the event log. The middle icon shows running jobs and suggested tasks. The third most right icon offers a help menu with content associated with the current tasks and the currently opened GUI menu.\n\n|\n| |\n\n*Figure 5-11 Notification area*\n\n# **Alerts indication**\n\nThe left icon in the notification area informs administrators about important alerts in the systems. Click the icon to list warning messages in yellow and errors in red (see Figure 5-12).\n\n| | | | superuser (Se |\n| --- | --- | --- | --- |\n| Events by Priority | | 게 | View All Events |\n| × | Canister fault type 2 | 10/3/2017, 4:14:00 PM | Details |\n| × | Insufficient redundancy in | 10/4/2017, 1:23:00 PM | Details |\n| disk controller connectivity | | | |\n| Unable to connect to the | | 10/5/2017, 2:43:17 PM | Details |\n| SMTP (e-mail) server | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 10/5/2017, 2:43:17 PM | Details |\n| e-mail servers | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 10/3/2017, 4:16:15 PM | Details |\n| e-mail servers | | | |\n| Unable to send e-mail to | | | |\n| any of the configured | | 9/27/2017, 11:00:33 AM | Details |\n| e-mail servers | | | |\n| Technician port cable | | 3 hours ago | |\n| detected | | | Details |\n\n*Figure 5-12 System alerts*", - "page_start": 160, - "page_end": 160, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Common AFP indexing problems**\n\nContent Manager OnDemand cannot load AFP data without indexes; therefore, you must first ensure that your AFP data is already indexed. Therefore, AFP must have Tag Logical Elements (TLEs).\n\nTable 18-4 shows the information to collect when you have problems with AFP.\n\n| Table 18-4 Information to collect for common AFP problems |\n| --- |\n\n| File | Description |\n| --- | --- |\n| Export folder, application | The export files are imported to the test server for problem replication. |\n| group, and application files | |\n| and sample data | |\n| ACIF indexer error message | This file contains the error messages that are generated by the ACIF |\n| | indexer. In z/OS, this file can be the job log, which has the indexer |\n| | information from the failed job. |\n| AFP sample data file | This file is a non-confidential data file that can be viewed by the IBM |\n| | Support team to verify the AFP syntax. |\n| AFP interim files that are | These files are created in the user's temporary directory. They are |\n| used by AFP viewer within | deleted automatically after the document is closed by AFP viewer. |\n| Content Manager | They are useful in determining whether the issue is a server or client |\n| OnDemand Windows Client | issue. In the Windows client, click File → Show Temporary File |\n| | Locations to see the names of the directories where the client stores |\n| | the data and resource files. |\n| AFP trace report | AFP viewer trace can be turned on by modifying the FTDPORT2.INI file |\n| | in the Content Manager OnDemand installation directory. For |\n| | Windows 7, the default path is shown: |\n| | C:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\bin |\n| AFP resource and font files | Sometimes, this file is useful for various AFP issues, such as overlay, |\n| | company logo, or globalized fonts. |\n\nBefore you log a problem with IBM Support, use the information in Table 18-4 to look for clues about your problem. You can check the error codes from the ACIF indexer in IBM Content Manager OnDemand - Messages and Codes, SC19-3356. You might find the solution immediately. If you have an AFP memory dump tool, you can also dump the AFP data file to check for an invalid AFP data stream, which is a common problem.\n\n**Note:** Because the AFP data stream can be printed by an AFP printer, it does not necessarily have the correct AFP structure for loading into Content Manager OnDemand. The loading of AFP data requires a more specific AFP structure than printing AFP data. IBM Content Manager OnDemand for Multiplatforms - Indexing, SC19-3354, provides information about the correct AFP data stream structure.\n\n# **18.2.2 Database**\n\nFor DB2 problems, collect the information in Table 18-5 on page 392 for problem determination.", - "page_start": 414, - "page_end": 414, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "Where can we open a document saved on OneDrive ?", - "target_page": 2, - "target_passage": "When you save this document in OneDrive, you’ll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n# Add visuals with pictures from the web\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, and then search for something, like puppy clip art.\n- 2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n### Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\n| Save As | Info | | |\n| --- | --- | --- | --- |\n| New | 1 = OneDrive - Contoso | | |\n| Recent | Open | Enter file name here | |\n| Word Document (*. docx) | Contoso | Save | More options ... |\n| OneDrive - Contoso | Save As | IrvinS@Contoso.com | |\n| Name ↑ | Print | Sites - Contoso | |\n| Share | Attachments | IrvinS@Contoso.com | |\n| Personal | Export | Forms | |\n| OneDrive - Personal | Close | My Stuff | irvinsayers 1@outlook.com |\n\nTry it: Select File > Save As, and then select OneDrive and give this document a name.\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "Save the current backup to a secure and safe location. The files can be downloaded using UNIX **scp** or **pscp** for Microsoft Windows, as shown in Example 13-3. Replace the IP address with the cluster IP address of your Storwize V7000 and specify a local folder on your workstation. In this example, we are saving to C:\\V7000Backup.\n\n*Example 13-3 Saving config backup files to your workstation*\n\n```\nC:\\putty>pscp -unsafe \nsuperuser@9.174.157.250:/dumps/svc.config.backup.* c:\\V7000backup\nUsing keyboard-interactive authentication.\nPassword:\nsvc.config.backup.bak_782 | 133 kB | 33.5 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.log_782 | 16 kB | 16.8 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.sh_7822 | 5 kB | 5.9 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.xml_782 | 105 kB | 52.8 kB/s | ETA: 00:00:00 | 100%\nC:\\putty>\nC:\\>dir V7000backup\n Volume in drive C has no label.\n Volume Serial Number is 0608-239A\n Directory of C:\\V7000backup\n24.10.2018 10:57 .\n24.10.2018 10:57 ..\n24.10.2018 10:57 137.107 svc.config.backup.bak_7822DFF-1\n24.10.2018 10:57 17.196 svc.config.backup.log_7822DFF-1\n24.10.2018 10:57 6.018 svc.config.backup.sh_7822DFF-1\n24.10.2018 10:58 108.208 svc.config.backup.xml_7822DFF-1\n 4 File(s) 268.529 bytes\n 2 Dir(s) 79.028.662.272 bytes free\n```\n\n```\nC:\\>\n```\nThe use of the **-unsafe** option enables you to use the wildcard for downloading all the svc.config.backup files in a single command.\n\n**Tip:** If you encounter Fatal: Received unexpected end-of-file from server when using the **pscp** command, consider upgrading your version of PuTTY.\n\n# **13.3.2 Saving the backup by using the GUI**\n\nAlthough it is not possible to generate an ad hoc backup, you can save the backup files by using the GUI. To do so, complete the following steps:\n\n- 1. Navigate to **Settings** → **Support** → **Support Package**.\n- 2. Click the **Manual Upload Instructions** twistie to expand it.\n- 3. Click **Download Support Package**, as shown in Figure 13-8 on page 685.", - "page_start": 705, - "page_end": 705, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Microsoft 365 PDF Accessibility**\n\nArticle • 11/26/2024\n\nMicrosoft 365 Apps for Windows including Word, Excel, and PowerPoint allow users to export documents in PDF format. Furthermore, add-ins can use the object model to automate PDF export using either the exporter built in to each app or their own exporter that implements the IMsoDocExporter COM interface.\n\nAn important part of exporting to PDF is writing PDF/UA tags that provide the semantic information to preserve the accessibility of the content. This allows people with disabilities to consume the PDF using assistive technologies such as screen readers. This documentation provides details about the PDF/UA tags written by the exporter built in to Word, Excel, and PowerPoint as well as the APIs that add-ins need to implement to provide their own exporter.\n\n### **Extending Office PDF Export**\n\nExtending Office PDF Export\n\n### **Office 2024**\n\nOffice 2024 PDF Accessibility Improvements\n\n### **Excel**\n\nExcel PDF Accessibility\n\nExcel.Workbook.ExportAsFixedFormat\n\n### **PowerPoint**\n\nPowerPoint PDF Accessibility\n\nPowerPoint.Presentation.ExportAsFixedFormat3\n\n### **Word**\n\nWord PDF Accessibility", - "page_start": 0, - "page_end": 0, - "source_file": "office-pdf.pdf" - }, - { - "text": "# **Extending Office PDF Export**\n\nArticle • 11/26/2024\n\n**Summary:** Create a COM add-in for Office 2024, Office LTSC 2024, and Microsoft 365 Version 2408 and later applications with your own logic for exporting to PDF format. The technique described requires knowledge of C++ and COM.\n\n**Applies to:** Excel, OneNote, PowerPoint, Publisher, Visio, and Word in Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 and later.\n\n### **Introduction to the Office (2024) Fixed-Format Export Feature**\n\nThis article explains how third-party software developers can hook in to the fixed-format export feature available in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 and later applications so that they can add their own exporter.\n\nThe applications include built in exporters for Microsoft XML Paper Specification (XPS) and Portable Document Format (PDF). Fixed-file formats expose the content of a document in a paginated form that is both application-independent and platformindependent.\n\nSoftware developers can add their own exporter, by writing an Office add-in that implements the **IMsoDocExporter** COM interface. This article describes **IMsoDocExporter** and its interaction with a hosting Microsoft 365 application, such as Word.\n\nFixed-format export has been available since the Office 2007 release, and this article includes information on the features that are new in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 releases.\n\nノ **Expand table**\n\n#### **Important**\n\nThe fixed-format export feature is available in all the applications listed in the preceding Applies to section. However, the discussion below uses Publisher as an example application, except in those cases where an explanation is more relevant to a different application.\n\n### **Initializing Add-Ins**", - "page_start": 2, - "page_end": 2, - "source_file": "office-pdf.pdf" - }, - { - "text": "# **Windows client viewers**\n\nThe Content Manager OnDemand Windows client contains native capabilities for viewing typical archive data types:\n\n- -Line Data and SCS\n- -AFP\n- -Images\n\nThe Windows client reflects the richest set of capabilities in terms of viewing these data types. Because it directly communicates with the Content Manager OnDemand server, we reference the Windows client for all of its features that relate to document display.\n\nThe Line Data viewer of the Windows client is the most sophisticated viewer that is available for Content Manager OnDemand from the selection of readily available viewers.\n\nThe viewing of these primary data types happens within the same application. The Windows client provides other features, such as thumbnails, and configurable and saveable views.\n\nThe Content Manager OnDemand Windows client also contains other capabilities for viewing archive data types, such as Portable Document Format (*PDF*) and *User-Defined*.\n\nStarting with Content Manager OnDemand version 9.5, for both DocType=PDF and user-defined PDF, the Windows Client will attempt to view a PDF document with Adobe Acrobat, if it is installed. If Adobe Acrobat is not installed, for DocType=PDF, Adobe Acrobat Reader will be used instead when the PDF document is viewed.\n\nBefore Content Manager OnDemand version 9.5, PDF documents can be viewed by the Windows client in two ways:\n\n- - If they are configured in the application as data type \"PDF\", the rich feature set of the AFP and Line Data viewer applies, but Adobe Acrobat Professional is required.\n- - If the data type is configured as \"User Defined\" and \".pdf\" as the extension, the documents are started externally. Therefore, you can view the documents with the no-charge Adobe Acrobat viewer or any other installed PDF viewer.\n\nAny data type can be specified as \"User Defined\", for example, Word documents (.docx). User-defined data is viewed by invoking its associated application.\n\n#### **Web-based viewing options**\n\nThe web-based viewing options for Content Manager OnDemand are provided primarily by ODWEK. ODWEK includes different viewers that are dedicated to Content Manager OnDemand documents that can use Content Manager OnDemand functions, such as the segment-wise retrieval of large objects or annotations. These viewers are used in web applications, such as Content Navigator or any other custom-developed web client:\n\n- -Line Data applet\n- -Browser plug-in for image viewing\n- -AFP browser plug-in\n- -AFP Transforms\n- -Generic Transforms\n\nDetailed information about ODWEK's viewers and transforms is in IBM Content Manager OnDemand Web Enablement Kit Java APIs: The Basics and Beyond, SG24-7646. Only a brief overview is provided in this chapter.", - "page_start": 210, - "page_end": 210, - "source_file": "sg246915.pdf" - }, - { - "text": "# **7.1.1 Loading and indexing files that were created on another system**\n\nReports and documents are often created on a platform other than the platform on which the Content Manager OnDemand Instance is installed. Two main ways exist to load these reports and document files:\n\n- - Transfer the files from the remote system to the system that contains the Content Manager OnDemand instance and then index and load the documents on that system.\nMany applications are available for transferring files.\n\nFor example, if your reports are generated on a z/OS system and you want to load them from a Microsoft Windows system, you can use these methods:\n\n- On the z/OS side, use the \"Download for z/OS\" application to automatically download the files from the z/OS system. \"Download for z/OS\" is a utility that is included as part of the Print Services Facility for z/OS.\n- On the receiving side (in this case Windows), you can use the Content Manager OnDemand ARSJESD utility. The ARSJESD utility runs as a service on Windows, and it runs as a daemon on other platforms.\n\nFor more information about ARSJESD, see the IBM Content Manager OnDemand for Multiplatforms Administration Guide, SC19-3352.\n\n- - Run the indexing and load program on the remote system. In this case, the load program sends the documents and indexes to the Content Manager OnDemand System through the TCP/IP network. To run the index and load programs on the remote system, you must copy the appropriate Content Manager OnDemand product code to that system.\nYou can choose to use either or both of these methods for your remote data loading.\n\n# **7.1.2 Understanding input data types**\n\nIt is important to know the data type of the documents that you load into Content Manager OnDemand. By *data types*, we mean document formats, such as Line Data, SCS, AFP, or PDF. In addition to knowing the data type, if you are loading line data, it has the following characteristics:\n\n- -Fixed length or variable records\n- -If variable, stream or 2-byte length prefix\n- -If stream, identify the record delimiter\n- -Whether carriage controls are present\n- -Type of carriage control, American National Standards Institute (ANSI) or machine\n- -Whether Table Reference Character (TRC) codes are present\n- -Code page of the data\n\nRun **arsafpd** to determine the input data type of your file. Knowing the input data type determines the indexer that you can use and also helps you determine several of the indexing parameters that you need.\n\nTo run **arsafpd** from the command line, enter the following command:\n\narsafpd -s -i <*input file*>\n\nFigure 7-1 on page 164 shows examples of running the **arsafpd** command and the output that is produced.", - "page_start": 186, - "page_end": 186, - "source_file": "sg246915.pdf" - }, - { - "text": "| Report Wizard | | | | | × |\n| --- | --- | --- | --- | --- | --- |\n| WE | Application Identifier Field | | | | |\n| | Do you want to be able to add other applications to the | | | | |\n| | application group? | | | | |\n| | O No: | | | | |\n| | ( ) Yes | | | | |\n| | Databose Field Name | | | | |\n| | Edder Field Name | | | | |\n| | Number of characters in the application identifier | | | | |\n| | Identifier for this application - | | | | |\n| | Database Value | | | | |\n| | Disalayed Value | | | | |\n| | Document Size Field | | Page Count Field | | |\n| | Folder Field Name | | Folder Field Name | | |\n| | < Back | Next> | Cancel | Help | |\n\nFigure 3-16 Application identifier\n\n# **Storage management window**\n\nThe storage management window (Figure 3-17) determines where the storage manager maintains copies of reports and also determines how and when Content Manager OnDemand deletes report data from the system.\n\n| Report Wizard | × | | |\n| --- | --- | --- | --- |\n| Which Storage Set do you want to use? | . | | |\n| Cache Only - Library Server | | | |\n| How will the data expire? | C By Segment | | |\n| @ By Load | C By Document | | |\n| < Back | Cancel | Help | Next > |\n\nFigure 3-17 Storage management", - "page_start": 85, - "page_end": 85, - "source_file": "sg246915.pdf" - }, - { - "text": "A download window opens that shows all of the files in /dumps and its subfolders on a configuration node. You can filter the list by using the \"easytier\" keyword, select the dpa_heat file or files that are analyzed, and clicking **Download**, as shown in Figure 10-9. Save them in a convenient location (for example, to a subfolder that holds the STAT executable).\n\n| | | | | | | × |\n| --- | --- | --- | --- | --- | --- | --- |\n| Select Support Package or Logs to Download | | | | | | |\n| You can select a previously created support package or individual logs to download. | | | | | | |\n| V node1 easytier | Default | > | Contains | × | ుక | |\n| File Name → | | | | | Ili | |\n| /dumps/easytier/dpa_heat.7822DFF-1.181019.215741.data | | | | | | |\n| /dumps/easytier/dpa heat.7822DFF-1.181020.135307.data | | | | | | |\n| /dumps/easytier/dpa heat.7822DFF-1.181021.135347.data | | | | | | |\n| /dumps/easytier/dpa_heat.7822DFF-1.181022.135426.data | | | | | | |\n| /dumps/easytier/dpa_log_7822DFF-1_20181018220202_00000000.x... | | | | | | |\n| Showing 14 Files Selecting 0 Files | | | | | | |\n| ? Need Help Cancel | | | | | Download | |\n\n*Figure 10-9 Downloading Easy Tier heat data file: dpa_heat files*\n\nYou can also specify the output directory. STAT creates a set of HTML files, and the user can then open the index.html file in a browser to view the results. Also, the following CSV files are created and placed in the **Data_files** directory:\n\n- -_data_movement.csv\n- -_skew_curve.csv\n- -_workload_ctg.csv\n\nThese files can be used as input data for other utilities.\n\nFor more information about how to interpret STAT tool output and CSV files analysis, see *IBM System Storage SAN Volume Controller and Storwize V7000 Best Practices and Performance Guidelines*, SG24-7521.\n\n# **10.2 Thin provisioned volumes**\n\nIn a shared storage environment, thin provisioning is a method for optimizing the usage of available storage. It relies on the allocation of blocks of data on demand versus the traditional method of allocating all of the blocks up front. This method eliminates almost all white space, which helps avoid the poor usage rates (often as low as 10%) that occur in the traditional storage allocation method where large pools of storage capacity are allocated to individual servers but remain unused (not written to).\n\nThin provisioning presents more storage space to the hosts or servers that are connected to the storage system than is available on the storage system.", - "page_start": 436, - "page_end": 436, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the bold keyboard shortcut on word ?", - "target_page": 4, - "target_passage": "Bold (keyboard shortcut: Ctrl+B)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Make your meaning more visual by formatting text\n\nTo format text, select it, and then select a button in the Font or Paragraph area on the Home tab.\n\nTry it: Select text in the lines below and choose formatting options so that the text is an example of the formatting it's describing:\n\n| Bold (keyboard shortcut: Ctrl+B) |\n| --- |\n| Italic (keyboard shortcut: Ctrl+I) |\n| Highlight |\n| Font color |\n| Bullets |\n| Numbering |\n\nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a little toolbar, with the font formatting options?\n\n| Segoe UI - 11 | - A A | Aa - | Po |\n| --- | --- | --- | --- |\n| B I U v abe X2 X2 | | A - all - A - | |\n\nBetween that and keyboard shortcuts like Ctrl+B and Ctrl+I, you save time by not having to go up to the Home tab all the time.", - "page_start": 3, - "page_end": 3, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you're looking for, to discover **Help** content, or to get more information online.\n\n| print × |\n| --- |\n| Actions |\n| F Print |\n| Print Preview and Print |\n| इ Preview and Print |\n| 트 Print Layout |\n| Get Help on |\n| \"print\" |\n| 10 results |\n| Definition |\n| print [print] |\n| verb. produce (books, newspapers, maqazines, etc.), especially |\n| in large quantities, by a mechanical process involving the trans ... |\n| Find in Document |\n| \"print\" \"print\" 0 results |\n| More search results for \"print\" |\n\n# Share your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\n| Comments | | & Share | |\n| --- | --- | --- | --- |\n| | | | × |\n| Send link | | | |\n| CE Annual Report.docx | | | |\n| Anyone with the link can edit > | | | |\n| lex Wilber × | Add another | | |\n| Message ... | | | |\n| | | Send | |\n| oov link Outlook | | | |\n| Send a copy V | | | |\n\n### Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\n## Next steps with Word\n\n#### **See what's new in Office**\n\nExplore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n#### **Get free training, tutorials, and videos for Office**\n\nReady to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n#### **Send us your feedback**\n\nLove Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "# Get help with Word\n\n| Q Add watermark | |\n| --- | --- |\n| 区 | Watermark |\n| 물 | Insert Picture |\n| E | Insert Rows Above |\n| E | Add a Blank Page |\n| 電 | Insert Rows Below |\n| 2 | Get Help on \"Add watermark\" |\n| 0 | Smart Lookup on \"Add water ... |\n\nThe Tell me search box takes you straight to commands and Help in Word.\n\n#### Try it: Get help:\n\n- 1. Go to Tell me what you want to do at the top of the window.\n- 2. Type what you want to do.\n\nFor example, type:\n\n- Add watermark to quickly get to the watermark command.\n- Help to go to Word help.\n- Training to see the list of Word training courses.\n- What's new for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template, so we can provide content that's truly useful and helpful. Thanks!", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "### **SELECTING ROWS**\n\nIf you want to make changes to an *entire row*, such as bolding all of the headings in a row or changing the font of all the cell entries, you must first select the row. This is done by clicking on the row header to the left of the row. Remember that any changes you make will apply to every cell in the row all the way across to column XFD, so be careful!\n\n### **For Your Reference…**\n\nTo *select* an entire *row*:\n\n- 1. Click on the row header of the row that you want to select\nOR\n\n- 1. Click in any cell in the row and press +\n### **Handy to Know…**\n\n- When *every cell* in a row or column is selected, the corresponding row or column header is filled in dark blue. When only *some* of the cells are selected, the row or column header is filled in orange. These indicators help you locate the active cell(s) on the worksheet.", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING FONTS**\n\nThe appearance that you choose for your text is referred to as the *font* or *typeface*. Font traditionally refers to a combination of typeface, style and size in points (e.g. Arial Bold 12 pt).\n\nIn Excel 2007, *font* just refers to the typeface or shape of the letters. Typical classic fonts include Times New Roman, Arial, Century Gothic and **Copperplate**.\n\n| | Try This Yourself: | 1 |\n| --- | --- | --- |\n| | Continue using the previous | |\n| Same File | file with this exercise, or open the file E722 Font | |\n| | Formatting_1.xls... | |\n|  | Click in cell A1 to make the | |\n| | cell with the main heading the | |\n| | active cell | |\n|  | Click on the drop arrow next to | |\n| | the Font command in | |\n| | the Font group on the Home | 4 |\n| | tab to display a gallery of | |\n| | available fonts | |\n|  | Point to Arial Narrow, then Book Antiqua, Garamond and Gill | |\n| | Sans MT | |\n| | If you don't have these fonts, | |\n| | try different ones. As you point | |\n| | to each font, the preview will | |\n| | change... | |\n|  | Scroll to and click on Comics | |\n| | Sans MS, or another font of | |\n| | your choice if you don't have | |\n| | this one | |\n| | This time the font formatting | |\n| | has changed in the cell and is | |\n| | no longer just a preview – it | |\n| | won't change again unless you | |\n| | make another font selection. | |\n\n### **For Your Reference…**\n\nTo *apply font formatting*:\n\n- 1. Select the text\n- 2. Click on the drop arrow for *Font*\n- 3. Point to a font to preview it\n- 4. Click on the font to apply it\n\n### **Handy to Know…**\n\n- You can jump directly to a font. For example, if you want to preview Garamond, click on the name of the font in the *Font* command and press . Excel will jump to the fonts that start with *G* and *Live Preview* will display the text temporarily. Keep typing the name until you reach the required font.", - "page_start": 21, - "page_end": 21, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **NAVIGATING IN A FILE**\n\n| Arrow | Move one cell to the right, left, up or down |\n| --- | --- |\n| Keys | |\n| Tab | Move once cell to the right |\n| Ctrl+Home | To beginning file |\n| Ctrl+End | To end of typed information |\n| Home | Beginning of a line |\n| End | End of a line |\n| Page Down | Down one screen |\n| Page Up | Up one screen |\n| F5 | To a specific page |\n| Scroll bars | Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move |\n| | through the document. |", - "page_start": 5, - "page_end": 5, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING FONT SIZE**\n\nOne way that text can be emphasised is by changing the *size* of the font. For example, if your normal text is 11 pt, you may like to make the headings 13 pt or larger. Font size may also be changed for small detailed items, such as comments or a caption. Main headings in a worksheet usually appear in a slightly larger font size compared to the rest of the data.\n\n| | Try This Yourself: | 1 |\n| --- | --- | --- |\n| | Continue using the previous | |\n| Same File | file with this exercise, or open | |\n| | the file E722 Font | |\n| | Formatting_2.xlsx... | |\n| | Click in cell A1 to make the | |\n|  | cell with the main heading the | 2 |\n| | active cell | |\n| | Click on the drop arrow next to | |\n|  | the Font Size command | |\n| | in the Font group on | |\n| | the Home tab to display a | |\n| | gallery of available sizes | |\n| | Point to various sizes and | |\n|  | notice how Live Preview | |\n| | shows you how the heading | |\n| | will look | |\n|  | Click on 16 to change the | |\n| | heading to 16 pt | |\n| | You can also change the font | |\n| | size of parts of a document, | |\n| | and you can use the Mini | |\n| | toolbar... | 8 |\n|  | Click in cell A2 | |\n|  | Click with the right-mouse button to display the mini | |\n| | toolbar and the shortcut menu | |\n| | Click on the drop arrow next to | |\n|  | | |\n| | Font Size and | |\n| | click on 14 | |\n| | Click in cell A3 to hide the | |\n|  | toolbar | |\n\n### **For Your Reference…**\n\n#### To *change font size*:\n\n- 1. Select the cell or range that you want to change\n- 2. Click on the drop arrow of *Font Size*\n- 3. Click on the required font size\n\n#### **Handy to Know…**\n\n- You may have noticed that the text didn't change size when you used the mini toolbar until you actually clicked on a different font size. This is because *Live Preview* doesn't work with the mini toolbar.", - "page_start": 22, - "page_end": 22, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "| Number | Improvement | Word | Excel | PowerPoint |\n| --- | --- | --- | --- | --- |\n| | Text, or Decorative has tag with text content | | | |\n| 15 | Shape with Alt Text and non-whitespace text without | | Yes | Yes |\n| | Equation has
tag with Alt Text | | | |\n| 16 | Table Cell with Equation in a Table without Alt Text has | | | Yes |\n| | tag with Alt Text | | | |\n| 17 | Summary Zoom, Section Zoom, and Slide Zoom has | | | Yes |\n| | tag without Alt Text | | | |\n| 18 | WordArt preserved as text | Yes | Yes | Yes |\n| 19 | Alt Text includes the Alt Text Title as well as Alt Text | Yes | Yes | Yes |\n| | Description | | | |\n| 20 | Alt Text includes the Object type | Yes | Yes | Yes |\n| 21 | Alt Text for Shape with Alt Text includes the text | | Yes | Yes |\n| | content | | | |\n| 22 | Header Row in a Table has tag | | | Yes |\n| 23 | Total Row in a Table has tag | | | Yes |\n| 24 | Header Cell in Table has Scope=Row, Column, or Both | | | Yes |\n| | in tag | | | |\n| 25 | Cell in a Table has Row span and Column span set | | | Yes |\n| | properly on or tag | | | |\n| 26 | For lists in PowerPoint, bullet or number is in tag | | | Yes |\n| 27 | For lists in Word, bullet or number is in tag | Yes | | |\n| 28 | For picture bullets, no tag is included | Yes | | Yes |\n| 29 | For nested lists, tag is in tag | Yes | | Yes |\n| 30 | Document language in PDF set as the document | | | Yes |\n| | language in PowerPoint | | | |\n| 31 | Document language in PDF set as the document | Yes | | |\n| | language in Word | | | |\n| 32 | Text in different language has tag with Lang | | | Yes |\n| | property in PowerPoint | | | |\n| 33 | Text in different language has tag with Lang | Yes | | |\n| | property in Word | | | |", - "page_start": 38, - "page_end": 38, - "source_file": "office-pdf.pdf" - }, - { - "text": "# Quick Start Guide\n\nNew to Word? Use this guide to learn the basics.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Instructions you can edit, share, and print\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will teach you some basics about Word, but this document isn't just for reading. It's for editing too, so you can learn by doing.\n\nFor practice using Word features, watch for Try it text in red throughout this document.\n\nTime saver: If you've only got a minute and you want to see how this works, watch this Video: Welcome to Word.\n\n### Write eloquently, with a little help\n\nWord automatically checks spelling and grammar, and marks misspelled words with a red squiggly underline. Grammatical glitches get a blue double underline.\n\nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write a sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph.\n\nRight-click the text that's marked with underlines, or Press F7. Choose a suggestion to correct the mistakes.", - "page_start": 0, - "page_end": 0, - "source_file": "welcome_to_word_template.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the advise to make the style sets and themes work well ? ", - "target_page": 6, - "target_passage": "They work best when your document is formatted with styles", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Give your doc an instant makeover\n\nStyle sets and themes let you completely change the look of your document in an instant. They work best when your document is formatted with styles (so it's good that we fixed that Heading style, above).\n\nTry it: Explore style sets and themes:\n\n- 1. On the Design tab, select Themes, and choose a theme from the drop-down. Notice that the gallery of style sets updates to reflect the theme you picked.\n- 2. Select any theme you like from the drop-down and click to apply.", - "page_start": 5, - "page_end": 5, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Make magic: use Heading styles\n\nThe heading for this part (\"Make magic: use Heading styles\") looks the same as the other headings in this document, but it's not as useful. It's formatted with font settings (font, size, and color), while the other headings are formatted with a Heading style (Heading 1, to be exact).\n\nSee the little triangle when you mouse over those other headings?\n\nYou can collapse and expand everything under a heading, like an outline. But this one's not working. Let's fix it.\n\n#### Try it: Apply the Heading 1 style:\n\n- 1. Put your cursor somewhere in the heading above (\"Make magic: use Heading styles\") don't select anything.\n- 2. On the Home tab, find Styles, and select Heading 1 (keyboard shortcut Ctrl+Alt+1).\n\nTa-da! Now it looks like a heading, and acts like one too.", - "page_start": 4, - "page_end": 4, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "### **CHANGING THE CHART STYLE**\n\nThe style of a chart refers to its colour scheme and overall appearance and can impact the clarity of the content of the chart. Choosing a predefined chart style can save valuable time\n\nand effort. Excel also makes it easy to change chart styles if you decide the style you have chosen is not appropriate.\n\n### **For Your Reference…**\n\nTo *change* the *chart style*:\n\n- 1. Ensure the chart or chart sheet is selected\n- 2. Click on the *Chart Styles* tool to the right of the chart\n- 3. Click on the desired style\n\n### **Handy to Know…**\n\n- Instead of using the *Chart Styles* tool to the right of the chart, you can also choose chart styles from the *CHART TOOLS: DESIGN* tab on the ribbon when a chart is selected.", - "page_start": 54, - "page_end": 54, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING FONTS**\n\nThe appearance that you choose for your text is referred to as the *font* or *typeface*. Font traditionally refers to a combination of typeface, style and size in points (e.g. Arial Bold 12 pt).\n\nIn Excel 2007, *font* just refers to the typeface or shape of the letters. Typical classic fonts include Times New Roman, Arial, Century Gothic and **Copperplate**.\n\n| | Try This Yourself: | 1 |\n| --- | --- | --- |\n| | Continue using the previous | |\n| Same File | file with this exercise, or open the file E722 Font | |\n| | Formatting_1.xls... | |\n|  | Click in cell A1 to make the | |\n| | cell with the main heading the | |\n| | active cell | |\n|  | Click on the drop arrow next to | |\n| | the Font command in | |\n| | the Font group on the Home | 4 |\n| | tab to display a gallery of | |\n| | available fonts | |\n|  | Point to Arial Narrow, then Book Antiqua, Garamond and Gill | |\n| | Sans MT | |\n| | If you don't have these fonts, | |\n| | try different ones. As you point | |\n| | to each font, the preview will | |\n| | change... | |\n|  | Scroll to and click on Comics | |\n| | Sans MS, or another font of | |\n| | your choice if you don't have | |\n| | this one | |\n| | This time the font formatting | |\n| | has changed in the cell and is | |\n| | no longer just a preview – it | |\n| | won't change again unless you | |\n| | make another font selection. | |\n\n### **For Your Reference…**\n\nTo *apply font formatting*:\n\n- 1. Select the text\n- 2. Click on the drop arrow for *Font*\n- 3. Point to a font to preview it\n- 4. Click on the font to apply it\n\n### **Handy to Know…**\n\n- You can jump directly to a font. For example, if you want to preview Garamond, click on the name of the font in the *Font* command and press . Excel will jump to the fonts that start with *G* and *Live Preview* will display the text temporarily. Keep typing the name until you reach the required font.", - "page_start": 21, - "page_end": 21, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "#### **Exercise 2: Set the Preferences for New Entities and Rendering**\n\n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. Click on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that tab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts with Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to Auto-generated name change it to User supplied name. That is the parameter most likely to be different but also check the other two as well.\n\n_____________________________________________________________________________________\n\n2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity rendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don't worry if this doesn't completely make sense at this point. The issues here are a bit complex and subtle so we defer them until after you have an understanding of the basic concepts of what an OWL ontology is. We will have a discussion of these details below in chapter 7. For now you just need to make sure that the preferences are set appropriately to work with the rest of the tutorial.\n\n____________________________________________________________________________________\n\n| Preferences | | | | | | | | × |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| New ontologies OWLViz | | Plugins | Reasoner | | Renderer | | User details | |\n| Annotations Explanations | General | | Log | New entities | | New entities metadata | | |\n| Entity IRI | | | | | | | | |\n| Start with: · Active ontology IRI | | | | | | | | |\n| | | | Specified IRI: http://www.co-ode.org/ontologies/ont.owl# | | | | | |\n| Followed by: · · # | | | | | | | | |\n| 01 | | | | | | | | |\n| 0 : | | | | | | | | |\n| End with: · User supplied name | | | | | | | | |\n| Auto-generated ID | | | | | | | | |\n| Entity Label (for use with Auto-generated ID) | | | | | | | | |\n| @ Same as label renderer | | | | | | | | |\n| C Custom label | | | | | | | | |\n| IRI | http://www.w3.org/2000/01/rdf-schema#label | | | | | | | |\n| Lang | | | | | | | | |\n| Reset preferences ... | | | | | | | | |\n| | | OK | | Cancel | | | | |\n\nFigure 4.1: The New entities tab", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "### Just for fun\n\nIf you have a little more time, give these a try.\n\n#### Try it: Find and replace\n\nPress Ctrl+H and use Find/Replace to replace all the instances of Try it with I tried it.\n\n| Find and Replace | | |\n| --- | --- | --- |\n| Find | Replace | Go To |\n| Find what: | Try it | |\n| Replace with: | I tried it | |\n\nTry it: Wrap text around pictures\n\nSome of the pictures in this document are placed beside a paragraph of text. Try exploring text wrapping: Select the picture here, go to Format > Wrap Text, and use the up/down arrow keys to move between the options for a preview of the results.\n\n| little toolbar, with the font formatting option |\n| --- |\n| Bet Aa - Po Segoe UI 117 A A |\n| Ctrl |\n| B I U - abe X, X2 A - aty - A - Hol |", - "page_start": 6, - "page_end": 6, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## T H E DESIGN COMMUNITY A N D G U N L O C K E\n\nIn addition to your handsome good looks, what impresses us most about you, Gunlocke, is how open you are to self-improvement. It's usually a slow and difficult process to make fundamental shifts in attitude, but you jump at the idea of collaboration, and quickly turn the wheel in a different direction. We also love how you balance your sense of detail and approach with a truly refined aesthetic. Bold and strong, yet sophisticated and classy — able to adjust to the nuances of your customer's personality. Bottom line? You're simply irresistible.", - "page_start": 18, - "page_end": 18, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## Make your meaning more visual by formatting text\n\nTo format text, select it, and then select a button in the Font or Paragraph area on the Home tab.\n\nTry it: Select text in the lines below and choose formatting options so that the text is an example of the formatting it's describing:\n\n| Bold (keyboard shortcut: Ctrl+B) |\n| --- |\n| Italic (keyboard shortcut: Ctrl+I) |\n| Highlight |\n| Font color |\n| Bullets |\n| Numbering |\n\nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a little toolbar, with the font formatting options?\n\n| Segoe UI - 11 | - A A | Aa - | Po |\n| --- | --- | --- | --- |\n| B I U v abe X2 X2 | | A - all - A - | |\n\nBetween that and keyboard shortcuts like Ctrl+B and Ctrl+I, you save time by not having to go up to the Home tab all the time.", - "page_start": 3, - "page_end": 3, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Select one of the following types of relationships that you want to create or add, as shown in Figure 11-126, and click **Next**:\n\n- Metro Mirror\n- Global Mirror (with or without Consistency Protection)\n- Global Mirror with Change Volumes\n\n| Create Consistency Group | | × |\n| --- | --- | --- |\n| Select the type of copy that you want to create: | | |\n| Metro Mîrror | | |\n| O Global Mîrror | | |\n| V Add Consistency Protection | | |\n| Global Mirror with Change Volumes | | |\n| Cancel | Back | Next I |\n\n*Figure 11-126 Selecting the type of emote copy relationships to create/add*", - "page_start": 603, - "page_end": 603, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "Where are the peaks of the VHE blazars ?", - "target_page": 1, - "target_passage": " VHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. Stecker et al. 1996, ApJ, 473, L75\n- [8] P. Giommi et al. 2005, A&A, 434, 385\n- [9] S. Turriziani et al. 2007, A&A, 472, 699\n- [10] L. Costamante 2006, arXiv:0612709\n- [11] P. Padovani et al. 2002, ApJ, 581, 895\n- [12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n- [13] A.A. Abdo et al. 2009, ApJ, 700, 597\n- [14] V.A. Acciari et al. 2008, ApJ, 684, L73\n- [15] V.A. Acciari et al. 2009, ApJ, 707, 612\n- [16] V.A. Acciari et al. 2009, ApJ, 690, L126\n- [17] V.A. Acciari et al. 2009, ApJ, 693, L104\n- [18] L.C. Reyes 2009, arXiv:0907.5175\n- [19] R.A. Ong 2009, ATel, 1941\n- [20] R.A. Ong et al. 2009, ATel, 2272\n- [21] V.A. Acciari et al. 2009, ApJ, 708, L100\n- [22] R.A. Ong et al. 2009, ATel, 2301\n- [23] R.A. Ong et al. 2009, ATel, 2260\n- [24] R.A. Ong et al. 2009, ATel, 2309\n- [25] W. Benbow 2009, arXiv:0908.1412\n- [26] V.A. Acciari et al. 2009, ApJ, submitted\n- [27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n- [28] V.A. Acciari et al. 2009, ApJ, in press\n- [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "## **References**\n\n- [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series, edited by F. A. Aharonian and H. J. V¨olk (2001), vol. 558 of American Institute of Physics Conference Series, pp. 275–288.\n- [2] M. Sikora, in Blazar Demographics and Physics, edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series, pp. 95–104.\n- [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437, 91 (1994).\n- [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616, L1 (2004).\n- [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies, edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series, p. 234.\n\n- [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175, 97 (2008).\n- [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700, 597 (2009).\n- [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485, 51 (2008).\n- [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698, 895 (2009).\n- [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675, 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "What are the blazars observed in the discovery program ?", - "target_page": 2, - "target_passage": "The blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. How ever, the program also includes IBLs (intermediate peaked) and LBLs (low-peaked), as well as flat spec trum radio quasars (FSRQs), in an attempt to in crease the types of blazars known to emit VHE γ-rays.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6��) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. Stecker et al. 1996, ApJ, 473, L75\n- [8] P. Giommi et al. 2005, A&A, 434, 385\n- [9] S. Turriziani et al. 2007, A&A, 472, 699\n- [10] L. Costamante 2006, arXiv:0612709\n- [11] P. Padovani et al. 2002, ApJ, 581, 895\n- [12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n- [13] A.A. Abdo et al. 2009, ApJ, 700, 597\n- [14] V.A. Acciari et al. 2008, ApJ, 684, L73\n- [15] V.A. Acciari et al. 2009, ApJ, 707, 612\n- [16] V.A. Acciari et al. 2009, ApJ, 690, L126\n- [17] V.A. Acciari et al. 2009, ApJ, 693, L104\n- [18] L.C. Reyes 2009, arXiv:0907.5175\n- [19] R.A. Ong 2009, ATel, 1941\n- [20] R.A. Ong et al. 2009, ATel, 2272\n- [21] V.A. Acciari et al. 2009, ApJ, 708, L100\n- [22] R.A. Ong et al. 2009, ATel, 2301\n- [23] R.A. Ong et al. 2009, ATel, 2260\n- [24] R.A. Ong et al. 2009, ATel, 2309\n- [25] W. Benbow 2009, arXiv:0908.1412\n- [26] V.A. Acciari et al. 2009, ApJ, submitted\n- [27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n- [28] V.A. Acciari et al. 2009, ApJ, in press\n- [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "## **References**\n\n- [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series, edited by F. A. Aharonian and H. J. V¨olk (2001), vol. 558 of American Institute of Physics Conference Series, pp. 275–288.\n- [2] M. Sikora, in Blazar Demographics and Physics, edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series, pp. 95–104.\n- [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437, 91 (1994).\n- [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616, L1 (2004).\n- [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies, edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series, p. 234.\n\n- [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175, 97 (2008).\n- [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700, 597 (2009).\n- [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485, 51 (2008).\n- [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698, 895 (2009).\n- [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675, 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "How many VHE blazar candidates were observed by VERITAS between September 2007 andJune 2009 ?", - "target_page": 3, - "target_passage": "More than 50 VHE blazar candidates were observed by VERITAS betweenSeptember 2007 andJune 2009.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. 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Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "## **References**\n\n- [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series, edited by F. A. Aharonian and H. J. V¨olk (2001), vol. 558 of American Institute of Physics Conference Series, pp. 275–288.\n- [2] M. Sikora, in Blazar Demographics and Physics, edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series, pp. 95–104.\n- [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437, 91 (1994).\n- [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616, L1 (2004).\n- [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies, edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series, p. 234.\n\n- [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175, 97 (2008).\n- [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700, 597 (2009).\n- [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485, 51 (2008).\n- [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698, 895 (2009).\n- [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675, 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "For which language have been introduced the ActiveInference.jl library ?", - "target_page": 1, - "target_passage": " We introduce a new software package for the Julia programming language, the library ActiveInference.jl.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Julia uses its \"just-in-time\" (JIT) compilations via the LLVM framework to approach the speed of languages like C without relying on external compilers [36]. Julia is also natively auto-differentiable, which means it can solve what is called the two-language problem (i.e., that high-level languages often have to rely on lower-level languages, either for performance or for auto-differentiability; this is the case with standard tools for cognitive modelling, where languages like R [37] must rely on external languages like STAN [38] for Bayesian model fitting). This means that ActiveInference, in conjunction with Turing [39], Julia's powerful library for Bayesian model fitting, and its newly developed extension for behavioural modelling, ActionModels, makes it possible to use cutting-edge Markov Chain Monte Carlo [40] methods, as well as variational methods [35], for Bayesian model fitting with AIF. Crucially, this allows researchers to not only simulate AIF in a fast programming language, but to also fit them to empirical behaviour, as is performed in cognitive modelling and computational psychiatry. Importantly, this also places AIF models in an ecosystem of other models for computational psychiatry so that it can easily be compared with models, like Hierarchical Gaussian Filters [41], and reinforcement learning models, like the classic Rescorla–Wagner model [42]. As part of making ActiveInference.jl available to the scientific community, and to the larger software ecosystem within computational psychiatry, it is implemented as part of the Translational Algorithms for Psychiatry-Advancing Science (TAPAS) ecosystem [43].\n\nIn the next section, we provide a conceptual and formal introduction to AIF, particularly in the context of using POMDP generative models. In Section 3, we demonstrate how to use the package in practice, both for simulation and parameter estimation. In Section 4, we give a fully worked example of how ActiveInference can be used with a concrete simulated dataset. Finally, we discuss potential applications and future directions for developing the package.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "*Article*\n\n# **Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,† , Jonathan Ehrenreich Laursen 1,† , Conor Heins 2,3,* , Karl Friston 3,4 , Christoph Mathys 5 and Peter Thestrup Waade 5**\n\n- 1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; 202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n- 2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n- 3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n- 4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n- 5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); ptw@cas.au.dk (P.T.W.)\n- ***** Correspondence: cheins@ab.mpg.de\n- † These authors contributed equally to this work.\n\n**Abstract:** We introduce a new software package for the Julia programming language, the library ActiveInference.jl. To make active inference agents with Partially Observable Markov Decision Process (POMDP) generative models available to the growing research community using Julia, we re-implemented the pymdp library for Python. ActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive and behavioural modelling, as it is used in computational psychiatry, cognitive science and neuroscience. This means that POMDP active inference models can now be easily fit to empirically observed behaviour using sampling, as well as variational methods. In this article, we show how ActiveInference.jl makes building POMDP active inference models straightforward, and how it enables researchers to use them for simulation, as well as fitting them to data or performing a model comparison.\n\n**Keywords:** active inference; free energy principle; predictive processing; Markov decision process; cognitive modelling; Julia\n\n**PACS:** 87.15.Aa\n\n**MSC:** 91-08\n\n**JEL Classification:** C63\n\n## **1. Introduction**\n\nWe introduce a novel software library for Julia, ActiveInference, which lets users produce the simulated behaviour of agents and their internal belief states with active inference (AIF) models, as well as fit such models to empirically observed behaviour. AIF [1–3] is a generally applicable formal framework for understanding and simulating intelligent behaviour that is based in neurobiology and first principles from statistical physics [4–8]. AIF treats action and perception as unified under a joint imperative: to minimise the variational free energy (*VFE*), which quantifies how well the agent's internal generative model explains incoming sensory observations. It is an upper bound on the the surprise from sensory observations, making AIF formally related to prediction error\n\nAcademic Editor: Astero Provata\n\nReceived: 25 October 2024 Revised: 2 January 2025 Accepted: 7 January 2025 Published: 12 January 2025\n\n**Citation:** Nehrer, S.W.; Ehrenreich Laursen, J.; Heins, C.; Friston, K.; Mathys, C.; Thestrup Waade, P. Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models. *Entropy* **2025**, *27*, 62. https://doi.org/10.3390/e27010062\n\n**Copyright:** © 2025 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https://creativecommons.org/ licenses/by/4.0/).", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "parameter recovery and predictive checks. In this section, we outline how to use ActiveInference for simulation and model fitting in conjunction with ActionModels. In the following section, we show how to achieve this on a concrete worked example.\n\n## **4. Usage Example**\n\nIn this section, we demonstrate a full usage example of how to create an AIF agent, simulate behaviour in a classic T-maze environment and fit the AIF agent to a simulated example dataset. We provide the necessary code to run this simulation. All code required to reproduce the example simulation can be found in an open source OSF repository osf.io/j3k5q/. This example was performed with the current version of ActiveInference.jl (0.1.1); the newest version can be found at github.com/ilabcode/ActiveInference.jl.\n\n#### *4.1. Setting Up Environment and Agent*\n\nA T-maze is a simple task commonly employed in the behavioural sciences, as well as in the AIF literature [14,54–57]. It is a minimal type of task that requires balancing exploration and exploitation, or epistemic and pragmatic value, respectively. It is also suitably represents in a discrete state space. Together, this makes it easily compatible with a POMDP-based AIF approach.\n\nThe structure of the T-maze is, as the name suggests, a T-shaped maze, consisting of a centre location, a cue location (bottom of the T), and reward and loss locations (one in each arm of the T) (Figure 2). On every trial, the agent can move to one of the two arms of the T to receive a reward; one, called the reward location, will yield rewards with a higher probability than the other side. At the cue location, which the agent can move to, the agent receives a cue that indicates which of the locations is the reward location. Generally, the cue may be more or less informative; in this example, it always accurately reflected the reward conditions state (reward in the right or left arm). The reward location only provides a reward probabilistically. This means the agent can either take a chance and go directly to one of the two upper arms, or spend its first move seeking information about where the reward is before moving to the reward location. Since the clue location is not preferred, the second option comes with a cost in terms of pragmatic value, which has to be outweighed by the epistemic value in resolving uncertainty about the reward location state. Note that for the agent to realise that this uncertainty reduction will aid it in its subsequent choice of arm, it would have to be able to anticipate the effect of its actions on its own future beliefs, a process called \"sophisticated inference\" [58].\n\n**Figure 2.** A depiction of the T-maze. (**A**) The full layout of the T-maze task, with the centre location, the cue location and the two reward conditions. (**B**) A three-step example of a T-maze trial. The agent (in this case, a mouse) starts at the centre location. In order to reduce the uncertainty regarding which arm the reward is located in, the agent moves to the cue location. The cue location reveals the right arm to be the reward location, and in the subsequent time step, it goes to the right arm and observes the reward with some probability.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "#### **Exercise 2: Set the Preferences for New Entities and Rendering**\n\n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. Click on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that tab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts with Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to Auto-generated name change it to User supplied name. That is the parameter most likely to be different but also check the other two as well.\n\n_____________________________________________________________________________________\n\n2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity rendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don't worry if this doesn't completely make sense at this point. The issues here are a bit complex and subtle so we defer them until after you have an understanding of the basic concepts of what an OWL ontology is. We will have a discussion of these details below in chapter 7. For now you just need to make sure that the preferences are set appropriately to work with the rest of the tutorial.\n\n____________________________________________________________________________________\n\n| Preferences | | | | | | | | × |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| New ontologies OWLViz | | Plugins | Reasoner | | Renderer | | User details | |\n| Annotations Explanations | General | | Log | New entities | | New entities metadata | | |\n| Entity IRI | | | | | | | | |\n| Start with: · Active ontology IRI | | | | | | | | |\n| | | | Specified IRI: http://www.co-ode.org/ontologies/ont.owl# | | | | | |\n| Followed by: · · # | | | | | | | | |\n| 01 | | | | | | | | |\n| 0 : | | | | | | | | |\n| End with: · User supplied name | | | | | | | | |\n| Auto-generated ID | | | | | | | | |\n| Entity Label (for use with Auto-generated ID) | | | | | | | | |\n| @ Same as label renderer | | | | | | | | |\n| C Custom label | | | | | | | | |\n| IRI | http://www.w3.org/2000/01/rdf-schema#label | | | | | | | |\n| Lang | | | | | | | | |\n| Reset preferences ... | | | | | | | | |\n| | | OK | | Cancel | | | | |\n\nFigure 4.1: The New entities tab", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Active ontology | Entities × | Classes x Object properties × | Data properties × | Individuals by class | |\n| --- | --- | --- | --- | --- | --- |\n| Class hierarchy | Class hierarchy (inferred) | | Annotations Usage | | |\n| Class hierarchy (inferred): SpicyP [[]日回図 | | | Annotations: SpicyPizza | | ? 이름 이전 |\n| owl:Thing | | | Annotations | | |\n| Pizza | | | | | |\n| CheesyPizza | | | | | |\n| NamedPizza | | | | | |\n| SpicyPizza | | | Description: SpicyPizza | | 201308 |\n| AmericanaHotPizza | | | | | |\n| VegetarianPizza | | | Equivalent To | | |\n| PizzaBase | | | | | |\n| PizzaTopping | | | Pizza | | |\n| CheeseTopping | | | and has Topping some (has Spiciness value Hot) | | |\n| MeatTopping | | | | | |\n| SeafoodTopping | | | | | |\n| Vegetable Topping | | | | | |\n| CaperTopping | | | | | |\n| MushroomTopping | | | | | |\n| Olive Topping | | | | | |\n| PepperTopping | | | General class axioms | | |\n| | GreenPepperTopping | | | | |\n| | JalapenoPepperTopping | | SubClass Of (Anonymous Ancestor) | | |\n| | RedPepperTopping | | Base some PizzaBase | | |\n| TomatoTopping | | | | | |\n| Spiciness | | | | | |\n| | | | | Reasoner active Show Inferences | = |\n\nFigure 4.25 AmericanHotPizza classified as SpicyPizza\n\n#### **Exercise 26: Create an InterestingPizza that has at least three toppings**\n\n1. Create a subclass of Pizza called InterestingPizza.\n\n2. Click on the Add icon (+) next to the SubClass Of field. Use the Class expression editor tab and enter hasTopping min 3 PizzaTopping and click on OK.\n\n_____________________________________________________________________________________\n\n3. Make sure InterestingPizza is still selected and use the Edit>Convert to defined class option to turn InterestingPizza into a defined class.\n\n4. Run the reasoner.\n\nGo to the Class hierarchy (inferred) tab in the Classes tab and click on InterestingPizza. You should see that there are three Pizza classes that are classified as interesting: AmericanaHotPizza, AmericanaPizza, and SohoPizza.\n\n_____________________________________________________________________________________", - "page_start": 47, - "page_end": 47, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Preferences | | | | × |\n| --- | --- | --- | --- | --- |\n| New ontologies | OWLViz Plugins Reasoner | | Renderer User details | |\n| Annotations Explanations | General Loa | New entities | New entities metadata | |\n| Entity rendering @ Render by entity IRI short name (Id) | | | | |\n| | O Render by prefixed name | | | |\n| | O Render by annotation property (e.g., rdfs:label, skos:prefLabel) | | | |\n| | O Render by prefixed annotation property | | | |\n| | Configure ... | | | |\n| Appearance | Highlight active ontology statements | | | |\n| | Show hyperlinks in components that support them | | | |\n| | Highlight keywords | | | |\n| Font size | 12 = | | | |\n| | Reset font | | | |\n| Reset preferences ... | | | | |\n| | OK Cancel | | | |\n\nFigure 4.2 Renderer tab\n\n| □ < PizzaTutorial (http://www.semanticweb.org/michaeldebellis/ontologies/2020/PizzaTutorial) : [C:\\Users\\Michael DeB ... | | | | | × |\n| --- | --- | --- | --- | --- | --- |\n| Edit Refactor Window Help | File View | Reasoner | Tools | | |\n| + PizzaTutorial (http://www.semanticweb.org/michaeldebellis/ontologies/2020/PizzaTutorial) | | | | | Search ... |\n| Active ontology × Entities × Individuals by class × DL Query × | | | | | |\n| Ontology header: 团团启回团 Ontology metric 团团目回区 | | | | | |\n| Ontology IRI http://www.semanticweb.org/michaeldebellis/ontologies/2020/PizzaTutorial Metrics | | | | | |\n| Ontology Version IRI e.g. http://www.semanticweb.org/michaeldebellis/ontologies/2020/PizzaTutorial/1 Axiom 0 | | | | | |\n| Logical axio ... 0 | | | | | |\n| Declaration ... 0 Annotations (+ | | | | | |\n| Class count 0 rdfs:comment × (0) | | | | | |\n| Object prop ... 0 A tutorial ontology for the Pizza domain. | | | | | |\n| Data proper ... 0 | | | | | |\n| Individual c ... 0 | | | | | |\n| Annotation ... 1 | | | | | |\n| Class axioms | | | | | |\n| SubClassOf 0 | | | | | |\n| Ontology imports General class axioms | | Ontology Prefixes | | | |\n| Imported ontologies: | | | | | 008回國國國國 |\n| Direct Imports (+ | | | | | |\n| Indirect Imports | | | | | |\n| Show Inferences | | | | To use the reasoner click Reasoner > Start reasoner | 0 |\n\nFigure 4.3: The Active Ontology Tab with a New Comment", - "page_start": 12, - "page_end": 12, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Active ontology × Entities × Classes × | Object properties × | Data properties × | Individuals by class × | |\n| --- | --- | --- | --- | --- |\n| Class hierarchy Class hierarchy (inferred) | | | Annotations Usage | |\n| Class hierarchy: CheesyPizza | | 20508 | Annotations: CheesyPizza | 00500 |\n| | | Asserted ▼ | Annotations | |\n| owl:Thing | | | | |\n| Pizza | | | | |\n| CheesyPizza | | | | |\n| NamedPizza | | | | |\n| AmericanaHotPizza | | | Description: CheesyPizza | 20500 |\n| AmericanaPizza | | | | |\n| MargheritaPizza | | | Equivalent To | |\n| SohoPizza | | | Pizza | |\n| PizzaBase | | | and (hasTopping some | |\n| DeepPanBase | | | CheeseTopping) | |\n| ThinAndCrispyBase | | | | |\n| PizzaTopping | | | | |\n| CheeseTopping | | | | |\n| MozzarellaTopping | | | | |\n| ParmesanTopping | | | | |\n| MeatTopping | | | | |\n| HamTopping | | | General class axioms | |\n| PepperoniTopping | | | | |\n| SalamiTopping | | | | |\n| SpicyBeefTopping | | | SubClass Of (Anonymous Ancestor) | |\n| SeafoodTopping | | | Base some PizzaBase | |\n| AnchovyTopping | | | | |\n| PrawnTopping | | | | |\n| TunaTopping | | | | |\n| Vegetable Topping | | | | |\n| | | | | SERVICE . = |\n\nFigure 4.21 CheesyPizza as a Defined Class\n\nFigure 4.22 Classes Inferred by the Reasoner to be subclasses of CheesyPizza", - "page_start": 40, - "page_end": 40, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "#### ?customer ?relation ?relatedToCustomer.}\n\nThis would be much less intuitive than the user defined names. There are good reasons to use autogenerated names, especially for large ontologies that are implemented in multiple natural languages. However, for new users, especially those who plan to use SPARQL and SHACL, I think it is more intuitive to start with user supplied names and then progress to auto-generated names if and when the requirements show a true need for them. This approach to developing software incrementally rather than to attempt to design the perfect system that can scale for all possible future requirements is known as the Agile approach to software development. In my experience Agile methods have proven themselves in countless real-world projects to deliver better software on time and on budget than the alternative waterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/\n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot more and if you are interested you should check out DuCharme's book or some of the many SPARQL tools and tutorials on the web. Some of these are in the bibliography.\n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open World Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter 4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that SPARQL is *not* subject to *either* of these restrictions. With SPARQL one can do non-monotonic reasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the value for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n#### 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see: https://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n#### 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this. The term used for any such construct in Protégé and in this document is an *Entity*. Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "# A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins Edition 3.0 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "To which system does the AIF apply ?", - "target_page": 2, - "target_passage": "AIF was argued to be applicable to any self organising system that actively maintains a stable boundary that defines its integrity [10], a broad category that includes cells and plants [11], as well as humans [2] and even collectives [12].", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### **35. Australian Equivalents to International Financial Reporting Standards (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 87\n\n| Deferred tax assets | Deferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis |\n| --- | --- |\n| and liabilities | of assets and liabilities under the \"balance sheet\" approach which will result in the recognition of additional |\n| | deferred tax assets and liabilities. |\n| Defined benefit | Defined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position |\n| superannuation surplus | and the changes in these values each period will be recognised either directly in the statement of financial |\n| and deficits | performance, progressively using a \"corridor\" approach or directly in retained earnings. The effective date of this |\n| | standard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005. |\n| Restoration liabilities | Restoration liabilities will be discounted to present value and capitalised as a component part of capitalised |\n| | exploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised |\n| | over the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the |\n| | liability unwinds. |\n| Functional currency | The majority of the controlled entities within the Santos Group that have petroleum operations in foreign |\n| | jurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in |\n| | the net assets of those foreign controlled entities to be translated from their US dollar functional currency to |\n| | Australian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this |\n| | accounting standard will be reflected in the foreign currency translation reserve at 1 January 2004. |\n| Equity-based payments | Under A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including |\n| | shares and options) will be measured based on the fair value of those instruments and amortised to the profit and |\n| | loss over the vesting period. |\n| Exploration and | There is no International Financial Reporting Standard (\"IFRS\") which comprehensively deals with the accounting |\n| evaluation expenditure | and reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies |\n| | operating in the extractive industries will be required to determine their own accounting policy for accounting for |\n| | exploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework |\n| | definition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed |\n| | unless they lead to a successful discovery of economic value. |\n| | Pending the completion of a comprehensive project on accounting for extractive industries, AASB 6 \"Expenditure for |\n| | and Evaluation of Mineral Resources\" was issued in December 2004 to facilitate the introduction of A-IFRS in |\n| | respect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to |\n| | IFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in |\n| | each area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an |\n| | asset so long as the following conditions are satisfied: |\n| | (a) the rights to tenure of the area of interest are current; and |\n| | (b) at least one of the following conditions is also met: |\n| | (i) the exploration and evaluation expenditures are expected to be recouped through successful development |\n| | and exploitation of the area of interest, or alternatively, by its sale; or |\n| | (ii) exploration and evaluation activities in the area of interest have not at the reporting date reached a stage |\n| | which permits a reasonable assessment of the existence or otherwise of economically recoverable reserves, |\n| | and active and significant operations in, or in relation to, the area of interest are continuing. |\n| | The IASB decided that the effective date of IFRS 6 to be 1 January 2006 to allow affected companies more time to |\n| | make the transition to IFRS. Despite the lateness of the issuance of the Australian equivalent accounting standard |\n| | AASB 6, Santos will be required to apply the standard from 1 January 2005. |\n| | Santos is currently evaluating this accounting standard and its accounting policy for exploration and evaluation |\n| | expenditure. At the date of this report, no decision has been made as to how the Santos Group will account for |\n| | exploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005. |\n| Impairment | Testing of non-current assets for impairment will be undertaken on the smallest grouping of assets generating cash |\n| | flows, called cash generating units. Where there is an indication that a cash generating unit is impaired, the |\n| | impairment is to be measured by reference to either the cash generating unit's discounted future net cash flows, or |\n| | its estimated fair value less costs to sell. Upon initial application of this standard, such testing is likely to result in |\n| | write-downs of some non-current assets including exploration, evaluation and development expenditure to their |\n| | recoverable amount. Any initial impairment write-down may reverse in subsequent periods if there were a change in |\n| | the estimates used to determine the initial write-down. The impacts of this new requirement will, in part, depend |\n| | on the accounting policy adopted for accounting for exploration and evaluation expenditure referred to above. |\n\nThe AASB and IASB have significant ongoing projects including a comprehensive \"Extractive Industries\" project that could affect the differences between current Australian GAAP and A-IFRS as described above and could further impact the Santos Group's financial reports in future years. The future impacts of any new or amended A-IFRS will depend on the particular circumstances in those years.", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "```\n✞ ☎\n # Create AIF object\n aif = init_aif (\n A:: Vector { Array {T, N}}, # A- matrices\n B:: Vector { Array {T, N}}; # B- matrices\n C:: Vector { Array { Real }}, # C- matrices ( optional )\n D:: Vector { Vector { Real }}, # D- matrices ( optional )\n E:: Vector {T}, # E- vector ( optional )\n pA:: Union { Vector { Array {T, N}}, Nothing }, # Dirichlet priors for A- matrices ( optional )\n pB:: Union { Vector { Array {T, N}}, Nothing }, # Dirichlet priors for B- matrices ( optional )\n pD:: Union { Vector { Array { Real }}, Nothing }, # Dirichlet priors for D- vectors ( optional )\n parameters :: Dict { String , Real }, # Dictionary containing other parameters ( optional )\n settings :: Dict { String , Any } # Dictionary containing settings ( optional )\n )\n```\n**A** and **B** are the only mandatory arguments to the init_aif function—the other arguments are keyword arguments that default to uniform priors. **A**, **B**, **C**, **D** and **E** and their corresponding Dirichlet priors, in the cases of **A**, **B** and **D**, should be formatted as standard array objects. All but **E** can have multiple modalities/factors (see Section 4), so they should be formatted as vectors of arrays with one array per modality/factor. These arrays can be hand-specified by the user, or be generated with some of the helper functions supplied by ActiveInference. Here, we create an AIF agent equipped with a generative model with six environmental states, five possible observations and two possible actions. Here, we use helper functions to create matrices and vectors with the correct dimensions; in Section 4, we create them manually. First, we define the number of states, observations, controls and the length of policies:\n\n✝ ✆\n\n```\n✞ ☎\n # Information about number of states , observations , actions and policy length\n states = [6] # Six states , single factor\n observations = [5] # Five observations , single modality\n controls = [2] # Two actions , single factor\n policy_length = 1 # Length of policies\n # Generate uniform templates for matrices and vectors of the generative model\n A, B, C, D, E = create_matrix_templates ( states , observations , controls , policy_length )\n```\nThe **A** object generated here is a one-dimensional vector containing a uniform 5 × 6 matrix (six states and five observations). The **B** object is a one-dimensional vector containing a uniform 6 × 6 × 2 array (six states and two actions). The **C**, **D** and **E** objects are onedimensional vectors, each containing uniform vectors with their corresponding sizes. We can now modify these to supply the agent with more informative priors over observations, initial states and policies. Here, we performed this using the onehot function:\n\n✞ ☎\n\n✝ ✆\n\n```\n# We make C take the following form : [0 , 0 , 0 , 0 , 1]\n C[1] = onehot (5,5) # Initialize the single element of the C object with a one - hot vector\n # D will be: [1 , 0 , 0 , 0 , 0 , 0]\n D[1] = onehot (1,6) # Initialize the single element of the D object with a one - hot vector\n # To make the agent prefer policy 2\n E = onehot (2,2) # Initialize as a one - hot encoded vector : [0 ,1]\n✝ ✆\n```\nWe now create the Dirichlet priors for **A**, **B** and **D**. When we use parameter learning, these are used to define **A**, **B** and **D** defined above, and are updated at every time step. One way to construct Dirichlet priors is to simply multiply the matrices below with a scaling factor; a higher scaling leads to more precise priors that require stronger evidence to update. Here, we use a scaling parameter of 2. In the current version, parameter learning is only implemented for the **A**, **B** and **D**:", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "# **NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\n# **u) Adoption of New and Revised Accounting Standards**\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n# **AASB 2011-4 -** *Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel Disclosure*\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n# **Amendments to IAS 32 -** *Offsetting Financial Assets and Financial Liabilities*\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n# **Recently issued accounting standards to be applied in future reporting periods:**\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n# **AASB 9/IFRS 9 –** *Financial Instruments*\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# **NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued**\n\nDeferred tax assets and liabilities are ascertained based on temporary differences arising between the tax bases of assets and liabilities and their carrying amounts in the financial statements. Deferred tax assets also result where amounts have been fully expensed but future tax deductions are available. No deferred income tax will be recognised from the initial recognition of an asset or liability, excluding a business combination, where there is no effect on accounting or taxable profit or loss.\n\nDeferred tax assets and liabilities are calculated at the tax rates that are expected to apply to the period when the asset recognised or the liability is settled, based on tax rates enacted or substantively enacted at the reporting date. Their measurement also reflects the manner in which management expects to recover or settle the carrying amount of the related asset or liability.\n\nDeferred tax assets relating to temporary differences and unused tax losses are recognised only to the extent that it is probable that future taxable profit will be available against which the benefits of the deferred tax asset can be utilized. Where temporary differences exist in relation to investments in subsidiaries, branches, associates, and joint ventures, deferred tax assets and liabilities are not recognised where the timing of the reversal of the temporary difference can be controlled and it is not probable that the reversal will occur in the foreseeable future.\n\nCurrent tax assets and liabilities are offset where a legally enforceable right of set-off exists and it is intended that net settlement or simultaneous realisation and settlement of the respective asset and liability will occur. Deferred tax assets and liabilities are offset where a legally enforceable right of set-off exists, the deferred tax assets and liabilities relate to income taxes levied by the same taxation authority on either the same taxable entity or different taxable entities where it is intended that net settlement or simultaneous realisation and settlement of the respective asset and liability will occur in future periods in which significant amounts of deferred tax assets or liabilities are expected to be recovered or settled.\n\n# *Tax Consolidation*\n\nSundance Energy Australia Limited and its wholly-owned Australian controlled entities have agreed to implement the income tax consolidation regime, with Sundance Energy Australia Limited being the head company of the newly consolidated group. Under this regime the group entities will be taxed as a single taxpayer. Whilst this choice is yet to be communicated to the Australian Taxation Office, it is intended to be communicated prior to lodgement of the 31 December 2014 income tax return and will be effective from 1 January 2014. Sundance Energy Australia Limited and its wholly-owned Australian controlled entities intend to enter into a Tax Sharing Agreement and Tax Funding Agreement in due course.\n\nThe head entity of the income tax consolidated group and the controlled entities in the tax consolidated group account for their own current and deferred tax amounts. These tax amounts are measured as if each entity in the tax consolidated group continues to be a standalone taxpayer in its own right.\n\nIn addition to its own current and deferred tax amounts, Sundance Energy Australia Limited, as head company, also recognises the current tax liabilities (or assets) and the deferred tax assets arising from unused tax losses and unused tax credits assumed from controlled entities in the tax consolidated group.", - "page_start": 61, - "page_end": 61, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 54\n\n## **1. Statement of Accounting Policies (continued)**\n\n#### **(g) Revenue**\n\nProduct sales, equipment rentals and pipeline tariffs, overriding royalties and other income are recognised when the goods and services are provided and the Santos Group has a legally enforceable entitlement to the proceeds. Interest revenue is recognised as it accrues. Dividend income from controlled entities is recognised as revenue as dividends are declared and from other parties as dividends are received.\n\nThe gross proceeds of non-current asset sales are included as revenue at the date control of the asset passes to the buyer, usually when an unconditional contract of sale is signed. The gain or loss on disposal is calculated as the difference between the carrying amount of the asset at the time of disposal and the net proceeds on disposal.\n\n#### **(h) Goods and services tax**\n\nRevenues, expenses and assets are recognised net of the amount of goods and services tax (\"GST\"), except where the amount of GST incurred is not recoverable from the Australian Tax Office (\"ATO\"). In these circumstances the GST is recognised as part of the cost of acquisition of the asset or as part of the expense.\n\nReceivables and payables are stated with the amount of GST included.\n\nThe net amount of GST recoverable from, or payable to, the ATO is included as a current asset or liability in the statements of financial position.\n\nCash flows are included in the statements of cash flows on a gross basis. The GST components of cash flows arising from investing and financing activities which are recoverable from, or payable to, the ATO are classified as operating cash flows.\n\n### **(i) Cash**\n\nFor the purposes of the statements of cash flows, cash includes cash on hand, cash at bank and short-term deposits at call.\n\n## **(j) Receivables**\n\nTrade debtors and other receivables are recorded at amounts due. A provision is made for any doubtful debts based on a review of collectability of outstanding amounts at balance date. Bad debts are written off in the period they are identified.\n\n### **(k) Inventories**\n\nInventories are valued at the lower of cost and net realisable value after provision is made for obsolescence. Cost is determined as follows:\n\n- (i) drilling and maintenance stocks, which include plant spares, maintenance and drilling tools used for ongoing operations, are valued at average cost; and\n- (ii) petroleum products, which comprise extracted crude oil, liquefied petroleum gas, condensate and naphtha stored in tanks and pipeline systems and processed sales gas and ethane stored in subsurface reservoirs, are valued using the absorption cost method.\n\n#### **(l) Exploration and development expenditure**\n\nExploration and development expenditures in respect of each area of interest are accumulated and carried forward if either:\n\n- (i) such expenditure is expected to be recouped through successful development and commercial exploitation of the area of interest; or\n- (ii) the exploration activities in the area of interest have not yet reached a stage which permits reasonable assessment of the existence of economically recoverable reserves and active and significant operations in, or in relation to, the area of interest are continuing.\n\nWhen either an area of interest is abandoned or the Directors consider the expenditure to be of reduced or no further value, accumulated exploration expenditure is written down or off in the period in which such a decision is made.\n\n## **(m)Borrowings**\n\nBorrowings are carried on the statements of financial position at their principal amount. Interest is accrued at the contracted rate.\n\n#### **(n) Leases**\n\nOperating lease payments, where the lessor effectively retains substantially all the risks and benefits of ownership of the leased items, are expensed on a straight line basis over the term of the lease.\n\n## **(o) Capitalisation of borrowing costs**\n\nBorrowing costs, including interest, finance charges and foreign currency exchange gains and losses relating to major plant and equipment projects under development and construction up to the date of commencement of commercial operations, are capitalised and amortised over the expected useful lives of the facilities. Where funds are borrowed specifically for qualifying projects the actual borrowing costs incurred are capitalised. Where the projects are funded through general borrowings the borrowing costs are capitalised based on the weighted average borrowing rate, which for the year ended 31 December 2004 was 5.09% (2003: 4.91%).\n\nBorrowing costs incurred in respect of completed projects are expensed.\n\n### **(p) Deferred income**\n\nA liability is recorded for obligations under sales contracts to deliver natural gas in future periods for which payment has already been received.\n\n### **(q) Depreciation and depletion**\n\nDepreciation charges are calculated to write-off the carrying value of buildings, plant and equipment over their estimated useful lives to the entity. Depreciation of onshore buildings, plant and equipment assets is calculated using the straight line method of depreciation. The estimated useful lives to the entity will vary for each asset depending on projected average rate", - "page_start": 55, - "page_end": 55, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## 6. Income tax continued\n\n| | | 2013 | 2012 |\n| --- | --- | --- | --- |\n| | | $'000 | $'000 |\n| c) | Tax recognised in other comprehensive income | | |\n| | Available-for-sale investment revaluation reserve | (39) | (300) |\n| | Foreign exchange losses recognised directly in foreign currency translation reserves | 566 | 103 |\n| | Total tax recognised in other comprehensive income | 527 | (197) |\n\n#### d) Deferred tax liabilities offset\n\nDeferred tax liabilities amounting to $853,000 (2012: $774,000) have been offset against deferred tax asset.\n\n| e) | Unrecognised deferred tax assets | | |\n| --- | --- | --- | --- |\n| | Tax losses – Australian entities | 211,548 | 5,627 |\n| | Tax losses – other entities | 9,237 | 2,185 |\n| | Temporary difference | 130,113 | – |\n| | Subtotal | 350,898 | 7,812 |\n| | Unrecognised deferred tax assets | 104,345 | 2,344 |\n\n#### f) Tax consolidation group\n\nKingsgate Consolidated Limited and its whollyowned Australian subsidiary have implemented the tax consolidation legislation as of 1 July 2003. The accounting policy in relation to this legislation is set out in Note 2d.\n\nOn adoption of the tax consolidation legislation, the entities in the tax-consolidation group entered into a tax sharing agreement which, in the opinion of the Directors, limits the joint and several liabilities of the wholly-owned entities in\n\nthe case of default by the head entity, Kingsgate Consolidated Limited.\n\nThe entities have also entered into a tax funding agreement under which the wholly-owned entities fully compensate Kingsgate for any current tax payable assumed and are compensated for any current tax receivable and deferred assets relating to the unused tax losses or unused tax credits that are transferred to Kingsgate under the tax legislation. The funding\n\namounts are determined by reference to the amounts recognised in the wholly-owned entities' financial statements.\n\nThe amount receivable / payable under the tax funding agreement are due upon receipt of the funding advice from the head entity, which is issued as soon as practicable after the end of each financial year. The head entity may also require payment of interim funding amounts to assist with its obligations to pay tax instalments.\n\n| | | Assets | | Liabilities | | Net | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| g) | Recognised deferred tax assets | 2013 | 2012 | 2013 | 2012 | 2013 | 2012 |\n| and liabilities | | $'000 | $'000 | $'000 | $'000 | $'000 | $'000 |\n| Deferred tax assets / liabilities: | | | | | | | |\n| Derivatives | | 384 | 808 | – | – | 384 | 808 |\n| Employee benefits | | 1,789 | 1,571 | – | – | 1,789 | 1,571 |\n| Provision for restoration and rehabilitation | | 5,167 | 3,390 | – | – | 5,167 | 3,390 |\n| Provision for obsolescence | | 309 | 278 | – | – | 309 | 278 |\n| Unrealised exchange (gains) / losses | | 1,265 | 2,990 | (2,020) | (200) | (755) | 2,790 |\n| Other items | | 1,147 | 1,096 | (467) | – | 680 | 1,096 |\n| Tax losses | | – | 36,334 | – | – | – | 36,334 |\n| Available-for-sale financial assets | | 334 | 78 | – | (39) | 334 | 39 |\n| Mine properties and exploration | | 3,706 | – | (11,447) | (65,205) | (7,741) | (65,205) |\n| Total deferred tax assets / (liabilities) | | 14,101 | 46,545 | (13,934) | (65,444) | 167 | (18,899) |\n| Set off tax | | (3,706) | (36,334) | 3,706 | 36,334 | – | – |\n| Net deferred tax assets (liabilities) | | 10,395 | 10,211 | (10,228) | (29,110) | 167 | (18,899) |", - "page_start": 83, - "page_end": 83, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### **30. Superannuation Commitments (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 83\n\nThe Santos Superannuation Plan has employee accrued benefits and assets as disclosed in the most recent financial report of the plan, as follows:\n\n| | As at |\n| --- | --- |\n| | 31 December 2003 |\n| | $million |\n| Net market value of assets | 195.8 |\n| Less present value of employees' accrued benefits as determined | |\n| by actuarial assessment as at 1 January 2004 | (194.8) |\n| Excess | 1.0 |\n\nAt 31 December 2004 the vested benefits, or the benefits payable in the event of the termination of employment of each plan member, were $198.2 million (2003: $198.8 million) and the net market value of assets was $202.0 million (2003: $194.2 million).\n\n| | Consolidated | | Santos Ltd | |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 31. Contingent Liabilities | $million | $million | $million | $million |\n| Santos Ltd and its controlled entities have the following contingent liabilities | | | | |\n| arising in respect of: | | | | |\n| Performance guarantees | 9.8 | 9.6 | 6.3 | 6.5 |\n| Claims and litigation | 8.1 | 11.0 | 2.3 | 2.3 |\n| | 17.9 | 20.6 | 8.6 | 8.8 |\n\nLegal advice in relation to the claims and litigation referred to above indicates that on the basis of available information, liability in respect of these claims is unlikely to exceed $1.0 million on a consolidated basis.\n\nA number of the Australian interests of the Santos Group are located within areas the subject of one or more claims or applications for native title determination. Whatever the outcome of those claims or applications, it is not believed that they will significantly impact the Santos Group's asset base. The decision of the High Court of Australia in the \"Wik\" case has the potential to introduce delay in the grant of mineral and petroleum tenements and consequently to impact generally the timing of exploration, development and production operations. An assessment of the impact upon the timing of particular operations may require consideration and determination of complex legal and factual issues.\n\nGuarantees provided by Santos Ltd for borrowings in respect of controlled entities are disclosed in note 15.\n\nSantos Ltd has provided parent company guarantees in respect of:\n\n- (a) the funding obligations of its subsidiary companies, Santos Timor Sea Pipeline Pty Ltd and Santos Darwin LNG Pty Ltd, relating to the construction of a pipeline from the Bayu-Undan Field to Wickham Point in Darwin and the construction of the LNG Plant in Darwin respectively, and has provided a funding commitment letter to these subsidiary companies together with Santos (JPDA 91-12) Pty Ltd. As at 31 December 2004 the expenditure commitments of Santos Timor Sea Pipeline Pty Ltd and Santos Darwin LNG Pty Ltd for the above mentioned projects totalled US$41.3 million (2003: US$107.6 million);\n- (b) payment of Santos Egypt Ltd's financial obligations under a farmout agreement and certain concessions in the Gulf of Suez in the Arab Republic of Egypt up to a maximum of US$46.9 million.", - "page_start": 84, - "page_end": 84, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "```\naif_agent = init_aif (\n A, B, C = C, D = D, E = E, pA = pA, settings = settings , parameters = parameters\n)\n✝ ✆\n```\n✞ ☎\n\n#### *4.2. Simulating Behaviour*\n\nSince the environment and agent were set up, we could proceed to simulate the behaviour of the agent in the environment. We created a for loop, where the agent received an observation, made inferences about the environment, updated **A**, inferred policies and sampled actions:\n\n✞ ☎\n\n```\n# Run 1000 time steps\nT = 1000\n# Sample initial observation\nobs = reset_TMaze !(Env)\n# For loop over every time step\nfor t = 1:T\n # Infer states based on the current observation\n infer_states !( aif_agent , obs )\n # Infer policies and calculate expected free energy\n infer_policies !( aif_agent )\n # Updating A. This is the learning part ,\n # that includes the counting of the pA Dirichlet .\n update_parameters !( aif_agent )\n # Sample an action based on the inferred policies\n chosen_action = sample_action !( aif_agent )\n # Feed the action into the environment and get new observation .\n obs = step_TMaze !( Env , chosen_action )\nend\n```\nThe agent here started by moving to the cue location, and then proceeded to move to the left arm repeatedly. The main objects of learning here were the reward condition state and the **A** parameters for rewards under the two reward conditions. After observing the cue, the agent updated its belief (correctly) to be certain of being in the left reward condition (Figure 4). Over time, the agent learned the correct probability of receiving rewards in the left arm (0.94 versus a correct 0.95). It did not learn the probabilities for the right arm; this was because it never moved to that location, having already learnt that the left arm was more likely to produce rewards (Figure 5). This would be less likely to be the case with lower *γ* and *α* values, as well as a more entropic **C**.\n\n✝ ✆\n\n**Figure 4.** State inference for the reward condition. The agent's beliefs about the reward condition changed from agnostic (**left**) to certain that it was the left reward condition (**right**) after observing the cue.", - "page_start": 22, - "page_end": 22, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "#### **15. Interest-Bearing Liabilities (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 61\n\n#### **(c) Medium-term notes**\n\nThe Santos Group has a A$500.0 million (2003: A$500.0 million) Australian medium-term note program. At 31 December 2004, A$20.0 million (2003: A$20.0 million) of medium-term notes have been issued at fixed rate and swapped into floating rates of interest of 6.25% (2003: 6.20%), maturing in 2008.\n\n#### **(d) Long-term notes**\n\nUS$170.0 million of long-term notes were issued to institutional investors in 1993 at an annual effective interest rate of 6.95% and are repayable in five annual US dollar instalments which commenced in December 2001. As at 31 December 2004, US$34.0 million (A$43.7 million) remains outstanding (2003: US$68.0 million equivalent to A$90.8 million). A further US$290.0 million (A$372.5 million) (2003: US$290.0 million equivalent to A$387.3 million) of long-term notes were issued to institutional investors in 2000 at an annual effective interest rate of 8.37% and are repayable at varying maturity dates between 2007 and 2015. In addition US$300.0 million (A$385.3 million) (2003: US$300.0 million equivalent to A$400.6 million) of long-term notes were issued to institutional investors in 2002 at an annual effective interest rate of 6.11% and are repayable at varying maturity dates between 2009 and 2022.\n\nThe Santos Group has entered into interest rate swap contracts to manage the exposure to interest rates. This has resulted in a weighted average interest rate on interest-bearing liabilities of 5.50% as at 31 December 2004 (2003: 4.72%). All facilities are unsecured and arranged through a controlled entity, Santos Finance Ltd, and are guaranteed by Santos Ltd.\n\n| | Consolidated | | Santos Ltd | |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 16. Provisions | $million | $million | $million | $million |\n| Current | | | | |\n| Employee benefits | 48.7 | 47.7 | 47.6 | 46.3 |\n| Future restoration costs | 3.9 | 7.6 | 0.9 | 1.2 |\n| Non-executive Directors' retirement benefits | 0.2 | – | 0.2 | – |\n| | 52.8 | 55.3 | 48.7 | 47.5 |\n| Non-current | | | | |\n| Future restoration costs | 129.4 | 113.7 | 43.8 | 36.0 |\n| Non-executive Directors' retirement benefits | 2.2 | 2.3 | 2.2 | 2.3 |\n| | 131.6 | 116.0 | 46.0 | 38.3 |\n| Reconciliations of the carrying amount of the non-executive Directors' retirement | | | | |\n| benefits are set out below: | | | | |\n| Current | | | | |\n| Carrying amount at beginning of the year | – | 0.6 | – | 0.6 |\n| Transfer from/(to) non-current provision | 0.2 | (0.3) | 0.2 | (0.3) |\n| Payments made during the year | – | (0.3) | – | (0.3) |\n| Carrying amount at end of the year | 0.2 | – | 0.2 | – |\n| Non-current | | | | |\n| Carrying amount at beginning of the year | 2.3 | 1.7 | 2.3 | 1.7 |\n| Provision made during the year | 0.1 | 0.3 | 0.1 | 0.3 |\n| Transfer from/(to) current provision | (0.2) | 0.3 | (0.2) | 0.3 |\n| Carrying amount at end of the year | 2.2 | 2.3 | 2.2 | 2.3 |\n| 17. Other Liabilities | | | | |\n| Current | | | | |\n| Deferred foreign currency fluctuations on borrowings | 3.5 | 10.6 | – | – |\n| Accrued fluctuations on foreign currency swaps | 11.2 | – | – | – |\n| | 14.7 | 10.6 | – | – |\n| Non-current | | | | |\n| Deferred foreign currency fluctuations on borrowings | 33.9 | 55.7 | – | – |\n\nThe deferred foreign currency fluctuations on US dollar borrowings designated as hedges reflect the deferred gains arising from the movement of the Australian dollar against the US dollar from the inception of the drawdown of the borrowings to balance date.", - "page_start": 62, - "page_end": 62, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "### **F. Company Performance and Shareholder Wealth**\n\nThe following table sets out the Company's performance during the years ended 31 December 2014, 2013, the six month period ended 31 December 2012 and the preceding two years ended 30 June in respect of several key financial indicators (in US thousands, except where otherwise stated):\n\n| Metric | 31 December | 31 December | 31 December | 30 June | 30 June |\n| --- | --- | --- | --- | --- | --- |\n| | 2014 | 2013 | 2012* | 2012 | 2011 |\n| Revenue | 159,793 | 85,345 | 17,724 | 29,787 | 18,176 |\n| 3P Reserves (MBOE) | 147,723 | 92,780 | 46,501 | 50,138 | 25,714 |\n| Production (BOEPD) | 6,147 | 2,956 | 1,298 | 1,163 | 719 |\n| Net profit (loss) after tax | 15,321 | 15,942 | 76,210 | 6,012 | 7,029 |\n| EBITDAX | 126,373 | 52,594 | 9,223 | 17,093 | 9,762 |\n| Earnings per share** | 0.03 | 0.04 | 0.27 | 0.02 | 0.03 |\n| Dividends or other returns on | | | | | |\n| capital | Nil | Nil | Nil | Nil | Nil |\n| Share price | A$0.52 | A$1.00 | A$0.77 | A$0.56 | A$0.83 |\n\n* Six month period ended (all other periods shown are for full year periods)\n\n** Basic and diluted\n\n### **G. Remuneration of Non-Executive Directors**\n\nThe Non-executive directors receive a basic annual fee for board membership and annual fees for committee service and chairmanships. For the Australian non-executive directors this is inclusive of the superannuation guarantee contribution required by the Australian government, which changed to 9.50% at 1 July 2014 (previously 9.25%). In accordance with ASX corporate governance principles, they do not receive any other retirement benefits or any performance-related incentive payments by means of cash or equity. Some individuals, however, have chosen to contribute part of their salary to superannuation in order to access the available favourable tax advantage of doing so (\"Salary sacrifice\").\n\nTo align directors' interests with shareholder interests, the directors are required to hold our ordinary shares equal to three times their base board fees. Each Non-Executive Director has five years from their appointment to achieve this shareholding requirement. All remuneration paid to directors and executives is valued in accordance with applicable IFRS accounting rules.\n\nA review by Meridian was commissioned by the Remuneration and Nominations Committee in November 2014. The Remuneration and Nominations Committee found that the NED fee structure was within competitive range of its Australian peer companies, and that the remuneration per NED is near the median (46th percentile).\n\n#### *Summary of Non-Executive Director Pay Elements*\n\nNon-executive Directors' fees are determined within an aggregate Directors' fee pool limit, which is periodically recommended for approval by shareholders. The maximum currently stands at $950,000 per annum which was approved by shareholders at the Annual General Meeting on 28 May 2013.", - "page_start": 40, - "page_end": 40, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "What is the definition of POMDP ?", - "target_page": 4, - "target_passage": " The Partially Observable Markov Decision Process is a type of flexible generative model that is widely used in the AIF literature. In discrete time and usually a discrete state space, this model type is parametrised to fit a given task by a set matrices containing probability distributions.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "**Figure 1.** Depiction of a POMDP generative model. This encodes the agent's expectations about how the state *s* of the environment changes over time *t*, and how it generates observation *o* at each time step. **A**, also called the observation model, describes how environmental states give rise to observations. **B**, also called the transition model, describes how environmental states change over time, depending on action *u* (called policy *π* when structured into sequences). **C** is the preference prior, which encodes the agent's preferences for observations. This shapes the expected free energy *G* associated with each policy, which is used for policy selection. **D** encodes the agent's prior belief over environmental states before making any observations, and **E** is the prior over policies that determines the agent's preferences for policies in the absence of other motivation.\n\n#### *2.2. Perception in Active Inference*\n\nIn AIF, perception is conceptualised as the result of variational (i.e., approximate) Bayesian inference, performed by minimising the *VFE* to optimise parameters of posterior beliefs about the environment. In exact Bayesian inference, we use a parametrised generative model *m* to make an optimal inference about state *s* of the environment based on observation *o*. This is performed by combining a prior belief over states *p*(*s*|*m*); a likelihood model *p*(*o*|*s*, *m*); and the model evidence *p*(*o*|*m*), a normalisation term encoding the likelihood of receiving the given observations across all possible environmental states, as follows [1]:\n\n$$p(s|o,m)=\\frac{p(o|s,m)p(s|m)}{p(o|m)}\\tag{1}$$\n\nThe posterior distribution over states given observations *p*(*s*|*o*, *m*) here represent the agent's beliefs about the environment. Forming beliefs in this way is thought to be the process that enables conscious, as well as unconscious, perception. The product of the likelihood model and prior is also called the joint likelihood *p*(*o*,*s*|*m*), which fully defines the generative model, and which we use henceforth. In the following, for notational simplicity, we also omit denoting the dependency on the generative model *m*.\n\nCalculating the model evidence *p*(*o*) is often intractable, making exact Bayesian inference unfeasible. The way to circumvent this in AIF is to use a variational approximation to Bayesian inference [23,33,50,51]. This works by transforming the inference into an optimisation problem, specifically the minimisation of the *VFE*. First, an arbitrary probability distribution over environmental states *q*(*s*), an approximate posterior that is used to approximate the exact posterior, is introduced. We then introduce the Kullback–Leibler (KL)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "quantities as its target: the variational free energy (*VFE*) in the case of perception and the expected free energy (*EFE*) in the case of action. The *VFE* is the free energy associated with a given sensory observation and is resolved perceptually by updating beliefs about the environment. The *EFE* is the free energy that is expected in the future, contingent on a given policy or course of action. Choosing action policies associated with a low *EFE* lead to reducing uncertainty about the environment, as well as making preferred observations more likely.\n\n#### *2.1. POMDPs in Active Inference*\n\nIn AIF, the POMDP is one of the most common families of generative models used to make inferences about the environment. It is a Markovian discrete state-space model, where employing it means representing the environment and observations as inhabiting one among a set of possible (possibly multidimensional) states, and that the changes in these states can only depend on the system's previous state and the agent's actions. Environmental states are not directly observable, so they have to be inferred based on incoming sensory observations. In AIF for POMDPs and other generative models in general, both perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well as the learning of parameters of the generative model (see Section 2.4). Crucially, an agent's generative model does not a priori have to be isomorphic to the true environment (i.e., the data-generating process), although this will generally lead to a successful inference, and that the generative model will therefore often come to resemble the environment through learning.\n\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of parameters: **A**, **B**, **C**, **D** and **E** [1,33], see Figure 1. Together, these parametrise the agent's prior beliefs about the prior probability of different states in the environment, how states of the environment change and how they generate observations. Typically, they will be vectors, matrices or tensors; however, henceforth we denote them by their corresponding letter in bold. These make up the components needed for the agent to perform AIF.\n\n**A**, also called the *observation model*, represents the state-to-observation likelihood model. This describes how observations depend on or are generated by states of the environment. It is structured as a matrix with a column for each possible environmental state *s*, and a row for each possible observation *o*. Each column is then a categorical probability distribution over the observations that will occur given the environmental state (meaning that each column must contain non-negative values that sum to 1). If the observations are multidimensional (i.e., multiple observations are made at each time point), there is a matrix for each observation modality. If two or more states determine the observation, the likelihood model then becomes a tensor. If **A** is imprecise (i.e., the probabilities are highly entropic and evenly distributed), observations are taken to carry less information about the environment, in many cases leading to more uncertain inferences, and vice versa.\n\n**B**, also called the *transition model*, describes the state-to-state transition probabilities of environmental states *s*. **B** encodes the agent's assumptions about how the environment changes over time, depending on its actions. It has a column and a row for each environmental state *s*, where each column is a categorical probability distribution over the states the environment will take on the next time step, given the state it is currently in. If the environment is modelled as multidimensional, there will be a matrix for each environmental state factor. Additionally, there is a separate matrix for each possible action (making each factor in **B** a tensor). This means that for every factor in the model, there may be one or more actions that pick out the appropriate slice of the tensor. Action therefore allows the agent to predict that the environment (and the corresponding observations) will change differently depending on the actions that it chooses. If **B** is imprecise (i.e., highly entropic),", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Θ is then described by a Dirichlet distribution parametrised by a set of concentration parameters *θ*:\n\n$p(\\Theta)=Dir(\\Theta|\\theta)$ (19)\n\nThe concentration parameter of a Dirichlet distribution is essentially a non-negative count of how many times the given category (be it a type of observation or state transition) has occurred. The distribution of concentration parameter counts will determine the shape of the estimated categorical probability distribution, while the scale of the concentration parameters will determine the certainty per precision of the belief. Updating beliefs about Θ (the parameters in the matrices) then corresponds to updating these concentration parameters *θ* with the following update equation:\n\n$$\\theta_{t+1}=\\omega*\\theta_{t}+\\eta*\\chi t\\tag{20}$$\n\nThe updated value for the concentration parameter (*θt*+1) is found by adding the previous concentration parameter *θt* multiplied by a forgetting rate *ω* to the observed data count *χ* (either the observation in the case of **A** learning, or the inferred state or state transition for other matrices) multiplied by a learning rate *η*. With this relatively simple update equation—which, in essence, amounts to just counting the occurrences of categories—an AIF agent can update its beliefs about the various matrices it uses to make inferences about environmental states. For more details on parameter learning with POMDPs, see [23,33,52].\n\n## **3. Using ActiveInference.jl**\n\nIn this section, we provide an overview of the various functions a user will need to operate ActiveInference. This includes functionalities for creating POMDP agents, for simulating behaviour and for fitting the models to data. In the next section, we demonstrate how to use the package on a concrete worked example. ActiveInference is under continual development, and the newest version of the package, including documentation for how to use it, can be found at github.com/ilabcode/ActiveInference.jl.\n\n#### *3.1. Creating and Using a POMDP*\n\nThe general structure of ActiveInference.jl is heavily inspired by pymdp [23], a Python library for implementing simulations of AIF in discrete state spaces. Those already acquainted with pymdp should find the syntax here familiar. ActiveInference can be installed as normal from the official Julia General Registry using the Julia's native package manager Pkg:\n\n✞ ☎\n\n```\nusing Pkg\nPkg.add( ActiveInference )\n✝ ✆\n```\nIt can then be loaded into the current project environment:\n\n✞ ☎ **using** ActiveInference ✝ ✆\n\nCentral to the package is the AIF object. This is a structure containing all the components of the generative model, as well as the dynamic belief states and the various settings needed to perform AIF, and is used in conjunction with most of the high-level functions of the package. An AIF object can be created with the init_aif function, which takes as arguments the components of the generative model and a dictionary of various settings and parameters:", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "it means that the transitions of the environment are expected to be uncertain (and therefore, often transition to new states). In this sense, volatile and unstable environments will lead to less certain predictions about the future.\n\n**C**, also called the *preference prior*, is a prior preference over possible observations. It encodes the types of observations that an agent a priori expects to encounter; since minimising expected free energy through AIF entails taking actions that make the predicted observations come about, **C** also encodes the agent's preferences. It is a single categorical probability distribution over possible observations; if the observations are multidimensional, there is a separate *preference prior* for each observation modality. If **C** is imprecise (i.e., highly entropic), its preferences are weak and it will prioritise collecting information over realising its preferences; if it has low entropy, the agent will have stronger preferences and instead prioritise preferred outcomes or goals.\n\n**D**, also called the *state prior*, is the agent's prior belief about the states of the environment. It specifies the agent's belief about the environmental state before receiving any observations. There is a separate *state prior* over environmental states for each factor. With a more precise **A**, the influence of the **D** quickly diminishes since the likelihood overwhelms the prior in the Bayesian inference.\n\n**E**, also called the *habit prior*, is the prior over policies or paths. In the AIF vernacular, policies are allowable sequences of actions, with some specified policy length or temporal depth. **E** encodes the agent's preferences for choosing certain policies in the absence of plans based upon *expected free energy*, sometimes called the agent's \"habits\". It is a single probability distribution over each possible policy.\n\nIn addition to the five matrices, there are several hyper-parameters that are not part of the generative model, but are part of the inference algorithm. Here, we include two of the most common: the *γ* and *α* (inverse) temperature parameters. *γ*, the precision over policies, is the inverse temperature of a softmax transformation of expected free energies over policies, which is covered later in this section. After policies have been selected for a given time step, they are marginalised to calculate the probabilities of taking each possible action in the next time step. *α*, the action precision, is the inverse temperature of a softmax transformation on these final action probabilities, with higher values resulting in more stochastic action selection.\n\nAs noted, here we focus specifically on the POMDP-based generative models often used in the AIF literature. However, the basic steps when performing AIF—perception, action and learning—remain the same across generative models. In the remainder of this section, we describe each of these three steps in turn.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "free energy having some claims to being a better approximation than the information criteria classically used with MCMC methods (although see other approximations, like the Pareto-Smoothed Importance Sampling [59] or Thermodynamic Integration methods [60]; see [35] for a further review). Note that independently of which of these approaches one might take, the process involves inverting a generative model of the mental processes underlying the behaviour of a given subject, a generative model which itself is an inversion of the subject's generative model of the environment. We can call the generative model that the agent has of its environment the *subjective* generative model, and the model we have of the agent the *objective* generative model, in what has been called a meta-Bayesian approach or \"observing the observer\" [1,61].\n\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic behaviour that it generated; this is called a parameter recovery study since we can then compare the estimated parameters to the generative values used for creating the simulated data [62,63]. Here, we used the simulation method shown in the previous section to produce a synthetic dataset with known parameter values for each agent (in practice, these are often participants in an experiment), here with a focus on estimating the *α* parameter. We then used MCMC methods to estimate the parameters for each agent and compared the estimated values with the correct values. Here, we simulated two groups of five synthetic subjects agents with different *α* values (the parameters for the first group were sampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group with with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for 300 time steps. We produced the following data frame, containing the data of each of the agents: their observations, actions and an identifier, a format suitable for cognitive and behavioural modelling.\n\n| Row | Location | Reward | Cue | Action_Location | Action_Reward | SubjectID |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Int64 | Int64 | Int64 | Int64 | Int64 | Int64 |\n| 1 | 1 | 1 | 1 | 4 | 1 | 1 |\n| 2 | 4 | 1 | 2 | 3 | 1 | 1 |\n| 3 | 3 | 3 | 2 | 2 | 1 | 1 |\n| . | . | . | . | . | . | . |\n| . | . | . | . | . | . | . |\n| 3000 | 2 | 2 | 2 | 2 | 1 | 10 |\n\n3000×5 DataFrame\n\nWe used ActionModels to fit the AIF model created above to each of the agents in the dataset. We began by initialising an ActionModels agent:\n\n✞ ☎\n\n```\nusing ActionModels\n # Initialize ActionModels Agent with the action model and created active inference agent\n agent = init_agent (\n action_model = action_pomdp !, # Action model function\n substruct = aif, # Active inference agent as a substruct\n )\n✝ ✆\n```\nWe then set the prior for the parameter we wanted to estimate: the *α* action precision. As an example, we chose a wide, weakly informative prior: a Gaussian distribution with mean 5 and standard deviation 5, truncated at 0 and 20:", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "| Core Concepts | |\n| --- | --- |\n| AIF | Active inference is a formal framework for modelling behaviour and cog |\n| | nition. Perception and action are cast as minimising free energy—the VFE |\n| | and EFE, respectively—given a generative model of the environment. |\n| VFE | The variational free energy F quantifies how well a generative model |\n| | explains incoming sensory observations. It can be rewritten as the negative |\n| | log model evidence (called surprise) upper-bounded by the divergence |\n| | from the optimal posterior p(s o). Perception as inference is accomplished |\n| | by selecting the approximate posterior q(s) with the lowest associated |\n| | VFE. |\n| | F[q(s), o] ≜ DKL[q(s)∥p(o,s)] = DKL[q(s)∥p(s o)] − ln p(o) |\n| | {z } {z } Divergence Surprise |\n| EFE | The expected free energy G quantifies the expected future free energy |\n| | under an action policy π. It consists of an information gain term and a |\n| | pragmatic value term that provide a natural balance between exploratory |\n| | and goal-seeking behaviour. Action as inference is accomplished by select |\n| | ing the action policy with the lowest associated EFE. |\n| | = − Eq(o˜,s˜ π) [ln q(s˜ o˜, π) − ln q(s˜ π)] − Eq(o˜ π) [ln p(o˜ C)] Gπ |\n| | {z } {z } Information gain Pragmatic value |\n| Generative | The generative model is an agent's formal assumptions about the structure |\n| model | and dynamics of its environment, based on which perceptual and active |\n| | inferences are carried out. Many types of generative models exist that are |\n| | suitable for different environments and tasks. |\n| POMDP | The Partially Observable Markov Decision Process is a type of flexible |\n| | generative model that is widely used in the AIF literature. In discrete time |\n| | and usually a discrete state space, this model type is parametrised to fit a |\n| | given task by a set matrices containing probability distributions. |\n\n## **2. Active Inference with POMDPs**\n\nIn this section, we briefly describe the core concepts of AIF and POMDPs. This should familiarise the reader with the vernacular used in the later sections regarding the functionalities of the package. While various extensions, such as structure learning, which enables an agent to learn the structure or shape of its environment through model comparison [44–47], or hierarchical and temporally deep POMDPs [48,49], are relevant for future work, describing these in detail is beyond the scope of this foundational paper.\n\nAt the core of AIF lies the minimisation of a variational free energy upper bound on surprise for perception, as well as action. This is motivated by the free energy principle [4–8], which states that self-organising systems can be described as minimising the variational free energy of their sensory states. The minimisation of free energy generally takes two", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "minimisation [9]. Choosing actions that minimise the expected free energy (*EFE*) of their consequences provides a natural balance between exploratory and exploitative behaviour; generalises descriptive approaches to behavioural modelling, like reinforcement learning and expected utility maximisation; and provides a singular approach to adaptive behaviour that can be used across different environments. AIF was argued to be applicable to any selforganising system that actively maintains a stable boundary that defines its integrity [10], a broad category that includes cells and plants [11], as well as humans [2] and even collectives [12]. Owing to its generality, AIF has seen a rise in popularity across multiple fields. It is used for theoretical simulations of the mechanisms underlying various types of behaviour [2], computational phenotyping in computational psychiatry [13,14], and agentbased simulations of population dynamics [15], as well as in engineering and robotics [16]. In AIF, perception and concurrent action are based on performing a variational Bayesian inversion of a generative model of the environment (i.e., a model of how the environment changes and brings about sensory observations). This belief updating includes inferring (hidden) states of the environment, learning parameters of the generative model and learning the structure of the generative model. Since the requisite inference schemes come pre-specified, the main task in AIF modelling becomes specifying an appropriate generative model. This includes specifying priors over environmental states, as well as what might be called *prior preferences*, *preference priors* or *goal priors*: immutable prior expectations that make up an agents' preferences by furnishing a set of predictions over future states or observations; in fulfilling these predictions, free energy is minimised. The space of possible generative models is vast, and they often have to be handcrafted for a given environment. However, there are some families of generative models that can be considered \"universal\" in the sense that they can be used for most environments. Currently, the most popular of these is the discrete state-space Partially Observable Markov Decision Process (POMDP) based generative models. Since they are ubiquitous in the literature, we focus here on making these types of generative models available to researchers. There are, however, other types of universal generative models, like generalised filtering models [17] or Hierarchical Gaussian Filtering-based models [18,19], that will be implemented in the future.\n\nTools for simulating POMDP-AIF models were originally developed as part of the DEM [20] library for MATLAB [21] (part of the larger SPM library [22]). Since then, a modal and flexible software package pymdp [23] was created for Python [24], as well as a performance-oriented package cpp-AIF [25] for C++ [26] that can be used across platforms. Finally, the factor graph library RxInfer [27] for Julia [28] has also been used to implement some AIF models on an efficient factor graph back-end [29–31]. The important tools that these packages provide make AIF available for researchers to perform simulation studies and for use in engineering contexts. They do not, however, usually allow for fitting models to empirically observed data, which is a fundamental method used in cognitive modelling [32], often in the context of computational psychiatry [13], to infer the mechanisms underlying variations in behaviour or to investigate the differences between (for example, clinical) populations. Smith and colleagues [33] provided a guide for manually doing variational Bayesian parameter estimation based on empirical data, but only in MATLAB and restricted to a particular class of variational parameter estimation methods (variational Laplace), instead of the sampling-based methods that currently predominate in the field of cognitive modelling [34,35].\n\nIn this paper, we introduce ActiveInference.jl, a new software library for Julia [28] that aims to provide easy-to-use tools for model fitting with AIF models and to introduce AIF to the growing community of researchers using Julia for computational psychiatry and cognitive modelling. Julia is a free and open-source high-level programming language that retains an easy user interface reminiscent of that in MATLAB and Python. Simultaneously,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "ing the temporal dynamics of belief changes in experimental participants. Dynamic belief trajectories can then be related to other (for example, physiological) measures, as is usual in model-based neuroscience [65]. This method can also, in principle, be used for fitting models to other types of experimentally observable systems, like animals, organoids [66], and simulated or emergent systems [67]. The package can also be used for agent-based modelling in general, for repeating earlier analyses with sampling based model-fitting and for comparing POMDP-based AIF models directly to other types of models.\n\nSince they implement full approximate Bayesian inferences, AIF models are computationally more demanding than many approaches traditionally used in cognitive and agent-based modelling, in particular when the dimensionality of the generative model is large. This means that models with highly multidimensional or complex behaviour and large numbers of agents can be computationally infeasible to implement, especially given the additional computational demands introduced by fitting these models to empirical data. Avenues for addressing this implicit scaling problem were proposed in the context of machine learning applications [68,69], and with the use of simplifying assumptions—the use of which are ubiquitous in computational modelling—AIF has been used to model multi-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and fish school movements [12]. It remains to be explored how AIF models can be applied to highly complex natural phenomena, such as a concrete election, which underscores the need for efficient but flexible and accessible software tools in the field.\n\nThere are many ways in which ActiveInference can be improved. It would be useful to extend the set of dynamic belief states to include prediction errors since they are often used for model-based neuroscience. This would entail departing from discrete state-space (i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering or predictive coding (see below). An alternative would be to generate prediction errors from belief updating under discrete models, where prediction errors can be read as the (KL) divergence between posterior and prior beliefs (i.e., complexity or information gain). A simple interface could be added for creating custom parametrisations of the requisite parameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed to Dirichlet distributions. Parameter learning could be extended to all generative model parameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or temperature of the parameters that are learned); similarly for the precision over expected free energies *γ*. Preference priors should also be implementable for environmental states, in addition to observations, and **A** can be made action dependent.\n\nA library of pre-made canonical POMDP models could be created so that users can easily implement them directly. Alternatives to the fixed-point iteration method for updating posteriors over environmental states could be included, like the marginal message passing algorithm. There are various ways in which the package can be made more computationally efficient, and it could be compared with other software implementations. There are plenty of utility and plotting functions that could be added to the package to make it easier to use and to facilitate integration with the model-fitting packages it relies on; for example, to allow for combining the models with linear regressions to compare parameters values of different populations in a single model. More complex types of POMDP models can also be added, like hierarchical and temporally deep POMDPs. Model structure learning could be considered, where different model structures are compared and chosen between by evaluating their free energies. Sophisticated inference, where predictions are also made about changes in one's own beliefs—depending on expected action-dependent observations in the future—could also be implemented [58]. Finally, the package could be extended to other types of generative models than POMDPs, including other universal models, like generalised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "parameter recovery and predictive checks. In this section, we outline how to use ActiveInference for simulation and model fitting in conjunction with ActionModels. In the following section, we show how to achieve this on a concrete worked example.\n\n## **4. Usage Example**\n\nIn this section, we demonstrate a full usage example of how to create an AIF agent, simulate behaviour in a classic T-maze environment and fit the AIF agent to a simulated example dataset. We provide the necessary code to run this simulation. All code required to reproduce the example simulation can be found in an open source OSF repository osf.io/j3k5q/. This example was performed with the current version of ActiveInference.jl (0.1.1); the newest version can be found at github.com/ilabcode/ActiveInference.jl.\n\n#### *4.1. Setting Up Environment and Agent*\n\nA T-maze is a simple task commonly employed in the behavioural sciences, as well as in the AIF literature [14,54–57]. It is a minimal type of task that requires balancing exploration and exploitation, or epistemic and pragmatic value, respectively. It is also suitably represents in a discrete state space. Together, this makes it easily compatible with a POMDP-based AIF approach.\n\nThe structure of the T-maze is, as the name suggests, a T-shaped maze, consisting of a centre location, a cue location (bottom of the T), and reward and loss locations (one in each arm of the T) (Figure 2). On every trial, the agent can move to one of the two arms of the T to receive a reward; one, called the reward location, will yield rewards with a higher probability than the other side. At the cue location, which the agent can move to, the agent receives a cue that indicates which of the locations is the reward location. Generally, the cue may be more or less informative; in this example, it always accurately reflected the reward conditions state (reward in the right or left arm). The reward location only provides a reward probabilistically. This means the agent can either take a chance and go directly to one of the two upper arms, or spend its first move seeking information about where the reward is before moving to the reward location. Since the clue location is not preferred, the second option comes with a cost in terms of pragmatic value, which has to be outweighed by the epistemic value in resolving uncertainty about the reward location state. Note that for the agent to realise that this uncertainty reduction will aid it in its subsequent choice of arm, it would have to be able to anticipate the effect of its actions on its own future beliefs, a process called \"sophisticated inference\" [58].\n\n**Figure 2.** A depiction of the T-maze. (**A**) The full layout of the T-maze task, with the centre location, the cue location and the two reward conditions. (**B**) A three-step example of a T-maze trial. The agent (in this case, a mouse) starts at the centre location. In order to reduce the uncertainty regarding which arm the reward is located in, the agent moves to the cue location. The cue location reveals the right arm to be the reward location, and in the subsequent time step, it goes to the right arm and observes the reward with some probability.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "#### *2.3. Action in Active Inference*\n\nAs with perception, action in AIF is guided by the minimisation of free energy. However, instead of *VFE* being minimised directly, it is the free energy that is expected to occur depending on the actions taken by the agent—the expected free energy or *EFE*—that is minimised. As stated below, choosing actions that minimise the *EFE* leads to a natural balance between exploration and exploitation, ensuring preferences are realised and ambiguity about the environment is minimised. In AIF, policies *π* are sequences of actions *u*. The policy length (also called the planning horizon or temporal depth) is the length of the policies being considered. The total number of policies therefore depends on the policy length and the number of different actions that can be made at each time step. An *EFE* is assigned to each policy *π* (denoted as *Gπ*), where policies associated with a lower *EFE* are then more likely to be chosen.\n\nOne can rewrite the *EFE* in different ways to highlight different consequences of optimising it. Below, we show the two most crucial ways to rewrite it, taken from [1,33]. We denote the states and observations that are expected future outcomes of actions with (~). Additionally, we introduce a *preference prior* **C** that encodes the agent's preferences:\n\n$$G_{\\pi}=-\\underbrace{\\mathbb{E}_{q(\\delta|\\pi)}\\big{[}\\ln q(\\tilde{s}|\\delta,\\pi)-\\ln q(\\tilde{s}|\\pi)\\big{]}}_{\\text{Information gain}}-\\underbrace{\\mathbb{E}_{q(\\delta|\\pi)}\\big{[}\\ln p(\\delta|C)\\big{]}}_{\\text{Pragmatic value}}\\tag{17}$$\n\nThe expression above shows how minimising the *EFE* leads to a natural balance between information gathering and realising preferences. The first term on the right-hand side is the change in belief from the prior to the posterior under a given policy called the epistemic value or information gain. Optimising this value is what leads to (notably non-random) exploratory behaviour. The second term is the pragmatic value; minimising this value ensures that observations are in accordance with the preference prior **C**.\n\nAnother way to express the *EFE* is in terms of risk and ambiguity:\n\n$$G_{\\pi}=\\underbrace{\\mathbb{E}_{q(\\tilde{s}|\\pi)}\\big{[}H\\big{(}p(\\delta|\\tilde{s})\\big{)}\\big{]}}_{\\text{Expected ambiguity}}+\\underbrace{D_{KL}\\big{[}q(\\delta|\\pi)\\big{]}\\big{|}p(\\delta|C)\\big{]}}_{\\text{Risk(outcomes)}}\\tag{18}$$\n\nHere, the first term on the right-hand side captures the expected entropy, or uncertainty, of the outcomes given the environmental states. Minimising this quantity ensures that the agent will seek states where observations can most clearly be used to distinguish between environmental states. The second term is the KL divergence of the expected observations from preferred observations, capturing the risk of making unwanted (i.e., a priori surprising) observations, which is also minimised by minimising the *EFE*.\n\n#### *2.4. Learning in Active Inference*\n\nIn AIF, the parameters of the generative model can also be updated via Bayesian-beliefupdating methods, a process called \"parameter learning\" or sometimes just \"learning\" [2]. In general, this is performed by introducing belief distributions over the possible values of the parameters that are subject to learning, and updating this distribution for each observation using Bayesian belief updating. This additionally implies introducing priors on the belief distributions. Depending on the type of generative model used, the belief distributions and their priors will take different forms, and so will their update equations. In the following, we demonstrate parameter learning specifically in the context of POMDPs.\n\nThe parameters that are subject to learning in POMDPs are usually the entries in the five matrices. Since the matrices consist of categorical probability distributions, it is natural to use Dirichlet distributions—distributions over categorical probability distributions—as belief distributions over their values [33,52]. Beliefs about each probability distribution", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What is dyspnea ?", - "target_page": 2, - "target_passage": "Dyspnea refers to a subjective sensation of breathing discomfort.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identified with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort.1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%.2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks.3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a significant burden on those with undiagnosed conditions. In a systematic review by Müller et al,4 the combined\n\n#### Study Design and Methods Recruitment of Undiagnosed Cases and Healthy Control Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case finding study. Approval for prevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily influenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants.5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identified potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits.7\n\nThe three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having significant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their influence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George's Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael's Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen's University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John's, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "# Impact of Dyspnea on Adults With Respiratory Symptoms Without a Defined Diagnosis\n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; Louis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; Catherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; M. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; Gonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\n\n> BACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\n> RESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory symptoms?\n\n> STUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were experiencing respiratory symptoms. These individuals had not been previously diagnosed with any lung conditions and were recruited from 17 Canadian centers using random digit dialing. Each participant underwent spirometry testing both before and after using a bronchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved ratio impaired spirometry (PRISm), or if their spirometry results were normal. An agematched control group (n ¼ 231) was similarly recruited using random digit dialing. A dyspnea impact assessment score from 0 to 100 was produced using questions from the COPD Assessment Test and St. George's Respiratory questionnaire.\n\n> RESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, 63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; 95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and comorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the variation was explained by disease classification and another 1.7% by the severity of lung function impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\n> INTERPRETATION: Our findings showed that in community-based adults with undiagnosed respiratory symptoms, those identified with PRISm experienced the greatest impact of dyspnea. Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity. CHEST 2024; 166(6):1296-1308\n\nKEY WORDS: asthma; case finding; COPD; dyspnea\n\nFOR EDITORIAL COMMENT, SEE PAGE 1259", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "- 5. Nishino T. Dyspnoea: underlying mechanisms and treatment. Br J Anaesth. 2011;106:463-474.\n- 6. Neder J, Berton D, Müller P, et al. Ventilatory inefficiency and exertional dyspnea in early chronic obstructive pulmonary disease. Ann Am Thorac Soc. 2017;14(suppl_1): S22-S29.\n- 7. Gruenberger JB, Vietri J, Keininger DL, Mahler DA. Greater dyspnea is associated with lower health- related quality of life among European patients with COPD. Int J Chron Obstruct Pulmon Dis. 2017;12: 937-944.\n- 8. Preteroti M, Whitmore GA, Vandemheen KL, et al. Population-based case-finding to identify subjects with undiagnosed asthma or COPD. Eur Respir J. 2020;55:2000024.\n- 9. Huynh C, Whitmore GA, Vandemheen KL, et al. Derivation and validation of the UCAP-Q case-finding questionnaire to detect undiagnosed asthma and COPD. Eur Respir J. 2022;60(3):2103243.\n- 10. Shin B, Cole SL, Park SJ, et al. A new symptom-based questionnaire for predicting the presence of asthma. J Investig Allergol Clin Immunol. 2010;20: 27-34.\n- 11. Price DB, Tinkelman DG, Nordyke RJ, et al. Scoring system and clinical application of COPD diagnostic questionnaires. Chest. 2006;129: 1531-1539.\n- 12. Price DB, Tinkelman DG, Halbert RJ, et al. Symptom-based questionnaire for identifying COPD in smokers. Respiration. 2006;73:285-295.\n- 13. Jones PW, Harding G, Berry P, et al. Development and first validation of the COPD Assessment Test. Eur Respir J. 2009;34:648-654.\n- 14. Jones PW. Quality of life measurement for patients with diseases of the airways. Thorax. 1991;46:676-682.\n- 15. Jones PW, Quirk FH, Baveystock CM. The St George's Respiratory Questionnaire. Respir Med. 1991;85:25-31.\n- 16. Jones PW. St George's Respiratory Questionnaire: MCID. J Chronic Obstr Pulm Dis. 2005;2:75-79.\n- 17. Global Initiative for Asthma. Global strategy for asthma management and prevention. Global Initiative for Asthma website. Accessed July 30, 2023. https:// ginasthma.org/wp-content/uploads/2023/ 07/GINA-2023-Full-report-23_07_06- WMS.pdf\n- 18. Global Initiative for Chronic Obstructive Lung Disease. Global strategy for the diagnosis, management, and prevention of chronic obstructive pulmonary disease. Global Initiative for Chronic Obstructive Lung Disease website. Accessed July 30, 2023. https://goldcopd.org/wp-content/ uploads/2023/03/GOLD-2023-ver-1.3-17 Feb2023_WMV.pdf\n- 19. Magner KMA, Cherian M, Whitmore GA, et al. Assessment of preserved ratio impaired spirometry (PRISm) using pre and post bronchodilator spirometry in a randomly-sampled symptomatic cohort. Am J Resp Crit Care Med. 2023;208(10): 1129-1131.\n- 20. Hanania NA, O'Donnell DE. Activityrelated dyspnea in chronic obstructive pulmonary disease: physical and psychological consequences, unmet needs, and future directions. Int J Chron Obstruct Pulmon Dis. 2019;14: 1127-1138.\n- 21. Reilly Associates. WPAI scoring. Reilly Associates website. Accessed May 1, 2024. http://www.reillyassociates.net/wpai_ scoring.html\n- 22. Carlsen HK, Haga SL, Olsson D, et al. Birch pollen, air pollution and their interactive effects on airway symptoms and peak expiratory flow in allergic asthma during pollen season – a panel study in Northern and Southern Sweden. Environ Health. 2022;21:63.\n- 23. Ekström M, Johannessen A, Abramson MJ, et al. Breathlessness across generations: results from the RHINESSA generation study. Thorax. 2022;77(2): 172-177.\n- 24. Ziegler B, Fernandes AK, Sanches PR, Konzen GL, Dalcin Pde T. Variability of dyspnea perception in healthy subjects\n\nassessed through inspiratory resistive loading. J Bras Pneumol. 2015;41(2): 143-150.\n\n- 25. Ekström M, Bornefalk H, Sköld M, et al. Validation of the Swedish Multidimensional Dyspnea Profile (MDP) in outpatients with cardiorespiratory disease. BMJ Open Respir Res. 2019;6: e000381.\n- 26. Yorke J, Russell AM, Swigris J, et al. Assessment of dyspnea in asthma: validation of The Dyspnea-12. J Asthma. 2011;48(6):602-608.\n- 27. Boulet LP, Boulay ME, Cote A, et al. Airway inflammation and hyperresponsiveness in subjects with respiratory symptoms and normal spirometry. Eur Respir J. 2023;61(3): 2201194.\n- 28. Gerstein E, Bierbrier J, Whitmore GA, et al. Impact of undiagnosed chronic obstructive pulmonary disease and asthma on symptoms, quality of life, healthcare use, and work productivity. Am J Respir Crit Care Med. 2023;208(12):1271-1282.\n- 29. Aaron SD, Vandemheen K, Whitmore GA, et al. Early diagnosis and treatment of COPD and asthma: a randomized, controlled trial. N Engl J Med. 2024;390(22):2061-2073.\n- 30. Han MK, Ye W, Wang D, et al. Bronchodilators in tobacco-exposed persons with symptoms and preserved lung function. N Engl J Med. 2022;387(13): 1173-1184.\n- 31. Marott JL, Ingebrigtsen TS, Çolak Y, et al. Impact of the metabolic syndrome on cardiopulmonary morbidity and mortality in individuals with lung function impairment: a prospective cohort study of the Danish general population. Lancet Reg Health Eur. 2023;35:100759.\n- 32. Stefan MS, Priya A, Martin B, et al. How well do patients and providers agree on the severity of dyspnea? J Hosp Med. 2016;11(10):701-707.\n- 33. Cherian M, Magner KMA, Whitmore GA, et al. Patient and physician factors associated with symptomatic undiagnosed asthma or COPD. Eur Respir J. 2023;61(2): 2201721.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### TABLE 2 ] Mean Responses to Individual Dyspnea Questions\n\n| | | Qu est ion s Ab out Dys pne a Fro m CA T an d SG RQ | Co ntr ol Gro up (n ¼ 23 1) | No rm a l Sp iro me try Gro up (n ¼ 2, 090 ) | Ast hm a Gro up (n ¼ 265 ) | CO PD Gro up (n ¼ 330 ) | PRI Sm Gro up (n ¼ 172 ) |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 1 ht Q (w eig | 0.5 14 ¼ ) | Wh I lk hil l ht f irs en wa up a or on e flig o sta bre at hle ss . Th e sc a le for th is es tio n ran s fro m 0 qu ge | I 0.9 0 1.0 am ( 4) , (w he n I wa lk | 2.8 5 1.4 6 ( ) | 3.0 3 1.3 ( 7) | 3.2 1 1.3 0 ( ) | 3.5 6 ( 1.3 7) |\n| | | hil l 1 ht f sta irs I t bre up a or flig o am no , (w he n I wa lk up a hil l or on e flig ht o f sta bre at hle ss ). | at hle to 5 ss ) irs I am ve ry , | | | | |\n| 2 ht Q (w eig | 0.4 36 ¼ ) | Ov the st 3 I ha ha d ho rtn er pa mo ve s es s , | f bre at h. 0.4 5 0.8 9 o ( ) | 2.5 0 1.3 0 ( ) | 2.7 1 1.1 8 ( ) | 2.8 3 1.2 ( 1) | 2.9 3 |\n| | | Th le for th fro e sc a is qu es tio n ran ge s m 0 | the (ov er pa st | | | | ( 1.1 8 ) |\n| | | 3 mo I ha ve ha d s ho rtn es s o f bre at h. no | t at a ll) to 4 | | | | |\n| | | , the st 3 I ha ha d ho rtn (ov er pa mo ve s es , | f s o | | | | |\n| | | bre h. da at mo st ys a we e k) . | | | | | |\n| Q 3: I fee l | bre at hle ss | the se da ys . | | | | | |\n| | | Sit tin or ly ing sti ll, % g | 3 | 16 | 23 | 14 | 19 |\n| | | Ge tti he d dre d, % ng wa s or ss e | 2 | 17 | 21 | 20 | 28 |\n| | | Wa lki d at ho % ng aro un me , | 2 | 20 | 21 | 23 | 27 |\n| | | Wa lki ng ou tsi de on the lev e l, % | 4 | 36 | 42 | 38 | 49 |\n| | | C lim bin a flig ht o f sta irs % g up , | 20 | 75 | 81 | 83 | 87 |\n| | | C lim bin hil ls, % g | 35 | 83 | 89 | 90 | 89 |\n| | | Pla ort % y ing sp s or ga me s, | 34 | 78 | 83 | 81 | 82 |\n| 3 Q ( tot a l) | ht 0.6 (w eig ¼ | 48 Th le for th fro 0 ) e sc a is qu es tio n ran ge s m to | ba d 1.0 0 1.2 7, se on ( 5 ) | 3.2 3 1.7 ( 2) | 3.5 3 5 ( 1.6 ) | 3.4 5 ( 1.6 1) | 3.7 6 |\n| | | the nu mb er o f sit ive an sw ers for the 7 po | ite ms . | | | | ( 1.7 5 ) |\n| Q 4 (w eig ht | 0.0 91 ) ¼ | I am bre at hle ss wh en I ta lk, % | 2 | 35 | 43 | 37 | 39 |\n| 5 ht Q (w eig | 0.0 95 ¼ ) | I bre at hle wh I be nd % am ss en ov er, | 5 | 37 | 45 | 37 | 56 |\n| ht Q 6 (w eig | ¼ 0.0 60 ) | fra id wh I ge t a or pa nic en I ca nn ot ge t my | bre at h, % 4 | 30 | 33 | 31 | 37 |\n| Be ca us e o f | my bre at hin | g. | | | | | |\n| Q 7 (w eig ht | ¼ 0.0 37 ) | I ta ke a lon tim e to t wa s he d or dre ss e g ge | d, % 1 | 8 | 9 | 10 | 17 |\n| 8 ht Q (w eig | 0.0 23 ¼ ) | I ot ta ke ba th ho I ta ke ca nn a or s we r, or a | lon tim % 0 g e, | 5 | 7 | 7 | 8 |\n| 9 ht Q (w eig | 0. 11 6 ¼ ) | I lk low tha ot he I ha wa s er n r pe op le, or ve | to sto for 5 p | 40 | 46 | 56 | 66 |\n| | | res ts, % | | | | | |\n| Q 10 (w eig ht | ¼ 0. 11 3 ) | Jo bs su c h as ho us ew or k ta ke a lon tim g e, | or I ha ve to 3 | 38 | 40 | 48 | 59 |\n| | | sto for % p res ts, | | | | | |\n| 11 ht Q (w eig | 12 ¼ 0. 4) | If lim b ht f ha I c up on e flig o sta irs I ve to , | low go s ly or 5 | 47 | 44 | 57 | 67 |\n| | | sto % p, | | | | | |\n| Q 12 (w eig | ht ¼ 0. 12 7) | If I hu or wa lk fas t, I ha ve to sto or s rry p | low do wn 10 | 59 | 62 | 70 | 80 |\n\n(Continued)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "# TABLE 8 ] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | Value P | Dyspnea OR (95% CI) | Value P |\n| In the past 12 mo, did you visit your general | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing | | | | |\n| problems? | | | | |\n| In the past 12 mo, did you visit an emergency | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| department for any breathing problems? | | | | |\n| In the past 12 mo, were you hospitalized for any | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n| breathing problems or respiratory illness? | | | | |\n\nData are presented as OR (95% CI) with Pvalues. Adjusted values are adjusted for age, sex, and BMI.\n\noutpatients with cardiorespiratory disease25 and the Dyspnea-12 in patients with asthma26 and found that the affective aspect of dyspnea can significantly influence the impact of dyspnea on health status, irrespective of the intensity of breathlessness.\n\nIn those with PRISm, there was a strong, positive association between higher values for the FEV1/FVC ratio and dyspnea. For the PRISm group, a higher FEV1/FVC ratio may reflect diminished lung compliance due to interstitial lung disease and/or respiratory system restriction due to obesity, which could contribute to worse dyspnea. Conversely, the association of dyspnea with the FEV1/FVC ratio was in the opposite direction for those with asthma or COPD, and a lower FEV1/FVC ratio correlated with worse dyspnea, as expected.\n\nOur study complements the literature by focusing on adults with undiagnosed respiratory symptoms who were randomly selected and recruited through active case finding in the community. This increases the generalizability of our results to a broader population. Our dyspnea questions were derived from widely used and validated respiratory health questionnaires, and our dyspnea assessment measure is a weighted average of responses to these validated questions. Consequently, the measure has an immediate interpretation in terms of the lived day-to-day experience of individuals.\n\nOur study has limitations. We did not undertake reliability/reproducibility testing of our questionnaire. The dyspnea impact assessment score was statistically associated with increased health care utilization, lower quality of life, and reduced work productivity; therefore, by virtue of this analysis, our questionnaire has construct validity. However, further attempts at external validation of the questionnaire using an independent data set would be important. Health care utilization during the preceding 12 months was assessed on entry into the study, and there is potential for impaired recall of events. Our study may have missed asthma in some participants because bronchial challenge testing was not conducted on those who tested negative for airflow obstruction or BD responsiveness. A previous study showed that an additional diagnostic step incorporating\n\n| TABLE 9 ] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| Are you currently employed | 0.995 (0.992-0.998) | .002 | 0.993 (0.990-0.997) | < .001 |\n| (working for pay)? | | | | |\n| | Dyspnea Coefficient | | Dyspnea Coefficient | |\n| Measurea | (95% CI) | Value P | (95% CI) | Value P |\n| Absenteeism | 0.061 (0.040-0.083) | <.001 | 0.066 (0.044-0.089) | < .001 |\n| Presenteeism | 0.334 (0.293-0.375) | <.001 | 0.349 (0.306-0.392) | < .001 |\n| Work productivity loss | 0.368 (0.323-0.413) | <.001 | 0.383 (0.336-0.430) | < .001 |\n| Activity impairment | 0.503 (0.463-0.544) | <.001 | 0.501 (0.458-0.544) | < .001 |\n\nORs and regression coefficients are presented with 95% CIs and P values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI ¼ Work Productivity and Activity Impairment questionnaire.\n\na Measures calculated from WPAI questions.21", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### Risk Factors Associated With Dyspnea\n\nPatient-related risk factors were considered first, and results of spirometry considered afterward. The spirometry risk factors chosen for the second stage analysis included the spirometry-based diagnosis of the patient (asthma, COPD, PRISm, or normal) and lung function results indicative of the severity of physiologic impairment. Severity was gauged by assessing three principal lung function measures: (1) post-BD FEV1 % predicted, (2) post-BD FEV1/FVC ratio, and (3) percentage reversal of FEV1 with BD.\n\n#### Dyspnea Impact and Health Care Use, Quality of Life, and Work Productivity\n\nThe impact of dyspnea and its associations with health care use, quality of life, and work productivity were examined. Health care utilization was assessed through selfreported data. Quality of life was assessed using the 36- Item Short Form Health Survey questionnaire, where higher scores indicate better health status. Work productivity was assessed using the Work Productivity and Activity Impairment questionnaire, where higher scores\n\n#### Results\n\nFigure 1 illustrates the results of the case finding approach, including the enrollment of the control group. Among 5,631 potentially eligible participants, 1,359\n\nindicate greater impairment in work productivity and daily activities.\n\n#### Statistical Analysis\n\nBox plots were used to compare distribution patterns of dyspnea impact assessments among the disease groups. Pairwise comparison tests were conducted to evaluate mean dyspnea differences between groups. Multiple linear regression analysis was used to measure contributions to variability of dyspnea by selected patient-specific risk factors, spirometry disease classification, and key lung function measures. The selected sets of risk factors were evaluated using successive regression analyses. Analysis of variance sums of squares from the successive regression analyses provided the cumulative percentage contributions to variability of dyspnea. Simple, multiple, and logistic regression analyses were used to study associations between dyspnea and health care utilization, quality of life, and work productivity outcomes. All statistical analyses were done using STATA 16 statistical software (StataCorp).\n\nparticipants (24%) did not meet the threshold of $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire and were thus excluded, leaving 4,272 individuals deemed eligible for spirometry.\n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; COPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a case finding strategy identified asthma in 26% of symptomatic individuals who had normal spirometry and no response to BD.27\n\nIndividuals with undiagnosed respiratory symptoms, determined to have asthma or COPD through spirometry, experience poor health status.28 Therefore, the implementation of known treatment approaches for asthma or COPD is important to improve their conditions.29 In contrast, those with normal spirometry or PRISm face unclear treatment approaches. Longacting BD therapy in symptomatic individuals with tobacco exposure with normal spirometry is not effective.30 Weight management programs may be useful for individuals who are obese with PRISm-related dyspnea; however, this awaits definitive clinical trials.31\n\nDyspnea was severe and prevalent within our study group; however, it remained undiagnosed. A study conducted by Stefan et al32 revealed that physicians underestimated their patients' dyspnea 37.9% of the time, whereas nurses underestimated it 3.5% of the time. Moreover, many patients limit their physical activities, which lead them to downplay the extent of their dyspnea.19 Patient underreporting of symptoms, coupled with inadequate physician-led investigations of symptoms, may explain why dyspnea often goes undiagnosed in the population.33\n\nIn conclusion, our study measured dyspnea impact in individuals with no preexisting diagnosis of lung disease who reported respiratory symptoms as part of a purposeful case finding strategy. Individuals with PRISm exhibited the greatest impact of dyspnea, even higher than those newly diagnosed with asthma or COPD. After adjusting for patient factors, comorbidities, pulmonary diseases, and severity of lung physiologic impairment, most of the variability in dyspnea remained unexplained. We also showed that dyspnea was associated with increased health care utilization, impaired quality of life, and work productivity.\n\n## Funding/Support\n\nThis study is supported by the Canadian Institutes of Health Research [FDN Grant 154322].\n\n# Financial/Nonfinancial Disclosures\n\nNone declared.\n\n# Acknowledgments\n\nAuthor contributions: S. D. A. and G. A. W. contributed to conception and design. J. B., E. G., G. A. W., K. L. V., and S. D. A. contributed to analysis and interpretation. J. B., E. G., G. A. W., K. L. V., S. D. A., C. B., C. L., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. M., I. M., M. B., P. H., M. D. L., M. A., C. J. L., T. A., N. E., G. G. A., and S. M. contributed to drafting the manuscript for important intellectual content. All authors had access to and participated in the interpretation of the data and provided input into the preparation and submission of the manuscript. The authors vouch for the accuracy and completeness of the data.\n\nRole of sponsors: The sponsor had no role in the design of the study, the collection and analysis of the data, or the preparation of the manuscript.\n\nOther contributions: We thank the following individuals from the Canadian study sites: Ottawa Hospital Research Institute, Ottawa, Ontario: Taylor Poulin; Susan Deveau, RRT; Victoria Thompson; Meredith McCleery; Angelina Tohme; Vicky Panteleakos, RRT; Geneviève Longtin, RRT; Joanne Cassidy, RRT; Amanda Bergeron, MSc; Jennifer Biggs, RN; Jessica Bergeron; and Elisabet White; Vancouver General Hospital, Vancouver, British Columbia: Shelley Abercromby, BSc; Jana Caine; David Savage; Natasha Verzosa; Ravneet Mahal; and Mary Justine Angeles; Queen Elizabeth II Health Sciences Centre, Halifax, NS: Scott Fulton, RRT; Hôpital du Sacré Coeur de Montréal, Montréal, QC: Simone Chaboillez, MT; and Meliza Benabdallah; St. Joseph's Hamilton, Hamilton, ON: Liz Johnson; St. Boniface Hospital, Winnipeg, MB: Cheryl Noble, RN; Institut Universitaire de Cardiologie et de Pneumologie de Québec-Université Laval, Québec, QC: Johane Lepage, BSc; Joanne Milot, RN; and Christiane Balizet, RN; University of Calgary, Calgary, AB: Lisette Machado, MD; and Curtis Dumonceaux, BSc; University of Alberta, Edmonton, AB: Miranda Bowen, RRT; Fay Hartt; Angie Hillaby, RRT; and Amy Haartsma, RRT; St. Michael's Hospital, Toronto, ON: Stephanie Segovia, PhD; and Carolyn Spiegel-Feld; Queen's University Kingston General Hospital, Kingston, ON: Ann Taite, BSc; Alison Morra, BScN; Emma Bullock, HBSc; and Taylar Wall, RRT; University of Saskatchewan Royal University Hospital, Saskatoon, SK: Nancy Zacher; Janet Baran, RN; and Yessica Lopez, BA; London Health Sciences Centre - Victoria Hospital, London, ON: Katie Maguire; Heba Almadhoun; and Robert Campbell-Pereira, BSc; St. Clare's Mercy Hospital, St John's, NL: Sarah Anthony, BNRN; and Tanya Nolan, BNRN; McGill University Health Centre, Montreal, QC: Francine Noel; Royal Victoria Regional Health Centre, Barrie, ON: Masoud Mahdavian; and Ashley Brown, RRT; and Michael Garron Hospital, Toronto, ON: Ian Fraser; Han Byul (Liz) Lee; and Yuna Lee, BA. We would also thank Dong Vo We (data manager, Ottawa Hospital Research Institute, Ottawa, ON). We also thank the thousands of study participants who gave their time and came in for the study visits. We also thank ASDE Survey Sampler, Inc (Gatineau, QC, Canada) for organizing the random digit dialing.\n\n# References\n\n- 1. Parshall MB, Schwarthzstein RM, Adams L, et al. An Official American Thoracic Society Statement: update on the mechanisms, assessment, and management of dyspnea. Am J Respir Crit Care Med. 2012;185:435-452.\n- 2. Ho SF, O'Mahony MS, Steward JA, et al. Dyspnoea and quality of life in older people at home. Age Ageing. 2001;30: 155-159.\n- 3. Laviolette L, Laveneziana P. Dyspnoea: a multidimensional and multidisciplinary approach. Eur Respir J. 2014;43: 1750-1762.\n- 4. Müller A, Mraz T, Wouters EFM, et al. Prevalence of dyspnea in general adult populations: a systematic review and meta-analysis. Respir Med. 2023;218: 107379.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| Disease Group | Reversibility of FEV1, % | | Post-BD FEV1/FVC Ratio | | Post-BD FEV1 % predicted | Overall Value P |\n| --- | --- | --- | --- | --- | --- | --- |\n| Control | 0.163 (P ¼ .47) | | P 0.274 ( | [ .05) | 0.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | | 0.240 ( P | [ .005) | P < .001) 0.131 ( | < .001 |\n| Asthma | 0.545 ( P | [ .01) | 0.107 (P ¼ .58) | | 0.158 (P ¼ .08) | .009 |\n| COPD | P 0.392 ( | [ .002) | P 0.307 ( | [ .05) | 0.075 (P ¼ .37) | < .001 |\n| PRISm | 0.290 (P ¼ .39) | | 0.854 ( P | [ .002) | P [ .004) 0.650 ( | < .001 |\n\nTABLE 6 ] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry disease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio impaired spirometry.\n\nApproximately 65% of the variability in dyspnea remained unexplained by the factors examined in our study. Most individuals in our study showed normal spirometry results but still carried a substantial burden of dyspnea, an inconsistency that needs explanation. Several factors not included in our analysis may have contributed to the unexplained variation. Environmental factors (eg, air pollution, allergen exposure, seasonal variations in symptoms) are potential contributors to this unexplained variability.22 Genetic predispositions could also play a significant role, as suggested by a study that revealed that parents with dyspnea were 1.8 times more likely to have offspring with dyspnea.23 Additionally, fitness could be a contributing factor, especially in individuals with undiagnosed PRISm, asthma, or COPD who may restrict their activities to avoid dyspnea, and hence become deconditioned.6\n\nThere were significant but modest differences in mean dyspnea levels across the 17 study sites (data not shown), which are not explained by the risk factors we accounted for in our study. This finding is not surprising because some of the potential contributing factors previously mentioned and other site-specific factors\n\n(eg, climate, air quality/industrialization, socioeconomic status) of the catchment population tend to vary across study sites.\n\nDyspnea is a complex, subjective symptom that is modified by nonrespiratory factors including psychosocial, social, and environmental influences.5 Interindividual variability in the perception of dyspnea, influenced by these nonrespiratory factors, may play an important role. A study conducted by Ziegler et al24 assessed the perception of dyspnea in 42 healthy individuals using a standardized inspiratory resistive loading stimulus. The study used the modified Borg scale to measure dyspnea perception levels. Among the participants subjected to the same inspiratory resistive load, 31%, 45%, and 24% of participants classified their level of dyspnea as low, intermediate, and high, respectively. The study revealed that differences between individuals contribute considerable variability to the perception of dyspnea, even among healthy participants.\n\nThe affective dimension of dyspnea can be captured using additional questionnaires (eg, Multidimensional Dyspnea Profile, Dyspnea-12). Studies have explored the use of the Multidimensional Dyspnea Profile in\n\n| TABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea Coefficient (95% CI) | Value P | Dyspnea Coefficient (95% CI) | Value P |\n| Physical functioning | 0.693 (0.718 to 0.668) | < .001 | 0.655 (0.680 to 0.630) | < .001 |\n| Physical health limitations | 0.634 (0.666 to 0.603) | < .001 | 0.628 (0.661 to 0.595) | < .001 |\n| Emotional problems | 0.403 (0.438 to 0.369) | < .001 | 0.407 (0.443 to 0.370) | < .001 |\n| Energy/fatigue | 0.454 (0.479 to 0.428) | < .001 | 0.452 (0.479 to 0.425) | < .001 |\n| Emotional well-being | 0.230 (0.256 to 0.204) | < .001 | 0.239 (0.266 to 0.213) | < .001 |\n| Social functioning | 0.433 (0.466 to 0.399) | < .001 | 0.434 (0.469 to 0.399) | < .001 |\n| Pain | 0.410 (0.444 to 0.377) | < .001 | 0.387 (0.423 to 0.352) | < .001 |\n| General health | 0.390 (0.416 to 0.364) | < .001 | 0.382 (0.409 to 0.355) | < .001 |\n| Total score | 0.485 (0.504 to 0.467) | < .001 | 0.473 (0.493 to 0.454) | < .001 |\n\nAdjusted coefficients are adjusted for age, sex, and BMI. Regression coefficients are presented with 95% CIs and Pvalues.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| Pairwise Comparison | Mean Dyspnea Score (95% CI) | Mean Difference (95% CI) | Value P |\n| --- | --- | --- | --- |\n| Control | 13.8 (11.8-15.7) | 38.0 (41.1 to 34.9) | < .001 |\n| Normal spirometry | 51.8 (50.7-52.8) | | |\n| Control | 13.8 (11.8-15.7) | 43.7 (47.6 to 39.8) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Control | 13.8 (11.8-15.7) | 42.8 (46.9 to 38.7) | < .001 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Control | 13.8 (11.8-15.7) | 49.2 (53.7 to 44.6) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 5.7 (3.0 to 8.4) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 4.8 (1.8, 7.8) | .002 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 11.2 (7.5 to 14.8) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| PRISm | 63.0 (59.5-66.4) | 5.5 (1.1 to 9.8) | .014 |\n| COPD | 57.5 (55.1-59.9) | | |\n| PRISm | 63.0 (59.5-66.4) | 6.4 (1.9 to 10.9) | .005 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Asthma | 56.6 (53.9-59.3) | 0.9 (2.8 to 4.7) | .63 |\n| COPD | 57.5 (55.1-59.9) | | |\n\nTABLE 3 ] Intergroup Comparisons of Dyspnea Impact\n\nPRISm ¼ preserved ratio impaired spirometry.\n\nexposure in an array of risky occupations. These risk factors, taken as a whole, accounted for 21% of the variability in dyspnea.\n\nAfter adjustment for patient-specific risk factors in the first stage analysis, we adjusted for spirometry-defined disease (PRISm, asthma, COPD, or normal spirometry) in Table 5. Adjustment for disease\n\nFigure 2 – Box plot demonstrating dyspnea impact according to spirometry disease classification. The center line marks the median. The boxes span the interquartile range (IQR). The outer fences are set at distances 1.5 IQR from the box. Outliers appear as plotted dots.\n\nclassification accounted for 12% of the total variability of dyspnea.\n\nTable 6 presents the contribution of lung function measures of physiologic impairment after accounting for patient-related risk factors and disease classification. For the PRISm disease group, a higher post-BD FEV1/FVC ratio and a lower post-BD FEV1 % predicted value were associated with greater dyspnea impact. For the COPD disease group, a lower post-BD FEV1/FVC ratio was associated with greater dyspnea impact. Reversibility of FEV1 was associated with higher dyspnea impact only in patients with asthma or COPD. Lung function measures of disease severity accounted for 2% of the variability in dyspnea.\n\nAfter adjusting for age, sex, and BMI, dyspnea was negatively associated with all domains of quality of life, including physical functioning (coefficient, 0.655; P < .001), role limitations due to physical health (coefficient, 0.628; P < .001), general health (coefficient, 0.382; P < .001), and total score (coefficient, 0.473; P < .001) (Table 7).\n\nAfter adjusting for age, sex, and BMI, dyspnea was associated with an increased likelihood of annual visits to health care providers for respiratory complaints (OR,", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| | | | | | | | Control | Group | Normal | Spirometry | Asthma | Group | Group COPD | PRISm | Group |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | About Questions | From Dyspnea | and CAT | SGRQ | | (n | 231) ¼ | (n Group | 2,090) ¼ | (n | 265) ¼ | 330) ¼ (n | (n | 172) ¼ |\n| (weight Q13 | 0.132) ¼ | My | such up % breathing gardening climbing golfing, | difficult weeding, carrying it as makes hills, | stairs, things up do dancing, to things | as or light such bowling, | | 8 | | 54 | | 59 | 69 | | 74 |\n| (weight Q14 | 0.123) ¼ | snow, My | % heavy jogging, breathing swimming, carrying | digging difficult walking it loads, or makes | playing things garden do km/h, the to 5 at | or as shoveling tennis such or | | 13 | | 65 | | 71 | 78 | | 81 |\n| (weight Q15 | 0.108) ¼ | heavy or My | manual breathing playing | running, difficult it work, competitive makes | things cycling, do % to sports, | very fast, as such swimming | | 17 | | 74 | | 79 | 85 | | 88 |\n| presented are Data | (SD) mean as | and Q2, Q1, for | and (total), Q3 | Q15 to Q3 | to presented were | as participants | no or yes | questions, | where | of percentages | participants | answered who | shown. are yes | Question | weights |\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older and more likely to be male compared with all other study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight or obese ranges. The PRISm group was heaviest with an average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classification and presents question weights (PCA scoring coefficients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a significantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8- 15.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classifications.\n\nTable 4 presents the association of dyspnea with patient-specific risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work\n\n(principal component analysis scoring coefficients)\n\nQ ¼\n\nquestion; SGRQ\n\n¼ St. George's Respiratory\n\n used for calculating the dyspnea assessment\n\nQuestionnaire.\n\n are shown below individual questions. CAT\n\n¼ COPD Assessment\n\n Test; PRISm\n\n¼\n\npreserved ratio impaired spirometry;\n\nTABLE 2\n\n]\n\n(Continued)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What are the criterion to be control patient in the dyspnea study ?", - "target_page": 3, - "target_passage": "Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ.", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "#### Risk Factors Associated With Dyspnea\n\nPatient-related risk factors were considered first, and results of spirometry considered afterward. The spirometry risk factors chosen for the second stage analysis included the spirometry-based diagnosis of the patient (asthma, COPD, PRISm, or normal) and lung function results indicative of the severity of physiologic impairment. Severity was gauged by assessing three principal lung function measures: (1) post-BD FEV1 % predicted, (2) post-BD FEV1/FVC ratio, and (3) percentage reversal of FEV1 with BD.\n\n#### Dyspnea Impact and Health Care Use, Quality of Life, and Work Productivity\n\nThe impact of dyspnea and its associations with health care use, quality of life, and work productivity were examined. Health care utilization was assessed through selfreported data. Quality of life was assessed using the 36- Item Short Form Health Survey questionnaire, where higher scores indicate better health status. Work productivity was assessed using the Work Productivity and Activity Impairment questionnaire, where higher scores\n\n#### Results\n\nFigure 1 illustrates the results of the case finding approach, including the enrollment of the control group. Among 5,631 potentially eligible participants, 1,359\n\nindicate greater impairment in work productivity and daily activities.\n\n#### Statistical Analysis\n\nBox plots were used to compare distribution patterns of dyspnea impact assessments among the disease groups. Pairwise comparison tests were conducted to evaluate mean dyspnea differences between groups. Multiple linear regression analysis was used to measure contributions to variability of dyspnea by selected patient-specific risk factors, spirometry disease classification, and key lung function measures. The selected sets of risk factors were evaluated using successive regression analyses. Analysis of variance sums of squares from the successive regression analyses provided the cumulative percentage contributions to variability of dyspnea. Simple, multiple, and logistic regression analyses were used to study associations between dyspnea and health care utilization, quality of life, and work productivity outcomes. All statistical analyses were done using STATA 16 statistical software (StataCorp).\n\nparticipants (24%) did not meet the threshold of $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire and were thus excluded, leaving 4,272 individuals deemed eligible for spirometry.\n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; COPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| Disease Group | Reversibility of FEV1, % | | Post-BD FEV1/FVC Ratio | | Post-BD FEV1 % predicted | Overall Value P |\n| --- | --- | --- | --- | --- | --- | --- |\n| Control | 0.163 (P ¼ .47) | | P 0.274 ( | [ .05) | 0.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | | 0.240 ( P | [ .005) | P < .001) 0.131 ( | < .001 |\n| Asthma | 0.545 ( P | [ .01) | 0.107 (P ¼ .58) | | 0.158 (P ¼ .08) | .009 |\n| COPD | P 0.392 ( | [ .002) | P 0.307 ( | [ .05) | 0.075 (P ¼ .37) | < .001 |\n| PRISm | 0.290 (P ¼ .39) | | 0.854 ( P | [ .002) | P [ .004) 0.650 ( | < .001 |\n\nTABLE 6 ] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry disease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio impaired spirometry.\n\nApproximately 65% of the variability in dyspnea remained unexplained by the factors examined in our study. Most individuals in our study showed normal spirometry results but still carried a substantial burden of dyspnea, an inconsistency that needs explanation. Several factors not included in our analysis may have contributed to the unexplained variation. Environmental factors (eg, air pollution, allergen exposure, seasonal variations in symptoms) are potential contributors to this unexplained variability.22 Genetic predispositions could also play a significant role, as suggested by a study that revealed that parents with dyspnea were 1.8 times more likely to have offspring with dyspnea.23 Additionally, fitness could be a contributing factor, especially in individuals with undiagnosed PRISm, asthma, or COPD who may restrict their activities to avoid dyspnea, and hence become deconditioned.6\n\nThere were significant but modest differences in mean dyspnea levels across the 17 study sites (data not shown), which are not explained by the risk factors we accounted for in our study. This finding is not surprising because some of the potential contributing factors previously mentioned and other site-specific factors\n\n(eg, climate, air quality/industrialization, socioeconomic status) of the catchment population tend to vary across study sites.\n\nDyspnea is a complex, subjective symptom that is modified by nonrespiratory factors including psychosocial, social, and environmental influences.5 Interindividual variability in the perception of dyspnea, influenced by these nonrespiratory factors, may play an important role. A study conducted by Ziegler et al24 assessed the perception of dyspnea in 42 healthy individuals using a standardized inspiratory resistive loading stimulus. The study used the modified Borg scale to measure dyspnea perception levels. Among the participants subjected to the same inspiratory resistive load, 31%, 45%, and 24% of participants classified their level of dyspnea as low, intermediate, and high, respectively. The study revealed that differences between individuals contribute considerable variability to the perception of dyspnea, even among healthy participants.\n\nThe affective dimension of dyspnea can be captured using additional questionnaires (eg, Multidimensional Dyspnea Profile, Dyspnea-12). Studies have explored the use of the Multidimensional Dyspnea Profile in\n\n| TABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea Coefficient (95% CI) | Value P | Dyspnea Coefficient (95% CI) | Value P |\n| Physical functioning | 0.693 (0.718 to 0.668) | < .001 | 0.655 (0.680 to 0.630) | < .001 |\n| Physical health limitations | 0.634 (0.666 to 0.603) | < .001 | 0.628 (0.661 to 0.595) | < .001 |\n| Emotional problems | 0.403 (0.438 to 0.369) | < .001 | 0.407 (0.443 to 0.370) | < .001 |\n| Energy/fatigue | 0.454 (0.479 to 0.428) | < .001 | 0.452 (0.479 to 0.425) | < .001 |\n| Emotional well-being | 0.230 (0.256 to 0.204) | < .001 | 0.239 (0.266 to 0.213) | < .001 |\n| Social functioning | 0.433 (0.466 to 0.399) | < .001 | 0.434 (0.469 to 0.399) | < .001 |\n| Pain | 0.410 (0.444 to 0.377) | < .001 | 0.387 (0.423 to 0.352) | < .001 |\n| General health | 0.390 (0.416 to 0.364) | < .001 | 0.382 (0.409 to 0.355) | < .001 |\n| Total score | 0.485 (0.504 to 0.467) | < .001 | 0.473 (0.493 to 0.454) | < .001 |\n\nAdjusted coefficients are adjusted for age, sex, and BMI. Regression coefficients are presented with 95% CIs and Pvalues.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "- 5. Nishino T. Dyspnoea: underlying mechanisms and treatment. Br J Anaesth. 2011;106:463-474.\n- 6. Neder J, Berton D, Müller P, et al. Ventilatory inefficiency and exertional dyspnea in early chronic obstructive pulmonary disease. Ann Am Thorac Soc. 2017;14(suppl_1): S22-S29.\n- 7. Gruenberger JB, Vietri J, Keininger DL, Mahler DA. Greater dyspnea is associated with lower health- related quality of life among European patients with COPD. Int J Chron Obstruct Pulmon Dis. 2017;12: 937-944.\n- 8. Preteroti M, Whitmore GA, Vandemheen KL, et al. Population-based case-finding to identify subjects with undiagnosed asthma or COPD. Eur Respir J. 2020;55:2000024.\n- 9. Huynh C, Whitmore GA, Vandemheen KL, et al. Derivation and validation of the UCAP-Q case-finding questionnaire to detect undiagnosed asthma and COPD. Eur Respir J. 2022;60(3):2103243.\n- 10. Shin B, Cole SL, Park SJ, et al. A new symptom-based questionnaire for predicting the presence of asthma. J Investig Allergol Clin Immunol. 2010;20: 27-34.\n- 11. Price DB, Tinkelman DG, Nordyke RJ, et al. Scoring system and clinical application of COPD diagnostic questionnaires. Chest. 2006;129: 1531-1539.\n- 12. Price DB, Tinkelman DG, Halbert RJ, et al. Symptom-based questionnaire for identifying COPD in smokers. Respiration. 2006;73:285-295.\n- 13. Jones PW, Harding G, Berry P, et al. Development and first validation of the COPD Assessment Test. Eur Respir J. 2009;34:648-654.\n- 14. Jones PW. Quality of life measurement for patients with diseases of the airways. Thorax. 1991;46:676-682.\n- 15. Jones PW, Quirk FH, Baveystock CM. The St George's Respiratory Questionnaire. Respir Med. 1991;85:25-31.\n- 16. Jones PW. St George's Respiratory Questionnaire: MCID. J Chronic Obstr Pulm Dis. 2005;2:75-79.\n- 17. Global Initiative for Asthma. Global strategy for asthma management and prevention. Global Initiative for Asthma website. Accessed July 30, 2023. https:// ginasthma.org/wp-content/uploads/2023/ 07/GINA-2023-Full-report-23_07_06- WMS.pdf\n- 18. Global Initiative for Chronic Obstructive Lung Disease. Global strategy for the diagnosis, management, and prevention of chronic obstructive pulmonary disease. Global Initiative for Chronic Obstructive Lung Disease website. Accessed July 30, 2023. https://goldcopd.org/wp-content/ uploads/2023/03/GOLD-2023-ver-1.3-17 Feb2023_WMV.pdf\n- 19. Magner KMA, Cherian M, Whitmore GA, et al. Assessment of preserved ratio impaired spirometry (PRISm) using pre and post bronchodilator spirometry in a randomly-sampled symptomatic cohort. Am J Resp Crit Care Med. 2023;208(10): 1129-1131.\n- 20. Hanania NA, O'Donnell DE. Activityrelated dyspnea in chronic obstructive pulmonary disease: physical and psychological consequences, unmet needs, and future directions. Int J Chron Obstruct Pulmon Dis. 2019;14: 1127-1138.\n- 21. Reilly Associates. WPAI scoring. Reilly Associates website. Accessed May 1, 2024. http://www.reillyassociates.net/wpai_ scoring.html\n- 22. Carlsen HK, Haga SL, Olsson D, et al. Birch pollen, air pollution and their interactive effects on airway symptoms and peak expiratory flow in allergic asthma during pollen season – a panel study in Northern and Southern Sweden. Environ Health. 2022;21:63.\n- 23. Ekström M, Johannessen A, Abramson MJ, et al. Breathlessness across generations: results from the RHINESSA generation study. Thorax. 2022;77(2): 172-177.\n- 24. Ziegler B, Fernandes AK, Sanches PR, Konzen GL, Dalcin Pde T. Variability of dyspnea perception in healthy subjects\n\nassessed through inspiratory resistive loading. J Bras Pneumol. 2015;41(2): 143-150.\n\n- 25. Ekström M, Bornefalk H, Sköld M, et al. Validation of the Swedish Multidimensional Dyspnea Profile (MDP) in outpatients with cardiorespiratory disease. BMJ Open Respir Res. 2019;6: e000381.\n- 26. Yorke J, Russell AM, Swigris J, et al. Assessment of dyspnea in asthma: validation of The Dyspnea-12. J Asthma. 2011;48(6):602-608.\n- 27. Boulet LP, Boulay ME, Cote A, et al. Airway inflammation and hyperresponsiveness in subjects with respiratory symptoms and normal spirometry. Eur Respir J. 2023;61(3): 2201194.\n- 28. Gerstein E, Bierbrier J, Whitmore GA, et al. Impact of undiagnosed chronic obstructive pulmonary disease and asthma on symptoms, quality of life, healthcare use, and work productivity. Am J Respir Crit Care Med. 2023;208(12):1271-1282.\n- 29. Aaron SD, Vandemheen K, Whitmore GA, et al. Early diagnosis and treatment of COPD and asthma: a randomized, controlled trial. N Engl J Med. 2024;390(22):2061-2073.\n- 30. Han MK, Ye W, Wang D, et al. Bronchodilators in tobacco-exposed persons with symptoms and preserved lung function. N Engl J Med. 2022;387(13): 1173-1184.\n- 31. Marott JL, Ingebrigtsen TS, Çolak Y, et al. Impact of the metabolic syndrome on cardiopulmonary morbidity and mortality in individuals with lung function impairment: a prospective cohort study of the Danish general population. Lancet Reg Health Eur. 2023;35:100759.\n- 32. Stefan MS, Priya A, Martin B, et al. How well do patients and providers agree on the severity of dyspnea? J Hosp Med. 2016;11(10):701-707.\n- 33. Cherian M, Magner KMA, Whitmore GA, et al. Patient and physician factors associated with symptomatic undiagnosed asthma or COPD. Eur Respir J. 2023;61(2): 2201721.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a case finding strategy identified asthma in 26% of symptomatic individuals who had normal spirometry and no response to BD.27\n\nIndividuals with undiagnosed respiratory symptoms, determined to have asthma or COPD through spirometry, experience poor health status.28 Therefore, the implementation of known treatment approaches for asthma or COPD is important to improve their conditions.29 In contrast, those with normal spirometry or PRISm face unclear treatment approaches. Longacting BD therapy in symptomatic individuals with tobacco exposure with normal spirometry is not effective.30 Weight management programs may be useful for individuals who are obese with PRISm-related dyspnea; however, this awaits definitive clinical trials.31\n\nDyspnea was severe and prevalent within our study group; however, it remained undiagnosed. A study conducted by Stefan et al32 revealed that physicians underestimated their patients' dyspnea 37.9% of the time, whereas nurses underestimated it 3.5% of the time. Moreover, many patients limit their physical activities, which lead them to downplay the extent of their dyspnea.19 Patient underreporting of symptoms, coupled with inadequate physician-led investigations of symptoms, may explain why dyspnea often goes undiagnosed in the population.33\n\nIn conclusion, our study measured dyspnea impact in individuals with no preexisting diagnosis of lung disease who reported respiratory symptoms as part of a purposeful case finding strategy. Individuals with PRISm exhibited the greatest impact of dyspnea, even higher than those newly diagnosed with asthma or COPD. After adjusting for patient factors, comorbidities, pulmonary diseases, and severity of lung physiologic impairment, most of the variability in dyspnea remained unexplained. We also showed that dyspnea was associated with increased health care utilization, impaired quality of life, and work productivity.\n\n## Funding/Support\n\nThis study is supported by the Canadian Institutes of Health Research [FDN Grant 154322].\n\n# Financial/Nonfinancial Disclosures\n\nNone declared.\n\n# Acknowledgments\n\nAuthor contributions: S. D. A. and G. A. W. contributed to conception and design. J. B., E. G., G. A. W., K. L. V., and S. D. A. contributed to analysis and interpretation. J. B., E. G., G. A. W., K. L. V., S. D. A., C. B., C. L., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. M., I. M., M. B., P. H., M. D. L., M. A., C. J. L., T. A., N. E., G. G. A., and S. M. contributed to drafting the manuscript for important intellectual content. All authors had access to and participated in the interpretation of the data and provided input into the preparation and submission of the manuscript. The authors vouch for the accuracy and completeness of the data.\n\nRole of sponsors: The sponsor had no role in the design of the study, the collection and analysis of the data, or the preparation of the manuscript.\n\nOther contributions: We thank the following individuals from the Canadian study sites: Ottawa Hospital Research Institute, Ottawa, Ontario: Taylor Poulin; Susan Deveau, RRT; Victoria Thompson; Meredith McCleery; Angelina Tohme; Vicky Panteleakos, RRT; Geneviève Longtin, RRT; Joanne Cassidy, RRT; Amanda Bergeron, MSc; Jennifer Biggs, RN; Jessica Bergeron; and Elisabet White; Vancouver General Hospital, Vancouver, British Columbia: Shelley Abercromby, BSc; Jana Caine; David Savage; Natasha Verzosa; Ravneet Mahal; and Mary Justine Angeles; Queen Elizabeth II Health Sciences Centre, Halifax, NS: Scott Fulton, RRT; Hôpital du Sacré Coeur de Montréal, Montréal, QC: Simone Chaboillez, MT; and Meliza Benabdallah; St. Joseph's Hamilton, Hamilton, ON: Liz Johnson; St. Boniface Hospital, Winnipeg, MB: Cheryl Noble, RN; Institut Universitaire de Cardiologie et de Pneumologie de Québec-Université Laval, Québec, QC: Johane Lepage, BSc; Joanne Milot, RN; and Christiane Balizet, RN; University of Calgary, Calgary, AB: Lisette Machado, MD; and Curtis Dumonceaux, BSc; University of Alberta, Edmonton, AB: Miranda Bowen, RRT; Fay Hartt; Angie Hillaby, RRT; and Amy Haartsma, RRT; St. Michael's Hospital, Toronto, ON: Stephanie Segovia, PhD; and Carolyn Spiegel-Feld; Queen's University Kingston General Hospital, Kingston, ON: Ann Taite, BSc; Alison Morra, BScN; Emma Bullock, HBSc; and Taylar Wall, RRT; University of Saskatchewan Royal University Hospital, Saskatoon, SK: Nancy Zacher; Janet Baran, RN; and Yessica Lopez, BA; London Health Sciences Centre - Victoria Hospital, London, ON: Katie Maguire; Heba Almadhoun; and Robert Campbell-Pereira, BSc; St. Clare's Mercy Hospital, St John's, NL: Sarah Anthony, BNRN; and Tanya Nolan, BNRN; McGill University Health Centre, Montreal, QC: Francine Noel; Royal Victoria Regional Health Centre, Barrie, ON: Masoud Mahdavian; and Ashley Brown, RRT; and Michael Garron Hospital, Toronto, ON: Ian Fraser; Han Byul (Liz) Lee; and Yuna Lee, BA. We would also thank Dong Vo We (data manager, Ottawa Hospital Research Institute, Ottawa, ON). We also thank the thousands of study participants who gave their time and came in for the study visits. We also thank ASDE Survey Sampler, Inc (Gatineau, QC, Canada) for organizing the random digit dialing.\n\n# References\n\n- 1. Parshall MB, Schwarthzstein RM, Adams L, et al. An Official American Thoracic Society Statement: update on the mechanisms, assessment, and management of dyspnea. Am J Respir Crit Care Med. 2012;185:435-452.\n- 2. Ho SF, O'Mahony MS, Steward JA, et al. Dyspnoea and quality of life in older people at home. Age Ageing. 2001;30: 155-159.\n- 3. Laviolette L, Laveneziana P. Dyspnoea: a multidimensional and multidisciplinary approach. Eur Respir J. 2014;43: 1750-1762.\n- 4. Müller A, Mraz T, Wouters EFM, et al. Prevalence of dyspnea in general adult populations: a systematic review and meta-analysis. Respir Med. 2023;218: 107379.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identified with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort.1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%.2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks.3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a significant burden on those with undiagnosed conditions. In a systematic review by Müller et al,4 the combined\n\n#### Study Design and Methods Recruitment of Undiagnosed Cases and Healthy Control Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case finding study. Approval for prevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily influenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants.5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identified potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits.7\n\nThe three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having significant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their influence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George's Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael's Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen's University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John's, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "# TABLE 8 ] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | Value P | Dyspnea OR (95% CI) | Value P |\n| In the past 12 mo, did you visit your general | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing | | | | |\n| problems? | | | | |\n| In the past 12 mo, did you visit an emergency | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| department for any breathing problems? | | | | |\n| In the past 12 mo, were you hospitalized for any | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n| breathing problems or respiratory illness? | | | | |\n\nData are presented as OR (95% CI) with Pvalues. Adjusted values are adjusted for age, sex, and BMI.\n\noutpatients with cardiorespiratory disease25 and the Dyspnea-12 in patients with asthma26 and found that the affective aspect of dyspnea can significantly influence the impact of dyspnea on health status, irrespective of the intensity of breathlessness.\n\nIn those with PRISm, there was a strong, positive association between higher values for the FEV1/FVC ratio and dyspnea. For the PRISm group, a higher FEV1/FVC ratio may reflect diminished lung compliance due to interstitial lung disease and/or respiratory system restriction due to obesity, which could contribute to worse dyspnea. Conversely, the association of dyspnea with the FEV1/FVC ratio was in the opposite direction for those with asthma or COPD, and a lower FEV1/FVC ratio correlated with worse dyspnea, as expected.\n\nOur study complements the literature by focusing on adults with undiagnosed respiratory symptoms who were randomly selected and recruited through active case finding in the community. This increases the generalizability of our results to a broader population. Our dyspnea questions were derived from widely used and validated respiratory health questionnaires, and our dyspnea assessment measure is a weighted average of responses to these validated questions. Consequently, the measure has an immediate interpretation in terms of the lived day-to-day experience of individuals.\n\nOur study has limitations. We did not undertake reliability/reproducibility testing of our questionnaire. The dyspnea impact assessment score was statistically associated with increased health care utilization, lower quality of life, and reduced work productivity; therefore, by virtue of this analysis, our questionnaire has construct validity. However, further attempts at external validation of the questionnaire using an independent data set would be important. Health care utilization during the preceding 12 months was assessed on entry into the study, and there is potential for impaired recall of events. Our study may have missed asthma in some participants because bronchial challenge testing was not conducted on those who tested negative for airflow obstruction or BD responsiveness. A previous study showed that an additional diagnostic step incorporating\n\n| TABLE 9 ] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| Are you currently employed | 0.995 (0.992-0.998) | .002 | 0.993 (0.990-0.997) | < .001 |\n| (working for pay)? | | | | |\n| | Dyspnea Coefficient | | Dyspnea Coefficient | |\n| Measurea | (95% CI) | Value P | (95% CI) | Value P |\n| Absenteeism | 0.061 (0.040-0.083) | <.001 | 0.066 (0.044-0.089) | < .001 |\n| Presenteeism | 0.334 (0.293-0.375) | <.001 | 0.349 (0.306-0.392) | < .001 |\n| Work productivity loss | 0.368 (0.323-0.413) | <.001 | 0.383 (0.336-0.430) | < .001 |\n| Activity impairment | 0.503 (0.463-0.544) | <.001 | 0.501 (0.458-0.544) | < .001 |\n\nORs and regression coefficients are presented with 95% CIs and P values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI ¼ Work Productivity and Activity Impairment questionnaire.\n\na Measures calculated from WPAI questions.21", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| | | | | | | | Control | Group | Normal | Spirometry | Asthma | Group | Group COPD | PRISm | Group |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | About Questions | From Dyspnea | and CAT | SGRQ | | (n | 231) ¼ | (n Group | 2,090) ¼ | (n | 265) ¼ | 330) ¼ (n | (n | 172) ¼ |\n| (weight Q13 | 0.132) ¼ | My | such up % breathing gardening climbing golfing, | difficult weeding, carrying it as makes hills, | stairs, things up do dancing, to things | as or light such bowling, | | 8 | | 54 | | 59 | 69 | | 74 |\n| (weight Q14 | 0.123) ¼ | snow, My | % heavy jogging, breathing swimming, carrying | digging difficult walking it loads, or makes | playing things garden do km/h, the to 5 at | or as shoveling tennis such or | | 13 | | 65 | | 71 | 78 | | 81 |\n| (weight Q15 | 0.108) ¼ | heavy or My | manual breathing playing | running, difficult it work, competitive makes | things cycling, do % to sports, | very fast, as such swimming | | 17 | | 74 | | 79 | 85 | | 88 |\n| presented are Data | (SD) mean as | and Q2, Q1, for | and (total), Q3 | Q15 to Q3 | to presented were | as participants | no or yes | questions, | where | of percentages | participants | answered who | shown. are yes | Question | weights |\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older and more likely to be male compared with all other study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight or obese ranges. The PRISm group was heaviest with an average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classification and presents question weights (PCA scoring coefficients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a significantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8- 15.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classifications.\n\nTable 4 presents the association of dyspnea with patient-specific risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work\n\n(principal component analysis scoring coefficients)\n\nQ ¼\n\nquestion; SGRQ\n\n¼ St. George's Respiratory\n\n used for calculating the dyspnea assessment\n\nQuestionnaire.\n\n are shown below individual questions. CAT\n\n¼ COPD Assessment\n\n Test; PRISm\n\n¼\n\npreserved ratio impaired spirometry;\n\nTABLE 2\n\n]\n\n(Continued)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### TABLE 2 ] Mean Responses to Individual Dyspnea Questions\n\n| | | Qu est ion s Ab out Dys pne a Fro m CA T an d SG RQ | Co ntr ol Gro up (n ¼ 23 1) | No rm a l Sp iro me try Gro up (n ¼ 2, 090 ) | Ast hm a Gro up (n ¼ 265 ) | CO PD Gro up (n ¼ 330 ) | PRI Sm Gro up (n ¼ 172 ) |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 1 ht Q (w eig | 0.5 14 ¼ ) | Wh I lk hil l ht f irs en wa up a or on e flig o sta bre at hle ss . Th e sc a le for th is es tio n ran s fro m 0 qu ge | I 0.9 0 1.0 am ( 4) , (w he n I wa lk | 2.8 5 1.4 6 ( ) | 3.0 3 1.3 ( 7) | 3.2 1 1.3 0 ( ) | 3.5 6 ( 1.3 7) |\n| | | hil l 1 ht f sta irs I t bre up a or flig o am no , (w he n I wa lk up a hil l or on e flig ht o f sta bre at hle ss ). | at hle to 5 ss ) irs I am ve ry , | | | | |\n| 2 ht Q (w eig | 0.4 36 ¼ ) | Ov the st 3 I ha ha d ho rtn er pa mo ve s es s , | f bre at h. 0.4 5 0.8 9 o ( ) | 2.5 0 1.3 0 ( ) | 2.7 1 1.1 8 ( ) | 2.8 3 1.2 ( 1) | 2.9 3 |\n| | | Th le for th fro e sc a is qu es tio n ran ge s m 0 | the (ov er pa st | | | | ( 1.1 8 ) |\n| | | 3 mo I ha ve ha d s ho rtn es s o f bre at h. no | t at a ll) to 4 | | | | |\n| | | , the st 3 I ha ha d ho rtn (ov er pa mo ve s es , | f s o | | | | |\n| | | bre h. da at mo st ys a we e k) . | | | | | |\n| Q 3: I fee l | bre at hle ss | the se da ys . | | | | | |\n| | | Sit tin or ly ing sti ll, % g | 3 | 16 | 23 | 14 | 19 |\n| | | Ge tti he d dre d, % ng wa s or ss e | 2 | 17 | 21 | 20 | 28 |\n| | | Wa lki d at ho % ng aro un me , | 2 | 20 | 21 | 23 | 27 |\n| | | Wa lki ng ou tsi de on the lev e l, % | 4 | 36 | 42 | 38 | 49 |\n| | | C lim bin a flig ht o f sta irs % g up , | 20 | 75 | 81 | 83 | 87 |\n| | | C lim bin hil ls, % g | 35 | 83 | 89 | 90 | 89 |\n| | | Pla ort % y ing sp s or ga me s, | 34 | 78 | 83 | 81 | 82 |\n| 3 Q ( tot a l) | ht 0.6 (w eig ¼ | 48 Th le for th fro 0 ) e sc a is qu es tio n ran ge s m to | ba d 1.0 0 1.2 7, se on ( 5 ) | 3.2 3 1.7 ( 2) | 3.5 3 5 ( 1.6 ) | 3.4 5 ( 1.6 1) | 3.7 6 |\n| | | the nu mb er o f sit ive an sw ers for the 7 po | ite ms . | | | | ( 1.7 5 ) |\n| Q 4 (w eig ht | 0.0 91 ) ¼ | I am bre at hle ss wh en I ta lk, % | 2 | 35 | 43 | 37 | 39 |\n| 5 ht Q (w eig | 0.0 95 ¼ ) | I bre at hle wh I be nd % am ss en ov er, | 5 | 37 | 45 | 37 | 56 |\n| ht Q 6 (w eig | ¼ 0.0 60 ) | fra id wh I ge t a or pa nic en I ca nn ot ge t my | bre at h, % 4 | 30 | 33 | 31 | 37 |\n| Be ca us e o f | my bre at hin | g. | | | | | |\n| Q 7 (w eig ht | ¼ 0.0 37 ) | I ta ke a lon tim e to t wa s he d or dre ss e g ge | d, % 1 | 8 | 9 | 10 | 17 |\n| 8 ht Q (w eig | 0.0 23 ¼ ) | I ot ta ke ba th ho I ta ke ca nn a or s we r, or a | lon tim % 0 g e, | 5 | 7 | 7 | 8 |\n| 9 ht Q (w eig | 0. 11 6 ¼ ) | I lk low tha ot he I ha wa s er n r pe op le, or ve | to sto for 5 p | 40 | 46 | 56 | 66 |\n| | | res ts, % | | | | | |\n| Q 10 (w eig ht | ¼ 0. 11 3 ) | Jo bs su c h as ho us ew or k ta ke a lon tim g e, | or I ha ve to 3 | 38 | 40 | 48 | 59 |\n| | | sto for % p res ts, | | | | | |\n| 11 ht Q (w eig | 12 ¼ 0. 4) | If lim b ht f ha I c up on e flig o sta irs I ve to , | low go s ly or 5 | 47 | 44 | 57 | 67 |\n| | | sto % p, | | | | | |\n| Q 12 (w eig | ht ¼ 0. 12 7) | If I hu or wa lk fas t, I ha ve to sto or s rry p | low do wn 10 | 59 | 62 | 70 | 80 |\n\n(Continued)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "prerecorded message then inquired whether any household member was $ 18 years of age and had experienced respiratory symptoms (eg, shortness of breath, wheezing, increased mucus or sputum, prolonged cough) within the past 6 months. Households with affirmative responses were subsequently contacted by the local study coordinator for a follow-up call. The household member reporting respiratory symptoms was verbally consented and screened for eligibility to participate in the study over the telephone.8,9\n\nExclusion criteria included the following: (1) a history of diagnosis of lung or airway disease, (2) use of respiratory inhalers aside from as-needed salbutamol, (3) contraindications for spirometry (eg, occurrences of myocardial infarction, stroke, aortic or cerebral aneurysm, eye surgery, detached retina within the last 3 months), (4) inability or refusal to provide informed consent, (5) being in the third trimester of pregnancy, and (6) being < 18 years of age.\n\nEach participant completed the Asthma Screening Questionnaire (ASQ)10 via telephone. Individuals aged $ 60 years, and those aged < 60 years who scored < 6 points on the ASQ, also completed the COPD-Diagnostic Questionnaire.11,12 Participants scoring $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire were invited to the study site for pre- and postbronchodilator (BD) spirometry.\n\nA control group without respiratory symptoms was selected randomly using identical random digit dialing methods. Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ. Participants were recruited as control patients if they could be matched with an individual from the undiagnosed group based on age (- 5 years) and sex. This matching process aimed to have similar demographic profiles between the control group and the newly found cases. This matching was implemented solely to ensure demographic comparability across the study groups and not for pairing patients for statistical analysis purposes.\n\nAll participants filled out the COPD Assessment Test (CAT) questionnaire. Elevated CAT scores indicate a greater burden of respiratory symptoms impacting daily activities and health status.13 The St. George's Respiratory Questionnaire (SGRQ)14-16 was used to assess respiratory disease-related quality of life. Higher SGRQ scores indicate poorer health status. Both the CAT and SGRQ questionnaires were completed prior to spirometry to avoid influencing patients' perceptions of their dyspnea.\n\n### Classification of Undiagnosed Cases\n\nCertified study personnel administered spirometry tests before and after BD use. Participants showing an increase of at least 12% and 200 mL in their FEV1 after receiving 400 mg of salbutamol were classified as having spirometry indicative of asthma.17 Those whose post-BD ratio of FEV1/FVC fell below the lower 95% confidence limit (ie, FEV1/FVC < lower limit of normal) were classified as having spirometry indicative of COPD.18 Participants meeting the criteria for both conditions were labeled as having COPD. Those with a post-BD FEV1 < 80% of the predicted normal and a post-BD FEV1/FVC ratio > 0.70 were classified as having spirometry indicative of preserved ratio impaired spirometry (PRISm). PRISm was defined based on post-BD spirometry values for a more specific classification.19 Participants not meeting criteria for asthma, COPD, or PRISm were labeled as having normal spirometry.\n\nAssessment of the Impact of Participants' Dyspnea Although neither the CAT nor the SGRQ are dyspneaspecific tools, both are recommended by the Global Initiative for Chronic Obstructive Lung Disease to evaluate symptoms, including dyspnea,20 and both yield a richer assessment of dyspnea than the modified Medical Research Council breathlessness scale.20 Fifteen questions were taken from the CAT and SGRQ questionnaires that referred to individuals' experiences with dyspnea, and a composite measure of dyspnea impact using a weighted sum of the responses to the 15 questions was constructed. Questions were coded so that larger values indicate more impactful dyspnea. Weights used for question responses in calculating the dyspnea impact assessment measure were those of the first component of a principal component analysis (PCA) based on the covariance matrix of question responses. Questions with multiple responses and ordinal structure are individually more informative and thus were accorded higher weight than individual true-false questions. No additional PCA component was anticipated a priori to be material for our investigation, and an eigenvalue analysis of the PCA was conducted to verify this assumption.\n\nThe composite dyspnea impact measure was scaled so its minimum value was 0 if the response to each of the 15 questions was 0, and the maximum value was scaled to 100 if the individual responses for all 15 questions represented the most severe dyspnea response.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| TABLE 1 ] Descriptive Characteristics and Demographics of the Study Group |\n| --- |\n\n| | Control Group | Normal Spirometry Group | Asthma Group | COPD Group | PRISm Group |\n| --- | --- | --- | --- | --- | --- |\n| Descriptive Characteristic | (n ¼ 231) | (n ¼ 2,090) | (n ¼ 265) | (n ¼ 330) | (n ¼ 172) |\n| Age, y | 61.5 (14.6) | 59.2 (15.3) | 58.7 (16.0) | 66.1 (11.3) | 60.9 (14.4) |\n| Female, No. (%) | 98 (42) | 1082 (52) | 116 (44) | 121 (37) | 86 (50) |\n| Income, No. (%) | | | | | |\n| < CAD $30,000 | 10 (4.5) | 209 (10) | 18 (7) | 51 (15) | 34 (20) |\n| $ CAD $30,000 | 211 (91) | 1522 (73) | 204 (77) | 213 (65) | 106 (62) |\n| Income not reported | 10 (4.5) | 359 (17) | 43 (16) | 66 (20) | 32 (18) |\n| BMI, kg/m2 | 28.35 (5.39) | 30.50 (6.60) | 30.65 (7.03) | 28.57 (5.86) | 34.66 (8.80) |\n| BMI, No. (%) | | | | | |\n| Not overweight | 68 (29) | 422 (20) | 60 (23) | 98 (30) | 20 (12) |\n| Overweight | 86 (37) | 675 (32) | 72 (27) | 127 (38) | 37 (21) |\n| Obese | 71 (31) | 812 (39) | 104 (39) | 91 (28) | 77 (45) |\n| Morbidly obese | 6 (3) | 181 (9) | 29 (11) | 14 (4) | 38 (22) |\n| Prebronchodilator spirometry | | | | | |\n| FEV1, L | 2.98 (0.76) | 2.89 (0.81) | 2.53 (0.78) | 2.01 (0.71) | 2.06 (0.56) |\n| FEV1, % predicted | 102.5 (15.0) | 99.6 (14.0) | 83.7 (13.6) | 70.3 (17.0) | 70.7 (7.7) |\n| FEV1/FVC | 0.74 (0.07) | 0.76 (0.06) | 0.69 (0.07) | 0.58 (0.08) | 0.77 (0.06) |\n| Post-bronchodilator spirometry | | | | | |\n| FEV1, L | 3.01 (0.8) | 2.98 (0.84) | 2.89 (0.86) | 2.16 (0.71) | 2.09 (0.57) |\n| FEV1 % predicted | 105.9 (14.6) | 102.6 (14.0) | 95.6 (14.4) | 75.5 (16.0) | 71.6 (7.3) |\n| FEV1/FVC | 0.77 (0.07) | 0.79 (0.06) | 0.74 (0.06) | 0.60 (0.09) | 0.78 (0.06) |\n| Change in FEV1 postbronchodilator, % | 3.4 (4.7) | 3.0 (3.7) | 11.9 (3.9) | 5.0 (5.4) | 0.9 (3.9) |\n| Comorbidities, No. (%) | | | | | |\n| Congestive heart failure | 1 (0.4) | 22 (1) | 5 (2) | 10 (3) | 9 (5) |\n| Coronary artery disease | 24 (10) | 180 (9) | 24 (9) | 64 (19) | 31 (18) |\n| Depression/anxiety | 70 (30) | 836 (40) | 106 (40) | 99 (30) | 54 (31) |\n| Diabetes mellitus | 23 (10) | 261 (12) | 33 (12) | 42 (13) | 45 (26) |\n| Hypertension | 66 (29) | 704 (34) | 94 (35) | 122 (37) | 86 (50) |\n| Anemia | 31 (13) | 351 (17) | 44 (17) | 42 (13) | 23 (13) |\n| Cancer | 23 (10) | 222 (11) | 25 (9) | 51 (15) | 13 (8) |\n| GERD | 55 (24) | 735 (35) | 89 (34) | 98 (30) | 63 (37) |\n| Liver disease | 6 (3) | 89 (4) | 12 (5) | 14 (4) | 9 (5) |\n| Renal disease | 10 (4) | 85 (4) | 9 (3) | 20 (6) | 10 (6) |\n| Stroke | 5 (2) | 72 (3) | 5 (2) | 15 (5) | 11 (6) |\n| Smoking status, No. (%) | | | | | |\n| Does not smoke | 149 (65) | 912 (44) | 104 (39) | 44 (13) | 72 (42) |\n| Previous tobacco use | 77 (33) | 839 (40) | 118 (45) | 158 (48) | 68 (40) |\n| Active tobacco use | 4 (2) | 324 (16) | 41 (16) | 128 (39) | 29 (17) |\n| Total pack-y | 5.6 (11.8) | 10.7 (16.5) | 12.7 (17.9) | 32.7 (27.2) | 13.3 (19.6) |\n| Total months of | 36.5 (112.5) | 74.7 (193.1) | 101.1 (278.9) | 119.5 (262.4) | 99.3 (263.2) |\n| occupational exposurea | | | | | |\n\nData are presented as mean (SD) unless otherwise stated. GERD ¼ gastroesophageal reflux disease; PRISm ¼ preserved ratio impaired spirometry. a Occupational exposure includes hard-rock mining, coal mining, sandblasting, working with asbestos, chemical/plastics manufacturing, flour/feed/grain milling, cotton/jute processing, foundry/steel milling, welding, fire fighting, farming, forestry, saw-milling, and working with paint/chemicals/fumes.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "What is the revenue of Republic Services in 2002 ?", - "target_page": 2, - "target_passage": " $ 2,365.1", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "### **REPUBLIC SERVICES, INC.**\n\n### **VALUATION AND QUALIFYING ACCOUNTS AND RESERVES SCHEDULE II (in millions)**\n\n| | Balance at | Additions | Accounts | | Balance at |\n| --- | --- | --- | --- | --- | --- |\n| | Beginning | Charged to | Written | | End |\n| | of Year | Income | OÅ | Other(1) | of Year |\n| CLASSIFICATIONS | | | | | |\n| Allowance for doubtful accounts: | | | | | |\n| 2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $19.0 | $ 8.0 | $ (9.0) | $ Ì | $18.0 |\n| 2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 10.4 | (10.4) | Ì | 19.0 |\n| 2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 11.2 | (11.4) | .2 | 19.0 |\n\n(1) Allowance of acquired and divested businesses, net.", - "page_start": 101, - "page_end": 101, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## **Years Ended December 31, 2003, 2002 and 2001**\n\n*in thousands, except per share amounts*\n\n| | 2003 | | 2002 | 2001 | |\n| --- | --- | --- | --- | --- | --- |\n| Operating revenues: | | | | | |\n| Wireless (Notes 7 and 8) | $ 69,872 | | $ 57,867 | $ 36,133 | |\n| Wireline | 29,022 | | 28,755 | 27,486 | |\n| Other | 6,967 | | 6,352 | 5,103 | |\n| Total operating revenues | $ 105,861 | | $ 92,974 | $ 68,722 | |\n| Operating expenses: | | | | | |\n| Cost of goods and services (Note 7) | $ 10,943 | | $ 10,502 | $ 7,410 | |\n| Network operating costs (Note 8) | 33,630 | | 32,512 | 26,756 | |\n| Depreciation and amortization | 16,631 | | 14,482 | 11,263 | |\n| Selling, general and administrative (Note 7) | 26,029 | | 26,140 | 16,869 | |\n| Total operating expenses | $ 87,233 | | $ 83,636 | $ 62,298 | |\n| Operating income | $ 18,628 | $ | 9,338 | $ 6,424 | |\n| Other income (expense): | | | | | |\n| Interest expense | $ (3,510) | $ | (4,195) | $ (4,127) | |\n| Net gain (loss) on investments (Note 3) | (443) | | (10,004) | 12,943 | |\n| Non-operating income (expense), net | 390 | | (141) | 265 | |\n| | $ (3,563) | | $ (14,340) | $ 9,081 | |\n| Income (loss) before income taxes, cumulative effect of a | | | | | |\n| change in accounting and discontinued operations | $ 15,065 | $ | (5,002) | $ 15,505 | |\n| Income tax provision (benefit) (Note 6) | 5,304 | | (2,109) | 5,811 | |\n| Income (loss) from continuing operations | $ 9,761 | $ | (2,893) | $ 9,694 | |\n| Discontinued operations, net of income taxes (Note 2) | 22,389 | | 7,412 | 6,678 | |\n| Cumulative effect of a change in accounting, | | | | | |\n| net of income taxes (Note 1) | (76) | | - | | - |\n| Net income | $ 32,074 | $ | 4,519 | $ 16,372 | |\n| Income (loss) per share: | | | | | |\n| Basic Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.29 | $ | (0.38) | $ 1.29 | |\n| Discontinued operations | 2.95 | | 0.98 | 0.89 | |\n| Cumulative effect of a change in accounting, net of | | | | | |\n| income taxes | (0.01) | | - | | - - |\n| | $ 4.23 | $ | 0.60 | $ 2.18 | |\n| Weighted average shares outstanding, basic | 7,577 | | 7,542 | 7,523 | |\n| Diluted Net income (loss) per share: | | | | | |\n| Continuing operations | $ 1.28 | $ | (0.38) | $ 1.28 | |\n| Discontinued operations | 2.94 | | 0.98 | 0.88 | |\n| Cumulative effect of a change in accounting, net | (0.01) | | - - | - | |\n| | $ 4.22 | $ | 0.60 | $ 2.17 | |\n| Weighted average shares, diluted | 7,608 | | 7,542 | 7,549 | |\n| See accompanying notes to consolidated financial statements. | | | | | |", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON THE FINANCIAL STATEMENTS**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and subsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits also included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements and schedule are the responsibility of the Company's management. Our responsibility is to express an opinion on these Ñnancial statements and schedule based on our audits.\n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the Ñnancial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An audit also includes assessing the accounting principles used and signiÑcant estimates made by management, as well as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the consolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and the consolidated results of their operations and their cash Öows for each of the three years in the period ended December 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the related Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a whole, presents fairly in all material respects the information set forth therein.\n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of accounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas collection systems.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "increased again on July 1, 2002 to $6.50, and comparable rate increases also impacted business subscribers. Tied to the SLC rate increases were declines in rates charged to interexchange carriers for interstate minutes of use. The 2002 results reflect a significantly larger increase in network usage, which more than offset the decline in rates.\n\nFacility lease revenue contributed $5.7 million to wireline revenues, a decrease of $0.8 million or 12.6% from 2001. The decrease was primarily the result of declining lease rates associated with competitive pricing pressure, and the economic downturn in the telecommunications industry.\n\nBilling and collection services contributed $0.4 million to wireline revenues, which was the same as 2001 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a greater proportion of their bills directly to their customers.\n\nWireline revenues from cable television services were $4.3 million, an increase of $0.5 million or 14.5%. In December 2001, the Company increased its basic service charge by $6.00 per month, which produced $0.3 million of the increase in cable television revenue. The remaining $0.2 million was generated by an increased penetration of digital services and increased pay per view sales.\n\nWithin other revenues, Internet and 511Virginia contract revenues from the Virginia Department of Transportation, were $5.1 million in 2002, an increase of $1.2 million or 30.4%. The Company had 18,050 dial-up Internet subscribers at December 31, 2002, compared to 17,423 subscribers at the end of 2001. Total Internet service revenue was $4.2 million, an increase of $0.6 million or 15.7%. Services provided under the 511Virginia contract contributed $0.9 million to other revenues, an increase of $0.6 million. Telecommunications equipment sales, services and lease revenues were $1.2 million, a nominal increase over 2001 results.\n\nTotal operating expenses were $83.6 million, an increase of $21.3 million or 34.3%. The continued growth in the PCS operation was principally responsible for the change.\n\nCost of goods and services was $10.5 million, an increase of $3.1 million or 41.8%. The PCS cost of goods sold was $8.3 million, an increase of $2.8 million or 50.2%. This change is due primarily to higher volumes of handsets sold through Company owned stores and PCS handset subsidies paid to third-party retailers. The cable television programming (cost of service) expense was $1.4 million, an increase of $0.1 million or 4.6%. The other cost of goods sold increased $0.3 million, compared to the same period in 2001.\n\nNetwork operating costs were $32.5 million, an increase of $5.8 million or 21.5%. Line and switching costs were $9.7 million, an increase of $2.6 million or 37.4%, due principally to the impact of the expanded PCS network. Travel expense, generated by the Company's PCS subscribers' use of minutes on other providers' portions of the Sprint wireless network, was $10.7 million, an increase of $0.9 million or 8.4%. The increase in customer travel usage more than offset the travel rate explained above in travel revenue. Plant specific costs were $9.6 million, which include the operation, and maintenance of the networks increased $2.3 million or 30.7%. Tower, building, and land rentals, as well as PCS equipment maintenance, were major contributors to the increase in plant specific expenses. Other network costs such as power, network administration, and engineering, were $2.7 million, the same as in 2001.\n\nDepreciation and amortization expense was $14.5 million, an increase of $3.2 million or 28.6%. The PCS operation had depreciation expense of $8.6 million, an increase of $3.6 million or 72.7%. The PCS operation added 53 additional base stations during 2002.\n\nSelling, general and administrative expenses were $26.1 million, an increase of $9.3 million or 55.0%. Customer support costs were $7.8 million, an increase of $2.8 million or 55.3%. The growth in Sprint wireless subscribers was the primary driver for this increase. Advertising expense was $4.3 million, an increase of $1.5 million or 55.8%. This change was primarily due to the stepped-up and ongoing marketing efforts to support the PCS operations in the Quad State market and particularly the Central Penn market. PCS sales staff expenses were $2.7 million, an increase of $0.7 million or 32.7%. The increase was principally due to the full year operations of the three retail locations and adding additional sales staff.\n\nThe Company experienced significant bad debt losses in its PCS operations related to the Sprint Clear PaySM program. The program was initially targeted at customers in sub-prime credit classes and did not require a deposit upon activation of service. As a result of default rates that exceeded projections, the Company experienced a substantial increase in bad debt expense, which rose from $1.2 million in 2001 to $4.4 million in 2002. The reinstatement of deposit requirements in April 2002 caused some moderation in bad debt expense by the end of the year. Total PCS bade debt expense for 2002 was $3.7 million of this expense is associated with several large telecommunications customers who filed bankruptcies in 2002. program. sm", - "page_start": 51, - "page_end": 51, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the components of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n\n| | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Core price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.3% | 1.8% | 1.4% |\n| Fuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .2 | .2 | Ì |\n| Recycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .5 | .1 | .4 |\n| Total price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.0 | 2.1 | 1.8 |\n| Core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6 | 2.1 | 1.6 |\n| Non-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .1 | Ì | .4 |\n| Total volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.7 | 2.1 | 2.0 |\n| Total internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 6.7 | 4.2 | 3.8 |\n| AcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9 | 1.8 | .8 |\n| Taxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Ì | .5 | .2 |\n| Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.6% | 6.5% | 4.8% |\n\n(a) Represents new taxes levied on landÑll volumes in certain states that are passed on to customers.\n\n- ' *2004:* During the year ended December 31, 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. During the year ended December 31, 2004, we experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our internal growth from our core operations was 5.9% in 2004.\n- ' *2003:* During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an increase in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing increased at a more rapid pace due to our broad-based pricing initiative.\n\nDuring 2003, the economic slowdown which began during 2001 continued to negatively impact our business. However, during 2003, our revenue growth from core volume continued to be positively impacted by long-term franchise and municipal contracts that were secured during 2002. Our internal growth from core operations was 3.9% in 2003.\n\n- ' *2002:* The economic slowdown which began in 2001 continued to negatively impact the portion of our business servicing the manufacturing sector and non-residential construction industry during 2002. Volumes attributable to manufacturing and construction activity continued to weaken during 2002.\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase in recycling commodity prices in the early part of 2002.\n\nDespite the weakness we experienced in the aspects of our business noted above, our internal growth from core operations for 2002 was 3.0%. During 2002, we secured several long-term franchise and municipal contracts. We also beneÑted from the geographic mix of our business which favors highgrowth markets.\n\n- ' *2005 Outlook:* We anticipate internal growth from core operations to be in the range of 4.0% to 4.5% during 2005 assuming no deterioration or improvement in the overall economy from that experienced during the fourth quarter of 2004. However, our price and volume growth may remain Öat or may decline in 2005 depending upon economic conditions and our success in implementing pricing initiatives.\n*Cost of Operations.* Cost of operations was $1,714.4 million, $1,605.4 million and $1,472.9 million, or, as a percentage of revenue, 63.3%, 63.8% and 62.3%, for the years ended December 31, 2004, 2003 and 2002, respectively.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "For the Year Ended December 31, 2002 (In thousands)\n\n| | | Guarantor | Non-Guarantor | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Parent | Subsidiaries | Subsidiaries | | Elimination | Consolidated |\n| Statement of Operations | | | | | | |\n| Net revenues $ | — | $ 3,353,772 | $ 403,156 | $ | — | $ 3,756,928 |\n| Equity in subsidiaries earnings | 671,076 | 108,361 | — | | (779,437) | — |\n| Expenses: | | | | | | |\n| Casino and hotel operations | — | 1,828,744 | 187,950 | | — | 2,016,694 |\n| Provision for doubtful accounts | — | 27,317 | 358 | | — | 27,675 |\n| General and administrative | — | 515,682 | 45,227 | | — | 560,909 |\n| Corporate expense | 3,268 | 40,588 | — | | — | 43,856 |\n| Preopening and start-up expenses | 403 | 13,738 | — | | — | 14,141 |\n| Restructuring costs (credit) | — | (17,021) | — | | — | (17,021) |\n| Property transactions, net | — | 9,958 | 4,754 | | — | 14,712 |\n| Depreciation and amortization | 2,683 | 352,910 | 23,134 | | 3,058 | 381,785 |\n| | 6,354 | 2,771,916 | 261,423 | | 3,058 | 3,042,751 |\n| Income from unconsolidated affiliates | — | 32,361 | — | | — | 32,361 |\n| Operating income | 664,722 | 722,578 | 141,733 | | (782,495) | 746,538 |\n| Interest expense, net | (237,666) | (26,347) | (15,652) | | — | (279,665) |\n| Other, net | — | (10,370) | (1,634) | | 3,058 | (8,946) |\n| Income from continuing operations before income taxes | 427,056 | 685,861 | 124,447 | | (779,437) | 457,927 |\n| Provision for income taxes | (133,423) | (31,022) | (4,006) | | — | (168,451) |\n| Income from continuing operations | 293,633 | 654,839 | 120,441 | | (779,437) | 289,476 |\n| Discontinued operations | (1,198) | (2,765) | 6,922 | | — | 2,959 |\n| Net income $ | 292,435 | $ 652,074 | $ 127,363 | $ (779,437) | | $ 292,435 |\n| Statement of Cash Flows | | | | | | |\n| Net cash provided by (used in) operating activities $ 1,206,670 | | $ (512,364) | $ 151,443 | $ | 797 | $ 846,546 |\n| Net cash provided by (used in) investing activities | (3,588) | (339,380) | (27,179) | | (1,063) | (371,210) |\n| Net cash provided by (used in) financing activities | (1,212,536) | 896,900 | (139,114) | | 265 | (454,485) |\n\n#### **NOTE 17 — SELECTED QUARTERLY FINANCIAL RESULTS (UNAUDITED)**\n\n| (In thousands, except per share amounts) | | | | 2004 | | | | | | | | | | 2003 | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Quarter | First | Second | | Third | | Fourth | | Total | | First | | Second | | Third | | Fourth | | Total |\n| Net revenues | $ 1,066,436 | $ 1,072,525 | | $1,036,396 | | $ 1,062,747 | | $ 4,238,104 | $ | 951,874 | $ | 974,117 | $ | 976,842 | $ | 959,910 | | $ 3,862,743 |\n| Operating income | 254,666 | 260,597 | | 222,357 | | 213,240 | | 950,860 | | 159,485 | | 171,560 | | 158,542 | | 210,142 | | 699,729 |\n| Income from continuing operations | 97,140 | 101,663 | | 76,167 | | 74,886 | | 349,856 | | 48,776 | | 54,456 | | 41,375 | | 85,666 | | 230,273 |\n| Net income | 105,848 | 104,717 | | 126,881 | | 74,886 | | 412,332 | | 51,003 | | 53,750 | | 47,209 | | 91,735 | | 243,697 |\n| Basic income per share: | | | | | | | | | | | | | | | | | | |\n| Income from continuing operations | $ 0.68 $ | 0.73 | $ | 0.55 | $ | 0.54 | $ | 2.51 | $ | 0.32 | $ | 0.36 | $ | 0.28 | $ | 0.60 | $ | 1.55 |\n| Net income | 0.74 | 0.75 | | 0.92 | | 0.54 | | 2.95 | | 0.34 | | 0.36 | | 0.32 | | 0.64 | | 1.64 |\n| Diluted income per share: | | | | | | | | | | | | | | | | | | |\n| Income from continuing operations | $ 0.66 $ | 0.70 | $ | 0.54 | $ | 0.52 | $ | 2.42 | $ | 0.32 | $ | 0.36 | $ | 0.27 | $ | 0.58 | $ | 1.52 |\n| Net income | 0.72 | 0.72 | | 0.89 | | 0.52 | | 2.85 | | 0.33 | | 0.35 | | 0.31 | | 0.62 | | 1.61 |\n\nResults for the fourth quarter of 2004 include a reduction of Borgata's state tax expense, our share of which is recorded as \"non-operating items from unconsolidated affiliates\". Borgata received a notice of refund of certain state tax credits and recorded a benefit for amounts earned in 2003 and 2004. Our share of the adjustment was $12 million, or $0.05 per share, net of tax.\n\nBecause income per share amounts are calculated using the weighted average number of common and dilutive common equivalent shares outstanding during each quarter, the sum of the per share amounts for the four quarters may not equal the total income per share amounts for the year.", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| (IN THOUSANDS, EXCEPT PER SHARE AMOUNTS) | | 2003 | | FOR THE YEAR ENDED DECEMBER 31, 2002 | | 2001 |\n| --- | --- | --- | --- | --- | --- | --- |\n| Revenues | $ | 62,803 | $ | 59,533 | $ | 57,605 |\n| Cost of Goods Sold | | 40,564 | | 39,236 | | 35,777 |\n| Gross Profit | | 22,239 | | 20,297 | | 21,828 |\n| Operating Expenses: | | | | | | |\n| Selling | | 5,594 | | 5,343 | | 6,248 |\n| General and administrative | | 7,576 | | 6,992 | | 7,849 |\n| Research and development | | 2,146 | | 2,180 | | 1,911 |\n| | | 15,316 | | 14,515 | | 16,008 |\n| Operating Income | | 6,923 | | 5,782 | | 5,820 |\n| Interest Income | | 69 | | 78 | | 77 |\n| Interest Expense | | (195) | | (432) | | (300) |\n| Other Income (Expense), net | | (26) | | 40 | | 468 |\n| Income from Continuing Operations before Provision for Income Taxes | | 6,771 | | 5,468 | | 6,065 |\n| Income Tax Provision | | (1,879) | | (1,403) | | (1,803) |\n| Income from Continuing Operations | | 4,892 | | 4,065 | | 4,262 |\n| Gain on Disposal of Discontinued Operations, net of tax | | 165 | | 165 | | 5,492 |\n| Cumulative Effect of Accounting Change, net of tax | | — | | (1,641) | | — |\n| Net Income | $ | 5,057 | $ | 2,589 | $ | 9,754 |\n| Income Per Basic Share: | | | | | | |\n| Continuing operations | $ | 2.86 | $ | 2.37 | $ | 2.10 |\n| Discontinued operations | | .10 | | .10 | | 2.70 |\n| Cumulative effect of accounting change | | — | | (.96) | | — |\n| Net Income Per Basic Share | $ | 2.96 | $ | 1.51 | $ | 4.80 |\n| Weighted Average Basic Shares Outstanding | | 1,711 | | 1,711 | | 2,033 |\n| Income Per Diluted Share: | | | | | | |\n| Continuing operations | $ | 2.66 | $ | 2.18 | $ | 1.88 |\n| Discontinued operations | | .09 | | .09 | | 2.42 |\n| Cumulative effect of accounting change | | — | | (.88) | | — |\n| Net Income Per Diluted Share | $ | 2.75 | $ | 1.39 | $ | 4.30 |\n| Weighted Average Diluted Shares Outstanding | | 1,839 | | 1,863 | | 2,272 |\n\nThe accompanying notes are an integral part of these statements.", - "page_start": 9, - "page_end": 9, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "We believe that selling, general and administrative expenses in the range of 10% of revenue are appropriate for 2005 given our business platform.\n\n*Other Charges (Income).* During the fourth quarter of 2002, we recorded a $5.6 million gain on the sale of certain assets for amounts exceeding estimates originally made and recorded as other charges during the fourth quarter of 2001.\n\n*Operating Income.* Operating income was $452.3 million, $412.7 million and $459.5 million, or, as a percentage of revenue, 16.7%, 16.4% and 19.4%, for the years ended December 31, 2004, 2003 and 2002, respectively.\n\n*Interest Expense.* We incurred interest expense on our unsecured notes and tax-exempt bonds. Interest expense was $76.7 million, $78.0 million and $77.0 million for the years ended December 31, 2004, 2003 and 2002, respectively. In May 2004, $225.0 million of our public notes matured and were repaid resulting in a reduction in interest expense, which was partially oÅset by increases in interest expense resulting from additional tax-exempt Ñnancing obtained during 2004. The increase in interest expense from 2002 to 2003 is due to higher debt balances resulting from additional tax-exempt Ñnancings partially oÅset by lower interest rates.\n\nCapitalized interest was $2.1 million, $3.3 million and $2.5 million for the years ended December 31, 2004, 2003 and 2002, respectively.\n\n*Interest Income and Other Income (Expense), Net.* Interest income and other income, net of other expense, was $8.1 million, $12.7 million and $4.0 million for the years ended December 31, 2004, 2003 and 2002, respectively. The variances during the periods are primarily due to Öuctuations in cash, restricted cash and marketable securities balances and net gains on the disposition of assets during 2003. In May 2004, we used a portion of our outstanding cash and restricted cash and marketable securities balances to repay $225.0 million of public notes.\n\n*Income Taxes.* Our provision for income taxes was $145.8 million, $132.0 million and $146.9 million for the years ended December 31, 2004, 2003 and 2002, respectively. Our eÅective income tax rate was 38.0% for the years ended December 31, 2004, 2003 and 2002.\n\n*Cumulative EÅect of Changes in Accounting Principles.* During the Ñrst quarter of 2003, we adopted SFAS 143. SFAS 143 required us to change the methodology we used to record Ñnal capping, closure and post-closure costs related to our landÑlls. As of January 1, 2003, we recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In addition, we also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle for our methane gas collection systems. This change in accounting principle for methane gas collection systems was prompted by a thorough evaluation of our landÑll accounting policy in connection with the adoption of SFAS 143 and is consistent with the methodology used by other participants in the waste industry.", - "page_start": 44, - "page_end": 44, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| For the year ended December 31, | | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Revenues from continuing operations | $ | 62,803,000 | $ | 59,533,000 |\n| Operating income | | 6,923,000 | | 5,782,000 |\n| Income from continuing operations | | 4,892,000 | | 4,065,000 |\n| Earnings per diluted share from continuing operations | $ | 2.66 | $ | 2.18 |\n| Weighted average diluted shares outstanding | | 1,839,000 | | 1,863,000 |\n| As of December 31, | | 2003 | | 2002 |\n| Total assets | $ | 60,050,000 | $ | 60,807,000 |\n| Working capital | | 13,803,000 | | 14,787,000 |\n| Long-term debt | | 4,287,000 | | 10,337,000 |\n| Stockholders' equity | $ | 44,604,000 | $ | 41,691,000 |", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_ATRI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "Who is the Vice Chairmain of the Board of Republic Services ?", - "target_page": 5, - "target_passage": " Harris W. Hudson1 Vice Chairman of the Board", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL OVER FINANCIAL REPORTING**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited management's assessment, included in the accompanying Report of Management on Republic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and subsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is responsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the eÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on management's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial reporting based on our audit.\n\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether eÅective internal control over Ñnancial reporting was maintained in all material respects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating management's assessment, testing and evaluating the design and operating eÅectiveness of internal control, and performing such other procedures as we considered necessary in the circumstances. We believe that our audits provide a reasonable basis for our opinion.\n\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable assurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over Ñnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reÖect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial statements.\n\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect misstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies and procedures may deteriorate.\n\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the COSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal control over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated balance sheets as of Republic Services, Inc. as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for each of the three years in the period ended December 31, 2004 of the Company and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON THE FINANCIAL STATEMENTS**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and subsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits also included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements and schedule are the responsibility of the Company's management. Our responsibility is to express an opinion on these Ñnancial statements and schedule based on our audits.\n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the Ñnancial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An audit also includes assessing the accounting principles used and signiÑcant estimates made by management, as well as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the consolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and the consolidated results of their operations and their cash Öows for each of the three years in the period ended December 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the related Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a whole, presents fairly in all material respects the information set forth therein.\n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of accounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas collection systems.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n### REGISTRANT:\n\n### REPUBLIC SERVICES, INC.\n\nBy: /s/ JAMES E. O'CONNOR\n\nJames E. O'Connor *Chairman of the Board and Chief Executive OÇcer (principal executive oÇcer)*\n\nFebruary 25, 2005\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.\n\n| | Signature | Title | Date |\n| --- | --- | --- | --- |\n| /s/ | JAMES E. O'CONNOR | Chairman of the Board and Chief | February 25, 2005 |\n| | James E. O'Connor | Executive OÇcer (principal executive oÇcer) | |\n| /s/ | HARRIS W. HUDSON | Vice Chairman and Director | February 25, 2005 |\n| | Harris W. Hudson | | |\n| | /s/ TOD C. HOLMES | Senior Vice President and Chief | February 25, 2005 |\n| | Tod C. Holmes | Financial OÇcer (principal Ñnancial oÇcer) | |\n| /s/ | CHARLES F. SERIANNI | Vice President and Chief Accounting | February 25, 2005 |\n| | Charles F. Serianni | OÇcer (principal accounting oÇcer) | |\n| /s/ | JOHN W. CROGHAN | Director | February 25, 2005 |\n| | John W. Croghan | | |\n| | /s/ W. LEE NUTTER | Director | February 25, 2005 |\n| | W. Lee Nutter | | |\n| /s/ | RAMON A. RODRIGUEZ | Director | February 25, 2005 |\n| | Ramon A. Rodriguez | | |\n| /s/ | ALLAN C. SORENSEN | Director | February 25, 2005 |\n| | Allan C. Sorensen | | |\n| /s/ | MICHAEL W. WICKHAM | Director | February 25, 2005 |\n| | Michael W. Wickham | | |", - "page_start": 100, - "page_end": 100, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### **Letter to Shareholders**\n\n# *Dear Fellow Shareholders:*\n\nI am pleased to report that 2004 was a very good year for Republic Services, Inc. Our team met and exceeded the important financial and management goals we told you about here a year ago, and we plan to work just as hard and accomplish just as much in the coming year.\n\nRepublic is strengthening its competitive position among the leading waste services providers every day. As always, we are doing so by offering our customers cost-effective and safe waste collection, reliable recycling, and environmentally protective disposal options.\n\nI am proud of our team and what they accomplished. The results tell you just how well they did.\n\nare exceeded.\n\n**The Year Ahead**\n\nimpressive results in 2005.\n\n2005 and beyond.\n\n**James E. O'Connor**\n\nMarch 31, 2005\n\n*Chairman and Chief Executive Officer*\n\nSincerely,\n\nmade to our people and service communities.\n\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local conditions. Our division leaders are well-positioned to respond immediately to the needs, changes and developments among their customers. We in the corporate office set the goals, establish the discipline, provide financial resources, management and operational support, but it is in our local divisions where customer relationships are established and the work is done. Our community-based focus forges strong local relationships and ensures that, at the customer level, the highest expectations\n\n**Board of Directors**\n\nJames E. O'Connor 1 *Chairman & Chief Executive Officer*\n\nJames E. O'Connor\n\n**Officers**\n\nDavid A. Barclay\n\nTod C. Holmes\n\nLee V. Twyford\n\nBrian A. Bales\n\nTim M. Benter\n\nJerry S. Clark\n\nPaul J. Connealy *Vice President, Tax* Matthew E. Davies\n\nArthur J. Dudzinski\n\nKenneth M. Baylor\n\n*Vice President & Controller*\n\nMichael J. Cordesman\n\nW. Lee Nutter 2, 3, 4 *Chairman, Compensation Committee Chairman, President & Chief Executive Officer Rayonier, Inc. (a forest products company)*\n\n*Chairman & Chief Executive Officer*\n\n*President & Chief Operating Officer* \n\n*Senior Vice President & General Counsel*\n\n*Vice President, Corporate Development*\n\n*Vice President, Employee & Labor Relations*\n\n*Vice President & Associate General Counsel*\n\n*Regional Vice President - Western Region*\n\n*Vice President, Environmental Engineering & Compliance*\n\n*Senior Vice President & Chief Financial Officer*\n\n*Senior Vice President & Chief Information Officer*\n\nWilliam C. Flower\n\nAllan C. Sorensen 2, 3, 4 *Presiding Director President & Chief Executive Officer Interim Health Care, Inc. (a provider of temporary labor to the healthcare industry)*\n\nHarris W. Hudson 1 *Vice Chairman of the Board*\n\n1 *Member, Executive Committee* • 2 *Member, Audit Committee* • 3 *Member, Compensation Committee* • 4 *Member, Nominating and Corporate Governance Committee*\n\nRamon A. Rodriguez 2, 3, 4 *Chairman, Audit Committee President & Chief Executive Officer Madsen, Sapp, Mena, Rodriguez & Co. (a public accounting firm)*\n\nMatthew D. Katz\n\nRonald R. Krall\n\nEdward A. Lang III\n\nThomas E. Miller\n\nCraig J. Nichols\n\nCharles F. Serianni\n\nRobert N. Shepard\n\nKevin C. Walbridge\n\nGerard W. Wickett\n\nGary L. Sova\n\n*Vice President, Communications*\n\n*Vice President & Associate General Counsel*\n\nMichael W. Wickham 2, 3, 4 *Retired Chairman, President & Chief Executive Officer, Roadway Corporation*\n\nJohn W. Croghan 2, 3, 4 *Chairman, Nominating and Corporate Governance Committee Chairman, Rail-Splitter Capital Management, LLC (an investment management firm)*\n\n*Regional Vice President - Southwest Region*\n\n*Vice President & Chief Accounting Officer*\n\n*Regional Vice President - Southern Region*\n\n*Regional Vice President - Central Region*\n\n*Vice President, Purchasing & Maintenance*\n\n*Regional Vice President - Eastern Region*\n\n*Vice President, Finance & Treasurer*\n\n*Vice President, Human Resources*\n\n*Vice President, Marketing & Sales*\n\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We know the importance of strong and predictable cash flow in meeting our shareholders' expectations. Over time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year's record free cash flow enabled us to reinvest in our business, acquire new companies, repurchase $266 million of our common stock and double the quarterly dividend to $0.12 per share. The plan this year is similar. We will continue to use our strong free cash flow to grow and strengthen the Company by building our customer base through internal growth and strategic acquisitions. Additionally, we plan to repurchase Republic stock worth up to $275 million and pay a regular quarterly cash dividend to\n\nWe are focused on improving our service and strengthening relationships with our customers. Exceptional service allows us to build loyalty and create lasting bonds with those we serve. We will continue to train and develop our people, too, so they may grow as we grow as a Company. And we will continue to focus on improving the safety of our operations, an important commitment we have\n\nThe last year was indeed an outstanding one for Republic. Our goal is to continue to deliver\n\nI am both privileged and grateful to have the opportunity to lead a team of such exceptional people. Everyday, I grow more impressed with the experience, knowledge, loyalty and hard work they\n\nOn behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in us. We are a Company that cares about you, and we pledge to continue working hard to serve you in\n\ncontribute. Republic truly has one of the best management and operations teams in America.\n\nour shareholders. We believe these steps will increase shareholder value.\n\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new municipal contracts and improved pricing. At the same time, we benefited from our presence in highgrowth markets, especially those in the rapidly expanding Sunbelt states.\n\nWe met last year's guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue enhancement and cost reduction efforts produced results. We generated a record level of free cash flow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash flow. As in the past year, we will concentrate on free cash flow and use it for acquisitions, reinvestment, repurchases of our stock and regular quarterly cash dividends.\n\nAs I thought about these achievements, I realized they result from the environment that we work to create for both our customers and our people. We care about our customers and the communities we serve. About our people. About the environment. And, of course, we care about you -- our shareholders. Every year we adopt a theme that captures our Company and our values. Our theme for 2005 is \"Republic Services…A Company that cares\".\n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we deliver our services, increasing our efficiency in routing our collection trucks. We improved the way we construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to control prices. And, we communicated to our customers the value of the services we offer. This year will be no different. We will continue to concentrate on these fundamentals.\n\nRepublic's future is bright. We are mindful of our mission. We know our business exists to ease the burden of managing society's waste. It's not a glamorous business, but it is an essential one, and we take this responsibility very seriously.\n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 recycling facilities in 22 states. These resources give us many opportunities to listen to our customers, anticipate their needs and quickly respond to them. Each customer faces challenges unique to his or her business and community. Our goal is to remain flexible and to tailor our services to each customer.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002**\n\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for the period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof (the \"\"Report''), I, James E. O'Connor, Chairman and Chief Executive OÇcer of the Company, hereby certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of my knowledge:\n\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and\n\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial condition and results of operations of the Company.\n\nFebruary 25, 2005\n\n/s/ JAMES E. O'CONNOR\n\nJames E. O'Connor Chairman and Chief Executive OÇcer\n\n**EXHIBIT 32.2**\n\n### **CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002**\n\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for the period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof (the \"\"Report''), I, Tod C. Holmes, Chief Financial OÇcer of the Company, hereby certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of my knowledge:\n\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and\n\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial condition and results of operations of the Company.\n\nFebruary 25, 2005\n\n/s/ TOD C. HOLMES\n\nTod C. Holmes Senior Vice President and Chief Financial OÇcer", - "page_start": 105, - "page_end": 105, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**\n\nWe consent to the incorporation by reference in the Registration Statements (Form S-8 Nos. 333-81801, 333-78125, 333-45542 and 333-104048) pertaining to the Republic Services 401(k) Plan, 1998 Stock Incentive Plan, Republic Services, Inc. Amended and Restated Employee Stock Purchase Plan, and Republic Services, Inc. Amended and Restated 1998 Stock Incentive Plan, respectively, of our reports dated February 24, 2005, with respect to the consolidated Ñnancial statements and schedule of Republic Services, Inc., Republic Services, Inc. management's assessment of the eÅectiveness of internal control over Ñnancial reporting, and the eÅectiveness of internal control over Ñnancial reporting of Republic Services, Inc., included in this Annual Report (Form 10-K) for the year ended December 31, 2004.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 102, - "page_end": 102, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### **Board of Directors**\n\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local conditions. Our division leaders are well-positioned to respond immediately to the needs, changes and developments among their customers. We in the corporate office set the goals, establish the discipline, provide financial resources, management and operational support, but it is in our local divisions where customer relationships are established and the work is done. Our community-based focus forges strong local relationships and ensures that, at the customer level, the highest expectations\n\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We know the importance of strong and predictable cash flow in meeting our shareholders' expectations. Over time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year's record free cash flow enabled us to reinvest in our business, acquire new companies, repurchase $266 million of our common stock and double the quarterly dividend to $0.12 per share. The plan this year is similar. We will continue to use our strong free cash flow to grow and strengthen the Company by building our customer base through internal growth and strategic acquisitions. Additionally, we plan to repurchase Republic stock worth up to $275 million and pay a regular quarterly cash dividend to\n\nWe are focused on improving our service and strengthening relationships with our customers. Exceptional service allows us to build loyalty and create lasting bonds with those we serve. We will continue to train and develop our people, too, so they may grow as we grow as a Company. And we will continue to focus on improving the safety of our operations, an important commitment we have\n\nThe last year was indeed an outstanding one for Republic. Our goal is to continue to deliver\n\nI am both privileged and grateful to have the opportunity to lead a team of such exceptional people. Everyday, I grow more impressed with the experience, knowledge, loyalty and hard work they\n\nOn behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in us. We are a Company that cares about you, and we pledge to continue working hard to serve you in\n\ncontribute. Republic truly has one of the best management and operations teams in America.\n\nour shareholders. We believe these steps will increase shareholder value.\n\nare exceeded.\n\n**The Year Ahead**\n\nimpressive results in 2005.\n\n2005 and beyond.\n\n**James E. O'Connor**\n\nMarch 31, 2005\n\n*Chairman and Chief Executive Officer*\n\nSincerely,\n\nmade to our people and service communities.\n\n*Dear Fellow Shareholders:*\n\nI am pleased to report that 2004 was a very good year for Republic Services, Inc. Our team met and exceeded the important financial and management goals we told you about here a year ago, and we plan to work just as hard and\n\nRepublic is strengthening its competitive position among the leading waste services providers every day. As always, we are doing so by offering our customers cost-effective and safe waste collection, reliable recycling, and\n\nI am proud of our team and what they accomplished. The\n\nfor 2005 is \"Republic Services…A Company that cares\".\n\ngrowth markets, especially those in the rapidly expanding Sunbelt states.\n\nreinvestment, repurchases of our stock and regular quarterly cash dividends.\n\nwill be no different. We will continue to concentrate on these fundamentals.\n\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new municipal contracts and improved pricing. At the same time, we benefited from our presence in high-\n\nWe met last year's guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue enhancement and cost reduction efforts produced results. We generated a record level of free cash flow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash flow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\n\nAs I thought about these achievements, I realized they result from the environment that we work to create for both our customers and our people. We care about our customers and the communities we serve. About our people. About the environment. And, of course, we care about you -- our shareholders. Every year we adopt a theme that captures our Company and our values. Our theme\n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we deliver our services, increasing our efficiency in routing our collection trucks. We improved the way we construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to control prices. And, we communicated to our customers the value of the services we offer. This year\n\nRepublic's future is bright. We are mindful of our mission. We know our business exists to ease the burden of managing society's waste. It's not a glamorous business, but it is an essential one, and we\n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 recycling facilities in 22 states. These resources give us many opportunities to listen to our customers, anticipate their needs and quickly respond to them. Each customer faces challenges unique to his or her business and community. Our goal is to remain flexible and to tailor our services to each\n\naccomplish just as much in the coming year.\n\n**Letter to Shareholders**\n\nenvironmentally protective disposal options.\n\nresults tell you just how well they did.\n\ntake this responsibility very seriously.\n\ncustomer.\n\nJames E. O'Connor 1 *Chairman & Chief Executive Officer*\n\nHarris W. Hudson 1 *Vice Chairman of the Board*\n\nJohn W. Croghan 2, 3, 4 *Chairman, Nominating and Corporate Governance Committee Chairman, Rail-Splitter Capital Management, LLC (an investment management firm)*\n\nW. Lee Nutter 2, 3, 4 *Chairman, Compensation Committee Chairman, President & Chief Executive Officer Rayonier, Inc. (a forest products company)*\n\nRamon A. Rodriguez 2, 3, 4 *Chairman, Audit Committee President & Chief Executive Officer Madsen, Sapp, Mena, Rodriguez & Co. (a public accounting firm)*\n\nAllan C. Sorensen 2, 3, 4 *Presiding Director President & Chief Executive Officer Interim Health Care, Inc. (a provider of temporary labor to the healthcare industry)*\n\nMichael W. Wickham 2, 3, 4 *Retired Chairman, President & Chief Executive Officer, Roadway Corporation*\n\n1 *Member, Executive Committee* • 2 *Member, Audit Committee* • 3 *Member, Compensation Committee* • 4 *Member, Nominating and Corporate Governance Committee*\n\n#### **Officers**\n\nJames E. O'Connor *Chairman & Chief Executive Officer*\n\nMichael J. Cordesman *President & Chief Operating Officer* \n\nDavid A. Barclay *Senior Vice President & General Counsel*\n\nTod C. Holmes *Senior Vice President & Chief Financial Officer*\n\nLee V. Twyford *Senior Vice President & Chief Information Officer*\n\nBrian A. Bales *Vice President, Corporate Development*\n\nKenneth M. Baylor *Vice President, Employee & Labor Relations*\n\nTim M. Benter *Vice President & Associate General Counsel*\n\nJerry S. Clark *Vice President & Controller*\n\nPaul J. Connealy *Vice President, Tax*\n\nMatthew E. Davies *Vice President, Environmental Engineering & Compliance*\n\nArthur J. Dudzinski *Regional Vice President - Western Region* William C. Flower *Vice President, Communications*\n\nMatthew D. Katz *Vice President & Associate General Counsel*\n\nRonald R. Krall *Regional Vice President - Eastern Region*\n\nEdward A. Lang III *Vice President, Finance & Treasurer*\n\nThomas E. Miller *Regional Vice President - Southwest Region*\n\nCraig J. Nichols *Vice President, Human Resources*\n\nCharles F. Serianni *Vice President & Chief Accounting Officer*\n\nRobert N. Shepard *Regional Vice President - Southern Region* Gary L. Sova\n\n*Vice President, Marketing & Sales* Kevin C. Walbridge\n\n*Regional Vice President - Central Region*\n\nGerard W. Wickett *Vice President, Purchasing & Maintenance*", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a), AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**\n\nI, Tod C. Holmes, certify that:\n\n1. I have reviewed this annual report on Form 10-K of Republic Services, Inc.;\n\n2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;\n\n3. Based on my knowledge, the Ñnancial statements, and other Ñnancial information included in this report, fairly present in all material respects the Ñnancial condition, results of operations and cash Öows of the registrant as of, and for, the periods presented in this report;\n\n4. The registrant's other certifying oÇcer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as deÑned in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over Ñnancial reporting (as deÑned in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:\n\na) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;\n\nb) Designed such internal control over Ñnancial reporting, or caused such internal control over Ñnancial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in accordance with generally accepted accounting principles.\n\nc) Evaluated the eÅectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the eÅectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and\n\nd) Disclosed in this report any change in the registrant's internal control over Ñnancial reporting that occurred during the registrant's most recent Ñscal quarter (the registrant's fourth Ñscal quarter in the case of an annual report) that has materially aÅected, or is reasonably likely to materially aÅect, the registrant's internal control over Ñnancial reporting; and\n\n5. The registrant's other certifying oÇcer(s) and I have disclosed, based on our most recent evaluation of internal control over Ñnancial reporting, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):\n\na) All signiÑcant deÑciencies and material weaknesses in the design or operation of internal control over Ñnancial reporting which are reasonably likely to adversely aÅect the registrant's ability to record, process, summarize and report Ñnancial information; and\n\nb) Any fraud, whether or not material, that involves management or other employees who have a signiÑcant role in the registrant's internal control over Ñnancial reporting.\n\nDate: February 25, 2005\n\n/s/ TOD C. HOLMES\n\nTod C. Holmes Senior Vice President and Chief Financial OÇcer", - "page_start": 104, - "page_end": 104, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a), AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**\n\nI, James E. O'Connor, certify that:\n\n1. I have reviewed this annual report on Form 10-K of Republic Services, Inc.;\n\n2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;\n\n3. Based on my knowledge, the Ñnancial statements, and other Ñnancial information included in this report, fairly present in all material respects the Ñnancial condition, results of operations and cash Öows of the registrant as of, and for, the periods presented in this report;\n\n4. The registrant's other certifying oÇcer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as deÑned in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over Ñnancial reporting (as deÑned in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:\n\na) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;\n\nb) Designed such internal control over Ñnancial reporting, or caused such internal control over Ñnancial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in accordance with generally accepted accounting principles.\n\nc) Evaluated the eÅectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the eÅectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and\n\nd) Disclosed in this report any change in the registrant's internal control over Ñnancial reporting that occurred during the registrant's most recent Ñscal quarter (the registrant's fourth Ñscal quarter in the case of an annual report) that has materially aÅected, or is reasonably likely to materially aÅect, the registrant's internal control over Ñnancial reporting; and\n\n5. The registrant's other certifying oÇcer(s) and I have disclosed, based on our most recent evaluation of internal control over Ñnancial reporting, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent function):\n\na) All signiÑcant deÑciencies and material weaknesses in the design or operation of internal control over Ñnancial reporting which are reasonably likely to adversely aÅect the registrant's ability to record, process, summarize and report Ñnancial information; and\n\nb) Any fraud, whether or not material, that involves management or other employees who have a signiÑcant role in the registrant's internal control over Ñnancial reporting.\n\nDate: February 25, 2005\n\n/s/ JAMES E. O'CONNOR\n\nJames E. O'Connor Chairman and Chief Executive OÇcer", - "page_start": 103, - "page_end": 103, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| Exhibit | |\n| --- | --- |\n| Number | Description of Exhibit |\n| 10.7 | Ì Employment Agreement dated July 31, 2001 by and between Harris W. Hudson and Republic Services, Inc. (incorporated by reference to Exhibit 10.8 of the Company's Annual Report on |\n| | Form 10-K for the year ended December 31, 2001).* |\n| 10.8 | Ì Employment Agreement dated May 14, 2001 by and between Michael Cordesman, who became an |\n| | executive oÇcer in March 2002, and Republic Services, Inc. (incorporated by reference to |\n| | Exhibit 10.1 of the Company's Quarterly Report on Form 10-Q, for the period ended March 31, |\n| | 2002).* |\n| 21.1 | Ì Subsidiaries of the Company (Ñled herewith). |\n| 23.1 | Ì Consent of Ernst & Young (Ñled herewith). |\n| 31.1 | Ì Rule 13a-14(a)/15d-14(a) CertiÑcation of Chief Executive OÇcer (Ñled herewith). |\n| 31.2 | Ì Rule 13a-14(a)/15d-14(a) CertiÑcation of Chief Financial OÇcer (Ñled herewith). |\n| 32.1 | Ì Section 1350 CertiÑcation of Chief Executive OÇcer (Ñled herewith). |\n| 32.2 | Ì Section 1350 CertiÑcation of Chief Financial OÇcer (Ñled herewith). |\n\n* Indicates a management contract or compensatory plan, contract or arrangement.", - "page_start": 99, - "page_end": 99, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "How mush did the Moomba incident cost to Santos in 2004 ?", - "target_page": 12, - "target_passage": " the Moomba incident resulted in $17 million of one-off costs in 2004.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# ANALYSING FINANCIAL PERFORMANCE\n\nSAN165 WWW Text 30/3/05 12:06 PM Page 10\n\n**'The sound operating results achieved in 2004 underline the changing face of Santos towards a higher value, higher margin business. We ended the year with a strong financial position and our financial flexibility intact.'** \n\n#### **PETER WASOW**\n\nChief Financial Officer\n\n#### **2004 WAS A YEAR OF GOOD OPERATING RESULTS**\n\nOverall the increase in 2004 profit of 16% reflected a year of sound operating performance. Sales revenue was a record $1,501 million, up 2.5% on 2003, reflecting higher prices across most products and was achieved despite lower production as a result of the Moomba incident and declining output from late life fields.\n\nSantos benefited from higher world oil prices and realised US$51.83 per boe in 2004, an increase of 19% over 2003. The benefit of higher world oil prices substantially offset the impact of lower production volumes.\n\nSantos was also able to negotiate higher domestic gas prices (up 4% on average) and deliver new revenue streams from project start-ups and acquisitions during the year.\n\n## **PRODUCTION HAMPERED BY MOOMBA INCIDENT**\n\n2004 production was lower due to the Moomba incident, which reduced production by 4.6 million boe. Field decline reduced production by a further 5.0 million boe.\n\nOffsetting these factors, Santos' growth projects are starting to come on line and have begun to reverse the decline experienced over the past three years. Two projects were commissioned in 2004: the Bayu-Undan liquids project and the Minerva gas project. In addition, acquisitions contributed 0.8 million boe to production.\n\nFor 2005, production is expected to improve by around 15%, or 4% excluding the impact of the Moomba incident. Santos now expects production to be around 54 million boe in 2005. This increase is largely driven by the commissioning of Mutineer-Exeter in March 2005 and the John Brookes gas field in the middle of the year.\n\n## **PRODUCTION COSTS UNDER CONTROL**\n\nProduction costs in 2004 were $309 million, up $45 million or 17% on 2003. Analysis shows that Santos was able to continue to effectively control its costs in the face of significant external pressures in the form of rising services and materials prices.\n\nExamining production costs in detail reveals:\n\n- the start-up of Bayu-Undan and acquisitions added $16 million to Santos' cost base\n- changes in our accounting added a further $16 million to Santos' production costs\n- higher insurance premiums ($8 million) and one-off stock write-offs ($5 million) were offset by $17 million in cost savings largely as a result of Santos' continuous improvement initiatives\n- the Moomba incident resulted in $17 million of one-off costs in 2004.\n\nPiecing this together, the key themes in our financial performance were:\n\n- cost savings in established production areas more than offset increases in the price of services and materials\n- Santos' cost base rose as production from new developments and acquisitions were added to the Company's expanding portfolio of producing assets.\n\n### **PRODUCTION AND SALES REVENUE**", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:06 PM Page 11\n\n## **DEPRECIATION, DEPLETION AND AMORTISATION**\n\nAll things being equal, DD&A could have been expected to be lower this year, as Santos produced lower volumes and had written off the Heytesbury plant in the onshore Otway Basin last year.\n\nHowever, two factors caused an increase in 2004 DD&A. Firstly, while reserve revisions were positive overall, negative revisions were predominantly in producing areas which increased depletion rates in 2004, while positive reserve revisions were in areas where Santos is not yet producing or where straight line depreciation is dominant; for example, Casino and John Brookes.\n\nSecondly, on the future development cost side, depletion is up partly because Santos is starting to factor in higher steel and service company costs into long-term economic models.\n\n## **CASH FLOW LOWER**\n\nWhile Santos had a strong profit year, this is not fully reflected in cash flows.\n\nThere were large movements in trade debtors between years, reflecting the timing of liftings and the payments for them.\n\nIn addition, Santos has not yet been paid for the insurance claim relating to the Moomba incident. A total of $117 million was recognised in sundry income, which represents an estimate of the amount receivable from insurers for lost revenue, additional costs and replacement plant and equipment. At year end the money was still owed and so is not shown as part of operating cash flow. The final quantification of the claim with insurers is progressing.\n\n#### **RECORD CAPITAL EXPENDITURE**\n\nCapital expenditure ended right on target at $930 million – a record year for Santos – approaching a level which is double DD&A, reflecting how rapidly the portfolio is changing.\n\nSantos will continue with a high development expenditure in 2005, but expects to spend more in line with cash generation. Exploration spend is estimated to be about $150 million, while development spend is expected to be reduced to $530 million and delineation to $90 million. Other capital spending is expected to be reduced to $80 million.\n\nThis results in a total planned capital expenditure for 2005 of approximately $850 million.\n\n#### **FINANCIAL FLEXIBILITY INTACT**\n\nSantos ended the year in a strong financial position with its financial flexibility intact, despite the record development spending.\n\nThe FUELS issue was successful and Santos' gearing increased only marginally, despite the large capital program in 2004.\n\nThis is important in Santos' business as the Company needs to be able to fund exploration success as it occurs, and our development projects are increasing in size.", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:06 PM Page 2\n\n# DELIVERING ON THE STRATEGY\n\nDear Shareholder,\n\nI am pleased to report that in 2004 Santos continued to deliver on its strategy to transform the Company into a truly international exploration and production business with world-class operations.\n\nWhile the year saw many positives in terms of development and exploration success, it did not get off to a good start with the incident on New Year's Day at the Moomba processing facility in central Australia.\n\nImportantly, Santos was able to work effectively with its key stakeholders, including customers, joint venturers and government departments, to minimise the commercial impacts.\n\nNatural gas supplies were quickly restored, in part by recovering processed gas from underground storage reservoirs. Liquids processing facilities were progressively reinstated allowing further increases to gas production and sales volumes, with the ramp-up to full liquids production achieved by August as planned.\n\nA large proportion of the costs and foregone revenues associated with the repair of the damaged plant and the reduced oil and gas production volumes are being recovered under insurance policies.\n\nDue to the long cycle times inherent in the oil and gas business, it had been recognised that 2004 would be a year in which production was marginally below the previous year, with subsequent increases in 2005 and beyond driven by new development projects.\n\nIn this light, it is pleasing to report that the Minerva gas and Bayu-Undan liquids projects commenced production during the year as planned, while first oil from Mutineer-Exeter and several other key growth projects are progressing to plan.\n\nIndonesia matured into a core area during 2004, through a strategy of prudent acquisition, portfolio management and exploration. In particular, the Jeruk discovery has the potential to add significant value, with further evaluation activities underway.\n\nEven with the large effort expended on the Moomba incident, Santos was able to deliver strong results for 2004, reflecting higher average prices across most products.\n\nGroup sales revenue increased by 2.5% to a record $1,501 million, earnings before interest and tax improved by 23% to $574 million and net profit after tax rose by 16% to $380 million.\n\nThis strong financial performance, combined with the confidence that Santos will continue to grow earnings in the future, enabled the Board to increase the final dividend on ordinary shares by 20% from 15 cents to 18 cents per share, fully franked. For the full year, dividends increased by 10% to 33 cents per share, compared with 30 cents per share in each of the four previous years. On a grossed up basis, this represents a yield of over 5%.\n\nIn response to increasing interest and enquiry from shareholders, the Dividend Reinvestment Plan has been reintroduced and applied to the final dividend paid during March 2005.\n\nSantos continued its proactive approach to capital management with the redemption and buyback of the outstanding Preference Shares and the issue of FUELS (Franked Unsecured Equity Listed Securities). This initiative was driven by the alignment of Australian accounting standards with international requirements, and closed oversubscribed, raising $600 million in new equity.\n\nThe total shareholder return for the year, including share price appreciation and dividends paid, was 28% – an excellent result.\n\nIn addition to our focus on shareholder value, Santos takes its corporate social responsibilities seriously and is committed to sustainability as a core value in all operations. The Company's first Sustainability Review was released during the year.\n\nSantos continues to be recognised for the high quality of its corporate governance, receiving a measure of five out of five for corporate governance for the third successive year in an independent report prepared by leading accounting and management firm, Horwath, and the University of Newcastle.\n\nThe safety of our employees and contractors is the highest priority for the Board and I'm pleased that Santos has delivered another year of safety improvement with an 11% reduction in the 2004 total recordable case frequency rate.\n\nMr Frank Conroy retired from the Board of Directors during December 2004. A member of the Board for five years, Mr Conroy brought extensive business and corporate experience to the Board and I thank him for his outstanding contribution.\n\nIn February 2005 we appointed two new Board members, Mr Kenneth Dean from Shell, and Mr Christopher Recny from the international management consultancy firm, L.E.K. These individuals further strengthen the composition of the Board, bringing strong international oil and gas expertise and outstanding management experience.\n\nFinally, I'd like to acknowledge the extraordinary effort made by everyone at Santos to keep the Company moving forward during this challenging year.\n\nI am confident that the significant achievements made during 2004 provide Santos with a solid platform from which to achieve future growth with increased value for our shareholders.\n\nStephen Gerlach **Chairman** 21 March 2005", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 5. Profit from Ordinary Activities | $million | $million | $million | $million |\n| (a) Profit from ordinary activities before tax includes the following items | | | | |\n| Depreciation, depletion and amortisation: | | | | |\n| Depletion of exploration and development expenditure | 344.3 | 333.8 | 116.5 | 119.7 |\n| Depreciation of plant and equipment | 169.1 | 168.7 | 85.8 | 69.1 |\n| Depreciation of buildings | 2.0 | 3.3 | 1.0 | 1.8 |\n| Future restoration costs | 19.8 | 16.8 | 7.6 | 5.2 |\n| Amortisation of goodwill | 4.5 | 9.0 | – | – |\n| | 539.7 | 531.6 | 210.9 | 195.8 |\n| Charges to provisions: | | | | |\n| Doubtful debts | (0.6) | 0.2 | (0.2) | 0.1 |\n| Stock obsolescence | 6.4 | 1.0 | 3.1 | 0.2 |\n| Employee entitlements and non-executive Directors' retirement benefits | (0.3) | 6.7 | (0.3) | 6.2 |\n| Operating lease rentals | 42.2 | 45.6 | 21.4 | 22.5 |\n| Profit on disposal of non-current assets | (52.4) | (55.1) | (297.7) | (45.8) |\n| (Profit)/loss on disposal of controlled entities | – | (4.5) | – | 1.0 |\n| (b) Individually significant expenses/(gains) included in profit from | | | | |\n| ordinary activities before income tax | | | | |\n| Insurance recovery | (116.6) | – | (73.8) | – |\n| Costs associated with Moomba liquids recovery plant fire included in cost of sales | 17.5 | – | 11.9 | – |\n| Profit on sale of oil and gas assets | (43.9) | – | (298.4) | – |\n| Write-down of exploration and development expenditure | 22.1 | 59.7 | 4.6 | 6.1 |\n| Organisation restructure costs included in selling, general and administrative expenses | 21.6 | – | 21.6 | – |\n| Accelerated depreciation – Heytesbury plant | – | 20.2 | – | – |\n| Profit on sale of investment in listed shares | – | (45.8) | – | (45.8) |\n| 6. Taxation | | | | |\n| Income tax attributable to profit from ordinary activities | | | | |\n| The prima facie income tax attributable to profit from ordinary activities differs from | | | | |\n| income tax expense and is calculated as follows: | | | | |\n| Prima facie income tax at 30% (2003: 30%) | 162.2 | 129.3 | 210.1 | 58.1 |\n| Tax effect of permanent and other differences which increase/(decrease) income | | | | |\n| tax expense: | | | | |\n| Non-deductible depletion, depreciation and amortisation | 17.9 | 18.9 | 2.4 | 2.5 |\n| Write-down of investment in controlled entities | – | – | – | 12.2 |\n| Other | 0.8 | 10.7 | 6.2 | (14.5) |\n| Impact of the tax consolidation system | | | | |\n| Income tax expense allocated to wholly-owned controlled entities under | | | | |\n| tax funding agreement | – | – | (64.0) | (131.1) |\n| Income tax expense relating to transactions, events and balances of | | | | |\n| wholly-owned controlled entities in the tax-consolidated group | – | – | 60.5 | 138.5 |\n| Transactions within the tax-consolidated group: | | | | |\n| Dividends from controlled entities | – | – | (75.5) | – |\n| Non-deductible interest | – | – | 14.2 | – |\n| Profit on sale of oil and gas assets | – | – | (76.8) | – |\n| Tax benefit arising from reduced deferred tax balances upon entering into | | | | |\n| Australian tax consolidation regime | (20.0) | (55.0) | (20.0) | (55.0) |\n| | 160.9 | 103.9 | 57.1 | 10.7 |\n| Income tax comprises amounts set aside to: | | | | |\n| Provision for current income tax | 143.1 | 144.7 | 120.9 | 126.1 |\n| Deferred tax liability | 24.6 | (16.5) | 0.2 | 15.7 |\n| Deferred tax asset | (1.6) | 12.8 | – | – |\n| Foreign currency translation reserve | (5.2) | (37.1) | – | – |\n| Tax related receivable from wholly-owned controlled entities | – | – | (64.0) | (131.1) |\n| | 160.9 | 103.9 | 57.1 | 10.7 |\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 57", - "page_start": 58, - "page_end": 58, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\n#### **32. Additional Financial Instruments Disclosure**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 84\n\n#### **(a) Foreign exchange risk exposure**\n\nThe Santos Group is exposed to foreign exchange risk principally through the sale of liquid petroleum products denominated in US dollars, US dollar borrowings and US dollar expenditure. In order to hedge this foreign exchange risk, the Santos Group has from time to time entered into forward foreign exchange, foreign currency swap and foreign currency option contracts.\n\nAt 31 December 2004 the Santos Group has one open forward foreign currency exchange contract which has expired in January 2005. If closed out at balance date a loss of $0.2 million would have resulted.\n\nUS dollar denominated borrowings are either swapped into Australian dollar exposure (2004: US$321.4 million; 2003: US$115.0 million) or designated as a hedge of US dollar denominated investments in self-sustaining overseas controlled entities (2004: US$313.0 million; 2003: US$323.6 million) or as a hedge of future US denominated sales revenues (2004: US$146.4 million; 2003: US$219.4 million). As a result, there were no net foreign currency gains or losses arising from translation of US denominated dollar borrowings recognised in the statements of financial performance in 2004. Accordingly, $37.4 million of unrealised foreign currency gains were deferred as at 31 December 2004 (2003: gains of $66.3 million). The ultimate foreign currency gains or losses will be included in the measurement of the specific hedged US dollar denominated sales revenues to be realised in the years 2005 through 2006.\n\nThe Australian dollar equivalents of foreign currency monetary items included in the statements of financial position to the extent that they are not effectively hedged are:\n\n| | | | Consolidated | Santos Ltd | |\n| --- | --- | --- | --- | --- | --- |\n| | | 2004 | 2003 | 2004 | 2003 |\n| | | $million | $million | $million | $million |\n| Current assets | – United States dollars | 126.4 | 82.7 | 32.9 | 41.3 |\n| Current liabilities | – United States dollars | 60.5 | 35.4 | 6.5 | 8.5 |\n| Non-current liabilities | – United States dollars | 26.5 | – | – | – |", - "page_start": 85, - "page_end": 85, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# 10 YEAR SUMMARY 1995–2004\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 44\n\n| As at 31 December | 1995 | 1996 | 1997 | 1998 | 1999 | 2000 | 2001 | 2002 | 2003 | 2004 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Santos average realised oil price (A$/bbl) | 24.96 | 27.43 | 27.42 | 20.95 | 27.57 | 46.54 | 45.53 | 44.74 | 43.59 | 51.83 |\n| Financial performance ($million) | | | | | | | | | | |\n| Product sales revenue | 671.6 | 729.2 | 778.5 | 769.4 | 944.5 | 1,497.1 | 1,459.7 | 1,478.4 | 1,465.0 | 1,500.9 |\n| Total operating revenue | 740.1 | 804.0 | 859.5 | 1,000.8 | 995.6 | 1,556.2 | 1,561.8 | 1,542.3 | 1,619.4 | 1,753.2 |\n| Foreign currency gains/(losses) | (16.0) | 25.0 | 3.6 | 2.0 | 0.3 | 2.7 | 0.2 | (0.7) | (7.9) | (3.0) |\n| Profit from ordinary activities before tax | 241.0 | 331.9 | 322.3 | 267.3 | 339.6 | 725.9 | 627.6 | 493.3 | 430.9 | 540.8 |\n| Income tax relating to ordinary activities | 130.4 | 136.0 | 116.1 | 91.0 | 30.5 | 239.1 | 181.7 | 171.2 | 103.9 | 160.9 |\n| Net profit after income tax attributable | | | | | | | | | | |\n| to the shareholders of Santos Ltd | 110.6 | 195.9 | 206.2 | 176.3 | 309.1 | 486.8 | 445.9 | 322.1 | 327.0 | 379.9 |\n| Financial position ($million) | | | | | | | | | | |\n| Total assets | 2,915.5 | 3,443.4 | 4,036.2 | 4,236.1 | 4,338.7 | 4,659.8 | 5,048.7 | 5,320.8 | 5,218.3 | 5,956.0 |\n| Net debt | 642.0 | 938.6 | 1,114.2 | 1,280.0 | 1,301.1 | 866.6 | 1,060.8 | 1,162.9 | 897.6 | 1,131.4 |\n| Total equity | 1,519.3 | 1,586.3 | 1,919.0 | 1,939.2 | 2,056.7 | 2,310.9 | 2,726.6 | 2,863.9 | 3,087.9 | 3,498.3 |\n| Reserves and production (mmboe) | | | | | | | | | | |\n| Proven plus Probable reserves (2P) | 703 | 860 | 1,009 | 966 | 941 | 921 | 724 | 732 | 636 | 643 |\n| Production | 36.8 | 39.2 | 41.1 | 45.6 | 49.2 | 56.0 | 55.7 | 57.3 | 54.2 | 47.1 |\n| Exploration* | | | | | | | | | | |\n| Wells drilled (number) | 66 | 91 | 112 | 81 | 34 | 42 | 26 | 18 | 19 | 16 |\n| Expenditure ($million) | 87.9 | 121.1 | 190.1 | 180.7 | 78.1 | 100.1 | 93.4 | 133.1 | 136.4 | 125.6 |\n| Other capital expenditure ($million) | | | | | | | | | | |\n| Delineation and development* | 53.9 | 105.8 | 179.7 | 158.1 | 116.8 | 187.1 | 308.1 | 308.8 | 519.0 | 672.7 |\n| Buildings, plant and equipment | 40.1 | 150.3 | 205.4 | 165.7 | 102.5 | 153.5 | 258.7 | 319.0 | 94.9 | 131.1 |\n\n* From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 11. Land and Buildings, Plant and Equipment | $million | $million | $million | $million |\n| Land and buildings | | | | |\n| At cost | 97.2 | 94.7 | 55.5 | 52.3 |\n| Less accumulated depreciation | (49.7) | (47.7) | (34.0) | (33.0) |\n| | 47.5 | 47.0 | 21.5 | 19.3 |\n| Plant and equipment | | | | |\n| At cost | 3,938.1 | 3,576.1 | 1,711.7 | 1,642.1 |\n| Less accumulated depreciation | (1,926.9) | (1,782.3) | (1,067.8) | (988.3) |\n| | 2,011.2 | 1,793.8 | 643.9 | 653.8 |\n| Total land and buildings, plant and equipment | 2,058.7 | 1,840.8 | 665.4 | 673.1 |\n| Movements during the year | | | | |\n| Land and buildings | | | | |\n| Balance at the beginning of the year | 47.0 | 45.2 | 19.3 | 18.5 |\n| Additions | 2.5 | 5.1 | 3.2 | 2.6 |\n| Depreciation expense | (2.0) | (3.3) | (1.0) | (1.8) |\n| Balance at the end of the year | 47.5 | 47.0 | 21.5 | 19.3 |\n| Plant and equipment | | | | |\n| Balance at the beginning of the year | 1,793.8 | 1,627.5 | 653.8 | 621.0 |\n| Additions | 461.7 | 358.1 | 188.0 | 102.2 |\n| Acquisitions | 12.6 | 13.5 | – | – |\n| Disposals | (26.6) | (32.2) | (94.5) | (0.3) |\n| Depreciation expense | (169.1) | (168.7) | (85.8) | (69.1) |\n| Foreign currency translation | (0.5) | (4.4) | – | – |\n| Expenditure transferred to exploration and development | (60.7) | – | (17.6) | – |\n| Balance at the end of the year | 2,011.2 | 1,793.8 | 643.9 | 653.8 |\n| 12. Other Financial Assets | | | | |\n| Investments in controlled entities | – | – | 2,530.2 | 2,284.9 |\n| Investments in other entities: | | | | |\n| Listed shares at cost | 1.2 | 1.2 | 0.5 | 0.5 |\n| Listed shares at recoverable amount | – | 10.5 | – | 10.5 |\n| | 1.2 | 11.7 | 2,530.7 | 2,295.9 |\n| Market value of investments in listed shares | 2.7 | 16.2 | 0.5 | 11.7 |\n| 13. Intangibles | | | | |\n| Goodwill, at cost | 160.2 | 160.2 | – | – |\n| Less accumulated amortisation | (156.2) | (151.7) | – | – |\n| | 4.0 | 8.5 | – | – |\n| 14. Payables | | | | |\n| Trade creditors | 278.9 | 242.6 | 109.5 | 95.3 |\n| Sundry creditors and accruals | 92.7 | 48.7 | 28.4 | 18.4 |\n| Amounts owing to controlled entities | – | – | 298.4 | 541.3 |\n| | 371.6 | 291.3 | 436.3 | 655.0 |\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 59", - "page_start": 60, - "page_end": 60, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "#### **15. Interest-Bearing Liabilities (continued)**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 61\n\n#### **(c) Medium-term notes**\n\nThe Santos Group has a A$500.0 million (2003: A$500.0 million) Australian medium-term note program. At 31 December 2004, A$20.0 million (2003: A$20.0 million) of medium-term notes have been issued at fixed rate and swapped into floating rates of interest of 6.25% (2003: 6.20%), maturing in 2008.\n\n#### **(d) Long-term notes**\n\nUS$170.0 million of long-term notes were issued to institutional investors in 1993 at an annual effective interest rate of 6.95% and are repayable in five annual US dollar instalments which commenced in December 2001. As at 31 December 2004, US$34.0 million (A$43.7 million) remains outstanding (2003: US$68.0 million equivalent to A$90.8 million). A further US$290.0 million (A$372.5 million) (2003: US$290.0 million equivalent to A$387.3 million) of long-term notes were issued to institutional investors in 2000 at an annual effective interest rate of 8.37% and are repayable at varying maturity dates between 2007 and 2015. In addition US$300.0 million (A$385.3 million) (2003: US$300.0 million equivalent to A$400.6 million) of long-term notes were issued to institutional investors in 2002 at an annual effective interest rate of 6.11% and are repayable at varying maturity dates between 2009 and 2022.\n\nThe Santos Group has entered into interest rate swap contracts to manage the exposure to interest rates. This has resulted in a weighted average interest rate on interest-bearing liabilities of 5.50% as at 31 December 2004 (2003: 4.72%). All facilities are unsecured and arranged through a controlled entity, Santos Finance Ltd, and are guaranteed by Santos Ltd.\n\n| | Consolidated | | Santos Ltd | |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 16. Provisions | $million | $million | $million | $million |\n| Current | | | | |\n| Employee benefits | 48.7 | 47.7 | 47.6 | 46.3 |\n| Future restoration costs | 3.9 | 7.6 | 0.9 | 1.2 |\n| Non-executive Directors' retirement benefits | 0.2 | – | 0.2 | – |\n| | 52.8 | 55.3 | 48.7 | 47.5 |\n| Non-current | | | | |\n| Future restoration costs | 129.4 | 113.7 | 43.8 | 36.0 |\n| Non-executive Directors' retirement benefits | 2.2 | 2.3 | 2.2 | 2.3 |\n| | 131.6 | 116.0 | 46.0 | 38.3 |\n| Reconciliations of the carrying amount of the non-executive Directors' retirement | | | | |\n| benefits are set out below: | | | | |\n| Current | | | | |\n| Carrying amount at beginning of the year | – | 0.6 | – | 0.6 |\n| Transfer from/(to) non-current provision | 0.2 | (0.3) | 0.2 | (0.3) |\n| Payments made during the year | – | (0.3) | – | (0.3) |\n| Carrying amount at end of the year | 0.2 | – | 0.2 | – |\n| Non-current | | | | |\n| Carrying amount at beginning of the year | 2.3 | 1.7 | 2.3 | 1.7 |\n| Provision made during the year | 0.1 | 0.3 | 0.1 | 0.3 |\n| Transfer from/(to) current provision | (0.2) | 0.3 | (0.2) | 0.3 |\n| Carrying amount at end of the year | 2.2 | 2.3 | 2.2 | 2.3 |\n| 17. Other Liabilities | | | | |\n| Current | | | | |\n| Deferred foreign currency fluctuations on borrowings | 3.5 | 10.6 | – | – |\n| Accrued fluctuations on foreign currency swaps | 11.2 | – | – | – |\n| | 14.7 | 10.6 | – | – |\n| Non-current | | | | |\n| Deferred foreign currency fluctuations on borrowings | 33.9 | 55.7 | – | – |\n\nThe deferred foreign currency fluctuations on US dollar borrowings designated as hedges reflect the deferred gains arising from the movement of the Australian dollar against the US dollar from the inception of the drawdown of the borrowings to balance date.", - "page_start": 62, - "page_end": 62, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## **MALEO NEGOTIATIONS ADVANCED**\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 21\n\nOutside Australia, Santos and its co-venturers have executed a Heads of Agreement for the sale of the entire gas reserves of the Maleo field offshore East Java, Indonesia. Santos continued negotiations with PT Perusahaan Gas Negara, Indonesia's stateowned gas distributor, on behalf of the joint venture to finalise the Gas Sales Agreement. The project is targeting first production in the first half of 2006 at rates of up to 100 mmcf/d for more than five years.\n\n## **FIRST RETAIL GAS SALES WITH SANTOS DIRECT**\n\nAs well as selling gas into the wholesale gas market, Santos secured a retail gas licence from the Victorian Government in 2004. This allows Santos to sell gas direct to industrial customers and into the Victorian spot market through a wholly-owned\n\nsubsidiary, Santos Direct Pty Ltd ('Santos Direct').\n\nSantos Direct will market Santos' 10% share of gas production from the Minerva field – around 15 TJ/d – in the offshore Otway Basin, which commenced production at the end of 2004.\n\nThe move to market and sell gas directly into the Victorian retail market is a first for Santos and leverages off Santos' position as one of Australia's largest gas producers, supplying wholesale gas to major industrial customers and specialist marketers in all mainland Australian states and territories.\n\n## **LIQUIDS MARKETING ALLIANCE WITH BP**\n\nAnother important marketing development during the year was the decision to outsource the marketing of crude oil and natural gas liquids to BP. The new marketing arrangements are in response to the significantly\n\nhigher volumes of crude oil that Santos will receive from the Mutineer-Exeter and Oyong projects, coming on stream in 2005, and the increasing globalisation of the liquids marketplace.\n\nThe validity of this approach has already been demonstrated by the sale of the first Mutineer-Exeter oil cargo at a premium to Tapis despite a discount for the uncertain delivery date.\n\nSantos continues to build an inventory of high quality options to provide a platform for production growth over the coming years. Santos is committed to a program of diversification while capitalising on the long-term Cooper Basin legacy asset. Most importantly, this involves leveraging the strengths of the core competencies built up over a number of years and Santos' well-positioned domestic gas franchise.\n\n**'During 2004 we brought together everyone at Santos responsible for commercialisation into a single team. One of the outcomes from this was the introduction of gas swaps, where we were able to move gas between Santos assets in different states.'**\n\n#### **RICK WILKINSON**\n\nVice President Gas Marketing and Commercialisation\n\n**The alignment of joint venture interests in the John Brookes and East Spar fields has created an important production hub at Varanus Island, Carnarvon Basin, offshore Western Australia.**", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 56\n\n| | | Consolidated | | Santos Ltd |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2004 | 2003 |\n| 2. Revenue from Ordinary Activities | $million | $million | $million | $million |\n| Product sales: | | | | |\n| Gas and ethane | 680.1 | 720.8 | 294.6 | 306.1 |\n| Crude oil | 501.8 | 477.7 | 198.5 | 175.7 |\n| Condensate and naphtha | 228.5 | 150.0 | 44.2 | 63.8 |\n| Liquefied petroleum gas | 90.5 | 116.5 | 31.5 | 70.7 |\n| | 1,500.9 | 1,465.0 | 568.8 | 616.3 |\n| Other: | | | | |\n| Overriding royalties | 14.3 | 13.3 | 18.7 | 18.4 |\n| Equipment rentals, pipeline tariffs and other | 19.0 | 7.6 | 6.6 | 3.9 |\n| Interest revenue: | | | | |\n| Controlled entities | – | – | 42.8 | 35.5 |\n| Other entities | 3.5 | 2.5 | 2.3 | 1.4 |\n| Dividends from other entities | – | 0.4 | – | 0.4 |\n| Dividends from controlled entities | – | – | 251.7 | – |\n| Insurance recovery | 116.6 | – | 73.8 | – |\n| Proceeds from sale of non-current assets | 98.9 | 108.0 | 462.1 | 62.7 |\n| Proceeds from sale of controlled entities | – | 22.6 | – | 3.9 |\n| | 252.3 | 154.4 | 858.0 | 126.2 |\n| 3. Expenses from Ordinary Activities | | | | |\n| Cost of sales: | | | | |\n| Production costs | 308.5 | 263.6 | 113.8 | 95.2 |\n| Pipeline tariffs and tolls | 32.6 | 33.3 | 7.4 | 3.2 |\n| Royalty, excise and PRRT | 154.0 | 131.4 | 73.1 | 41.6 |\n| Depreciation, depletion and amortisation | 536.4 | 528.8 | 209.2 | 194.7 |\n| Third party gas purchases | 14.9 | 5.4 | 12.2 | 12.4 |\n| | 1,046.4 | 962.5 | 415.7 | 347.1 |\n| Decrease/(increase) in product stock | 3.4 | 11.9 | (1.2) | 9.5 |\n| | 1,049.8 | 974.4 | 414.5 | 356.6 |\n| Other: | | | | |\n| Selling, general and administrative expenses: | | | | |\n| Operating expenses | 57.1 | 41.6 | 50.3 | 34.1 |\n| Depreciation and amortisation | 3.3 | 2.8 | 1.7 | 1.1 |\n| Write-down of investment in controlled entities | – | – | – | 40.8 |\n| Write-down of investment in listed shares | – | 4.4 | – | 4.4 |\n| | 60.4 | 48.8 | 52.0 | 80.4 |\n| Book value of non-current assets sold | 46.5 | 52.9 | 164.4 | 16.9 |\n| Book value of controlled entities sold | – | 18.1 | – | 4.9 |\n| Write-down of exploration and development expenditure | 22.1 | 59.7 | 4.6 | 6.1 |\n| | 129.0 | 179.5 | 221.0 | 108.3 |\n| 4. Borrowing Costs | | | | |\n| Interest expense: | | | | |\n| Controlled entities | – | – | 90.7 | 83.6 |\n| Other entities | 65.7 | 57.2 | 0.4 | 0.4 |\n| Less interest capitalised | (32.1) | (22.6) | – | – |\n| | 33.6 | 34.6 | 91.1 | 84.0 |", - "page_start": 57, - "page_end": 57, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What is the main focus of the Santos 2005 program ?", - "target_page": 19, - "target_passage": " Oil is the main focus of the 2005 program", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **HIGH IMPACT DRILLING IN 2005**\n\nThe 2005 exploration program has the highest resource potential of any program undertaken at Santos.\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 17\n\nSantos is planning a large, high impact drilling campaign that is already well underway.\n\nSantos plans to drill 25 wells and will invest $150 million testing prospects within its expanding domestic and international exploration portfolio – up 19% from the $126 million spent on exploration in 2004.\n\nOil is the main focus of the 2005 program with most activity in the Kutei and East Java Basins offshore Indonesia, the Gulf of\n\nSuez in Egypt, the Bonaparte Basin in the Timor Sea and the Carnarvon Basin offshore Western Australia.\n\nThe 2005 program reflects the increasing materiality of Santos' exploration portfolio and continues the emphasis on more globally-focused exploration as an important part of the Company's growth strategy.\n\nSantos has already had drilling success early in 2005 with the Hiu Aman 1 well – the first to be drilled by Santos in the Donggala PSC. Hiu Aman 1 has indicated the presence of a prolific hydrocarbon system in this area. The discovery should add other lower risk prospects to Santos'\n\nexploration portfolio. A multi-well drilling program will be undertaken in Santos' Kutei Basin PSCs during 2005.\n\nAnother gas discovery has been made at Hurricane 1 in the Carnarvon Basin, offshore Western Australia. While both wells were discoveries, they require further evaluation to determine their commercial significance.", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:07 PM Page 27\n\n**Santos is investing in the future of Australia's petroleum industry through the funding of the Australian School of Petroleum at the University of Adelaide.**\n\nbe working in business operations with a lean and efficient corporate and services group.\n\nWith the exception of a small number of project teams, all non-award based positions in the Company were declared vacant and a selection process commenced around a set of criteria designed to ensure that people with the right skills and the ability to successfully grow Santos were appointed. As is often the case with transformational change initiatives, not everyone was re-appointed and, as a result, the workforce was reduced by 9%.\n\n#### **CULTURE CHANGE**\n\nThe need to develop a culture that supports the newly designed business processes was another of the major outcomes of the change program. A Santos-wide culture change program led by employees is currently underway.\n\nThis long-term program is designed to ensure that the way employees work together enhances Santos' ability to be successful.\n\nOne of the first tasks undertaken was a voluntary employee survey to identify the gaps between the existing culture and the desired culture. The outcomes of the survey will assist in the development of programs and activities that will better align work practices with Santos' strategic goals.\n\n#### **TRAINING AND DEVELOPING PEOPLE**\n\nMaking sure training and development supports current and future business requirements, and provides opportunities for people to develop their skills to achieve optimum performance, are key aspects of Santos' human resources strategy.\n\nSantos has a number of long-term projects underway which will optimise the substantial investment the Company makes in training people. Importantly, these projects will deliver programs that are targeted to meet business and individual needs and to support culture change initiatives.\n\n#### **BANKSIA AWARDS**\n\nSantos was selected in 2004 as a finalist in the Banksia Environmental Awards for the work undertaken in the Companyled initiative to protect the world-renowned Coongie Lakes, resulting in the area being declared a new National Park by the South Australian Government.\n\nAs a finalist for this award Santos was recognised for its leadership role in bringing together a group of disparate parties to develop a Memorandum of Understanding recommending further protection for the Coongie Lakes.\n\n#### **WASTE MANAGEMENT**\n\nSantos trialled innovative waste management techniques during 2004 to reduce the volume of hydrocarbon waste generated from Cooper Basin operations. Preliminary results indicate that these waste volumes can be reduced to 3-5% of their original volume, which is a significant achievement.\n\nThis technology will be implemented where possible\n\n#### **OIL SPILL VOLUMES**\n\nacross Santos operations. The long-term environmental and financial benefits of using this technology are expected to be considerable.\n\n#### **REDUCED OIL SPILLS**\n\nThere was a substantial reduction in the volume of hydrocarbons released to the environment in 2004, with uncontained hydrocarbons spilt reducing from 1,943 cubic metres to 83 cubic metres and Santos continues to focus on reducing oil spills.\n\n#### **GREENHOUSE POLICY**\n\nSantos released its Greenhouse Policy in 2004 to drive performance improvements in this area through reducing emissions and producing oil and gas more efficiently.\n\nSantos' Greenhouse Policy is being rolled out across the organisation through crossfunctional greenhouse gas teams that have the right skill sets and responsibilities to progress this initiative. These teams will manage Greenhouse Policy and regulation, carbon management and trading opportunities, and energy efficiency. A key internal driver for emissions reduction will be the promotion of energy efficiency.\n\nSantos is committed to achieving effective emission reduction targets, to the pursuit of energy efficiency strategies and to the identification and implementation", - "page_start": 28, - "page_end": 28, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:06 PM Page 2\n\n# DELIVERING ON THE STRATEGY\n\nDear Shareholder,\n\nI am pleased to report that in 2004 Santos continued to deliver on its strategy to transform the Company into a truly international exploration and production business with world-class operations.\n\nWhile the year saw many positives in terms of development and exploration success, it did not get off to a good start with the incident on New Year's Day at the Moomba processing facility in central Australia.\n\nImportantly, Santos was able to work effectively with its key stakeholders, including customers, joint venturers and government departments, to minimise the commercial impacts.\n\nNatural gas supplies were quickly restored, in part by recovering processed gas from underground storage reservoirs. Liquids processing facilities were progressively reinstated allowing further increases to gas production and sales volumes, with the ramp-up to full liquids production achieved by August as planned.\n\nA large proportion of the costs and foregone revenues associated with the repair of the damaged plant and the reduced oil and gas production volumes are being recovered under insurance policies.\n\nDue to the long cycle times inherent in the oil and gas business, it had been recognised that 2004 would be a year in which production was marginally below the previous year, with subsequent increases in 2005 and beyond driven by new development projects.\n\nIn this light, it is pleasing to report that the Minerva gas and Bayu-Undan liquids projects commenced production during the year as planned, while first oil from Mutineer-Exeter and several other key growth projects are progressing to plan.\n\nIndonesia matured into a core area during 2004, through a strategy of prudent acquisition, portfolio management and exploration. In particular, the Jeruk discovery has the potential to add significant value, with further evaluation activities underway.\n\nEven with the large effort expended on the Moomba incident, Santos was able to deliver strong results for 2004, reflecting higher average prices across most products.\n\nGroup sales revenue increased by 2.5% to a record $1,501 million, earnings before interest and tax improved by 23% to $574 million and net profit after tax rose by 16% to $380 million.\n\nThis strong financial performance, combined with the confidence that Santos will continue to grow earnings in the future, enabled the Board to increase the final dividend on ordinary shares by 20% from 15 cents to 18 cents per share, fully franked. For the full year, dividends increased by 10% to 33 cents per share, compared with 30 cents per share in each of the four previous years. On a grossed up basis, this represents a yield of over 5%.\n\nIn response to increasing interest and enquiry from shareholders, the Dividend Reinvestment Plan has been reintroduced and applied to the final dividend paid during March 2005.\n\nSantos continued its proactive approach to capital management with the redemption and buyback of the outstanding Preference Shares and the issue of FUELS (Franked Unsecured Equity Listed Securities). This initiative was driven by the alignment of Australian accounting standards with international requirements, and closed oversubscribed, raising $600 million in new equity.\n\nThe total shareholder return for the year, including share price appreciation and dividends paid, was 28% – an excellent result.\n\nIn addition to our focus on shareholder value, Santos takes its corporate social responsibilities seriously and is committed to sustainability as a core value in all operations. The Company's first Sustainability Review was released during the year.\n\nSantos continues to be recognised for the high quality of its corporate governance, receiving a measure of five out of five for corporate governance for the third successive year in an independent report prepared by leading accounting and management firm, Horwath, and the University of Newcastle.\n\nThe safety of our employees and contractors is the highest priority for the Board and I'm pleased that Santos has delivered another year of safety improvement with an 11% reduction in the 2004 total recordable case frequency rate.\n\nMr Frank Conroy retired from the Board of Directors during December 2004. A member of the Board for five years, Mr Conroy brought extensive business and corporate experience to the Board and I thank him for his outstanding contribution.\n\nIn February 2005 we appointed two new Board members, Mr Kenneth Dean from Shell, and Mr Christopher Recny from the international management consultancy firm, L.E.K. These individuals further strengthen the composition of the Board, bringing strong international oil and gas expertise and outstanding management experience.\n\nFinally, I'd like to acknowledge the extraordinary effort made by everyone at Santos to keep the Company moving forward during this challenging year.\n\nI am confident that the significant achievements made during 2004 provide Santos with a solid platform from which to achieve future growth with increased value for our shareholders.\n\nStephen Gerlach **Chairman** 21 March 2005", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# Managing Options\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 22\n\n# UNLOCKING THE VALUE OF STRATEGIC ASSETS\n\n**'Our objective is to derive value from undeveloped assets which have been outside of Santos' base business.'**\n\n**BRUCE WOOD** Vice President Strategic Projects Santos' Strategic Projects team focuses on assets that have proven difficult to commercialise or that need to be considered in a regional context rather than on an individual basis.\n\nThe other key activity for this team has been to lead Santos' continuous improvement focus.\n\n#### **UNITED STATES GAS**\n\nThe US gas business was a major focus in 2004 for a number of reasons, not the least of which are the higher gas prices in the US compared with the domestic Australian market, and the ability to rapidly commercialise new discoveries.\n\nAn ongoing development and delineation program was carried out during the year, yielding better than planned production. The exploration initiative also continued to seek higher risk but more material prospects, aimed at enhancing the move into the shallow water area of the Gulf of Mexico. Exploration results in this area during 2005 will shape Santos' future strategy in the US.\n\n#### **TIGHT GAS**\n\nHydrocarbons contained in traps with poor permeability are known as 'tight gas'. Large tight gas resources are known to exist in the Cooper Basin. Under current circumstances, this gas cannot be economically developed but, with the combination of improved production techniques and better commercial terms, could prove attractive.\n\nSantos assessed the resources and potential technologies that could be applied to unlock these resources during 2004 and is now working up a range of possible evaluation projects to be undertaken in 2005.\n\n#### **NORTHERN AUSTRALIA GAS**\n\nSantos has a significant existing gas resource base and some promising exploration acreage in the waters offshore Darwin, where it intends to drill a gas exploration well later this year.\n\nThe Company currently operates the Mereenie gas field in the Amadeus Basin in central Australia, which supplies gas to Darwin. Santos' first offshore gas production in northern Australia begins in 2006, sending Bayu-Undan gas to Darwin for conversion to LNG. Santos plans to build upon its growing position in the region to target further development which could ensure long-term gas supplies for the current market, or an expanded Northern Territory domestic market, or for export.\n\n#### **PAPUA NEW GUINEA GAS**\n\nSantos is in active discussions with the PNG Gas Project participants to potentially re-enter the PNG Gas Project. Santos has a significant interest in a large part of the liquids-rich Hides gas field which is integral to the development of the Project.\n\n## **2004 CONTINGENT RESOURCES** (TOTAL 1,443 mmboe)\n\n- Northern Australia 709 mmboe\n- Western Australia 71 mmboe\n- Central Australia 240 mmboe\n- Southern Australia 32 mmboe\n- Papua New Guinea 391 mmboe", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "**Santos employees rehabilitating a section of the River Torrens in Adelaide, as part of Santos' three-year commitment to the Our Patch project.**\n\nof opportunities to use fewer greenhouse-emitting or renewable sources of energy.\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 28\n\nTo achieve these commitments Santos is actively pursuing an emissions intensity reduction target (greenhouse emissions per unit of production) of 20% in the period from 2002 to 2008.\n\n#### **SUPPORTING COMMUNITIES**\n\nSantos has relationships with a number of communities where it operates. Some have been longterm and others are just beginning. Relationships with communities outside Australia, such as Indonesia and the United States, are also emerging as Santos' business grows in these locations.\n\nSantos made contributions during 2004 to a wide variety of organisations and events through the sponsorship program as part of the Company's commitment to supporting the communities to which it belongs.\n\nPartnerships continued in 2004 with the Australian School of Petroleum, the Adelaide Symphony Orchestra, the State Opera Company of South Australia, the Art Gallery of South Australia and the Lloyd McDermott Foundation.\n\nOne of the highlights of the 2004 program was the establishment of the Santos Community Fund. It brings together all of the contributions Santos makes to community-based organisations and recognises and supports the efforts of Santos employees who choose to contribute their own time and resources to improving their communities.\n\nThe 'Our Patch' program was a recipient of this fund in 2004. This is a joint initiative of the Patawalonga and Torrens Catchment Management Boards which encourages the local community to assist with the rehabilitation and management of Adelaide's water catchment.\n\nSantos has adopted a patch of the River Torrens and employees are assisting with the remediation and revegetation of this area in a volunteering program.\n\n#### **CORPORATE GOVERNANCE**\n\nFor the third year running, the integrity of Santos' corporate governance was recognised in 2004 with the maximum five-star rating in the Corporate Governance Research Report prepared by Horwath and the University of Newcastle.\n\nA more detailed overview of corporate governance at Santos follows on page 29 of this Annual Report.\n\nMore detailed information about sustainability at Santos is contained in the Sustainability Review and copies are available from the Company and via the Santos website www.santos.com.", - "page_start": 29, - "page_end": 29, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# Creating Opportunities\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 15\n\n# DELIVERING ON THE EXPLORATION STRATEGY\n\nExploration is a key growth driver for Santos and success with the drill bit is vital to adding value for Santos shareholders. During the past four years Santos has been working to build exploration opportunities by:\n\n- acquiring new exploration acreage\n- adding material exploration prospects\n- drilling wildcat exploration wells.\n\n#### **SUCCESS RATE OF 44% IN 2004**\n\nSantos' 2004 exploration effort produced good results, as the Company high graded its exploration acreage and started drilling one of the most exciting portfolios in the industry.\n\nSantos discovered hydrocarbons in seven of the sixteen wildcat wells that were drilled, achieving an impressive success rate of 44%.\n\nThe program added at least 93 million boe (including the pre-drill estimate for Jeruk) of recoverable resources that will be further evaluated by delineation and, in some cases, production history to determine 1P and 2P reserve additions.\n\nImportantly, these results were achieved with financial discipline, spending $126 million which was substantially less than forecast.\n\nThe most significant drilling result for the year was the Jeruk oil discovery in the Sampang PSC offshore East Java, Indonesia. The Jeruk discovery is still under evaluation but its commercial significance appears encouraging. Santos has confirmed an oil column of at least 379 metres with a likely gross recoverable resource in excess of the pre-drill estimate of 170 million barrels.\n\nSantos also had further exploration successes in the Cooper Basin in central Australia where four of six wildcat wells were cased and suspended as gas discoveries.\n\nThere was also success in the offshore Otway Basin with the Martha gas discovery near the Casino field, which is currently being evaluated to determine its commercial significance. Additional drilling is planned to occur nearby in 2005 to follow up this encouraging result.\n\nSantos discovered gas in the United States at the Torres 1A onshore well, which was brought onto production only two months after drilling was completed.\n\nOther wells in the offshore Otway Basin included the deep water Amrit 1 well, which was plugged and abandoned after failing to intersect economic hydrocarbons, and Callister 1 which was also plugged and abandoned with gas shows.\n\n**'2004 was a great year for our explorers. We started drilling one of the most exciting portfolios in our industry and our success to date shows that our strategy of basin excellence is delivering.'**\n\n#### **JACQUES GOUADAIN**\n\nVice President Geoscience and New Ventures\n\n**Float-off of Jack Bates rig prior to deep water drilling operations, offshore Otway Basin, Victoria.**", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# SANTOS GROUP INTERESTS\n\nAs at 28 February 2005\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 42\n\n| Licence Area % Interest | |\n| --- | --- |\n| SOUTH AUSTRALIA | |\n| (PPL = Petroleum Production Licence; | |\n| PL = Pipeline Licence) | |\n| Cooper Basin*(I) (Fixed Factor Area) | |\n| (SA Unit PPLs 6-20, 22-25, 27-61, 63-75, | |\n| 78-117, 119, 120, 124, 126-130, 132-135, | |\n| 137-141, 143-146, 148-151, 153-155, 157, | |\n| 159-166, 169-181, 183-186, 188-190, 192, | |\n| 193, 195, 196, 198, 199 and in | |\n| Queensland PPL12) | 66.6 |\n| Downstream*(I) (PL2) | 66.6 |\n| Patchawarra East Joint Operating Area* | |\n| (PPLs 26, 76, 77, 118, 121-123, 125, | |\n| 131, 136, 142, 147, 152, 156, 158, | |\n| 167, 182, 187, 191, 194 & 197) | 72.3 |\n| QUEENSLAND | |\n| (PL = Petroleum Lease; PPL = Pipeline Licence) | |\n| South-West Queensland* | |\n| ATP 259P | |\n| Naccowlah (PLs 23-26, 35, 36, 62, 76-79, | |\n| 82, 87, 105, 107, 109, 133, 149, 175, | |\n| 181, 182 & 189 | 55.5 |\n| Total 66 (PLs 34, 37, 63, 68, 75, 84, 88, | |\n| 110, 129, 130, 134, 140, 142-144, 150, | |\n| 168, 178, 186, 193, PPL8 & PPL14) | 70.0 |\n| Wareena (PLs 113, 114, 141, 145, 148, | |\n| 153, 157, 158, 187 & 188) | 61.2 |\n| Innamincka (PLs 58, 80, 136, 137, | |\n| 156 & 159) | 70.0 |\n| Alkina | 72.0 |\n| Aquitaine A (PLs 86, 131, 146, | |\n| 177 & 208) | 52.5 |\n| Aquitaine B (PLs 59-61, 81, 83, 85, 97, | |\n| 106, 108, 111, 112, 132, 135, 139, 147, | |\n| 151, 152, 155, 205 & 207) | 55.0 |\n| Aquitaine C (PLs 138 & 154) | 47.8 |\n| 50/40/10 (PL 55) | 60.0 |\n| SWQ Unit (PLs 12-13, 16-18, 31, 34, | |\n| 36-40, 46-48, 62, 64-72, 78-82, 84, | |\n| 86, 94-96, 98, 100, 101 & 105 and | |\n| in South Australia PLs 5, 9 & 15) | 60.1 |\n| ATP 267P (Nockatunga) (PLs 33, | |\n| 50 & 51) | 59.1 |\n| ATP 299P (Tintaburra) (PLs 29, 38, 39, | |\n| 52, 57, 95, 169 & 170) 89.0 | |\n\n| Licence Area | % Interest |\n| --- | --- |\n| Surat Basin | |\n| PLs 30, 56 & 74 | 15.0 |\n| ATP 336P (Roma) (PLs 3-13, 93 & PPL2)* 85.0 | |\n| ATP 336P (Waldegrave) (PLs 10-12, 28, | |\n| 69 & 89)* | 46.3 |\n| ATP 470P (Redcap) (PL 71) | 10.0 |\n| ATP 471P (Bainbilla) (PL 119 & PPL 58) | 16.7 |\n| ATP 471P (Myall) (PL 192) | 51.0 |\n| Boxleigh* | 100.0 |\n| PL 1 (Moonie)* | 100.0 |\n| PL 1 (2) (Cabawin Exclusion)* | 100.0 |\n| PL 1 (FO) (Cabawin Farm-out)* | 50.0 |\n| PL 2 (A & B) (Kooroon)* | 52.5 |\n| PL 2 (Alton)* | 100.0 |\n| PL 2C (Alton Farm-out)* | 63.5 |\n| PL 5 (Drillsearch)* | 21.3 |\n| PL 5 (Mascotte)* | 42.5 |\n| PL 11 (Snake Creek East)* | 25.0 |\n| PL 12 (Trinidad)* | 92.5 |\n| PL 17 (Bennett)* | 70.0 |\n| PL 17 (Bennett Exclusion)* | 100.0 |\n| PL 17 (Leichardt Exclusion)* | 70.0 |\n| PLs 21, 22, 27 & 64 (Balonne) | 12.5 |\n| Bowen Basin | |\n| ATP 337P* (PLs 41-45, 54, 67, 173, 183, | |\n| PPL10 & PPL11) | 50.0 |\n| PL176 | 100.0 |\n| ATP 553P* | 50.0 |\n| ATP 685P (Cockatoo Creek) | 50.0 |\n| Facilities | |\n| Wungoona Processing Facilities* | 50.0 |\n| Moonie to Brisbane Pipeline* | 100.0 |\n| Jackson Moonie Pipeline (PPL 6)* | 82.8 |\n| VICTORIA | |\n\n| Otway Basin (Onshore) | |\n| --- | --- |\n| PEP 160 | 60.0 |\n| Otway Basin (Offshore) | |\n| VIC/P44 (Casino)* | 50.0 |\n| VIC/P51* | 55.0 |\n\n| Licence Area | % Interest |\n| --- | --- |\n| VIC/P52* | 33.3 |\n| VIC/RL7 (La Bella) | 10.0 |\n| VIC/L22 (Minerva) | 10.0 |\n| Gippsland Basin | |\n| VIC/RL1 (v) (Golden Beach)*(I) | 100.0 |\n| VIC/RL2 (Kipper) | 20.0 |\n| VIC/RL3 (Sole)(I) | 90.0 |\n| VIC/L21 (Patricia-Baleen)*(I) | 90.0 |\n| VIC/P55*(I) | 66.7 |\n\n### **OFFSHORE SOUTH AUSTRALIA**\n\n| Duntroon Basin* | |\n| --- | --- |\n| EPP 32 | 100.0 |\n\n### **OFFSHORE TASMANIA**\n\n| Sorell Basin* | |\n| --- | --- |\n| T/32P | 50.0 |\n| T/33P | 80.0 |\n| T/35P | 50.0 |\n| T/36P | 50.0 |\n\n## **NORTHERN TERRITORY**\n\n| Amadeus Basin | |\n| --- | --- |\n| OL 3 (Palm Valley) | 48.0 |\n| Ls 4 and 5 (Mereenie)* | 65.0 |\n| RL2 (Dingo)* | 65.7 |\n| Mereenie-Brewer Estate Pipeline* | 65.0 |\n\n#### **OFFSHORE NORTHERN AUSTRALIA**\n\n| Carnarvon Basin | |\n| --- | --- |\n| EP 61 | 28.6 |\n| EP 62 | 28.6 |\n| EP 357 | 35.7 |\n| L1H (Barrow Island) | 28.6 |\n| L1O | 28.6 |\n| L12 (Crest) | 35.7 |\n| L13 (Crest) | 35.7 |\n| TL/2 (Airlie) | 15.0 |\n| TL/3 (Banta-Triller) | 28.6 |\n| TL/7 (Thevenard) | 35.7 |", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "SAN165 WWW Text 30/3/05 12:07 PM Page 18\n\n# COMMISSIONING AND DELIVERING GROWTH PROJECTS\n\nThe diversification of Santos is evident in the creation of a number of new higher margin producing assets such as the Bayu-Undan liquids project offshore northern Australia, the Casino gas field offshore southern Australia, and the Mutineer-Exeter oil and John Brookes gas fields offshore Western Australia.\n\nOutside Australia, Santos has also built a core business in Indonesia through new field developments such as Oyong and Maleo. Santos is further reinforcing its capabilities to implement high value offshore development projects through an improved drilling capability (including deepwater and high pressure reservoirs) and functional leadership in the areas of reservoir and production engineering.\n\n## **BAYU-UNDAN AND MINERVA COMMISSIONED**\n\nThere has been considerable progress on all of these projects during 2004 with two projects being commissioned: Bayu-Undan liquids and Minerva gas.\n\nBayu-Undan started liquids production in April 2004 and was ramped up during the year to meet an increased design throughput of 1.1 billion cubic feet per day of raw gas. This resulted in liquids production of more than 100,000 barrels per day. This excellent performance generated production for the year of 19 million barrels – 22% above expectations.\n\nThe liquids project involves extracting and processing wet gas to remove condensate, propane and butane (liquids) before reinjecting dry gas back into the\n\nreservoir for later use as part of the future LNG stage of the project.\n\nThe liquids are loaded onto a Floating Storage and Offloading facility. Santos has a 10.6% interest and is the only Australian-owned company involved in the project, which was recently rated as one of the top 100 projects to change the world by Goldman Sachs JBWere.\n\nThe other project that commenced production during the year was the Minerva gas field in the Otway Basin offshore Victoria which started up in December.\n\nWhile Santos' share of production is only 10%, the project has greater significance for Santos because it has enabled the commencement of direct-tocustomer marketing through Santos Direct.\n\n## **MUTINEER-EXETER COMMISSIONING**\n\nAnother important project for Santos is the Mutineer-Exeter oil fields development.\n\nDespite disappointments regarding the size of reserves during development and appraisal drilling, the construction and connection of the fields proceeded at a rapid pace with the project 89% complete by year end.\n\nThe conversion of the state-ofthe-art Floating Production Storage and Offloading facility was completed at the Jurong shipyard in Singapore in December 2004 with no lost time safety incidents despite a massive workforce completing over two million work hours.\n\nNamed the MODEC Venture 11, the vessel left Singapore in early 2005 to take up anchorage in the Carnarvon Basin off the Western Australian coast. First oil production from Mutineer-Exeter is starting about three months ahead of schedule.\n\nFour high-tech horizontal wells have been drilled and completed, which are expected to provide initial peak plateau oil production of 70,000 to 90,000 barrels per day. The wells are fitted with dual electric submersible pumps and are supported further by seabed flow boost pumps to maintain high well rates throughout field life.\n\nSantos, with the assistance of external experts and other members of the joint venture, assessed the risk of reserve uncertainty against the incremental value to be created by a fast-track development and decided to proceed with the development, which was designed to provide substantial flexibility to cope with a wide range of production rate and reserve outcomes.\n\nThe project will come on stream earlier than expected, delivering strong cash flow in this high oil price environment. Coupled with this, the project will cost at least 10% less than budget.\n\n## **CASINO AND JOHN BROOKES SANCTIONED**\n\nWhile two projects came into production, Santos added two more to the development conveyor with the sanctioning of the Casino and John Brookes gas projects during the year.\n\nCasino was formally sanctioned in October and was 25% complete\n\n**'2004 was the year that we really got the conveyor belt moving in terms of development projects. In 2005 we'll hand over to Operations our first offshore operated project, Mutineer-Exeter, ahead of schedule and under budget, and we'll continue to progress several other new offshore developments, targeted to be on stream during 2005-06.'**\n\n## **PAUL MOORE**\n\nVice President Development Projects and Technical Services\n\nby the end of the year. This is a significant achievement considering the field was only discovered in late 2002.\n\nThe $200 million development commenced following the granting of the necessary Board approvals as well as the finalisation of a larger Gas Sales Agreement with TXU. Gas production is expected to start in the first quarter of 2006.\n\nAll formal environmental approvals have now been granted for the project by the Commonwealth Government. The use of existing onshore facilities and a low environmental impact design have been integral to", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "# …TO DELIVER ON THE STRATEGY\n\nSantos continues to tap into the spirit and commitment of the entrepreneurs and explorers who laid the Company's foundations as we deliver on our growth strategy.\n\nToday, Santos is a major Australian oil and gas exploration and production company growing a global energy business through:\n\nSAN165 WWW Text 30/3/05 12:06 PM Page 1\n\n# LEVERAGING BASE BUSINESS\n\nCreating value from the base business through environment, health, safety and operational excellence, optimisation programs and cost leadership.\n\n# CREATING OPPORTUNITIES\n\nMaximising the value of the exploration program, building a better and more balanced portfolio and pursuing new opportunities.\n\n# CAPTURING AND DELIVERING GROWTH\n\nCommencing new production, advancing key projects, extracting value from our infrastructure position and seeking innovative commercial arrangements.\n\n# MANAGING OPTIONS\n\nDelivering improved returns, strong cash flow and reserve replacement through disciplined portfolio management, strategic acquisitions and divestments, and making sustainable progress.", - "page_start": 2, - "page_end": 2, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## **MALEO NEGOTIATIONS ADVANCED**\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 21\n\nOutside Australia, Santos and its co-venturers have executed a Heads of Agreement for the sale of the entire gas reserves of the Maleo field offshore East Java, Indonesia. Santos continued negotiations with PT Perusahaan Gas Negara, Indonesia's stateowned gas distributor, on behalf of the joint venture to finalise the Gas Sales Agreement. The project is targeting first production in the first half of 2006 at rates of up to 100 mmcf/d for more than five years.\n\n## **FIRST RETAIL GAS SALES WITH SANTOS DIRECT**\n\nAs well as selling gas into the wholesale gas market, Santos secured a retail gas licence from the Victorian Government in 2004. This allows Santos to sell gas direct to industrial customers and into the Victorian spot market through a wholly-owned\n\nsubsidiary, Santos Direct Pty Ltd ('Santos Direct').\n\nSantos Direct will market Santos' 10% share of gas production from the Minerva field – around 15 TJ/d – in the offshore Otway Basin, which commenced production at the end of 2004.\n\nThe move to market and sell gas directly into the Victorian retail market is a first for Santos and leverages off Santos' position as one of Australia's largest gas producers, supplying wholesale gas to major industrial customers and specialist marketers in all mainland Australian states and territories.\n\n## **LIQUIDS MARKETING ALLIANCE WITH BP**\n\nAnother important marketing development during the year was the decision to outsource the marketing of crude oil and natural gas liquids to BP. The new marketing arrangements are in response to the significantly\n\nhigher volumes of crude oil that Santos will receive from the Mutineer-Exeter and Oyong projects, coming on stream in 2005, and the increasing globalisation of the liquids marketplace.\n\nThe validity of this approach has already been demonstrated by the sale of the first Mutineer-Exeter oil cargo at a premium to Tapis despite a discount for the uncertain delivery date.\n\nSantos continues to build an inventory of high quality options to provide a platform for production growth over the coming years. Santos is committed to a program of diversification while capitalising on the long-term Cooper Basin legacy asset. Most importantly, this involves leveraging the strengths of the core competencies built up over a number of years and Santos' well-positioned domestic gas franchise.\n\n**'During 2004 we brought together everyone at Santos responsible for commercialisation into a single team. One of the outcomes from this was the introduction of gas swaps, where we were able to move gas between Santos assets in different states.'**\n\n#### **RICK WILKINSON**\n\nVice President Gas Marketing and Commercialisation\n\n**The alignment of joint venture interests in the John Brookes and East Spar fields has created an important production hub at Varanus Island, Carnarvon Basin, offshore Western Australia.**", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the primary aim of the OSPRO cohort study ?", - "target_page": 2, - "target_passage": " The primary aim of the OSPRO cohort study was to de velop and validate review of systems (i.e. evidence of sys temic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in out patient orthopedic physical therapy settings", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### Abbreviations\n\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of Referral and Outcome; OSPRO-ROS: Review of systems screening tool from OSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening tool from OSPRO cohort study\n\n#### Acknowledgements\n\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. Marlow for their input on study design and analysis. OPT-IN Network Participants included: University of Florida: Joel Bialosky; UF Health: Giorgio Zeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike Hodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI Physical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise Harris, Jordan Floyd, Wade Harrell; University of Southern California: Lori Michener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata Salvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando Malaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University of Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, Adam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: Ryan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia University: Angela Tate; Life's Work Physical Therapy: Sandra Stryker, Aaron Leonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, Charleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul Mintken, Virginia Arnette, Andrea Barsch.\n\n#### Funding\n\nThis project was supported by the 2013 Clinical Research Network grant from the Orthopaedic Section, American Physical Therapy Association. The funding body had no role in the design of the study or collection, analysis, and interpretation of the data or in writing the manuscript. TAL received additional support from the Foundation for Physical Therapy with Promotion of Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional support from Brooks Rehabilitation while designing this study. JMB received support from the American National Institutes of Health (NIH) Rehabilitation Research Career Development Program (K12-HD055929).\n\n#### Availability of data and materials\n\nThe data that support the findings of this study are available from the corresponding author upon reasonable request.\n\n#### Authors' contributions\n\nTAL provided input on study design and analysis plan, drafted the manuscript and approved final version of the manuscript. SZG secured funding, provided overall design, gave input on the analysis plan and approved final version of the manuscript. JMB provided input on design and analysis plan and approved final version of the manuscript.\n\n#### Ethics approval and consent to participate\n\nEthics approval for this study was granted by the University of Florida Institutional Review Board-01 (Study #: 525–2012). All participants provided written consent to participate in the study.\n\n#### Consent for publication\n\nNot applicable.\n\n#### Competing interests\n\nThe authors declare that they have no competing interests.\n\n#### Publisher's Note\n\nSpringer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n#### Author details\n\n1 Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA. 2 Department of Physical Therapy, College of Public Health & Health Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL 32610-0154, USA. 3 Brooks Rehabilitation Clinical Research Center, 3901 University Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4 Duke Clinical Research Institute, Department of Orthopaedic Surgery, Duke University, 2400 Pratt Street, Durham, NC 27705, USA.\n\nReceived: 9 November 2017 Accepted: 14 August 2018\n\n#### References\n\n- 1. Von Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et al. United states national pain strategy for population research: concepts, definitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068–80.\n- 2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic: population health implications and potential solutions. Report from the national stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1–10.\n- 3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for chronic pain--United States, 2016. JAMA. 2016;315:1624–45.\n- 4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual physical therapy in the treatment of cervical radiculopathy: a systematic review. J Man Manip Ther. 2011;19:135–42.\n- 5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical therapy only and of usual care for various health conditions: systematic review. Phys Ther. 2016;96:774–86.\n- 6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al. Physical therapy treatment effectiveness for osteoarthritis of the knee: a randomized comparison of supervised clinical exercise and manual therapy procedures versus a home exercise program. Phys Ther. 2005;85:1301–17.\n- 7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC. Effectiveness of manual physical therapy and exercise in osteoarthritis of the knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173–81.\n- 8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the management of chronic spine disorders: a propensity score approach. Phys Ther. 2006;86:381–94.\n- 9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al. Effectiveness of physical therapy in treating atraumatic full-thickness rotator cuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013; 22:1371–9.\n- 10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients with low back pain to physical therapy: impact on future health care utilization and costs. Spine. 2012;37:2114–21.\n- 11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions after a new consultation for low back pain: implications of the usage of physical therapy for subsequent health care costs and utilization. Arch Phys Med Rehabil. 2013;94:808–16.\n- 12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care back pain screening tool: identifying patient subgroups for initial treatment. Arthritis Rheum. 2008;59:632–41.\n- 13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG, et al. Estimating the risk of chronic pain: development and validation of a prognostic model (PICKUP) for patients with acute low back pain. PLoS Med. 2016;13:e1002019.\n- 14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al. Can screening instruments accurately determine poor outcome risk in adults with recent onset low back pain? A systematic review and metaanalysis. BMC Med. 2017;15:13.\n- 15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM. Chronic pain and health services utilization: is there overuse of diagnostic tests and inequalities in nonpharmacologic treatment methods utilization? Med Care. 2013;51:859–69.\n- 16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G. The societal impact of pain in the European Union: health-related quality of life and healthcare resource utilization. J Med Econ. 2010;13:571–81.\n- 17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive value of pain intensity on costs and resources utilization in patients with peripheral neuropathic pain. Clin J Pain. 2015;31:273–9.\n- 18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and response to treatment. Phys Ther. 2011;91:712–21.\n- 19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for Prediction of Referral and Outcome (OSPRO) in patients with musculoskeletal pain conditions: a longitudinal validation cohort from the USA. BMJ Open. 2017;7:e015188.\n- 20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr. Optimal Screening for Prediction of Referral and Outcome (OSPRO) for Musculoskeletal Pain Conditions: Results From the Validation Cohort. J Orthop Sports Phys Ther. 2018;48(6):460–75.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "Block 2: 10-item OSPRO-YF and 10-item OSPRO-ROS at baseline.\n\nBlock 3: Remaining items from the OSPRO-YF (+ 7 items) and OSPRO-ROS (+ 13 items). These were included to determine whether full-length versions of the tools provided better prediction over shortened versions.\n\nBlock 4: Baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores. Early changes in these variables may be associated with improved prediction of outcomes over baseline variables alone [38]. This approach modeled change in these variables as a measure of treatment response and allowed us to assess the relative value of treatment monitoring for the prediction of healthcare utilization outcomes.\n\nFor the first analysis, binary logistic regression was used to determine predictors of any healthcare utilization following physical therapy, with the dependent variable defined as reporting one or more utilization events for any of the potential healthcare services over the entire follow-up period. For analyses of specific services, utilization was dichotomized for each service. Specific service utilization over early (through 6 months) and late (6 months to 12 months) phases following physical therapy were collapsed to create a single dichotomous utilization indicator for each service over the entire study follow-up period. Any utilization of the service over that period was categorized as YES. Separate multivariate binary logistic regression models were then fitted for the dichotomous utilization indicator (i.e. YES or NO) of each healthcare service (e.g. opioid use, injection, imaging, surgery, and emergency room visits).\n\nFor all analyses, full hierarchical multivariate models were first fit to assess the unique contributions of each block. This approach allowed us to determine the relative contributions of baseline demographic and health-related variables, the newly developed OSPRO-ROS and OSPRO-YF tools, and response to treatment via time varying variables (e.g., pain intensity and region specific function). However, since our primary aim was to develop concise and accurate utilization prediction models for efficient assessment of risk, we then separately developed stepwise models using backward selection for each dependent variable to derive parsimonious prediction item sets. Parsimonious models were chosen as a more conservative approach to identifying individual predictors given the potential for overfitting full multivariate models because of high subject attrition. For stepwise models, the p-value threshold was 0.05 for entry and 0.10 for removal. Overall fit for each model was examined with Hosmer & Lemeshow test, chi-square and pseudo-R2 values (e.g. Nagelkerke) when appropriate. Comparison of adjusted odds ratios (OR) and 95% confidence interval (CI) were used to determine the relative strength of each predictor in parsimonious models. Multicollinearity was assessed using variance inflation factor (VIF) and tolerance, where VIFs < 10 and tolerances > 0.1 suggested no significant collinearity among independent variables [39].\n\n#### Planned sensitivity analyses for missing data\n\nThe electronic OPT-IN data collection forms required complete data from respondents before they were allowed to proceed to subsequent survey pages. Therefore, the occurrence of missing data for independent predictor variables was minimal (< 1% of sample). However, for subjects who were lost to follow-up, we planned two approaches to assess the potential influence of missing data on study outcomes. First, demographic and baseline health variables would be compared between those with complete follow-up at 1 year and those without follow-up at 1 year to identify any potential group differences related to completion of follow-up. Second, sensitivity analyses would be conducted by repeating each analysis using inverse probability of attrition weighting (IPAW). This propensity scoring approach accounts for attrition-related selection bias in longitudinal studies by more heavily weighting observations associated with a lower probability of study completion [40]. Thus, the resulting analysis is compensated for under-representation of subjects who are more likely to be lost to follow-up. IPAW produces smaller effect estimate biases than more conventional methods that adjust for baseline predictors of attrition [41]. Briefly, logistic regression will be performed to identify predictors of attrition using an opportunistic approach that optimizes model fit, with an area under the curve (AUC) target value of > 0.7. Demographic and baseline health variables that differ between follow-up status cohorts will be used as candidate variables for the regression model to derive weights. Then, inverse of predicted probabilities for remaining in the study will be used to weight observations, and all analyses will be repeated. Regression results using IPAW will be compared with those obtained from complete case only analyses to assess the potential influence of missing data on the findings and identify robust predictors. We will focus our interpretation on predictors that are consistent across complete case and IPAW models for each type of healthcare service as they are more robust and most likely to be reproduced in future studies.\n\n#### Power analysis\n\nFor logistic regression analyses, event-per-variable values of 10 or greater are suggested, since overfitting will weaken the probability that original findings will be", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed5.pdf" - }, - { - "text": "shown to identify approximately 95% of positive red-flag responders. For statistical analyses, the \"yes\" responses were added for each version and included in each model as a continuous independent variable.\n\n#### OSPRO Yellow Flag tool (OSPRO-YF)\n\nThe OSPRO-YF is a yellow flag assessment tool that includes items from pain vulnerability domains (negative affect and fear-avoidance) and pain resilience domains (positive affect and self-efficacy) to aid with identification of pain-related psychological distress in outpatient orthopedic physical therapy settings [37]. The OSPRO-YF has good concurrent validity with pain intensity and region-specific disability [37] and is capable of predicting pain intensity, disability, quality of life and persistent pain 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The full-length OSPRO-YF has 17-items, however a shortened 10-item version is also available with an acceptable trade-off in accuracy. Like the OSPRO-ROS, the OSPRO-YF is designed for implementation into electronic medical record (EMR) systems to quickly and accurately identify risk for a variety of clinical outcomes [19]. For statistical analyses, a summary score was derived for each version by adding the item responses after reverse-scoring items 2, 13, 14, 15 and 17 so that higher scores indicate higher pain-related psychological distress. The summary score was then included in each model as a continuous independent variable.\n\n#### Intervention\n\nAll physical therapy treatment was provided at the discretion of the treating clinician. The duration of the episode, the number of physical therapy visits, and individual treatment parameters (type, intensity, duration, frequency) were not collected for pragmatic reasons. In particular, clinical and utilization data are not commonly collected in a standardized format and would need to be extracted from disparate medical record databases across different health care systems to assess treatment. This was not feasible given the scope and design of this multisite survey-based study. However, instead of coding treatment type we included baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores in each model as measures of treatment response. In that manner the individual effects of the treatment received were included in the predictive models, without directly accounting for the type of treatment.\n\n#### Healthcare utilization outcomes\n\nSelf-reported health care utilization was assessed at 6- and 12-months following initial evaluation by online assessment. Questions were derived from previous population-based studies involving musculoskeletal pain that have used survey methods for follow-up assessment [22, 23]. Study participants were asked whether they used any of the following healthcare services for their primary musculoskeletal pain complaint in the time following their physical therapy treatment:\n\n- 1. Opioid painkillers (eg. Vicodin, Lortab, Hydrocodone, Fentanyl, Percocet, Oxycontin, Oxycodone, tramadol, Ultram, Diludid, etc)\n- 2. Injections\n- 3. Surgery\n- 4. Diagnostic tests or Imaging (eg. xray, MRI, CT scan, nerve conduction test, etc.)\n- 5. Emergency room visits\n\n\"Yes\" responses were followed by questions regarding the quantity of services utilized (i.e. number of opioid painkillers, number of diagnostic tests or number of emergency room visits). All utilization questions were answered on a categorical scale (0, 1, 2–5, 5–10, or > 10) indicating the quantity of a particular service received during the applicable follow-up timeframe. At 6-month follow-up, study participants reported their use of services for the previous 2 months, allowing a timeframe of 4 months from initial evaluation for them to complete physical therapy. At 12-month follow-up, study participants reported their use of services over the previous 6 months since their last survey. This method provided an 8-month overall follow-up period after physical therapy and two follow-up points were included to minimize recall bias.\n\n#### Statistical analysis\n\nAll data analyses were preformed using SPSS Version 22.0 (IBM Corp., Armonk, NY). We developed models to separately predict over the course of the entire follow-up period: 1) the dichotomous outcome of no healthcare utilization versus any healthcare utilization and 2) the utilization of specific services. We decided to develop separate models since each outcome predicted by these models might have unique future policy implications. For instance, those who utilize no additional services might represent a \"low risk\" group for which physical therapy alone might be particularly appropriate. Predicting use of specific services would inform policy where reduction of specific services is a high priority, such as utilization of opioids or unnecessary use of emergency room services.\n\nAll prediction models used the following hierarchical design, which is similar to prior analyses in this cohort [20, 21]:\n\nBlock 1: age, sex, race, anatomical region of pain, insurance, chronicity of pain, surgery for current condition (yes/no), Charlson comorbidity index, baseline disability, baseline pain intensity.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "reproduced in an independent sample [42, 43]. With 18 potential predictors, a sample of n = 180 reporting healthcare utilization at follow-up would be sufficient for the proposed analyses. However, this estimate is conservative. Other methods for determining sample size for prediction analyses suggest an overall sample size of N > 50 + 8*m (where m = number of independent variables) [44] or N > 104 + number of independent predictors [45, 46]. For these less conservative estimates, the projected study sample size is sufficient for the proposed analyses.\n\n#### Results\n\nFour hundred and forty subjects were recruited at initial evaluation. Follow-up at 4 weeks was 75.0% (n = 330), at 6 months was 69.0% (n = 304) and at 12 months was 65.2% (n = 287). Baseline demographics and health-related characteristics for the full cohort, as well as those who did and did not complete all follow-up are presented in Tables 1, 2 and 3. Those who did not complete follow-up were younger, more likely to be non-white, had less than a college degree, were more likely to have had sudden symptom onset, had higher baseline pain intensity, and had higher baseline pain-related psychological distress measured by the OSPRO-YF. Only those with complete follow-up data at each time point were considered for prediction analyses (n = 246, 55.9%).\n\nOverall, 43.1% (n = 106/246) of those with complete follow-up data utilized at least one healthcare service following the physical therapy episode. Distribution of utilization for specific services is provided in Table 4. For multivariate analyses, all VIFs were less than 10 and tolerance values greater than 0.1 suggesting no significant multicollinearity among independent variables.\n\n#### Full multivariate model performance\n\nOverall performance for each full multivariate model is listed in Table 5. Block 1 (Demographic, clinical and comorbidity) consistently contributed to prediction of healthcare utilization and accounted for the greatest amount of variation in utilization outcome for all models. Block 4 (change scores for pain, disability, and OSPRO-YF) provided statistically significant contributions in all models except prediction of injection. Blocks including baseline OSPRO-YF and OSPRO-ROS, both short and long forms, did not predict utilization outcomes. Weighted models consistently outperformed their complete case analysis model counterparts with overall model pseudo-R2 values ranging from .337 (Any care) to .611 (Emergency room).\n\nTable 1 Demographic information for the full cohort, and for those with complete and incomplete follow-up\n\n| Variable | Label | Full cohort at baseline | Completed follow-up | Did not complete follow-up | p-value a |\n| --- | --- | --- | --- | --- | --- |\n| | | (n = 440) | (n = 246) | (n = 194) | |\n| Demographic information | | | | | |\n| Age | Mean ± SD | 45.06 ± 15.82 | 46.59 ± 16.00 | 43.15 ± 15.43 | 0.02 |\n| | Median (min, max) | 45 (18–75) | 47 (18–75) | 42 (18–74) | |\n| Sex (1 missing) | Male | 164 (37.3%) | 85 (34.6%) | 79 (40.7%) | 0.20 |\n| | Female | 275 (62.5%) | 160 (65.0%) | 115 (59.3%) | |\n| Race (7 missing) | White | 343 (78.0%) | 200 (81.3%) | 143 (73.7%) | 0.05 |\n| | Non-white | 90 (20.5%) | 42 (17.1%) | 48 (24.7%) | |\n| Ethnicity (33 missing) | Hispanic or Latino | 31 (7.0%) | 20 (8.1%) | 11 (5.7%) | 0.36 |\n| | Not Hispanic or Latino | 376 (85.5%) | 211 (85.8%) | 165 (85.1%) | |\n| Education (6 missing) | Less than college graduate | 161 (36.6%) | 71 (28.9%) | 90 (46.4%) | < 0.001 |\n| | College graduate or higher | 273 (62.0%) | 172 (69.9%) | 101 (52.1%) | |\n| Income (66 missing) | $35,000 or less | 112 (25.5%) | 62 (25.2%) | 50 (25.8%) | 0.30 |\n| | $35,000 to $70,000 | 106 (24.1%) | 59 (24.0%) | 47 (24.2%) | |\n| | Greater than 70,000 | 156 (35.5%) | 99 (40.2%) | 57 (29.4%) | |\n| Insurance (26 missing) | Private | 273 (62.0%) | 156 (63.4%) | 117 (60.3%) | 0.70 |\n| | Public | 75 (17.0%) | 46 (18.7%) | 29 (14.9%) | |\n| | Other | 66 (15.0%) | 36 (14.6%) | 30 (15.5%) | |\n| Geographic region | Southeast | 275 (62.5%) | 146 (59.3%) | 129 (66.5%) | 0.10 |\n| | Midwest | 47 (10.7%) | 23 (9.3%) | 24 (12.4%) | |\n| | West | 98 (22.3%) | 65 (26.4%) | 33 (17.0%) | |\n| | Northeast | 20 (4.5%) | 12 (4.9%) | 8 (4.1%) | |\n\na Group comparisons with independent samples t-tests for continuous variables and chi-square tests for categorical variables", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed5.pdf" - }, - { - "text": "### Modelling methodology\n\nThis brief section outlines the modelling process behind the conclusion in section one, which states that we might expect somewhere between 2,400 and 7,000 individuals from the original cohort of users in 2004 to be captured within the 2013 figure of *new* DIP arrestees (who test positive for opiates-only or who are positive-for-both).\n\nWe begin by putting in a plausible range of crime-involved OCUs through the period. This combines the total OCU estimates published by Hay *et al*., (ranging from around 320,000 OCUs down to around 295,000 in recent years) with available estimates of the percentage who are likely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the NTORS study (Gossop *et al*., 2003). As such, a range of between 170,000 and 100,000 crimeinvolved OCUs is likely to include all plausible values (see first row of table below).\n\nWe then calculate the rate at which that population is likely to be arrested and test positive by using the number of individuals testing positive from 2008 (25,433), when DIP was fully up and running. This gives the second row of the table. Combining the values in the first two rows and applying the probability formula given in the main body of the text gives the third row: the probability of first positive DIP test in 2013. Note that this assumes all these individuals continue to offend through the period, which may not be the case, hence final results are probably an upper bound. The final row simply multiples the figure in the first row by the figure in the third to give our estimate of the original cohort who might appear in the 2013 DIP figures as new.", - "page_start": 41, - "page_end": 41, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "example, in Sweden. 378 Meanwhile, the spectrum of guidance developed regarding work-related psychosocial risks is very wide; it covers aspects such as job satisfaction (overall level of wellbeing), engagement, performance and work-related stress,379 and also discrimination, harassment, aggression and violence.380\n\n### **6.2 EU and national OSH strategies**\n\nThe EU and many Member States **applied and apply strategic approaches**, based on EU or national evidence of the state of OSH. OSH strategies are a steering instrument to focus the activities of all actors on major recognised deficits of OSH infrastructures or processes.381\n\nThe newest **EU Strategic Framework on Health and Safety at Work 2021-2027** puts the focus on change, with the title *'Occupational safety and health in a changing world of work'*.382 Consequently, the strategic framework focuses on three key objectives for these years:\n\n- • *anticipating and managing change in the new world of work brought about by the green, digital and demographic transitions;*\n- •*improving prevention of workplace accidents and illnesses;*\n- •*increasing preparedness for any potential future health crises.*\n\nThe proposed focus areas and actions are related to these three objectives. Under the first key objective there are actions like 'Modernising and simplifying EU OSH rules in the context of the green and digital transitions'; a special focus is on psychosocial and ergonomic risks. The second objective promotes a vision zero approach to work-related deaths, particularly referring to hazardous substances and cardiovascular diseases, the promotion of health at work and inclusive workplaces for all.383\n\nThe third objective responds to the impact of the pandemic situation in 2020 and 2021. It includes the development of emergency procedures for future similar situations ('Health crisis'). The Strategic Framework repeats and corroborates the value of research and data-based evidence by stating: *'Research and data collection, both at EU and national level, are a pre-condition for the prevention of work-related diseases and accidents. Scientific advice and the latest technological developments feed into OSH legislation and policy.'*\n\nAlso, many Member States have agreed on provision of better data as an objective in their national strategies.384 The EU strategy often gives orientation for the development of national OSH strategies. Under the last strategy period, 24 of the 27 Member States had applied a strategy. Many national OSH strategies contained similar targets. EU-OSHA published an overview report on national strategies, and the OSH Barometer contains as one indicator a harmonised overview on the aspects of national strategies.385\n\nOSH strategies are regarded as an important and innovative policy area, a chance for better collaboration, and also a very relevant joint national OSH activity. Those strategies help in priority setting and focused action on weaknesses. Strategies were often agreed in social dialogue processes, and many strategy actors also developed new and better monitoring instruments and indicators.386 Labour inspections play an important or essential role in most of these strategies.387\n\n#### **OSH Barometer – Steering of OSH, National strategies:**\n\nhttps://visualisation.osha.europa.eu/osh-barometer/osh-steering/national-strategies\n\n**OSHWiki: Section 'OSH System at national level', descriptions of the OSH Systems of the EU Member States:** https://oshwiki.eu/wiki/Category:OSH_systems_at_national_level", - "page_start": 123, - "page_end": 123, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and reflexivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers' closeness to the intervention and the clinical field may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of \"blind spots\", as the researchers may prejudice participants' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, findings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n#### 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals affiliated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT (n = 15) were included (Table 3).\n\n#### 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were TABLE 3 Participant demographic information.\n\n| Variable | Total (n = 15) |\n| --- | --- |\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |\n\nTABLE 4 Interview guide.\n\n| Theme | Potential questions |\n| --- | --- |\n| Overall experiences and | Generally, what are your main experiences of |\n| reflections from participation | participation? |\n| | What did you perceive as meaningful? |\n| | What did you perceive as negative? |\n| Content | How did you experience: |\n| | • The content of the sessions in general |\n| | • The high-intensity walking/running |\n| | • The specific exercises |\n| | • The combination of specific exercises and |\n| | intervals of running/walking |\n| | • The exercise intensity |\n| | How did you respond to the exercises? How did |\n| | you experience getting tired? |\n| | How do you perceive your specific movement |\n| | impairments (if any) being addressed? |\n| | Please elaborate on situations where you |\n| | experienced the feeling of mastery/failure. |\n| | If anything: What was challenging? What would |\n| | you prefer to have been done differently? What |\n| | did you enjoy? |\n| | What was the value of participating in the |\n| | indoor exercise group beforehand? |\n| | How did you experience this kind of exercise |\n| | intervention compared to other type of exercise |\n| | you may have experience with? |\n| The role of the physiotherapists | What did the physiotherapists do? What was |\n| | the value of this to you? |\n| The group setting | How did you experience the group setting? |\n| | How did you perceive the atmosphere in the |\n| | group? |\n| The outdoor environment | How was it to exercise outdoors? |\n| | How did you perceive the city park |\n| | environment for exercise? |\n| Closing questions | Are there any experiences from participation |\n| | that you would like to elaborate on? Is anything |\n| | related to this project that we have not talked |\n| | about that you would like to say? |\n| | How did you experience this interview? |\n\nOverall participants were asked to describe situations to exemplify their answers, and follow-up questions were used to capture in-depth reflections, for example, What was positive/negative?, How did it feel?, What do you think of that?, What does it mean to you?, Can you elaborate on that?.\n\nconducted (with pwMS who were not part of the sample), and the interview guide was then refined around the following themes: overall experience and reflections from participation, content, outdoor setting, the group, and the physiotherapists. Questions were open-ended to capture rich, in-depth reflections regarding participants' experiences, following a phenomenological approach. The interviewer asked for both negative and positive experiences", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "Some important questions remain at the end of such a report:\n\n- The **quality of statistics and surveys fades the more irregular are the working** conditions being studied. Which research methods are adequate for a clearer and more reliable evidence base on these working conditions? It might require research methods different from those used today, for example, more investigative case studies; it might also be helpful to evaluate the **existing national working conditions surveys or statistics** under this aspect.\n- **Fading employer–employee relations.** There are special research efforts necessary to study the application of OSH regulations of work with weak or no employer–employee relations, for example, for the self-employed and new forms of employment.\n- **Surveys usually suffer a participation bias, for example, for the migrant workforce.** The low participation rate of migrants can contribute to a particular underestimation regarding their often unfavourable working conditions.\n- **Workers in manual occupations** report **better health than administrative workers** but **less expectations to do the job until being 60 years old**. What are the reasons behind this? Is it the healthy worker effect, strong occupation-related differences regarding the perception of health and the expression of health problems?502,503\n- High work intensity is a major cause for low wellbeing and high psychosocial risks. Survey data suggest that **work intensification stopped after 2005**. What might be the reasons? Are the current indicators not specific enough to measure developments of work intensity? Has since then the major burden of intensification been put on other types of workers, for example, subcontracted or self-employed, temporary and seasonal workers, or on workers in the global supply chain?\n- How much evidence is there that **dangerous work has been increasingly contracted out to small and medium-size enterprises and the self-employed**? Are there sufficiently detailed data on whether a larger share of service and client-related work at atypical times or work requiring long working hours has been taken over by self-employed or subcontractors?\n- The **influence of enterprise size** is often difficult to explain. In several aspects, the SMEs perform better, and in other important aspects worse. What might be the reason for this?\n- **How is it possible to overcome the 'prevention gap' that in general exists between mobile and stationary workplaces?** Can the solutions be technical or must there be organisational and legal measures, for example, a limitation of the prolonged use of ergonomically inadequate equipment like mobile phones?\n- Impact of **international and global supply chains on OSH: Does it improve or worsen the working conditions in the EU?** Research could try to estimate the risk-reducing impact of the shift of some high-risk productions to enterprises outside the EU, for example, mining, base chemicals, recycling and so on (export of risks), and to estimate the OSH impact of EU export production, for example, vehicles, specialty chemicals, machines for risks at work inside the EU (import of risks).\n- It would also be a big step forward if research could achieve an agreed **standard value or a standard range** (as reliable as possible) for the **attributable fraction of work** to widespread diseases, that is, cardiovascular diseases, mental and behavioural disorders, musculoskeletal diseases and cancer.\n- **Compliance** with and impact of legislation. Currently, there are data on the percentage of enterprises with a risk assessment but very limited information about the **quality of these risk assessments and of implemented risk management and reduction measures**. Previous studies indicate that in many cases the risk assessment is conducted by an enterprise just to comply with legal obligations (paper compliance). A possible approach could be an **anonymous evaluation of the quality of a representative share** of risk assessments.", - "page_start": 139, - "page_end": 139, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### **Research on risks, exposures and outcomes including future developments**\n\nThis type of data and research deals with the **description and analysis of risks and exposures and health outcomes** (there are basically three outcomes: 1) work accidents, 2) diseases, and 3) wellbeing / job satisfaction / overall perception of health at work), and their interlinkage. Risk identification and exposure assessment relates to several types of risks and exposures: mechanical, physical, chemical or biological risks, including those risks caused by the circumstances at workplaces (e.g. those technical basics listed in the Directive on minimum safety and health requirements for the workplace470), and risks caused by the work organisation, including aspects like work intensity and time pressure, poor communication and misunderstanding, harassment and discrimination and work with clients and customers. All these topics are subjects of a wider field of different sciences, ranging from engineering and natural sciences to psychology and sociology to several medical disciplines.471\n\nSimilar methodological considerations were also essential for EU-OSHA to initiate a **worker survey on workplace exposures to carcinogens and occupational cancer** (2020 to 2024).472 Reliable and publicly available exposure data are rare for many typical daily work situations. It is for this reason that EU-OSHA has chosen an approach that relies on an expert system, that is, it connects the description of workplaces and work tasks to exposure estimates of probable occurrence of and exposure to certain carcinogenic substances.\n\nA specific section of this research is the **foresight on the development of risks** at workplaces. Major trends are analysed regarding their impact on OSH; these can be trends like digitalisation including aspects like robotics, AI virtual work environments, globalisation including aspects like OSH in supply chains or migration, green transformation including aspects like circular economy, demographic changes with aspects like ageing, and public health developments like diseases related to prolonged sitting.473\n\n#### **Research on effective technical and organisational preventive measures**\n\nBased on these predominantly 'diagnostical findings', an often separated strain is the development of preventive measures. Engineering and natural sciences mainly deal with the development of **preventive technical measures** to avoid accidents and limit health-impairing impacts. This technical OSH research includes the development or improvement of preventive technologies, of safe and healthy products and processes at workplaces, a regulation, a practical guidance or standard setting.\n\nSocial sciences (organisational sociology, occupational psychology and similar) are active in developing **preventive measures for organisational risk factors**. They develop **best practice models and contribute to** guidance and standards, as well as background data and evidence for legislation regulations and good practices of awareness raising and intervention.\n\n#### **OSH systems and infrastructures**\n\nThe **preventive effectiveness** of OSH systems and infrastructures in enterprises and at state level is another major research field. These studies often focus on qualitative assessment, for example, the assessment of the **performance and effectiveness of such systems and infrastructures** (e.g. DG EMPL, IALI474). They often cover not only enterprises (employers and workers) and the government but also the wider OSH infrastructure, for example, professional associations and research institutes.\n\nResearch about prevention practices and processes in enterprises475 covers **aspects like awareness raising, supporting and hindering factors to initiate preventive activities**,476 the impact of guidance and instructions for workers, training and education of OSH professionals, including concrete regulations of their functions and responsibilities in enterprises, their dependencies and relations to the management and to workers, and the role of legislation and state-based systems for prevention in enterprises, or the quality of risk reduction measures.\n\n#### **Research on the societal, economic and legal frame and context**", - "page_start": 134, - "page_end": 134, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**Eurostat** is a major source of OSH-related statistics. First and foremost, Eurostat is responsible for the ESAW.437 In addition, approximately every six to eight years it adds an ad hoc module on OSH to its permanent LFS (1999, 2007, 2013, 2020).438\n\n**Eurofound**439 contributes substantially to the evidence on the state of OSH by its research on working conditions and industrial relations. The EWCS440 is based on interviews with more than 40,000 workers (2015) in all EU Member States. The interviewees respond to questions on the quality of their work, including health and safety issues (every five years). It started in 1991441 and is repeated every five years. Unfortunately, the EWCS 2020 had to be cancelled due to the pandemic situation. In 2021 it was conducted as a phone survey with a different approach, so the comparability of the results with previous surveys will be limited.\n\nEU-OSHA conducts every five years a similarly large survey on the practical management of OSH in enterprises, called The 'European Survey of Enterprises on New and Emerging Risks - How European workplaces manage safety and health' (ESENER). 442 Interviewees are those managers or staff members who are responsible for, or most closely associated with OSH, or familiar with OSH. This survey provides detailed information about OSH practices in enterprises covering more than 30 European countries. The ESENER methodology substantially changed between 2009 and 2014; in this report, trend descriptions are limited to the comparable surveys of 2014 and 2019.\n\nThe Flash Eurobarometer is a large opinion poll on a large variety of topics related to EU policies and daily life in all EU Member States. In 1992 and 1996, two polls on Europeans and Health and Safety at Work gave some insights about the situation at that time.443 In 1997 and 2014, the poll questions were dedicated to working conditions,444 in 2018 the poll dealt with 'Work Life Balance'445 and in 2020 with 'Undeclared work'.446\n\nThe text box below contains some major survey data to illustrate the type of provided data, their development and the methodological changes.\n\n**Survey figures from 1995 and 20 years later in 2014/2015** (1995 based on EWCS 2, 2015 based on EWCS 6 and on the Flash Eurobarometer 2014)\n\n**1995: 29%** of European workers think that their **health could be affected by work** (EWCS 2 Summary, p. 2)\n\n**2015: 23%** of European workers think that their **health could be affected by work, minus 6%** (EWCS 6)\n\n**1995: 23% were absent from work** due to **a work-related health problem** (EWCS 2 Full Report, p. 290) **2015: 45% were at least once absent from work** due to a **work-related health problem** during the last 12 months, **plus 22%** (EWCS 6, EWCS data visualisation). Response to **How many days were you absent from work for health reasons in the last 12 months**? In the Flash Eurobarometer 2014 data (p. 75) 7% less, that is, 38% of the workers responded that they had an absence due to a health problem **related to their work.**\n\n**1995: 13%** had **10 and more days of absence** (7% between 10 and 19 days, 6% more than 20 days (EWCS 2 Full Report, p. 289) **2015: 28%** had **more than five days of absence** due to a health problem (EWCS 6 Overview Report, p. 112) Not fully comparable due to change of category\n\n**1992: 14% consider a work accident a risk in their workplace** (Eurobarometer 1992, Europeans and Health and Safety at Work, Synopsis). The question was skipped in 1995 due to the development of ESAW.\n\n**2014: 6%/10% consider a work accident a risk in their workplace** (Euro Flash Barometer 2014, p. 71 — 6% in the last 12 months — and 10% during 'last experience of work', p. 73. **This is 8%/4% less compared to the Eurobarometer 1992**.\n\nMany governments, that is, their statistical institutes or the national or federal OSH institutes of EU Member States, perform national surveys or enquiries on working conditions and analyse data from different sources. 447 Furthermore, data are collected at a national level from the National Labour Inspectorates, though in many cases they are not publicly available.", - "page_start": 131, - "page_end": 131, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the range of the pain rating scale ?", - "target_page": 3, - "target_passage": "Pain intensity was assessed by the numerical pain rating scale (NPRS) ranging from “0” (no pain) to “10” (worst pain imaginable)", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "shown to identify approximately 95% of positive red-flag responders. For statistical analyses, the \"yes\" responses were added for each version and included in each model as a continuous independent variable.\n\n#### OSPRO Yellow Flag tool (OSPRO-YF)\n\nThe OSPRO-YF is a yellow flag assessment tool that includes items from pain vulnerability domains (negative affect and fear-avoidance) and pain resilience domains (positive affect and self-efficacy) to aid with identification of pain-related psychological distress in outpatient orthopedic physical therapy settings [37]. The OSPRO-YF has good concurrent validity with pain intensity and region-specific disability [37] and is capable of predicting pain intensity, disability, quality of life and persistent pain 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The full-length OSPRO-YF has 17-items, however a shortened 10-item version is also available with an acceptable trade-off in accuracy. Like the OSPRO-ROS, the OSPRO-YF is designed for implementation into electronic medical record (EMR) systems to quickly and accurately identify risk for a variety of clinical outcomes [19]. For statistical analyses, a summary score was derived for each version by adding the item responses after reverse-scoring items 2, 13, 14, 15 and 17 so that higher scores indicate higher pain-related psychological distress. The summary score was then included in each model as a continuous independent variable.\n\n#### Intervention\n\nAll physical therapy treatment was provided at the discretion of the treating clinician. The duration of the episode, the number of physical therapy visits, and individual treatment parameters (type, intensity, duration, frequency) were not collected for pragmatic reasons. In particular, clinical and utilization data are not commonly collected in a standardized format and would need to be extracted from disparate medical record databases across different health care systems to assess treatment. This was not feasible given the scope and design of this multisite survey-based study. However, instead of coding treatment type we included baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores in each model as measures of treatment response. In that manner the individual effects of the treatment received were included in the predictive models, without directly accounting for the type of treatment.\n\n#### Healthcare utilization outcomes\n\nSelf-reported health care utilization was assessed at 6- and 12-months following initial evaluation by online assessment. Questions were derived from previous population-based studies involving musculoskeletal pain that have used survey methods for follow-up assessment [22, 23]. Study participants were asked whether they used any of the following healthcare services for their primary musculoskeletal pain complaint in the time following their physical therapy treatment:\n\n- 1. Opioid painkillers (eg. Vicodin, Lortab, Hydrocodone, Fentanyl, Percocet, Oxycontin, Oxycodone, tramadol, Ultram, Diludid, etc)\n- 2. Injections\n- 3. Surgery\n- 4. Diagnostic tests or Imaging (eg. xray, MRI, CT scan, nerve conduction test, etc.)\n- 5. Emergency room visits\n\n\"Yes\" responses were followed by questions regarding the quantity of services utilized (i.e. number of opioid painkillers, number of diagnostic tests or number of emergency room visits). All utilization questions were answered on a categorical scale (0, 1, 2–5, 5–10, or > 10) indicating the quantity of a particular service received during the applicable follow-up timeframe. At 6-month follow-up, study participants reported their use of services for the previous 2 months, allowing a timeframe of 4 months from initial evaluation for them to complete physical therapy. At 12-month follow-up, study participants reported their use of services over the previous 6 months since their last survey. This method provided an 8-month overall follow-up period after physical therapy and two follow-up points were included to minimize recall bias.\n\n#### Statistical analysis\n\nAll data analyses were preformed using SPSS Version 22.0 (IBM Corp., Armonk, NY). We developed models to separately predict over the course of the entire follow-up period: 1) the dichotomous outcome of no healthcare utilization versus any healthcare utilization and 2) the utilization of specific services. We decided to develop separate models since each outcome predicted by these models might have unique future policy implications. For instance, those who utilize no additional services might represent a \"low risk\" group for which physical therapy alone might be particularly appropriate. Predicting use of specific services would inform policy where reduction of specific services is a high priority, such as utilization of opioids or unnecessary use of emergency room services.\n\nAll prediction models used the following hierarchical design, which is similar to prior analyses in this cohort [20, 21]:\n\nBlock 1: age, sex, race, anatomical region of pain, insurance, chronicity of pain, surgery for current condition (yes/no), Charlson comorbidity index, baseline disability, baseline pain intensity.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "#### Healthcare utilization predictors\n\nWe collected potential predictors by self-reported questionnaires at initial evaluation using an online study website. Participants were directed back to the study website 4 weeks following initial evaluation to again complete questions on pain intensity, disability, and pain-related psychological distress. Change in pain intensity, disability, and pain-related psychological distress from baseline to 4 weeks were modeled as treatment response variables and included as potential predictors.\n\n#### Sociodemographic and health-related information\n\nParticipants completed a standard intake questionnaire form previously used in our clinical studies that assessed age, sex, race, and insurance provider type. This questionnaire also assessed health-related variables included anatomical region of primary pain complaint (low back, neck, shoulder, or knee) and whether the patient had undergone surgery for their primary pain complaints (yes or no). Due to small cell sizes for certain categories, race was dichotomized as white or non-white. For insurance type, participants were asked to choose one of the following options: private, public (Medicare and/or Medicaid), uninsured/self-pay, worker's compensation, and other/commercial insurance. Among the study sample, we observed few with no insurance (n = 7) or worker's compensation (n = 14). The study also included relatively few with 'other/commercial insurance' (n = 45). Within this group, informal assessment of these various plans suggested high heterogeneity of plan characteristics and coverage. Due to the small number of subjects in these individual insurance strata and to improve interpretability of results, we collapsed those reporting no insurance, worker's compensation and other/commercial insurance into a single category (i.e., 'Other'). Therefore, insurance type was categorized as private, public, or other (no insurance, worker's compensation, or other/commercial insurance) for purposes of analysis.\n\n#### Pain-related clinical variables\n\nPain status was determined using established definitions that account for the duration of pain and activity limitations [22, 23] using the following two questions: 1) \"How long have you been experiencing your current painful symptoms?\" and 2) \"Have you experienced ANY pain and activity limitations every day for the past 3 months?\" Responses to question 1 of \"greater than 90 days\" or responses to question 2 of \"Yes\" were used to classify patients as having persistent pain at initial evaluation.\n\n#### Pain intensity\n\nPain intensity was assessed by the numerical pain rating scale (NPRS) ranging from \"0\" (no pain) to \"10\" (worst pain imaginable) [24–26]. Participants rated their current pain intensity, as well as their best (lowest) and worst (highest) pain intensity over the past 24 h. Current, best and worst pain ratings were averaged for purposes of analysis.\n\n#### Region-specific disability\n\nSelf-reported region-specific disability was assessed with the Neck Disability Index [27, 28], Oswestry Disability Questionnaire [29, 30], Quick Disability of Arm Shoulder and Hand [31] or International Knee Documentation Committee Subjective Knee Form [32] for cervical, low back, shoulder and knee pain, respectively. Region-specific disability measures were z-transformed for purposes of analysis, consistent with our prior work involving multiple anatomical regions [33].\n\n#### Comorbidities\n\n#### Charlson comorbidity index (CCI)\n\nThe Charlson Comorbidity Index was used to measure the presence of chronic comorbid medical conditions [34]. It lists 19 medical conditions that participants are asked to indicate whether they \"have ever been diagnosed with by a physician\". Conditions are weighted and added for an overall measure of comorbidity burden. The CCI has demonstrated good test-retest reliability (0.91) and positive but weak to modest correlations with medication use, hospitalizations, length of stay, total charges, and pharmacy and laboratory charges for older adults in general medical care and surgical care settings [35].\n\n#### Assessment tools\n\n#### OSPRO Review of Systems tool (OSPRO-ROS)\n\nThe OSPRO-ROS is a review-of-systems screening tool for use in outpatient orthopedic physical therapy settings [36]. The OSPRO-ROS has demonstrated good concurrent validity with depression and a comprehensive 97-item battery of non-musculoskeletal symptoms (i.e., red flags). [36] Moderate to strong predictive capabilities of the OSPRO-ROS have been reported for persistence of pain, quality of life, and change in comorbidity 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The OSPRO-ROS includes standard symptom descriptors to aid with identification of systemic or non-musculoskeletal origins of musculoskeletal pain. It includes questions related to symptoms of the cardiovascular, gastrointestinal, endocrine, nervous, integumentary, pulmonary, and musculoskeletal systems. The full-length 23-item version of the OSPRO-ROS is capable of identifying 100% of positive red-flag responders (i.e. indicating \"yes\" to at least one systemic symptom on a questionnaire) in outpatient orthopedic physical therapy settings. [36] A shorter, 10-item version is also available that has been", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed5.pdf" - }, - { - "text": "- 21. Beneciuk JM, Lentz TA, He Y, Wu SS, George SZ. Prediction of persistent musculoskeletal pain at 12 months: a secondary analysis of the Optimal Screening for Prediction of Referral and Outcome (OSPRO) validation cohort study. Phys Ther. 2018;98:290–301.\n- 22. Freburger JK, Holmes GM, Agans RP, Jackman AM, Darter JD, Wallace AS, et al. The rising prevalence of chronic low back pain. Arch Intern Med. 2009; 169:251–8.\n- 23. Carey TS, Freburger JK, Holmes GM, Jackman A, Knauer S, Wallace A, et al. Race, care seeking, and utilization for chronic back and neck pain: population perspectives. J Pain Off J Am Pain Soc. 2010;11:343–50.\n- 24. Jensen MP, Turner JA, Romano JM, Fisher LD. Comparative reliability and validity of chronic pain intensity measures. Pain. 1999;83:157–62.\n- 25. Bolton JE. Accuracy of recall of usual pain intensity in back pain patients. Pain. 1999;83:533–9.\n- 26. Childs JD, Piva SR, Fritz JM. Responsiveness of the numeric pain rating scale in patients with low back pain. Spine. 2005;30:1331–4.\n- 27. Vernon H. The neck disability index: state-of-the-art, 1991-2008. J Manip Physiol Ther. 2008;31:491–502.\n- 28. Vernon H, Mior S. The neck disability index: a study of reliability and validity. J Manip Physiol Ther. 1991;14:409–15.\n- 29. Hudson-Cook N, Tomes-Nicholson K, Breen A. A revised Oswestry disability questionnaire. In: Roland M, Jenner J, editors. Back pain: new approaches to rehabilitation and education. New York: Manchester University Press; 1989. p. 187–204.\n- 30. Fritz JM, Irrgang JJ. A comparison of a modified Oswestry low back pain disability questionnaire and the Quebec back pain disability scale. Phys Ther. 2001;81:776–88.\n- 31. Beaton DE, Wright JG, Katz JN, Upper Extremity Collaborative Group. Development of the QuickDASH: comparison of three item-reduction approaches. J Bone Joint Surg Am. 2005;87:1038–46.\n- 32. Irrgang JJ, Anderson AF, Boland AL, Harner CD, Kurosaka M, Neyret P, et al. Development and validation of the international knee documentation committee subjective knee form. Am J Sports Med. 2001;29:600–13.\n- 33. Butera KA, Lentz TA, Beneciuk JM, George SZ. Preliminary evaluation of a modified STarT back screening tool across different musculoskeletal pain conditions. Phys Ther. 2016;96:1251–61.\n- 34. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying prognostic comorbidity in longitudinal studies: development and validation. J Chronic Dis. 1987;40:373–83.\n- 35. Katz JN, Chang LC, Sangha O, Fossel AH, Bates DW. Can comorbidity be measured by questionnaire rather than medical record review? Med Care. 1996;34:73–84.\n- 36. George SZ, Beneciuk JM, Bialosky JE, Lentz TA, Zeppieri G, Pei Q, et al. Development of a review-of-systems screening tool for orthopaedic physical therapists: results from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2015;45: 512–26.\n- 37. Lentz TA, Beneciuk JM, Bialosky JE, Zeppieri G, Dai Y, Wu SS, et al. Development of a yellow flag assessment tool for orthopaedic physical therapists: results from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2016;46:327–43.\n- 38. Beneciuk JM, Fritz JM, George SZ. The STarT back screening tool for prediction of 6-month clinical outcomes: relevance of change patterns in outpatient physical therapy settings. J Orthop Sports Phys Ther. 2014;44: 656–64.\n- 39. Myers RH. Classical and modern regression with applications. 2nd ed. Pacific Grove: Duxbury Press; 2000.\n- 40. Weuve J, Tchetgen Tchetgen EJ, Glymour MM, Beck TL, Aggarwal NT, Wilson RS, et al. Accounting for bias due to selective attrition: the example of smoking and cognitive decline. Epidemiol Camb Mass. 2012;23:119–28.\n- 41. Hernán MA, Hernández-Díaz S, Robins JM. A structural approach to selection bias. Epidemiol Camb Mass. 2004;15:615–25.\n- 42. Kent P, Keating JL, Leboeuf-Yde C. Research methods for subgrouping low back pain. BMC Med Res Methodol. 2010;10:62.\n- 43. Peduzzi P, Concato J, Kemper E, Holford TR, Feinstein AR. A simulation study of the number of events per variable in logistic regression analysis. J Clin Epidemiol. 1996;49:1373–9.\n- 44. Tabachnick BG, Fidell LS. Using multivariate statistics. 5th ed. Boston: Pearson; 2006.\n- 45. Green SB. How many subjects does it take to do a regression analysis. Multivar Behav Res. 1991;26:499–510.\n- 46. Harris RJ. A primer of multivariate statistics. 3rd ed. Mahwah: Psychology Press; 2001.\n- 47. Piette JD, Kerr EA. The impact of comorbid chronic conditions on diabetes care. Diabetes Care. 2006;29:725–31.\n- 48. Rice ASC, Smith BH, Blyth FM. Pain and the global burden of disease. Pain. 2016;157:791–6.\n- 49. Fritz JM, Cleland JA, Speckman M, Brennan GP, Hunter SJ. Physical therapy for acute low back pain: associations with subsequent healthcare costs. Spine. 2008;33:1800–5.\n- 50. Lentz TA, Harman JS, Marlow NM, George SZ. Application of a value model for the prevention and management of chronic musculoskeletal pain by physical therapists. Phys Ther. 2017;97:354–64.\n- 51. Sterne JAC, White IR, Carlin JB, Spratt M, Royston P, Kenward MG, et al. Multiple imputation for missing data in epidemiological and clinical research: potential and pitfalls. BMJ. 2009;338:b2393.\n- 52. Bishop MD, Mintken PE, Bialosky JE, Cleland JA. Patient expectations of benefit from interventions for neck pain and resulting influence on outcomes. J Orthop Sports Phys Ther. 2013;43:457–65.\n- 53. Bialosky JE, Bishop MD, Cleland JA. Individual expectation: an overlooked, but pertinent, factor in the treatment of individuals experiencing musculoskeletal pain. Phys Ther. 2010;90:1345–55.\n- 54. Hanney WJ, Masaracchio M, Liu X, Kolber MJ. The influence of physical therapy guideline adherence on healthcare utilization and costs among patients with low back pain: a systematic review of the literature. PLoS One. 2016;11:e0156799.\n- 55. Childs JD, Fritz JM, Wu SS, Flynn TW, Wainner RS, Robertson EK, et al. Implications of early and guideline adherent physical therapy for low back pain on utilization and costs. BMC Health Serv Res. 2015;15 https://doi.org/ 10.1186/s12913-015-0830-3.\n- 56. Yu S-T, Chang H-Y, Lin M-C, Lin Y-H. Agreement between self-reported and health insurance claims on utilization of health care: a population study. J Clin Epidemiol. 2009;62:1316–22.\n- 57. Petrou S, Murray L, Cooper P, Davidson LL. The accuracy of self-reported healthcare resource utilization in health economic studies. Int J Technol Assess Health Care. 2002;18:705–10.\n- 58. Short ME, Goetzel RZ, Pei X, Tabrizi MJ, Ozminkowski RJ, Gibson TB, et al. How accurate are self-reports? Analysis of self-reported health care utilization and absence when compared with administrative data. J Occup Environ Med. 2009;51:786–96.\n\n- \n- \n- \n- \n- \n-", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed5.pdf" - }, - { - "text": "## R E S EAR CH A R TIC L E Open Access\n\n# Prediction of healthcare utilization following an episode of physical therapy for musculoskeletal pain\n\nTrevor A. Lentz1* , Jason M. Beneciuk2,3 and Steven Z. George4\n\n## Abstract\n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively identify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The purpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode of physical therapy for musculoskeletal pain.\n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) longitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder pain in physical therapy (n = 440). Demographics, health-related information, review of systems, comorbidity and pain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in pain intensity, disability, and pain-related psychological distress were measured as treatment response variables. At 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests or imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models were developed for any subsequent care and service-specific utilization.\n\nResults: Subsequent pain-related healthcare utilization was reported by 43% (n = 106) of the study sample that completed the 12-month follow-up (n = 246). Baseline disability and 4-week change in pain intensity were important global predictors of subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain intensity, disability and pain-related psychological distress predicted specific service utilization.\n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical therapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability and pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could enhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is required to determine how specific characteristics of the clinical encounter influence future utilization.\n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring\n\n### Background\n\nMusculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related addiction [1]. Clinical practice guidelines now recommend non-pharmacological treatment as frontline management for musculoskeletal pain, which will lead\n\nto increased utilization of services such as physical\n\n© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated.\n\n* Correspondence: trevor.lentz@duke.edu 1\n\nDuke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA\n\nFull list of author information is available at the end of the article", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "| Variable | Label | Full cohort at baseline | Completed follow-up | Did not complete follow-up | p-value a |\n| --- | --- | --- | --- | --- | --- |\n| | | (n = 440) | (n = 246) | (n = 194) | |\n| Health-related information | | | | | |\n| Anatomical region | Neck | 98 (22.3%) | 48 (19.5%) | 50 (25.8%) | 0.27 |\n| | Low Back | 118 (26.8%) | 66 (26.8%) | 52 (26.8%) | |\n| | Shoulder | 107 (24.3%) | 59 (24.0%) | 48 (24.7%) | |\n| | Knee | 117 (26.6%) | 73 (29.7%) | 44 (22.7%) | |\n| Symptom onset | Gradual | 239 (54.3%) | 146 (59.3%) | 93 (47.9%) | 0.03 |\n| | Sudden | 138 (31.4%) | 65 (26.4%) | 73 (37.6%) | |\n| | Traumatic | 63 (14.3%) | 35 (14.2%) | 28 (14.4%) | |\n| Duration of symptoms urgery | Mean ± SD | 398.58 ± 1715.80 | 379.79 ± 1999.77 | 423.01 ± 1259.33 | 0.80 |\n| for condition | Median (min, max) | 90 (0–29565) | 90 (1–29565) | 90 (0–10000) | |\n| | Yes | 83 (18.9%) | 44 (17.9%) | 39 (20.1%) | 0.56 |\n| | No | 357 (81.1%) | 202 (82.1%) | 155 (79.9%) | |\n| Work-related injury (32 missing) | Yes | 63 (14.3%) | 30 (12.2%) | 33 (17.0%) | 0.36 |\n| | No | 345 (78.4%) | 198 (80.5%) | 147 (75.8%) | |\n| Chronicity | Acute | 101 (23.0%) | 65 (26.4%) | 36 (18.6%) | 0.05 |\n| | Chronic | 324 (73.6%) | 173 (70.3%) | 151 (77.8%) | |\n| Pain Intensity | Mean ± SD | 4.22 ± 1.98 | 3.94 ± 1.72 | 4.58 ± 2.21 | 0.01 |\n| | Median (min, max) | 4 (0–9.67) | 4 (0–8) | 4.5 (0–9.7) | |\n| Disability | Mean ± SD | 0 ± 1.0 | −0.06 ± .97 | 0.08 ± 1.03 | 0.16 |\n| | Median (min, max) | −0.16 (−2.41–3.14) | −0.23 (−2.21–2.94) | −0.01 (−2.41–3.14) | |\n| CCI | Mean ± SD | 0.66 ± 1.47 | 0.68 ± 1.62 | 0.63 ± 1.25 | 0.76 |\n| | Median (min, max) | 0 (0–13) | 0 (0–13) | 0 (0–8) | |\n\nTable 2 Baseline health-related information for the full cohort, and for those with complete and incomplete follow-up\n\nCCI Charlson comorbidity index a Group comparisons with independent samples t-tests for continuous variables and chi-square tests for categorical variables\n\n#### Individual predictors of healthcare utilization\n\nParsimonious model results were used to identify significant individual predictors of health care utilization. Results of the parsimonious models are listed in Table 6 and summarized below. Variance explained (pseudo-R2 ) values reported in the summaries below are specific to performance of individual parsimonious models, and are different than pseudo-R2 values of the full multivariate models listed in Table 5. Comparison of adjusted odds ratios (OR) and 95% confidence interval (CI) were used to determine the relative strength of each predictor in the parsimonious models. Odds ratios are reported from the parsimonious models as these are intuitive, clinically interpretable predictive indices. Summary findings for all utilization outcomes are presented in Table 7. In summarizing results, we focus on predictors that were identified consistently across complete case and\n\n| Table 3 Baseline OSPRO questionnaire scores for the full cohort and for those with complete and incomplete follow-up |\n| --- |\n\n| Variable | Label | Full Cohort at baseline | Completed follow-up | Did not complete follow-up | p-value a |\n| --- | --- | --- | --- | --- | --- |\n| | | (n = 440) | (n = 246) | (n = 194) | |\n| OSPRO-ROS 10-item | Mean ± SD | 2.68 ± 2.38 | 2.52 ± 2.24 | 2.89 ± 2.55 | 0.11 |\n| | Median (min, max) | 2 (0–10) | 2 (0–10) | 2.5 (0–10) | |\n| OSPRO-ROS + 13 items | Mean ± SD | 1.25 ± 1.80 | 1.14 ± 1.52 | 1.38 ± 2.09 | 0.17 |\n| | Median (min, max) | 1 (0–12) | 1 (0–7) | 1 (0–12) | |\n| OSPRO-YF 10-item | Mean ± SD | 17.43 ± 6.69 | 16.87 ± 6.46 | 18.15 ± 6.91 | 0.04 |\n| | Median (min, max) | 17 (4–47) | 16 (4–40) | 17 (4–47) | |\n| OSPRO-YF + 7 items | Mean ± SD | 14.92 ± 5.51 | 14.41 ± 4.93 | 15.57 ± 6.12 | 0.03 |\n| | Median (min, max) | 15 (3–34) | 14 (3–28) | 16 (3–34) | |\n\nCCI Charlson comorbidity index, OSPRO-ROS Review of systems screening tool, OSPRO-YF Pain-related psychological distress screening tool a Independent samples t-tests to assess group differences between those who did and did not complete follow-up", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed5.pdf" - }, - { - "text": "| Dependent variable | Utilization outcome | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | Any care | Opioids | Injection | Surgery | Diagnostic tests or imaging | Emergency room |\n| Age | | | | | | X |\n| Insurance | | | | | | X |\n| Comorbidities (CCI) | | X | | | X | |\n| Baseline disability | X | | X | X | X | X |\n| Baseline pain | | X | | | | |\n| Change in pain | X | X | | | X | X |\n| Change in disability | | | | X | | |\n| Change in 10-item OSPRO-YF | | | | X | | |\n\nTable 7 Summary of consistent individual predictors for each utilization outcome *\n\nCCI Charlson comorbidity index, OSPRO-YF Pain-related psychological distress screening tool *\n\nSignificant predictors (p < .05) for each dependent variable denoted with \"X\"\n\nservices, suggesting injection may be the most difficult service to predict with the included variable set.\n\n#### Surgery\n\nBaseline disability (OR = 3.13–3.25, p < 0.001), change in disability (OR = 3.04–3.05, p = 0.01) and change in 10-item OSPRO-YF score (OR = 1.12–1.14, p < 0.05) where consistent predictors of subsequent surgery. Notably, magnitude of prediction was comparable between change in disability and baseline disability. This was the only parsimonious model to include an OSPRO tool. In this case, an increase in pain-related psychological distress measured by the OSPRO-YF 10-item questionnaire over the first 4 weeks was associated with higher odds of surgery. The 3 predictors in this model explained just over 30% of the variance in surgery utilization.\n\n#### Diagnostic tests or imaging\n\nComorbidity index score (OR = 1.35–1.45, p < 0.05), baseline disability (OR = 2.25–2.66, p < 0.001), and baseline to 4-week change in pain intensity (OR = 3.04–3.05, p = 0.01) were significant predictors of diagnostic test or imaging utilization. Among these, baseline disability was the strongest predictor. In these models, higher comorbidity index, higher baseline disability and worsening pain were associated with higher odds of utilization. Together, these variables explained approximately 30% of the variance in utilization.\n\n#### Emergency room\n\nModels for emergency room use had the highest pseudo-R2 values of any individual service (0.48–0.50), but also had the largest number of predictors (8–9). Agreement between complete case and weighted models was moderate. The models converged on the following predictors: age (OR = 0.91–0.94, p < 0.05), insurance (OR = 8.99–13.15, p < 0.05), baseline disability (OR = 3.33–4.88, p < 0.001), and change in pain (OR = 1.59–1.77, p < 0.05). Higher utilization was associated with younger age, other insurance (e.g., self-pay, Worker's Compensation, or other commercial insurance) compared to private insurance, higher baseline disability and worsening of pain. In the weighted analysis, subjects with knee pain were less likely to utilize the emergency room than those with low back pain. However, this relationship was not significant (p = .06) in the complete case analysis. Of the significant predictors in both models, insurance status was the strongest individual predictor of subsequent emergency room use.\n\n#### Discussion\n\nThis study identified novel predictors for pain-related utilization outcomes following an episode of physical therapy for a primary complaint of musculoskeletal pain. The most robust finding from these analyses was that baseline disability and change in pain intensity over the first 4 weeks following physical therapy evaluation were consistent predictors of subsequent pain-related healthcare utilization in those participants that completed all follow up. Aside from these robust predictors, other individual predictors of utilization were highly outcome-specific. High model specificity for utilization outcomes observed in this study is consistent with a recent systematic review that found similar levels of model specificity for more traditional outcomes like pain intensity, disability and work absenteeism [14]. Across models, health-related variables were generally stronger predictors than sociodemographic factors, which is also supported by prior research [15, 16]. Additionally, there were cases when prediction models were improved for specific services (e.g. surgery, use of opioids) when considering change in pain, disability or pain-related psychological distress. A notable finding is that the OSPRO-YF had the greatest utility when used to measure change in pain-related psychological distress. Current risk prediction paradigms in musculoskeletal pain consider only baseline pain-related psychological distress. However, these results underscore the importance of", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed5.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.- A.W.—gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n#### Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n#### Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n#### Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n#### Article history:\n\nReceived 14 November 2023 Received in revised form 11 April 2024 Accepted 25 May 2024 Available online 15 August 2024\n\n# References\n\n- [1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman AL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O'Neill TG, Zhuo J, Tsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M, Dymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. 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Early changes in these variables may be associated with improved prediction of outcomes over baseline variables alone [38]. This approach modeled change in these variables as a measure of treatment response and allowed us to assess the relative value of treatment monitoring for the prediction of healthcare utilization outcomes.\n\nFor the first analysis, binary logistic regression was used to determine predictors of any healthcare utilization following physical therapy, with the dependent variable defined as reporting one or more utilization events for any of the potential healthcare services over the entire follow-up period. For analyses of specific services, utilization was dichotomized for each service. Specific service utilization over early (through 6 months) and late (6 months to 12 months) phases following physical therapy were collapsed to create a single dichotomous utilization indicator for each service over the entire study follow-up period. Any utilization of the service over that period was categorized as YES. Separate multivariate binary logistic regression models were then fitted for the dichotomous utilization indicator (i.e. YES or NO) of each healthcare service (e.g. opioid use, injection, imaging, surgery, and emergency room visits).\n\nFor all analyses, full hierarchical multivariate models were first fit to assess the unique contributions of each block. This approach allowed us to determine the relative contributions of baseline demographic and health-related variables, the newly developed OSPRO-ROS and OSPRO-YF tools, and response to treatment via time varying variables (e.g., pain intensity and region specific function). However, since our primary aim was to develop concise and accurate utilization prediction models for efficient assessment of risk, we then separately developed stepwise models using backward selection for each dependent variable to derive parsimonious prediction item sets. Parsimonious models were chosen as a more conservative approach to identifying individual predictors given the potential for overfitting full multivariate models because of high subject attrition. For stepwise models, the p-value threshold was 0.05 for entry and 0.10 for removal. Overall fit for each model was examined with Hosmer & Lemeshow test, chi-square and pseudo-R2 values (e.g. Nagelkerke) when appropriate. Comparison of adjusted odds ratios (OR) and 95% confidence interval (CI) were used to determine the relative strength of each predictor in parsimonious models. Multicollinearity was assessed using variance inflation factor (VIF) and tolerance, where VIFs < 10 and tolerances > 0.1 suggested no significant collinearity among independent variables [39].\n\n#### Planned sensitivity analyses for missing data\n\nThe electronic OPT-IN data collection forms required complete data from respondents before they were allowed to proceed to subsequent survey pages. Therefore, the occurrence of missing data for independent predictor variables was minimal (< 1% of sample). However, for subjects who were lost to follow-up, we planned two approaches to assess the potential influence of missing data on study outcomes. First, demographic and baseline health variables would be compared between those with complete follow-up at 1 year and those without follow-up at 1 year to identify any potential group differences related to completion of follow-up. Second, sensitivity analyses would be conducted by repeating each analysis using inverse probability of attrition weighting (IPAW). This propensity scoring approach accounts for attrition-related selection bias in longitudinal studies by more heavily weighting observations associated with a lower probability of study completion [40]. Thus, the resulting analysis is compensated for under-representation of subjects who are more likely to be lost to follow-up. IPAW produces smaller effect estimate biases than more conventional methods that adjust for baseline predictors of attrition [41]. Briefly, logistic regression will be performed to identify predictors of attrition using an opportunistic approach that optimizes model fit, with an area under the curve (AUC) target value of > 0.7. Demographic and baseline health variables that differ between follow-up status cohorts will be used as candidate variables for the regression model to derive weights. Then, inverse of predicted probabilities for remaining in the study will be used to weight observations, and all analyses will be repeated. Regression results using IPAW will be compared with those obtained from complete case only analyses to assess the potential influence of missing data on the findings and identify robust predictors. We will focus our interpretation on predictors that are consistent across complete case and IPAW models for each type of healthcare service as they are more robust and most likely to be reproduced in future studies.\n\n#### Power analysis\n\nFor logistic regression analyses, event-per-variable values of 10 or greater are suggested, since overfitting will weaken the probability that original findings will be", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed5.pdf" - }, - { - "text": "Table 4 Frequency of healthcare utilization reported at 6-month and 12-month follow-up (n = 246)\n\n| Label | | Utilization reported | | | | | Utilization reported | | | | | Dichotomous indicator for any healthcare |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | at 6-month follow-up | | | | | at 12 month follow-up | | | | | utilization over entire follow-up |\n| Utilization volume | 0 | 1 | 2–5 | 5–10 | > 10 | 0 | 1 | 2–5 | 5–10 | > 10 | No | Yes |\n| Opioids | 209 | 18 | 16 | 1 | 2 | 204 | 19 | 16 | 7 | 0 | 201 | 45 |\n| Injection | 212 | 17 | 14 | 2 | 1 | 217 | 17 | 12 | 0 | 0 | 206 | 40 |\n| Surgery | 240 | 4 | 2 | 0 | 0 | 231 | 13 | 2 | 0 | 0 | 227 | 19 |\n| Diagnostic tests or imaging | 183 | 40 | 22 | 1 | 0 | 188 | 26 | 28 | 4 | 0 | 172 | 74 |\n| Emergency room | 237 | 7 | 2 | 0 | 0 | 232 | 11 | 2 | 1 | 0 | 228 | 18 |\n| Any care | | | | | | | | | | | 140 | 106 |\n\nweighted analytic models for each type of healthcare service.\n\n#### Any healthcare\n\nThe final parsimonious models for any healthcare utilization differed slightly between complete case and weighted analyses (Table 6). Included in the models were chronicity of symptoms, CCI, baseline pain, baseline disability, and change in pain from baseline to 4-week follow-up. However, only baseline disability (OR = 1.48– 2.47, p < 0.05) and change in pain (OR = 1.28–1.45, p < 0.05) were significant predictors in both models, with greater baseline disability and worsening pain associated with higher odds of any utilization.\n\n#### Utilization of individual services Opioids\n\nComorbidity index score (i.e. CCI), baseline pain and change in pain were consistent predictors between the models of opioid utilization. In these models, higher pain (OR = 1.70–1.76, p < 0.001), CCI (OR = 1.54–1.60, p < 0.001) and increase in pain (OR = 1.70–1.71, p < 0.001) were associated with higher odds of opioid utilization. These models explained approximately 30% of the variation in opioid use.\n\n#### Injection\n\nA combination of race, chronicity and baseline disability explained slightly more than 20% of the variance in\n\nTable 5 Overall performance of full logistic multivariate regression models (n = 246)\n\n| Dependent variable | Any care | Opioids | Injection | Surgery | Diagnostic tests or imaging | Emergency room |\n| --- | --- | --- | --- | --- | --- | --- |\n| Complete Case | | | | | | |\n| Block 1 | .258** | .274** | .292** | .226* | .250* | .400** |\n| Demographic, Clinical and Comorbidity | | | | | | |\n| Block 2 | .267 | .294 | .293 | .234 | .253 | .404 |\n| OSPRO-YF (10 items) | | | | | | |\n| OSPRO-ROS (10 items) | | | | | | |\n| Block 3 | .275 | .296 | .315 | .259 | .271 | .457 |\n| OSPRO-YF (+ 7 items) | | | | | | |\n| OSPRO-ROS (+ 13 items) | | | | | | |\n| Block 4 | .337* | .424** | .353 | .426** | .340* | .560* |\n| 4-week change | | | | | | |\n| (Pain, Disability, OSPRO-YF) | | | | | | |\n| Inverse Probability of Attrition Weighted | | | | | | |\n| Block 1 | .306** | .294** | .313** | .236 | .304** | .430** |\n| Demographic, Clinical and Comorbidity | | | | | | |\n| Block 2 | .314 | .317 | .317 | .250 | .305 | .435 |\n| OSPRO-YF (10 items) | | | | | | |\n| OSPRO-ROS (10 items) | | | | | | |\n| Block 3 | .321 | .321 | .334 | .284 | .321 | .473 |\n| OSPRO-YF (+ 7 items) | | | | | | |\n| OSPRO-ROS (+ 13 items) | | | | | | |\n| Block 4 | .382* | .448** | .373 | .464** | .389* | .611* |\n| 4-week change | | | | | | |\n| (Pain, Disability, OSPRO-YF) | | | | | | |\n\nAll values are variance explained (pseudo-R2 ); Health care utilization (dependent) variables refer to utilization during the follow-up period, whereas independent variables refer to measurements taken before the follow-up period *\n\np < 0.05, **p < 0.01", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed5.pdf" - }, - { - "text": "#### Abbreviations\n\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of Referral and Outcome; OSPRO-ROS: Review of systems screening tool from OSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening tool from OSPRO cohort study\n\n#### Acknowledgements\n\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. Marlow for their input on study design and analysis. OPT-IN Network Participants included: University of Florida: Joel Bialosky; UF Health: Giorgio Zeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike Hodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI Physical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise Harris, Jordan Floyd, Wade Harrell; University of Southern California: Lori Michener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata Salvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando Malaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University of Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, Adam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: Ryan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia University: Angela Tate; Life's Work Physical Therapy: Sandra Stryker, Aaron Leonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, Charleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul Mintken, Virginia Arnette, Andrea Barsch.\n\n#### Funding\n\nThis project was supported by the 2013 Clinical Research Network grant from the Orthopaedic Section, American Physical Therapy Association. The funding body had no role in the design of the study or collection, analysis, and interpretation of the data or in writing the manuscript. TAL received additional support from the Foundation for Physical Therapy with Promotion of Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional support from Brooks Rehabilitation while designing this study. JMB received support from the American National Institutes of Health (NIH) Rehabilitation Research Career Development Program (K12-HD055929).\n\n#### Availability of data and materials\n\nThe data that support the findings of this study are available from the corresponding author upon reasonable request.\n\n#### Authors' contributions\n\nTAL provided input on study design and analysis plan, drafted the manuscript and approved final version of the manuscript. SZG secured funding, provided overall design, gave input on the analysis plan and approved final version of the manuscript. JMB provided input on design and analysis plan and approved final version of the manuscript.\n\n#### Ethics approval and consent to participate\n\nEthics approval for this study was granted by the University of Florida Institutional Review Board-01 (Study #: 525–2012). All participants provided written consent to participate in the study.\n\n#### Consent for publication\n\nNot applicable.\n\n#### Competing interests\n\nThe authors declare that they have no competing interests.\n\n#### Publisher's Note\n\nSpringer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n#### Author details\n\n1 Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA. 2 Department of Physical Therapy, College of Public Health & Health Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL 32610-0154, USA. 3 Brooks Rehabilitation Clinical Research Center, 3901 University Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4 Duke Clinical Research Institute, Department of Orthopaedic Surgery, Duke University, 2400 Pratt Street, Durham, NC 27705, USA.\n\nReceived: 9 November 2017 Accepted: 14 August 2018\n\n#### References\n\n- 1. Von Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et al. United states national pain strategy for population research: concepts, definitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068–80.\n- 2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic: population health implications and potential solutions. Report from the national stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1–10.\n- 3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for chronic pain--United States, 2016. JAMA. 2016;315:1624–45.\n- 4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual physical therapy in the treatment of cervical radiculopathy: a systematic review. J Man Manip Ther. 2011;19:135–42.\n- 5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical therapy only and of usual care for various health conditions: systematic review. Phys Ther. 2016;96:774–86.\n- 6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al. Physical therapy treatment effectiveness for osteoarthritis of the knee: a randomized comparison of supervised clinical exercise and manual therapy procedures versus a home exercise program. Phys Ther. 2005;85:1301–17.\n- 7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC. Effectiveness of manual physical therapy and exercise in osteoarthritis of the knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173–81.\n- 8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the management of chronic spine disorders: a propensity score approach. Phys Ther. 2006;86:381–94.\n- 9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al. Effectiveness of physical therapy in treating atraumatic full-thickness rotator cuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013; 22:1371–9.\n- 10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients with low back pain to physical therapy: impact on future health care utilization and costs. Spine. 2012;37:2114–21.\n- 11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions after a new consultation for low back pain: implications of the usage of physical therapy for subsequent health care costs and utilization. Arch Phys Med Rehabil. 2013;94:808–16.\n- 12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care back pain screening tool: identifying patient subgroups for initial treatment. Arthritis Rheum. 2008;59:632–41.\n- 13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG, et al. Estimating the risk of chronic pain: development and validation of a prognostic model (PICKUP) for patients with acute low back pain. PLoS Med. 2016;13:e1002019.\n- 14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al. Can screening instruments accurately determine poor outcome risk in adults with recent onset low back pain? A systematic review and metaanalysis. BMC Med. 2017;15:13.\n- 15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM. Chronic pain and health services utilization: is there overuse of diagnostic tests and inequalities in nonpharmacologic treatment methods utilization? Med Care. 2013;51:859–69.\n- 16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G. The societal impact of pain in the European Union: health-related quality of life and healthcare resource utilization. J Med Econ. 2010;13:571–81.\n- 17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive value of pain intensity on costs and resources utilization in patients with peripheral neuropathic pain. Clin J Pain. 2015;31:273–9.\n- 18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and response to treatment. Phys Ther. 2011;91:712–21.\n- 19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for Prediction of Referral and Outcome (OSPRO) in patients with musculoskeletal pain conditions: a longitudinal validation cohort from the USA. BMJ Open. 2017;7:e015188.\n- 20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr. Optimal Screening for Prediction of Referral and Outcome (OSPRO) for Musculoskeletal Pain Conditions: Results From the Validation Cohort. J Orthop Sports Phys Ther. 2018;48(6):460–75.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What are the health consequences of musculoskeletal pain ?", - "target_page": 1, - "target_passage": "Musculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related ad diction [1].", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "224 Pega et al., 2022: Global, regional and national burden of disease attributable to 19 selected occupational risk factors for 183 countries, 2000–2016: A systematic analysis from the WHO/ILO Joint Estimates of the Workrelated Burden of Disease and Injury, here\n\n225 Kauppinen et al., 1998: Occupational exposure to carcinogens in the European Union in 1990-1993: international information system on occupational exposure to carcinogens, here CAREX Canada\n\nFevotte et al., 2011: Matgéné: A Program to Develop Job-Exposure Matrices in the General Population in France Mannetje et al., 2011: Developing a general population job-exposure matrix in the absence of sufficient exposure monitoring data\n\n226 YLDs = years lived with disability, together with YLLs = years of life lost, it composes the DALY (DALY = YLL + YLD).\n\n227 GBD 2019 Mental Disorders Collaborators, 2022: Global, regional, and national burden of 12 mental disorders in 204 countries and territories, 1990–2019: a systematic analysis from the Global Burden of Disease Study 2019, here\n\n228 WHO: Mental disorders, Key facts and\n\nIHME: Global Health Data Exchange (GHDx), here\n\n229 OECD, 2015: Sick on the Job?: Myths and Realities about Mental Health and Work\n\n230 OECD/European Union, 2018: Health at a Glance: Europe 2018: State of Health in the EU Cycle\n\n231 Andlin-Sobocki et al., 2005: Cost of disorders of the brain in Europe\n\n232 Niedhammer et al.; 2021: Update of the fractions of cardiovascular diseases and mental disorders attributable to psychosocial work factors in Europe, here\n\n233 Norder et al., 2017: Beyond return to work from sickness absence due to mental disorders: 5-year longitudinal study of employment status among production workers, here\n\n234 Leka & Jain, 2017: EU Compass for Action on Mental Health and Well-Being - Mental Health in the Workplace in Europe\n\n235 Musculoskeletal disorders refer to backache and/or muscular pains in shoulders, neck, upper limbs and/or lower limbs (hips, legs, knees, feet, etc.). In the medical systematic it is the IC 10 group of diseases: Diseases of the musculoskeletal system and connective tissue.\n\n236 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU 237 Graveling, 2018: Ergonomics and Musculoskeletal Disorders (MSDs) in the Workplace. A Forensic and Epidemiological Analysis\n\n238 Da Costa & Viera, 2010: Risk factors for work-related musculoskeletal disorders: a systematic review of recent longitudinal studies, here\n\n239 EU-OSHA, 2020: Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a literature review (p. 15).\n\n240 EU-OSHA, 2019: Summary - Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU (p. 8).\n\n241 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU 242 Ibid., p. 174ff.\n\n243 Eurofound, 2007: Fourth European Working Conditions Survey (2005) (p. 77).\n\n244 United Nations Economic Commission for Europe (UNECE), 2015: Handbook on measuring quality of employment: A statistical framework, here\n\n245 Quinlan & Bohle, 2013: Re-invigorating industrial relations as a field of study: Changes at work, substantive working conditions and the case of OHS, here (p. 8).\n\n246 The percentages of responses to this question in the European Working Conditions Survey (EWCS, 2015) are displayed. Each bar shows the percentages of the four possible responses for each EU Member State, the average for the EU Member States, and the responses for Switzerland and Norway. Responses are displayed for the question below: How satisfied are you with working conditions in your main paid job? Answer options were: Not at all satisfied; Not very satisfied; Satisfied; Very satisfied. See here\n\n247 Flash Eurobarometer 398, 2014, p 2, https://www.cesi.org/wp-content/uploads/2014/04/fl_398_sum_en.pdf . The displayed Flash Eurobarometer data refer to the 'working population', with two subgroups A (employees and manual workers), and B (self-employed). In the Flash Eurobarometer sample these two groups are separated from three further groups forming the 'Not working' population These groups are: subgroups: students, retired, looking for a job.\n\n248 Ibid., p. 58.\n\n249 Eurofound, 2007: Fourth European Working Conditions Survey (2005) (pp. 77-81).", - "page_start": 149, - "page_end": 149, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## R E S EAR CH A R TIC L E Open Access\n\n# Prediction of healthcare utilization following an episode of physical therapy for musculoskeletal pain\n\nTrevor A. Lentz1* , Jason M. Beneciuk2,3 and Steven Z. George4\n\n## Abstract\n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively identify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The purpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode of physical therapy for musculoskeletal pain.\n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) longitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder pain in physical therapy (n = 440). Demographics, health-related information, review of systems, comorbidity and pain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in pain intensity, disability, and pain-related psychological distress were measured as treatment response variables. At 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests or imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models were developed for any subsequent care and service-specific utilization.\n\nResults: Subsequent pain-related healthcare utilization was reported by 43% (n = 106) of the study sample that completed the 12-month follow-up (n = 246). Baseline disability and 4-week change in pain intensity were important global predictors of subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain intensity, disability and pain-related psychological distress predicted specific service utilization.\n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical therapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability and pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could enhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is required to determine how specific characteristics of the clinical encounter influence future utilization.\n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring\n\n### Background\n\nMusculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related addiction [1]. Clinical practice guidelines now recommend non-pharmacological treatment as frontline management for musculoskeletal pain, which will lead\n\nto increased utilization of services such as physical\n\n© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated.\n\n* Correspondence: trevor.lentz@duke.edu 1\n\nDuke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA\n\nFull list of author information is available at the end of the article", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "In a similar way, **the levels of ergonomic risks** are related with the sectoral structure of a country, determining the type of occupations and work tasks. EU-OSHA provided a detailed analysis of the prevalence of musculoskeletal disorders (MSDs) and the related risk factors in several studies on musculoskeletal diseases, for example, 'Work-related musculoskeletal disorders: why are they still so prevalent?'58\n\nAn example of the **interrelation between sectors and risks is the connection** between the sector aggregate 'Trade, transport, food/accommodation and recreation activities' and three major indicators of ergonomic burden, that is, 'Painful, tiring positions', 'Repetitive hand or arm movements', and 'Carrying or moving heavy loads'.\n\nSeven countries have a share of employees in this sector of more than 30% (Cyprus, Greece, Spain, Malta, Bulgaria, Croatia and Latvia), and many of them are present in two or three lists of countries with the highest number of responses regarding the indicators.", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "clients' places. Also **ergonomic risks** — repetitive hand-arm movements, tiring and painful positions, lifting and carrying, and prolonged sitting — can pose major health risks, and the statistics show no significant decrease.\n\nThere is a shift of **workforce to administrative, communicative, and emotionally demanding and client-oriented sectors**, like the sectors 'Education, human health and social work activities' and 'Trade, transport, food/accommodation and recreation activities' (more human–human interaction, less human– machine interaction). Consequently, this development caused an overall **shift of risks to psychosocial and emotional challenges** and — mostly but by far not always — less physical activity. Some health risks worsen in such types of work, like work with difficult clients or long working hours. Many approaches and pilot projects have been developed to mitigate these workloads, but the implementation seems to be limited to a minority of workplaces with high awareness of work-related health issues. Also, since 2005, statistics and surveys find a stagnation (practically no increase and no decrease) concerning the development of **working time**, **time pressure and high workload** for workers.\n\nWhen looking at the **overall relationship between work and some major diseases** in the adult population (cardiovascular diseases, cancer, musculoskeletal disorders, pulmonary diseases, hearing loss), there is a clear connection to socioeconomic status that is a major cause of low life expectancy and high morbidity. In public health morbidity and mortality studies, a more precise analysis of impact of working conditions on health, as a very important factor of socioeconomic status, is very rare. This would require more detailed knowledge and analysis of the health impacts of occupations and work tasks and of the preventive measures at work, as well as an improvement in the detection capacities of preventive and monitoring health systems. Identification of the approximate **attributable fraction of work to diseases** is still the subject of intense scientific debate, with clearer results for some relations and less clear results for others.\n\nThe **level of implementation and enforcement** of compliance with legislation seems to stagnate. The capacities of the OSH infrastructure at national levels show a mixed picture in EU Member States. Across the EU, between 2010 and 2020, the labour inspectorates performed on average **two million labour inspections per year**, in approximately 22 million businesses. To enhance the level of implementation in terms of coverage and quality, many labour inspections tried to enhance the effectiveness of common drop-in company inspections by **smart enforcement and supervision concepts**.\n\nThere is no measurable progress in the types of **work with eroded employer–worker relations** (subcontracts, involuntary self-employed). The reliability of statistical monitoring fades where the employer–worker relationship is less clear (regarding aspects such as working conditions, work accidents and work-related diseases, and of compliance with legislation).\n\nMany enterprises and particularly MSEs and the self-employed very often **cannot fully comply with more complex risk prevention tasks** (e.g. psychosocial, chemical, biological, optical, electromagnetic risks) due to lack of resources, expertise and awareness (ESENER data). In general, enforcement authorities can only supervise a small percentage of enterprises, particularly not a substantial portion of MSEs, of self-employed or of non-standard types of work; some Member States included in their strategic approaches the objective to reach these enterprises/self-employed. The reason for the continued levels of intensification of work from 2005 onwards might be that the related tasks were contracted out or put on the shoulders of non-standard workers, for example, self-employed, temporary and seasonal workers.\n\nSome **EU OSH legislation** may be adapted and modernised to cope with the changes in technologies, employment conditions, longer working life, and a growing share of mobile and remote work. Many of these changes in the world of work have caused higher insecurity, less clear employer–worker relations, and a higher burden of psychosocial and ergonomic risks.\n\n#### **Which are the areas of concern?**\n\n**Incomplete compliance with OSH regulation is more noticeable in** certain sectors and types of work. Most of these types of work — mobile and home-based work, domestic work, care work and long-term domestic care work, seasonal work, platform work, non-voluntary self-employed — are growing in terms of workforce. But many of these work and employment formats are until now not covered in the same", - "page_start": 17, - "page_end": 17, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### **Figure 27: Prevalence of musculoskeletal diseases – EWCS 2015**\n\nAbsence from work due to MSDs accounts for a high proportion of working days lost in EU Member States. In 2015, more than half (53%) of workers with MSDs (including those with other health problems) reported being absent from work during the past year, which is considerably higher than the proportion of workers without health problems (32%). Workers with MSDs are not only more likely to be absent from work, but (given absence) on average are also absent for a longer period. For example, 26% of workers with chronic MSDs and other health problems report being absent for more than eight days during the past year, which is considerably higher than the 7% for workers with no health problems.241\n\nOverall estimates of the burden of MSDs for the EU27 seem to be difficult, due to different recognition and treatment schemes.242 The estimates of WHO/ILO and ICOH result in 850,000 and 950,000 DALYs for the EU27, based on a fraction of 26.38% attributable to work; in total, MSDs are the cause of 15-20% of all DALYs.\n\n> **OSH Barometer – Accidents, diseases and wellbeing – Diseases:** https://visualisation.osha.europa.eu/osh-barometer/osh-outcomes/work-related-diseases/whoilo/prevalence-of-diseases/all-diseases\n\n**Eurostat – Data and databases on health:** https://ec.europa.eu/eurostat/web/health/data/database\n\n**WHO – Occupational Burden of Disease Application:** https://who-ilo-joint-estimates.shinyapps.io/OccupationalBurdenOfDisease/", - "page_start": 87, - "page_end": 87, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "routine pain-related psychological distress monitoring throughout the early phases of rehabilitation especially if the goal is to identify risk for subsequent pain-related healthcare utilization. The implications of these collective findings are that treatment pathways may provide greater value by 1) addressing modifiable health-related variables like pain, disability and pain-related psychological distress, 2) routine monitoring of these health-related variables and 3) offering treatment alternatives that safely escalate care if needed while minimizing risk of harm and unhelpful utilization.\n\nOpioids and diagnostic tests and imaging were the two most common subsequent healthcare services utilized following physical therapy. Of the individuals that completed follow up and had any subsequent healthcare utilization, approximately 42% reported opioid use and 70% reported use of diagnostic tests and imaging. An important health-related predictor of these services was level of comorbidity burden. For those with high comorbidity burden and inadequate treatment response to physical therapy, use of additional diagnostic tests and imaging or low-dose opioids may be appropriate in some cases. But given the growing public health concern over opioid use and the desire to avoid unnecessary treatment driven by imaging, our results suggest the importance of considering disease burden when developing treatment pathways and healthcare policy to mitigate risk for avoidable use of these services. Interestingly, neither versions of the OSPRO-ROS predicted utilization outcomes even though it has been linked to mental health, comorbidity, and persistent pain state in other analyses [20, 21]. Systemic symptom burden is a measure of patient complexity that is related to but distinct from comorbidity burden [36, 47]. In these analyses, the chronic condition measure (i.e. the CCI) was a better predictor of utilization than symptom burden (i.e. OSPRO-ROS). The reasons for this finding are unclear but may be related to providers and patients being more likely to pursue follow-up medical care for musculoskeletal pain when known co-existing conditions are present as opposed to reporting of symptoms alone. The distinction between symptom and disease burden in defining musculoskeletal patient complexity, and its influence on clinical decision-making and outcomes, should be the subject of future research particularly related to aging populations [48].\n\nUtilization outcomes benchmarks have not been established to determine how the percentage of subsequent healthcare use in this study compares to outcomes using other health services. Prior studies suggest physical therapy is associated with reduced incidence of additional healthcare use compared to not using physical therapy in patients with acute low back pain [10, 49]. Some additional healthcare use is expected following physical therapy, especially among individuals that are on long-term pain management pathways due to chronic or persistent symptoms. Yet with over 40% reporting subsequent pain-related healthcare among those completing follow-up, it is apparent that opportunities exist to improve pathway selection and/or the effectiveness of physical therapy for individuals with musculoskeletal pain. This finding is particularly notable given recent efforts to define physical therapy as an effective first line, non-pharmacological treatment option against more invasive or higher risk services, such as surgery or opioid use, respectively. Predictive variables identified in this analysis can be used to develop risk models that better inform pathway selection for those seeking physical therapy for musculoskeletal pain. The precise application of these risk models, and how they inform policy and practice should be the target of future study. However, physical therapy re-design might incorporate enhanced treatment monitoring to assess ongoing risk for downstream utilization, as well as physical therapist-led interventions to more thoroughly address important modifiable factors such as pain intensity, disability and pain-related psychological distress [38]. Improved pathway selection might entail the consideration of referral to or co-treatment with other providers to more adequately address non-modifiable characteristics. Collectively, these approaches could improve the value of physical therapy by minimizing risk for high downstream healthcare utilization and potentially unwarranted escalation of care.\n\nThe primary strength of the study is longitudinal follow-up at multiple time points following an episode of physical therapy for a variety of musculoskeletal pain conditions. Anatomical location of pain was not a significant predictor of healthcare use in all but one model, suggesting results are widely applicable across a spectrum of musculoskeletal pain conditions. Another strength of this cohort study is the assessment of various healthcare utilization outcomes of interest for establishing health policy. When considered alongside more traditional pain- or disability-related outcomes prediction models, these findings will improve the ability of healthcare systems and providers to make decisions in value-based purchasing environments. The consideration of multiple screening tools (i.e. yellow flags and review of systems) and treatment monitoring variables is also a strength of this study as screening and systematic treatment monitoring are not routine in clinical practice. A final strength is inclusion of multiple sociodemographic, health-related and psychosocial factors as potential predictors. Healthcare outcomes and utilization exhibit emergent properties that require the consideration of multiple, competing factors to fully explain [50].", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed5.pdf" - }, - { - "text": "identifying risk for additional utilization has emerged due to the growth of cost-sharing and capitated payment models, particularly in the United States (US). As a result, many US health care services organizations have begun to prioritize early identification of individuals at risk for downstream healthcare use at the onset of treatment [10, 11]. Early risk assessment allows systems to deliver greater value by 1) focusing limited health care resources towards patients who are most in need, and 2) identifying those who may require coordination of multiple providers and services to optimize outcomes.\n\nProspective identification of risk for high subsequent healthcare utilization is a different approach to outcomes prediction for musculoskeletal pain [12, 13] and one that has not been evaluated in physical therapy settings in the US. Most existing outcomes prediction models focus on pain and disability endpoints [12–14]. They also concentrate on condition-specific and psychological predictors, with less attention to factors that could influence healthcare utilization more directly [15–17]. These factors include insurance, comorbidities, symptoms unrelated to the pain condition, and treatment response. As a result, predictors of pain-related healthcare utilization beyond physical therapy are unknown. A better understanding of these predictors will have significant implications for future healthcare pathway development. For instance, an influence of modifiable factors like pain-related psychological distress might imply the need to build clinical pathways that address those factors directly through physical therapist provided intervention. Additionally, understanding the relative predictive capabilities of baseline versus change estimates for modifiable factors would clarify whether prediction is improved by routinely assessing outcomes during the course of treatment (i.e. treatment monitoring) [18].\n\nThis study was undertaken in a nationwide, US cohort of patients receiving outpatient physical therapy for a primary complaint of knee, shoulder, back or neck pain. The primary aim of the analysis was to predict incidence of additional pain-related healthcare utilization in the year following the episode of physical therapy for musculoskeletal pain. We considered factors not commonly assessed in outcomes prediction for musculoskeletal pain, like insurance, comorbidities, and treatment response, as well as those more often associated with pain-related outcomes (e.g. psychological distress). This project will lead to the development of potentially novel outcome prediction models for this population in a common, non-pharmacological US healthcare setting. The results of this study will be particularly important in value-based payment settings where enhanced clinical decision-making drives treatment effectiveness and system efficiency.\n\n#### Methods\n\n#### Dataset and patient population\n\nThis study used data from the Orthopedic Physical Therapy – Investigative Network's (OPT-IN) Optimal Screening for Prediction of Referral and Outcome (OSPRO) validation cohort study, a longitudinal prospective study of individuals with knee, shoulder, back or neck pain seeking Physical Therapy in the US. A convenience sample was recruited from December 2014 and December 2015 by participating OPT-IN clinics. The OPT-IN clinics that participated in data collection represented multiple geographic regions in the US including the Mideast, Southeast, Great Lakes, Rocky Mountain States and Far West, with an attempt to balance recruitment between urban and rural settings over the entire OPT-IN network. Physical therapists practicing in these clinics identified eligible participants at initial evaluation and directed them to a secure study website for the informed consent process and baseline self-report assessment. Eligibility criteria have been thoroughly reported elsewhere [19] and were intentionally broad to develop a cohort that was generalizable to those seeking physical therapy for common musculoskeletal conditions in the US. Participants completed follow-up self-reported assessments on the study website at 4 weeks, 6 months and 12 months. Participants were notified of a pending assessment by an email that directed them back to the study website to complete their follow-up assessment. For additional details of the dataset and cohort, readers are directed to the published cohort profile [19].\n\nThe primary aim of the OSPRO cohort study was to develop and validate review of systems (i.e. evidence of systemic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in outpatient orthopedic physical therapy settings. These screening tools, once validated and refined for clinical decision making, may improve the value of care delivery by accurately identifying individuals who 1) are appropriate for referral to other providers for management of non-musculoskeletal symptoms, and/or 2) would benefit from enhanced, psychologically-informed physical therapy. Early identification of individuals most appropriate for these modified pathways of care has the potential to reduce wasteful downstream health care utilization, limit the risk of unwarranted and costly care escalation, and improve clinical outcomes. Results of the primary analyses examining the predictive ability of the OSPRO tools for pain, disability, health status, and comorbidity outcomes have been previously published [20]. Pre-planned secondary analyses included prediction of persistent pain state [21] and this current analysis predicting future healthcare utilization. All subjects consented to participation in the study and ethics approval was granted by the University of Florida Institutional Review Board.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed5.pdf" - }, - { - "text": "satisfaction, for example, Austria, Cyprus, Germany, Greece, Ireland, Hungary, the Netherlands, Portugal and Slovakia. The one negative item might also be work-related health problems, for example, for Sweden and Finland.\n\nMost countries show more extreme contradictions, that is, being in some aspects better and in others worse than average, like Estonia, Lithuania, Poland, Bulgaria, Portugal, Slovenia and Spain. Many of these countries have very low figures for work-related health problems. Contradictory but mostly negative responses (two or three fields with values under average) we find for Austria, Belgium, Croatia, France, Latvia, Lithuania, Malta, Romania, Poland, Spain and Slovenia.\n\n### **4.4 Conclusions**\n\n**Work accident data** — fatal and non-fatal — show an impressive decline in the past 20 years, even if one takes into account the significant level of underreporting. Preventive technical and organisational safety measures and sectoral shifts were the crucial factors for this improvement. The relevance of **nonfatal accidents with severe health consequences** — permanent disability or more than three months' time-off period (more than 230,000) — should be recognised and further investigated.\n\n**Public health data** show a significant increase in **life expectancy** and **substantial shifts in morbidity** during the past three decades at EU level, also documenting major differences between EU Member States in mortality and morbidity. **Socioeconomic inequality** is an evident reason for higher mortality and morbidity. There is less evidence concerning the correlation between working conditions — as a major element of the socioeconomic status — and mortality and morbidity at EU level.\n\nThe clearest evidence on the **relationship between working conditions and diseases** exists for recognised occupational diseases, and for these, the trend is also strongly downwards. In contrast, the estimates of the development of **work-related diseases** — based on fractions of diseases attributable to work occupation — show a persistently high burden. The current estimates of ILO/WHO and of ICOH range between 115,000 and 180,000 deaths and between 4.5 million and 6.9 million DALYs; advanced research and the incorporation of more disease groups — mental health, diseases caused by biological agents — will significantly increase these figures. Literature, studies and surveys like the EWCS, LFS and the Flash Eurobarometer clearly show the strong relations between health status and occupation. Eurostat works on improvements concerning the morbidity statistics (task force, pilot statistics on occupational diseases). EU-wide morbidity statistics from national administrative sources might be available in the future; currently self-reported health data are the major source for EU-wide harmonised quantitative data.\n\n**Wellbeing and satisfaction at work** show similar patterns as health and work accidents and workrelated health issues. Sectors with high physical demands and high customer and client orientation and occupations with a lower skill level report lower wellbeing and satisfaction levels; these groups report a good health status — mostly being younger — but fewer expectations to be able to work in this occupation until the age of 60. Professions with strong customer and client orientation have lower-thanaverage wellbeing and satisfaction rates.\n\n**Workers in manual occupations** 265 have higher accident rates, lower life expectancy and less expectancy to do the job until age 60. **Administrative workers (clerical, managerial)** have a better status in the above-mentioned aspects but report a worse health situation. For many items the eastern EU Member States — often all of them — report the least positive data. The **healthy worker effect and cultural differences** — to express not being healthy — probably strongly influence the self-assessment.\n\nConcerning the levels of **self-reported 'Health at risk'**, the comparison between 2005 and 2015 suggests that the situation has slightly improved for all EU Member States; sector differences remain significant, but the East-West divide has become much smaller. Still, in some respect eastern and some southern European countries show worse data compared to central/western and northern European countries.", - "page_start": 98, - "page_end": 98, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### Healthcare utilization predictors\n\nWe collected potential predictors by self-reported questionnaires at initial evaluation using an online study website. Participants were directed back to the study website 4 weeks following initial evaluation to again complete questions on pain intensity, disability, and pain-related psychological distress. Change in pain intensity, disability, and pain-related psychological distress from baseline to 4 weeks were modeled as treatment response variables and included as potential predictors.\n\n#### Sociodemographic and health-related information\n\nParticipants completed a standard intake questionnaire form previously used in our clinical studies that assessed age, sex, race, and insurance provider type. This questionnaire also assessed health-related variables included anatomical region of primary pain complaint (low back, neck, shoulder, or knee) and whether the patient had undergone surgery for their primary pain complaints (yes or no). Due to small cell sizes for certain categories, race was dichotomized as white or non-white. For insurance type, participants were asked to choose one of the following options: private, public (Medicare and/or Medicaid), uninsured/self-pay, worker's compensation, and other/commercial insurance. Among the study sample, we observed few with no insurance (n = 7) or worker's compensation (n = 14). The study also included relatively few with 'other/commercial insurance' (n = 45). Within this group, informal assessment of these various plans suggested high heterogeneity of plan characteristics and coverage. Due to the small number of subjects in these individual insurance strata and to improve interpretability of results, we collapsed those reporting no insurance, worker's compensation and other/commercial insurance into a single category (i.e., 'Other'). Therefore, insurance type was categorized as private, public, or other (no insurance, worker's compensation, or other/commercial insurance) for purposes of analysis.\n\n#### Pain-related clinical variables\n\nPain status was determined using established definitions that account for the duration of pain and activity limitations [22, 23] using the following two questions: 1) \"How long have you been experiencing your current painful symptoms?\" and 2) \"Have you experienced ANY pain and activity limitations every day for the past 3 months?\" Responses to question 1 of \"greater than 90 days\" or responses to question 2 of \"Yes\" were used to classify patients as having persistent pain at initial evaluation.\n\n#### Pain intensity\n\nPain intensity was assessed by the numerical pain rating scale (NPRS) ranging from \"0\" (no pain) to \"10\" (worst pain imaginable) [24–26]. Participants rated their current pain intensity, as well as their best (lowest) and worst (highest) pain intensity over the past 24 h. Current, best and worst pain ratings were averaged for purposes of analysis.\n\n#### Region-specific disability\n\nSelf-reported region-specific disability was assessed with the Neck Disability Index [27, 28], Oswestry Disability Questionnaire [29, 30], Quick Disability of Arm Shoulder and Hand [31] or International Knee Documentation Committee Subjective Knee Form [32] for cervical, low back, shoulder and knee pain, respectively. Region-specific disability measures were z-transformed for purposes of analysis, consistent with our prior work involving multiple anatomical regions [33].\n\n#### Comorbidities\n\n#### Charlson comorbidity index (CCI)\n\nThe Charlson Comorbidity Index was used to measure the presence of chronic comorbid medical conditions [34]. It lists 19 medical conditions that participants are asked to indicate whether they \"have ever been diagnosed with by a physician\". Conditions are weighted and added for an overall measure of comorbidity burden. The CCI has demonstrated good test-retest reliability (0.91) and positive but weak to modest correlations with medication use, hospitalizations, length of stay, total charges, and pharmacy and laboratory charges for older adults in general medical care and surgical care settings [35].\n\n#### Assessment tools\n\n#### OSPRO Review of Systems tool (OSPRO-ROS)\n\nThe OSPRO-ROS is a review-of-systems screening tool for use in outpatient orthopedic physical therapy settings [36]. The OSPRO-ROS has demonstrated good concurrent validity with depression and a comprehensive 97-item battery of non-musculoskeletal symptoms (i.e., red flags). [36] Moderate to strong predictive capabilities of the OSPRO-ROS have been reported for persistence of pain, quality of life, and change in comorbidity 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The OSPRO-ROS includes standard symptom descriptors to aid with identification of systemic or non-musculoskeletal origins of musculoskeletal pain. It includes questions related to symptoms of the cardiovascular, gastrointestinal, endocrine, nervous, integumentary, pulmonary, and musculoskeletal systems. The full-length 23-item version of the OSPRO-ROS is capable of identifying 100% of positive red-flag responders (i.e. indicating \"yes\" to at least one systemic symptom on a questionnaire) in outpatient orthopedic physical therapy settings. [36] A shorter, 10-item version is also available that has been", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed5.pdf" - }, - { - "text": "**Figure 37: Share of 10 main economic activities in EU total employment 1996 and 2019 (%), EU28 – Eurostat266**\n\nThese changes in the size of the workforce in aggregated sectors contributed to the development of health and safety that we observed in the past 30 years, and the decrease in **accidents and traditionally recognised occupational diseases**.\n\nThese sectoral changes **also triggered a crucial extension of the focus of OSH**, adding to accidents and specific occupational diseases the work-related diseases, broadly extending the scope of occupational diseases. The relation between work-related risks and major disease groups came into focus. Most of these diseases groups are not covered by the spectrum of conventional occupational diseases, for example, most musculoskeletal and digestive diseases, cardiovascular and mental diseases. Work is a crucial element for health in life, and to neglect its impact would generate a less than complete picture of health risks.\n\nThese trends led to structural changes and adaptations in practices of OSH, **topics like work organisation and psychosocial risks** gained a much higher importance in the assessment of working conditions.267\n\nIn a wider context, the shift to service work also changed the **work performance measuring methods**. Performance measuring cannot be based anymore on simple output rates (measured in pieces of a product, or in physical quantities like cubic or square metres). **The output measurement methods shifted to the achievement of objectives, milestones, deadlines, measurable service outputs, client satisfaction** and other typical service-related performance indicators.\n\nThe change towards service sectors also goes along with a fast, large-scale shift in the provision of education and care **from families to professionals**. This means a growth of workforce in sectors with human–human interaction and the associated **emotional challenges**.268 This is not the case only in education and care; in general there is a higher psychosocial burden in those occupations where work with **human beings as 'clients'** takes place, increasing the risks of emotional exhaustion and of difficult, inattentive or even aggressive clients.\n\nHere it has to be mentioned that also **work in service sectors has its specific 'classic' safety and accident risks**, particularly in traffic and transport, maintenance and repair but also in sectors like health and care (lifting, infections, needles, etc.). And this is true also the other way around — **work in agriculture, construction or industry is definitely not free from psychosocial risk factors** and its impact on mental health, also this work relies on human–human interaction.", - "page_start": 101, - "page_end": 101, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "What is Creative Commons ?", - "target_page": 2, - "target_passage": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n# **About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n#### **Chief Executive Officer**\n\nAnna Tumadóttir\n\n#### **General Counsel**\n\nKat Walsh\n\n# **Board of Directors**\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann Lawrence Lessig **Emeritus* Angela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Except where otherwise noted, \"Annual Report 2023\" by Creative Commons is licensed under CC BY 4.0.**", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from \"Twenty Years of Creative Commons (in Sixty Seconds)\" by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n**Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "# **A Note from Leadership**\n\nCC staff photos are licensed under CC BY 4.0.\n\n2023 was a busy year at Creative Commons. Our **Open Culture** program and **Open Climate Campaign** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **Open Infrastructure Circle** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **the critical work that awaits us in 2024**.\n\n**Anna Tumadóttir, CEO**", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A \"books data commons\" needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use \"commons\" here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach.5\n\nIn this way, we do not use \"commons\" in the narrow sense of permissively licensed. What's more, this 4 resource could also be governed as more of a data \"trust,\" and, indeed, we discuss extensively the work of HathiTrust as a relevant project in this domain. However, our use of the word \"commons\" is not meant to preclude this or other arrangements.\n\nThere are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5 e.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy of further analysis.", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *6. Cross-cutting design questions*\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n### *Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative \"opt-in\" consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of \"opt-out\" could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about *who* can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many\n\nIn fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38 EU's legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data mining for commercial uses and/or are users outside of the covered set of research and heritage institutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI developers.", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "When was the first CC licence created?", - "target_page": 4, - "target_passage": "The first CC License was created in 2002.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Training in how to use CC Licenses is key to their adoption.**\n\nWe offer a ten-week **CC Certificate** program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and **available in 10 languages**.\n\nAs of 2023, we've certified:\n\n### **In 2023, we greatly expanded our CC Licenses training and education offerings:**\n\n#### **19 Workshops & Trainings**\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n#### **2 Week-Long CC Certificate Bootcamps**\n\nfor California Community Colleges.\n\n#### **27 Webinars**\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n#### **12 CC Legal Open Office Hours**\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "### **3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are supported by the Licence Assistant. When available a link to the assistant is provided on left side of a dataset page.\n\nBy clicking on the **licence name** (here: cc-by), the Licence Assistant tool is opened in a new window, displaying relevant information for this particular licence.\n\n| IROPFAN | | | Newsletter FAQ Search Contact Cookies Legal notice | English (en) | ◀ |\n| --- | --- | --- | --- | --- | --- |\n| | | European Data Portal > Datasets > Daten über Anbieter von Hochs ... | | Search site content ... | ರ |\n| 1 European Data Po | | What we do ▼ Data ▼ Pro | | | |\n| WI G | | Data · Dataset Categories Similar Datasets | Using Data - | Resources . | |\n| | | Higher Education Provider Daing Assistant | SPARQL Manager | Statistics | |\n| | | data.gov.uk | | | |\n| Licensi | | | | | |\n| | | We publish the full HESA Finance return as open data | | | |\n| | | providers for the reference of funding and requlatory | | | |\n| CC-BY | | | | | |\n| Open licer | | Distributions (21) | | | |\n| You are f | | | | Comparable licences | |\n| Deriva | | Tahle 12 Analysis of staff costs 2016/17 to 2017/18 | | · CC-BY-NC-ND4.0 | |\n| CSV Create | | | | · CC-BY-NC-SA4.0 | |\n| Distrib | | Licence: cc-by (i | | · CC-BY-NC4.0 | |\n| | | | | · CC-BY-ND4.0 | |\n| Redistr | | | | · CC-BY-SA3.0NL | |\n| Reproc CSV | | Table 1 - Consolidated statement of comprehensive | | | |\n| \"Repro | | expenditure year ended 31 July 2015/16 to 2017/18 | without limitation by sound or | · CC-BY-SA4.0 | |\n| | | | | · CC-BY3.0NL | |\n| visual r | Licence: cc-by (i | | Work, including storage of a | | |\n| protect | | | edium. | · CC-BY4.0 | |\n| | | | | · CCBY3.0Austria | |\n| | | | | · DL-DE-BY-NC1.0 | |\n| You are obligated to: | | | | · DL-DE-BY1.0 | |\n| | | | | · DL-DE-BY2.0 | |\n| Attribution | | | | · EUPL-1.1 | |\n| Give proper credit to the copyright holder and/or author | | | | · FR-LO | |\n| Notice | | | | · GFDL-1.1 | |\n| Keep copyright and licence notices intact | | | | · GFDL-1.2 | |\n| State Changes | | | | · GFDL-1.3 | |\n| | | Indicate which changes have been made to the original licenced work in a manner that permits attribution. | | · IODLv1.0 | |\n| | | | | · IODLv2.0 | |\n| | | | | · NLOD | |\n| | | | | · ODC-BY | |\n| | | | | · ODC-ODbL | |\n| | | | | · OGL-NC | |\n| | | | | · OGL-ROU-1.0 | |\n| | | | | · OGL1.0 | |\n| | | | | · OGL2.0 | |\n| | | | | · OGL3.0 | |\n| | | | | · PSEUL | |", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "# **A Note from Leadership**\n\nCC staff photos are licensed under CC BY 4.0.\n\n2023 was a busy year at Creative Commons. Our **Open Culture** program and **Open Climate Campaign** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **Open Infrastructure Circle** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **the critical work that awaits us in 2024**.\n\n**Anna Tumadóttir, CEO**", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "By clicking on the \"**Data->Licensing Assistant**\" link in the main menu, the Licence Assistant is opened in a new window, displaying relevant information of all supported licences by the tool.\n\n| | | Newsletter FAQ Search Contact Cookies Legal notice English (en) | > |\n| --- | --- | --- | --- |\n| | | Search site content ... | ರ |\n| European Data Portal > Licensing Assistant | | | |\n| 11 What we do - | Data~ Providing Data . | Using Data - Resources . | |\n| Datasets Cataloques | Metadata Quality Licensing Assistant | SPARQL Manager Statistics | |\n| Licensing Assistant | | | |\n| Data which is shared with a licence becomes Open Data. There are many licences available. | The licence assistant provides a description of the available licences. It also gives an overview | | |\n| of how to apply licences as re-publisher/distributor of Open Data and how to combine multiple | | | |\n| licences. | | | |\n| Please find a licence by selecting the preferred licence terms below: | | | |\n| Advanced settings | | | |\n| Obligation | Permission | Prohibition | |\n| Lesser Copyleft Attribution | Derivative Works Distribution | Commercial use | |\n| Sharealike Notice Copyleft | Reproduction Sublicensing | | |\n| State Changes | Use patent claims | | |\n| Name Terms | | | |\n| CC BY 3.0 Austria | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY 4.0 | Obligation: Attribution Permission: Derivative Works | Permission: Distribution Obligation: Notice | |\n| | Obligation: State Changes Permission: Reproduction | | |\n| CC-BY 3.0 NL | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY-NC 4.0 | Obligation: Attribution Permission: Derivative Works | Obligation: Notice | |\n| | Prohibition: Commercial use Permission: Distribution | Obligation: State Changes | |\n| | Permission: Reproduction | | |\n| CC-BY-NC-ND 4.0 | Obligation: Attribution Obligation: Notice | Prohibition: Commercial use Permission: Distribution | |\n| | Obligation: State Changes Permission: Reproduction | | |", - "page_start": 34, - "page_end": 34, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2020/471\n\nUK202004291001 05/2020 19585\n\n£6.90", - "page_start": 7, - "page_end": 7, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "£4.90\n\nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "To what subjects Creative Commons expand its work in 2023 ?", - "target_page": 8, - "target_passage": "We expanded our work in biodiversity, climate, and life sciences focused on ensuring that science research and data are open", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **A Note from Leadership**\n\nCC staff photos are licensed under CC BY 4.0.\n\n2023 was a busy year at Creative Commons. Our **Open Culture** program and **Open Climate Campaign** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **Open Infrastructure Circle** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **the critical work that awaits us in 2024**.\n\n**Anna Tumadóttir, CEO**", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from \"Twenty Years of Creative Commons (in Sixty Seconds)\" by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n**Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n# **About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n#### **Chief Executive Officer**\n\nAnna Tumadóttir\n\n#### **General Counsel**\n\nKat Walsh\n\n# **Board of Directors**\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann Lawrence Lessig **Emeritus* Angela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Except where otherwise noted, \"Annual Report 2023\" by Creative Commons is licensed under CC BY 4.0.**", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Our Impact**\n\nCC believes that opening up knowledge is key to addressing the world's most pressing challenges. Today, we steer campaigns, programming, and training in many areas:\n\n### **Open Culture**\n\n2023 was quite a year for the CC Open Culture Program, thanks to generous funding from **Arcadia**. We grew our Open Culture team from one to two and a half staff, rolling out new initiatives like TAROC (Towards a Recommendation on Open Culture) and **Open Culture Live: A Webinar Series**. We invite you to read \"**What did Creative Commons do for Open Culture in 2023?**\" to learn more.\n\n### **Open Journalism**\n\nThanks to generous funding from the **John D. and Catherine T. MacArthur Foundation**, CC hosted its very first Open Journalism track at the CC Global Summit, including eight presentations, lightning talks, panel discussions, and workshops as well as a **keynote by Anya Kamenetz**.\n\nRepresentatives from 33 news outlets and digital rights-focused organizations attended the CC Summit sessions. The Open Journalism track built on **numerous collaborations and workshops** throughout 2023.\n\n### **Open Education**\n\nWe delivered workshops and presentations on CC Licenses and Open Educational Resources at over 16 conferences and events. The CC Open Education Platform also funded six global projects, **including work to advance the UNESCO Recommendation on OER.**\n\n\"Follow the Color Brick Road\" by Bert Kaufmann is licensed under CC BY-SA 2.0.", - "page_start": 6, - "page_end": 6, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A \"books data commons\" needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use \"commons\" here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach.5\n\nIn this way, we do not use \"commons\" in the narrow sense of permissively licensed. What's more, this 4 resource could also be governed as more of a data \"trust,\" and, indeed, we discuss extensively the work of HathiTrust as a relevant project in this domain. However, our use of the word \"commons\" is not meant to preclude this or other arrangements.\n\nThere are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5 e.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy of further analysis.", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "# **Training in how to use CC Licenses is key to their adoption.**\n\nWe offer a ten-week **CC Certificate** program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and **available in 10 languages**.\n\nAs of 2023, we've certified:\n\n### **In 2023, we greatly expanded our CC Licenses training and education offerings:**\n\n#### **19 Workshops & Trainings**\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n#### **2 Week-Long CC Certificate Bootcamps**\n\nfor California Community Colleges.\n\n#### **27 Webinars**\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n#### **12 CC Legal Open Office Hours**\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "From which country does Killam Properties Inc originate ?", - "target_page": 3, - "target_passage": "Killam Properties Inc. is a growth oriented Canadian real estate company.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# About Killam Properties Inc.\n\nKillam Properties Inc. is a growth oriented Canadian real estate company. We own, manage and develop multi-family residential properties in Atlantic Canada and Ontario. Since our first acquisition in 2002, our real estate portfolio has grown to $1.5 billion and includes 12,647 apartment units and 5,164 manufactured home community (MHC) sites. We are committed to growing Killam's earnings by maximizing the returns from our existing portfolio and expanding through acquisitions and development.\n\n# Our Mission\n\nTo have a team of caring staff deliver clean, safe, quality housing to tenants who are proud to call our properties home.\n\n> Strong **Customer** Relationships\n\nCreative **Solutions**\n\n# Our Core Values\n\nCurb **Appeal** Do the **Right** Thing\n\n**President's Letter 9 Asset Portfolio 18 MD&A 21 Financial Statements 66 Five-Year Summary 96**\n\n180 Mill Street, London, Ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Increasing Geographic Diversification\n\nWith a home base in Halifax, Killam's roots are in Atlantic Canada and the Company has successfully grown by consolidating the residential real estate market in the region's urban centres. In order to meet its long-term growth targets and increase its investment in Canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in Ontario and is exploring investment opportunities in Western Canada. Since 2010, Killam has expanded its apartment target markets to include specific cities in Ontario, and has invested approximately $200 million in real estate assets in the province. Approximately 15% of Killam's 2014 net operating income is expected to be earned in Ontario. The Company has set a long-term target to earn 50% of its net operating income outside Atlantic Canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **PART II**\n\n## **Business Overview**\n\nKillam Properties Inc., based in Halifax, Nova Scotia, is one of Canada's largest residential landlords, owning, operating, managing and developing multi‑family residential and Manufactured Home Community (\"MHC\") properties. Killam's 164 apartment properties are located in Atlantic Canada's six largest urban centres and in Ontario. The Company's 35 MHCs are located in Ontario and Atlantic Canada. The value of Killam's real estate assets at December 31, 2013, was $1.5 billion. Killam is focused on growing its portfolio, maximizing the value of its properties and increasing FFO per share.\n\nKillam was founded in 2000, based on the recognition of an opportunity to create value through the consolidation of apartments in Atlantic Canada and MHCs across Canada. Killam's first apartment was purchased in 2002 and its first MHC was purchased in 2003. From 2002 to 2009, Killam's apartment portfolio grew through the acquisition of properties in Atlantic Canada's six largest cities, namely Halifax, Moncton, Saint John, Fredericton, St. John's and Charlottetown. Killam is now Atlantic Canada's largest residential landlord, with a 14.2% market share of the multi‑family rental units in these core markets. Killam entered the Ontario apartment market in 2010, and today owns twelve properties in the province, including assets in Toronto, Ottawa, London and Cambridge. Killam plans to expand its presence in Ontario with additional acquisitions and developments. The apartment business is Killam's largest business segment, accounting for 86% of the Company's NOI from property operations and equity income in 2013. At December 31, 2013, Killam's apartment portfolio consisted of 12,647 units.\n\nKillam complements its acquisition program with the construction of apartment buildings. During 2013, Killam completed the development of four projects totalling 282 units and commenced two additional projects in the second half of the year. Management does not expect developments to exceed 5% of the total asset base in any given year.\n\nIn addition, the Company owns MHCs, also known as land‑lease communities or trailer parks. Killam owns the land and infrastructure supporting each community and leases the lots to tenants, who own their own homes and pay Killam a monthly site rent. Killam owns 35 communities which accounted for 14% of Killam's NOI in 2013. During the year Killam sold ten MHC properties located in New Brunswick, allowing the Company to crystallize the value of the properties at attractive cap‑rates and use the funds to continue to grow the apartment portfolio.\n\n## **Key Performance Indicators (KPIs)**\n\nManagement measures Killam's performance based on the following KPIs:\n\n- 1. FFO per Share A standard measure of earnings for real estate entities. Management is focused on growing FFO per share on an annual basis.\n- 2. Rental Increases Management expects to achieve increases in average rental rates on an annual basis and measures the average rental increases achieved.\n- 3. Occupancy Management is focused on maximizing occupancy levels while also managing the impact of higher rents. This measure considers units rented as a percentage of total stabilized units at a point in time.\n- 4. Same Store NOI Growth This measure considers the Company's ability to increase the NOI at properties that it has owned for equivalent periods year‑over‑year, removing the impact of acquisitions, dispositions, developments and other non same store operating adjustments.\n- 5. Weighted Average Cost of Debt Killam monitors the weighted average cost of its mortgage debt and total debt.\n- 6. Debt to Total Assets Killam measures its debt levels as a percentage of total assets and works to ensure that the debt to total assets remains at a range of 55% to 65%.\n- 7. Term to Maturity Management monitors the average number of years to maturity on its debt.\n- 8. Interest Coverage Ratio A common measure of credit risk used by lenders, this measure considers Killam's ability to pay interest on outstanding debt. Generally, the higher the interest coverage ratio, the lower the credit risk.\n- 9. Debt Service Coverage Ratio A common measure of credit risk used by lenders, this measure considers Killam's ability to pay interest and principal on outstanding debt. Generally the higher the debt service coverage ratio, the lower the credit risk.", - "page_start": 22, - "page_end": 22, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "**Killam Properties Inc.** Suite 100 3700 Kempt Road Halifax, Nova Scotia B3K 4X8\n\n1.866.453.8900 killamproperties.com tsx: kmp", - "page_start": 97, - "page_end": 97, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except share and per share amounts)*\n\n## **1. Corporate Information**\n\nKillam Properties Inc (\"Killam\" or the \"Company\") is a real estate company specializing in the acquisition, management and development of multi‑residential apartment buildings and manufactured home communities in Canada. Killam is incorporated under the Canada Business Corporations Act. Killam's common shares are publicly traded and listed on the Toronto Stock Exchange under the symbol \"KMP\". The consolidated financial statements comprise the financial statements of Killam and its subsidiaries as at December 31, 2013**.** The Company's head office operations are located at 3700 Kempt Road, Halifax, Nova Scotia, B3K 4X8 and the Company's registered office is located at 2571 Windsor Street, Halifax, Nova Scotia, B3K 5C4.\n\nThe consolidated financial statements of the Company for the year ended December 31, 2013, were authorized for issue in accordance with a resolution of the Board of Directors on Tuesday, February 18, 2014.\n\n## **2. Significant Accounting Policies**\n\n#### **(A) Statement of Compliance**\n\nThese consolidated financial statements have been prepared in accordance with International Financial Reporting Standards (\"IFRS\") as issued by the International Accounting Standards Board (\"IASB\").\n\n#### **(B) Basis of Presentation**\n\nThe consolidated financial statements of the Company have been prepared on a historical cost basis, except for investment properties that have been measured at fair value. Historical cost is generally based on the fair value of the consideration given in exchange for assets. The consolidated financial statements have been prepared on a going concern basis and are presented in Canadian dollars, which is Killam's functional currency, and all values are rounded to the nearest thousand ($000), except when otherwise noted. Standards and guidelines not effective for the current accounting period are described in Note 4.\n\n#### **(C) Basis of Consolidation**\n\n#### *(i) Subsidiaries*\n\nThe consolidated financial statements include the accounts of Killam and its subsidiaries. Non‑controlling interests represent the portion of profit or loss and net assets not held by Killam, and are presented separately in the Consolidated Statements of Income and Comprehensive Income and within equity in the Consolidated Statement of Financial Position, separately from shareholders' equity.\n\nSubsidiaries are entities controlled by Killam. The financial statements of subsidiaries are included in the consolidated financial statements from the date that control commences until the date that control ceases. The accounting policies of subsidiaries have been changed when necessary to align them with the policies adopted by Killam. In certain circumstances, Killam has control over entities in which it does not own more than 50% of the voting power.\n\nThe Company's significant investment in subsidiaries and a joint venture, all of which are incorporated in Canada, are listed in the following table:\n\n| Subsidiary | % Interest |\n| --- | --- |\n| Killam Properties Inc. | 100% |\n| Killam Investments Inc. | 100% |\n| Killam Investments (PEI) Inc. | 100% |\n| Killam Properties Apartments Trust | 100% |\n| Killam Properties M.H.C. Trust | 100% |\n| 661047 N.B. Inc. | 100% |\n| Blackshire Court Limited | 100% |\n| Blackshire Court Limited Partnership | 95.92% |\n| Killam KFH (180 Mill St.) Inc. | 100% |\n| Killam KFH (Kanata Lakes) Inc. | 100% |\n| Killam KFH (1355 Silver Spear Road) Inc. | 100% |\n| Killam KFH Sigma GP Inc. | 50% |\n| Killam KFH‑Sigma Properties LP | 25% |", - "page_start": 69, - "page_end": 69, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Killam properties Inc **2013 annual report**", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# A Diversified Portfolio\n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The apartment portfolio represents 86% of Killam's earnings and includes a variety of property types, such as high-rises, mid-rises and walk-ups, in nine urban centres across five provinces. With a wide selection of properties and price points in each city, Killam caters to a broad tenant base. Killam's 35 manufactured home communities represent 14% of earnings and are located primarily in Nova Scotia and Ontario. The manufactured home communities complement the apartment business, providing stable and predictable cash flows.\n\nS2, Halifax, Nova Scotia", - "page_start": 12, - "page_end": 12, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **Business Strategy**\n\n#### **Maximize NOI from Existing Portfolio**\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n#### **Growth through Acquisitions**\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n#### **Growth through Development**\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n#### **Investment in New Properties**\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high‑quality buildings will result in above‑market and long‑term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in Canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n#### **Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year‑end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# **Increasing Geographic Diversification**\n\nKillam Fundamentals\n\nWe are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. Over the last four years we have invested approximately $200 million in apartments located in Ontario and at the end of 2013 owned 1,359 units in three core Ontario markets: Ottawa, Toronto and Southwestern Ontario. Our long-term goal is to have 50% of our earnings generated outside Atlantic Canada. We plan to achieve this by focusing future acquisition and development activity in Ontario, and potentially Western Canada.\n\n## **Annual Apartment Net Operating and Equity Income from Atlantic Canada and Ontario** $ millions\n\n# **Investing in Newer Properties**\n\nWe are expanding our portfolio with a focus on acquiring newer properties and through development. We believe that newer buildings often generate higher total returns due to limited deferred maintenance requirements, lower operating costs and a preference for renters to live in newer buildings. With 35% of Killam's apartment portfolio constructed since the year 2000, Killam has one of the newest multi-family real estate portfolios in Canada.\n\n## **Apartment Value by Year of Construction**\n\n**1990 - 99 | 10% 1980 - 89 | 6% 1970 - 79 | 25% Pre 1970 | 24%**", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Killam Fundamentals\n\n# **Atlantic Canada's Market Leader**\n\nWe are Atlantic Canada's largest residential landlord with a 14% market share of apartments in the region's six largest cities. With a portfolio of over 11,000 apartment units in Atlantic Canada, including 5,000 in Halifax, we have strong market recognition and are able to meet the rental needs of a diversified and growing customer base. Our established operating platform allows us to maximize efficiencies and support additional growth in the region and beyond.\n\n**Apartment Net Operating Income by Core Market**\n\nfor the year ended December 31, 2013\n\n**Halifax | 47% Ontario | 10% Fredericton | 10% Moncton | 10% St. John's | 7% Charlottetown | 7% Saint John | 6% Other | 3%**\n\n# **Expanding Annually Through Acquisitions and Development**\n\nWe have grown our real estate portfolio on an annual basis through the acquisition of apartments and MHCs. Since 2010, we have been complementing our growth with developments. 2013 marked the Company's biggest year for acquisitions and developments in eight years, adding $191 million in properties to the portfolio. Growth is funded through a combination of equity, mortgage debt and the recycling of assets, further increasing the quality of the portfolio. In 2013 we sold a portfolio of MHCs in New Brunswick, the proceeds of which will be used primarily for apartment acquisitions.", - "page_start": 3, - "page_end": 3, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "How Killam Properties Inc does increase its geographic diversification ? ", - "target_page": 5, - "target_passage": "We are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Increasing Geographic Diversification\n\nWith a home base in Halifax, Killam's roots are in Atlantic Canada and the Company has successfully grown by consolidating the residential real estate market in the region's urban centres. In order to meet its long-term growth targets and increase its investment in Canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in Ontario and is exploring investment opportunities in Western Canada. Since 2010, Killam has expanded its apartment target markets to include specific cities in Ontario, and has invested approximately $200 million in real estate assets in the province. Approximately 15% of Killam's 2014 net operating income is expected to be earned in Ontario. The Company has set a long-term target to earn 50% of its net operating income outside Atlantic Canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# **Increasing Geographic Diversification**\n\nKillam Fundamentals\n\nWe are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. Over the last four years we have invested approximately $200 million in apartments located in Ontario and at the end of 2013 owned 1,359 units in three core Ontario markets: Ottawa, Toronto and Southwestern Ontario. Our long-term goal is to have 50% of our earnings generated outside Atlantic Canada. We plan to achieve this by focusing future acquisition and development activity in Ontario, and potentially Western Canada.\n\n## **Annual Apartment Net Operating and Equity Income from Atlantic Canada and Ontario** $ millions\n\n# **Investing in Newer Properties**\n\nWe are expanding our portfolio with a focus on acquiring newer properties and through development. We believe that newer buildings often generate higher total returns due to limited deferred maintenance requirements, lower operating costs and a preference for renters to live in newer buildings. With 35% of Killam's apartment portfolio constructed since the year 2000, Killam has one of the newest multi-family real estate portfolios in Canada.\n\n## **Apartment Value by Year of Construction**\n\n**1990 - 99 | 10% 1980 - 89 | 6% 1970 - 79 | 25% Pre 1970 | 24%**", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# A Diversified Portfolio\n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The apartment portfolio represents 86% of Killam's earnings and includes a variety of property types, such as high-rises, mid-rises and walk-ups, in nine urban centres across five provinces. With a wide selection of properties and price points in each city, Killam caters to a broad tenant base. Killam's 35 manufactured home communities represent 14% of earnings and are located primarily in Nova Scotia and Ontario. The manufactured home communities complement the apartment business, providing stable and predictable cash flows.\n\nS2, Halifax, Nova Scotia", - "page_start": 12, - "page_end": 12, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# About Killam Properties Inc.\n\nKillam Properties Inc. is a growth oriented Canadian real estate company. We own, manage and develop multi-family residential properties in Atlantic Canada and Ontario. Since our first acquisition in 2002, our real estate portfolio has grown to $1.5 billion and includes 12,647 apartment units and 5,164 manufactured home community (MHC) sites. We are committed to growing Killam's earnings by maximizing the returns from our existing portfolio and expanding through acquisitions and development.\n\n# Our Mission\n\nTo have a team of caring staff deliver clean, safe, quality housing to tenants who are proud to call our properties home.\n\n> Strong **Customer** Relationships\n\nCreative **Solutions**\n\n# Our Core Values\n\nCurb **Appeal** Do the **Right** Thing\n\n**President's Letter 9 Asset Portfolio 18 MD&A 21 Financial Statements 66 Five-Year Summary 96**\n\n180 Mill Street, London, Ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Opportunities for Growth\n\nKillam's growth opportunities include increasing earnings of its existing portfolio and expanding the portfolio through acquisitions and development. Acquisitions have been an important part of Killam's growth, having completed over $1.1 billion in acquisitions since the first property was acquired in 2002. Killam began development as a complement to its acquisition program in 2010, and to-date has invested approximately $90 million in new developments. 2013 was Killam's largest year for growth since 2005, adding $191 million of properties to the portfolio, including $121 million in acquisitions and $70 million in new developments. Looking ahead to 2014, Killam has targeted a minimum of $75 million in acquisitions, and the development of two new apartment buildings totaling approximately $46 million.", - "page_start": 13, - "page_end": 13, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **Business Strategy**\n\n#### **Maximize NOI from Existing Portfolio**\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n#### **Growth through Acquisitions**\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n#### **Growth through Development**\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n#### **Investment in New Properties**\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high‑quality buildings will result in above‑market and long‑term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in Canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n#### **Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year‑end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Our Goals for 2014\n\nComplete a minimum of $75 million in acquisitions.\n\nAcquire over 50% of 2014 acquisitions outside Atlantic Canada, with a focus in Ontario.\n\nGrow same store NOI by up to 2%.\n\nContinue to invest in development with two projects underway, managing projects on schedule and on budget.\n\ndevelopment program to a maximum of 5% of our balance sheet per year. We have three other developments projects in various planning stages, but don't expect to begin construction on any additional new projects until late 2014 or into 2015.\n\n## **Geographic Diversification is a Priority**\n\nGeographic diversification is a priority for Killam. Our asset base in Atlantic Canada is the foundation of the Company; however, with Atlantic Canada representing only 5% of the Canadian rental market, our growth opportunities increase significantly by expanding our target markets outside of this region. With its strong operating platform, Killam can support a larger and more geographically diverse portfolio. We are actively growing a portfolio of apartments in Ontario in three target markets: Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment outside Atlantic Canada will increase not only Killam's growth potential, it will also expand the Company's diversification and exposure to higher growth markets.\n\nAcquisitions in Ontario represented 45% of acquisitions in 2013. In addition to 1,359 apartment units in the province, we also have 2,144 manufactured home community sites, representing 29% of the MHC NOI last year. Based on our current portfolio, 15% of Killam's 2014 NOI will be generated in Ontario, compared to our longer-term goal of generating 50% of NOI outside Atlantic Canada. We expect to reach this goal by focusing acquisition activity in Ontario, with the majority of future investment anticipated in the province over the next few years. We will look for additional development opportunities in Ontario and we are exploring opportunities in Western Canada, attracted by the strong population growth trends in Alberta's urban markets. I would like to thank all Killam employees for their contributions and\n\ncommitment over the last year and our board of directors for their governance. Also, I would like to thank you, our shareholders, for your continued investment in Killam. I invite you to attend the Company's annual meeting on May 7, 2014 at 2:00 pm Atlantic Time at the Halifax Marriott Harbourfront Hotel, either in person or via webcast.\n\nYours truly,\n\nPhilip Fraser", - "page_start": 10, - "page_end": 10, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Looking beyond 2014, we expect to generate NOI growth more in the 2% to 4% range as large economic projects in Atlantic Canada are predicted to lead economic and population growth in the region. As the dominant residential landlord in Atlantic Canada with a wide variety of buildings and price points, we expect to benefit from this growth through increased demand for apartments.\n\n## **Growth through Acquisitions**\n\nGrowth through acquisitions will continue to be a focus for Killam. We completed $121 million of acquisitions last year, at the top of our acquisition target range of $75 million to $125 million. This was our largest year for acquisitions since 2005. Apartment acquisitions in Ontario in 2013 included a 102-unit building in Ottawa and a newly constructed mixed-use apartment and retail complex in downtown Toronto, for a total of $50 million. We are also pleased with the $64 million in properties we added to our portfolio in Atlantic Canada this past year, complementing our existing assets in Halifax, Charlottetown and Moncton.\n\nWe have targeted a minimum of $75 million in acquisitions for 2014. We are committed to adding strategically to our asset base in our core markets, targeting both new buildings and centrally located older buildings with upside opportunities.\n\n## **Recycling Assets and Increasing the Quality of Killam's Portfolio**\n\nPart of our growth through acquisitions in 2014 includes investing funds from the New Brunswick MHC portfolio we sold in November 2013. This was Killam's second MHC portfolio sale in the last two years. Although we continue to value the MHC asset class and see it as a strong complement to the apartment portfolio,\n\nwe recognize that growth opportunities in this asset class are limited, with few investment grade communities available. In addition, the value of MHCs has increased significantly in the last number of years, arguably to a greater extent than many other real estate assets classes, including apartments. The decision to sell was based on the opportunity to crystallize the value of the properties at an attractive price and use the funds to accretively grow the apartment portfolio. The net proceeds from the sale have been, and will be, used primarily to fund growth of the apartment portfolio. We expect to fully deploy the net cash from the 2013 sale\n\nof $46 million during the first half of 2014 and are confident in our strategy to enhance the long-term quality of our portfolio and shareholder value.\n\nWe continued to invest capital in our properties, spending $22 million in 2013. Annual capital investment is a reality for real estate owners. We believe that higher total investment returns are often available by acquiring newer assets because the annual capital requirements are significantly less than acquiring an older building with deferred maintenance issues. This is especially true in the recent acquisition market with very low capitalization rates (cap rates) and high valuations attributable to most real estate assets. Generally, we have not seen a large enough cap rate spread recognizing the different quality of assets, or the condition of assets with significant deferred maintenance, in recent years. In the past there was a larger valuation spread attributable to these factors. At the end of December 2013, 35% of the value of our real estate assets were considered new, defined as built since the year 2000. In fact, 17% were built in the last five years.\n\n## **Complementing Acquisitions with Developments**\n\nDevelopment is an important component of Killam's future growth. We are gaining expertise as developers, resulting in both increased efficiencies and returns. We completed four new developments in 2013, representing an investment of $70 million. Two of the buildings leased-up within three months, and two are expected to be substantially leased by the middle of 2014. The slower than expected lease-up at S2 in Halifax is attributable to a higher than normal amount of new units coming to market in recent years, leading to increased competition at the high-end of the market. At The Plaza in\n\nFredericton, a soft home sales market is leading to longer than expected lease-up. We will realize the full financial benefit from these buildings once they are fully occupied. We currently have two new developments underway. Chelsea Place, a 101-unit, 2-building complex located in St. John's, is expected to be completed in the third quarter of 2014. Saginaw Gardens, a 122-unit building in Cambridge, on land acquired in January 2013, was started in December 2013 and will be completed in 2015. The total investment in the two developments is approximately $46 million, representing 3% of our balance sheet. We expect to limit our", - "page_start": 9, - "page_end": 9, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **PART VIII**\n\n## **Risk Management**\n\nKillam faces a variety of risks, the majority of which are common to real estate entities. Real estate investments are generally subject to varying degrees of risk, depending on the nature of the property. These risks include (i) changes in general economic conditions, (ii) changes in local conditions (such as an oversupply of space or a reduction in demand for real estate in the area), (iii) changes to government regulations (such as new or revised residential tenant legislations), (iv) competition from others with available space, and (v) the ability of the landlord or owner to provide adequate maintenance economically.\n\nReal estate is relatively illiquid. Such illiquidity will tend to limit Killam's ability to rebalance its portfolio promptly in response to changing economic or investment conditions. In addition, financial difficulties of other property owners, resulting in distress sales, may depress real estate values in the markets in which the Company operates.\n\nKillam's exposure to general risks associated with real estate investments is mitigated with both its geographic diversification, and investments in both apartments and MHCs.\n\nKillam is exposed to other risks, as outlined below:\n\n#### **Interest Rate Risk**\n\nInterest risk is the risk that the Company would experience lower returns as the result of its exposure to a higher interest rate environment. The Company is exposed to interest rate risk as a result of its mortgages and loans payable, however this risk is mitigated through the Company's strategy to have the majority of its mortgages payable in fixed‑term arrangements. The Company also structures its financings so as to stagger the maturities of its debt, minimizing the Company's exposure to interest rates in any one year.\n\nAs at December 31, 2013, no mortgages or vendor debt had floating interest rates except for four demand loans totaling $3.9 million. These loans have an interest rate of prime plus 1.0% ‑ 2.0% (December 31, 2012 ‑ prime plus 1.0% ‑ 1.5%). Killam also has one construction loan of $14.8 million with a floating interest rate of prime plus 0.75% and consequently, Killam is exposed to short‑term interest rate risk on these loans.\n\n### **Liquidity Risk**\n\nLiquidity risk is the risk that the Company may not have access to sufficient debt and equity capital to fund its growth program and/or refinance its debt obligations as they mature. Senior Management manages the Company's cash resources based on financial forecasts and anticipated cash flows. The maturities of the Company's long‑term financial liabilities are set out in Notes 12 to 15 of the consolidated financial statements. The Company structures its financings so as to stagger the maturities of its debt, thereby minimizing the Company's exposure to liquidity risk in any one year. In addition, the Company's apartments qualify for CMHC insured debt, reducing the refinancing risk on mortgage maturities. The Company's MHCs do not qualify for CMHC insured debt, however, they continue to have access to mortgage debt.\n\n## **Increased Supply Risk**\n\nIncreased supply risk is the risk of loss from increased competition from the addition of new rental units in Killam's core markets. Numerous other residential developers and apartment owners compete for potential tenants. Although it is Killam's strategy to own multifamily residential properties in premier locations in each market in which it operates, some of the apartments or MHCs of Killam's competitors may be newer, better located or offer lower rents. An increase in alternative housing could have a material adverse effect on Killam's ability to lease units and in the rents charged and could adversely affect Killam's revenues and ability to meet its obligations. To mitigate against this risk Killam has a geographically diverse asset base. Management is expanding this diversification by increasing Killam's investment in apartment markets outside Atlantic Canada.\n\n### **Credit Risk**\n\nCredit risk arises from the possibility that tenants may experience financial difficulty and be unable to fulfill their lease term commitments. The Company mitigates the risk of credit loss through the diversification of its existing portfolio and limiting its exposure to any one tenant. Credit assessments are conducted with respect to all new leasing and the Company also obtains a security deposit to assist in potential recovery requirements. In addition, the receivable balances are monitored on an ongoing basis with the result that the Company's exposure to bad debt is not significant. The Company's bad debt expense experience has historically been less than 0.4% of revenues. None of Killam's tenants account for more than 1% of tenant receivables.\n\n#### **Development Risk**\n\nDevelopment risk is the risk that costs of developments will exceed original estimates, unforeseen delays occur and/or units will not be leased in the timeframe and/or at rents anticipated. Killam minimizes its exposure to development risk my limiting the amount of development underway at any one time. To reduce the Company's exposure to price increases, Killam enters into fixed‑rate contracts when possible. To reduce the lease‑up risk, Killam does extensive market research in advance of each development to support expected rental rates, and pre‑markets its properties early on in the process, to increase demand for the new developments.", - "page_start": 58, - "page_end": 58, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n| Geographic | |\n| --- | --- |\n| Diversification | |\n| 2013 Target | 2013 acquisition program to include investments in Ontario. |\n| 2013 Performance | During 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West |\n| | in Toronto. These acquisitions increased Killam's total unit count in Ontario to 1,359 units, representing |\n| | 11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by |\n| | adding property managers, dedicated leasing representatives and administrative staff to manage the growing |\n| | portfolio. |\n\n| Growth in Same Store | |\n| --- | --- |\n| Net Operating Income | |\n| 2013 Target | Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013). |\n| 2013 Performance | Consolidated same store NOI decreased by 0.4% for the year ended December 31, 2013. This decrease was |\n| | driven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first |\n| | quarter as well as another spike in pricing in New Brunswick in December 2013. This resulted in a 14.6% |\n| | increase in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net |\n| | property revenues, as well the management of other property operating expenses at levels consistent with |\n| | 2012, helped to offset the impact of higher utility costs. |\n\n## **2014 Targets**\n\n| Consolidation of Multi‑family Residential Real Estate Market | Complete a minimum of $75 million in acquisitions and continue to |\n| --- | --- |\n| and Increase Investment New Properties | develop two current projects on schedule and within 5% of budget. |\n| Geographic Diversification | Killam's 2014 acquisition program is to include over 50% of |\n| | acquisitions outside of Atlantic Canada, with a focus on Ontario. |\n\n**Growth in Same Store Net Operating Income** Same Store NOI growth of 0% to 2%.", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "What is the Killam Properties Inc 2013 performance about the Geographic Diversification objective ?", - "target_page": 8, - "target_passage": "Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# **Increasing Geographic Diversification**\n\nKillam Fundamentals\n\nWe are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. Over the last four years we have invested approximately $200 million in apartments located in Ontario and at the end of 2013 owned 1,359 units in three core Ontario markets: Ottawa, Toronto and Southwestern Ontario. Our long-term goal is to have 50% of our earnings generated outside Atlantic Canada. We plan to achieve this by focusing future acquisition and development activity in Ontario, and potentially Western Canada.\n\n## **Annual Apartment Net Operating and Equity Income from Atlantic Canada and Ontario** $ millions\n\n# **Investing in Newer Properties**\n\nWe are expanding our portfolio with a focus on acquiring newer properties and through development. We believe that newer buildings often generate higher total returns due to limited deferred maintenance requirements, lower operating costs and a preference for renters to live in newer buildings. With 35% of Killam's apartment portfolio constructed since the year 2000, Killam has one of the newest multi-family real estate portfolios in Canada.\n\n## **Apartment Value by Year of Construction**\n\n**1990 - 99 | 10% 1980 - 89 | 6% 1970 - 79 | 25% Pre 1970 | 24%**", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# 2013 Performance Summary\n\n| Objective | 2013 Target | 2013 Performance |\n| --- | --- | --- |\n| Consolidation of | To complete $75 million | Target achieved. $121 million in acquisitions |\n| the Multi-family | to $125 million in | completed in 2013, including $113 million in |\n| Residential Real Estate | acquisitions. | apartment acquisitions, $7 million for three |\n| Market | | parcels of land for future development and $1 |\n| | | million for an MHC acquisition. |\n| Increase Investment in | Acquire new properties | Target achieved. During 2013, 74% of the total |\n| New Properties | as part of the acquisition | units added to the portfolio were constructed |\n| | program in 2013. | after 2001. These acquisitions included three |\n| | | buildings constructed in 2013, a 179-unit |\n| | | building on Queen Street West in Toronto, an |\n| | | 83-unit luxury building in Halifax, and a 48-unit |\n| | | building in Moncton. |\n| | Complete and lease | Target partially achieved. The Company |\n| | up Killam's four | completed the construction of four |\n| | developments and | development projects totaling 282 units during |\n| | commence two new | the first half of 2013. Two of the properties, |\n| | development projects. | Bennett House and Brighton House, were |\n| | | fully leased within three months of opening, |\n| | | while S2 and The Plaza are expected to be |\n| | | substantially leased by the middle of 2014. |\n| | | Killam began two new developments during |\n| | | the second half of the year, a 101-unit building |\n| | | in St. John's, Newfoundland, and a 122-unit |\n| | | building in Cambridge, Ontario. |\n| Geographic | 2013 acquisition | Target achieved. Killam acquired $55 million in |\n| Diversification | program to include | Ontario real estate in 2013, representing 45% |\n| | investments in Ontario. | of its acquisition program in the year. Assets |\n| | | acquired included a 102-unit property in |\n| | | Ottawa, a newly built, 179-unit, mixed-used |\n| | | property in downtown Toronto and a 5.2 acre |\n| | | parcel of land for development in Cambridge, |\n| | | Ontario. |\n| Growth in Same Store | Same store NOI growth | Target not achieved. Despite generating 1.8% |\n| Net Operating Income | of 2% to 4% in 2013. | growth in same store revenue, high natural gas |\n| (NOI) | | prices in Atlantic Canada caused total same |\n| | | store utility and fuel expenses to increase 13.8% |\n| | | during the year, which resulted in a decrease in |\n| | | same store NOI of 0.4% for the year. |\n\nRichmond Hill, London, Ontario", - "page_start": 7, - "page_end": 7, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Killam properties Inc **2013 annual report**", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Increasing Geographic Diversification\n\nWith a home base in Halifax, Killam's roots are in Atlantic Canada and the Company has successfully grown by consolidating the residential real estate market in the region's urban centres. In order to meet its long-term growth targets and increase its investment in Canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in Ontario and is exploring investment opportunities in Western Canada. Since 2010, Killam has expanded its apartment target markets to include specific cities in Ontario, and has invested approximately $200 million in real estate assets in the province. Approximately 15% of Killam's 2014 net operating income is expected to be earned in Ontario. The Company has set a long-term target to earn 50% of its net operating income outside Atlantic Canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **Summary of 2013 Results and Operations**\n\n#### **Acquisitions and Developments Drive Revenue Growth of 5.6%**\n\nKillam completed $114.2 million in property acquisitions throughout 2013 and also completed $69.6 million of development projects in the first half of 2013, adding 1,025 apartment units and 65 MHC sites to the portfolio. $84.8 million of acquisitions completed throughout 2012 also contributed to revenue growth in 2013. This growth was partially offset by the disposition of ten MHC properties located in New Brunswick for proceeds of $69.0 million during the fourth quarter of 2013 and the disposition of twelve MHCs during 2012 for $72.9 million. The development projects completed in 2013 located in Halifax and Fredericton are expected to be substantially leased by mid‑2014 and will generate additional revenue growth for the Company in 2014.\n\n#### **Consolidated Same Store Revenue Growth of 1.8%**\n\nKillam's same store portfolio posted a 1.8% increase in revenue growth compared to 2012, driven by an increase of 1.3% in rental rates related to the apartment portfolio and a 3.7% increase in rental rates related to the MHC portfolio. These rental rate gains were partially offset by higher vacancy during the first half of 2013, compared to 2012, and higher rental incentives due to increased competition in certain of the Company's core markets in Atlantic Canada as a result of increased supply.\n\nThe Halifax market, which comprises approximately 50% of the Company's same store apartments, contributed to the rental growth, posting a 2.5% increase in residential rents. The improved top‑line growth in Halifax reflects the marketing and leasing changes implemented in 2013 and the quality and location of the Company's assets in the city. Growth in Halifax offset the Charlottetown and Saint John markets, which saw flat revenues year‑over‑year and a decline of 2.4% in revenue, respectively.\n\n#### **14% Increase in Same Store Utility Costs Due to Pressure on Natural Gas Pricing**\n\nDuring the first quarter of 2013 the Company experienced high natural gas prices as a result of supply constraints and high demand from utilities in New England, which drove up pricing within Atlantic Canada. Unanticipated disruptions at the Sable Offshore Energy project and delays in the Deep Panuke Project coming on‑line created a regional supply deficit and forced distributors to purchase the commodity at higher prices from the day markets in the Northeastern United States. During the fourth quarter of 2013 Killam also saw a spike in pricing, specifically in the New Brunswick market, as colder than normal weather increased demand from utilities in Northeast New England and placed added pressure on day pricing in a market with a shortage of gas pipeline capacity. Pricing was more stable during the fourth quarter in Nova Scotia as the region's largest supplier had previously entered into a number of fixed gas‑supply contracts for the 2013‑2014 heating season.\n\n#### **Stability in Controllable Operating Costs**\n\nExcluding energy and property taxes, Killam delivered an impressively modest 0.3% increase in same store operating expenses in 2013 compared to 2012. Killam managed operating costs by renegotiating key contracts, including garbage and elevator contracts, and reducing repair and maintenance and property administrative expenses through a company‑wide focus on minimizing discretionary spending. In addition, the increase in same store property tax expense was managed to 2.8% as a result of successful assessment appeals.\n\n#### **Interest Cost Savings on Refinancings**\n\nDuring 2013 Killam successfully refinanced $66.7 million of maturing apartment mortgages at a weighted average interest rate of 3.03%, 155 basis points (\"bps\") lower than the weighted average interest rate prior to refinancing. The Company also refinanced $10.7 million of MHC mortgages at a weighted average interest rate of 4.34%, 190 bps lower than the weighted average interest rate prior to refinancing. These refinancings create interest savings of $1.2 million on an annualized basis.\n\n#### **Stable FFO Despite Pressures on Non‑Controllable Costs**\n\nKillam generated FFO per share of $0.72 during 2013 consistent with FFO per share of $0.72 in 2012. Lower interest costs, earnings associated with new acquisitions and developments, and savings in administrative costs were offset by an unprecedented increase in natural gas pricing in Atlantic Canada, a reduction in NOI related to the disposition of ten MHCs in December 2013 and twelve MHCs in May 2012, and an 8.9% increase in the weighted average number of shares outstanding. The equity raise in late 2012 included funds to support development and acquisitions, the full benefit of which was not realized until halfway through 2013. The Company also acquired land for future development of $2.9 million and incurred costs related to two new developments projects in St. John's and Cambridge totalling $12.7 million during 2013. The benefit on FFO of the deployment of these funds will not be realized until the respective projects are completed in Q3 2014 and early 2015.", - "page_start": 24, - "page_end": 24, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n| Geographic | |\n| --- | --- |\n| Diversification | |\n| 2013 Target | 2013 acquisition program to include investments in Ontario. |\n| 2013 Performance | During 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West |\n| | in Toronto. These acquisitions increased Killam's total unit count in Ontario to 1,359 units, representing |\n| | 11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by |\n| | adding property managers, dedicated leasing representatives and administrative staff to manage the growing |\n| | portfolio. |\n\n| Growth in Same Store | |\n| --- | --- |\n| Net Operating Income | |\n| 2013 Target | Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013). |\n| 2013 Performance | Consolidated same store NOI decreased by 0.4% for the year ended December 31, 2013. This decrease was |\n| | driven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first |\n| | quarter as well as another spike in pricing in New Brunswick in December 2013. This resulted in a 14.6% |\n| | increase in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net |\n| | property revenues, as well the management of other property operating expenses at levels consistent with |\n| | 2012, helped to offset the impact of higher utility costs. |\n\n## **2014 Targets**\n\n| Consolidation of Multi‑family Residential Real Estate Market | Complete a minimum of $75 million in acquisitions and continue to |\n| --- | --- |\n| and Increase Investment New Properties | develop two current projects on schedule and within 5% of budget. |\n| Geographic Diversification | Killam's 2014 acquisition program is to include over 50% of |\n| | acquisitions outside of Atlantic Canada, with a focus on Ontario. |\n\n**Growth in Same Store Net Operating Income** Same Store NOI growth of 0% to 2%.", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n#### **Continued Geographic Expansion in Ontario**\n\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly constructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and 179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam's future NOI generated from its Ontario properties is expected to increase to 15.0% from 7.5%.\n\n#### **Reduced Cap‑Rate Compression in 2013**\n\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease year‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John market in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company's FFO per share, its key measure of performance.\n\n#### **Dividend Increase**\n\nOn December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. The increase reflects Management's expectation of earning's growth to be generated in 2014.\n\n## **Performance Compared to 2013 Key Objectives**\n\n| Consolidation of Multi‑family Residential Real Estate Market | |\n| --- | --- |\n| 2013 Target Complete approximately $75‑$125 million in acquisitions. | |\n| 2013 Performance | Killam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment |\n| acquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments. | |\n| Increase Investment in New Properties | |\n| 2013 Target | Focus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam's four |\n| developments, and commence two new development projects. | |\n| 2013 Performance | During 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total |\n| units added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, | |\n| an 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street | |\n| West in Toronto. | |\n| The Company also completed the construction of four development projects totaling 282 units during | |\n| the first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with | |\n| lease‑up periods varying by project. Bennett House and Brighton House were fully leased within three | |\n| months of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are | |\n| expected to be substantially leased by mid‑2014. | |\n| Killam commenced two new development projects during the year. Development started on a 101‑unit | |\n| project in St. John's in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please | |\n| refer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on | |\n| these projects. | |", - "page_start": 25, - "page_end": 25, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **Business Strategy**\n\n#### **Maximize NOI from Existing Portfolio**\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n#### **Growth through Acquisitions**\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n#### **Growth through Development**\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n#### **Investment in New Properties**\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high‑quality buildings will result in above‑market and long‑term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in Canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n#### **Geographic Diversification**\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year‑end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# A Diversified Portfolio\n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The apartment portfolio represents 86% of Killam's earnings and includes a variety of property types, such as high-rises, mid-rises and walk-ups, in nine urban centres across five provinces. With a wide selection of properties and price points in each city, Killam caters to a broad tenant base. Killam's 35 manufactured home communities represent 14% of earnings and are located primarily in Nova Scotia and Ontario. The manufactured home communities complement the apartment business, providing stable and predictable cash flows.\n\nS2, Halifax, Nova Scotia", - "page_start": 12, - "page_end": 12, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "# Our Goals for 2014\n\nComplete a minimum of $75 million in acquisitions.\n\nAcquire over 50% of 2014 acquisitions outside Atlantic Canada, with a focus in Ontario.\n\nGrow same store NOI by up to 2%.\n\nContinue to invest in development with two projects underway, managing projects on schedule and on budget.\n\ndevelopment program to a maximum of 5% of our balance sheet per year. We have three other developments projects in various planning stages, but don't expect to begin construction on any additional new projects until late 2014 or into 2015.\n\n## **Geographic Diversification is a Priority**\n\nGeographic diversification is a priority for Killam. Our asset base in Atlantic Canada is the foundation of the Company; however, with Atlantic Canada representing only 5% of the Canadian rental market, our growth opportunities increase significantly by expanding our target markets outside of this region. With its strong operating platform, Killam can support a larger and more geographically diverse portfolio. We are actively growing a portfolio of apartments in Ontario in three target markets: Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment outside Atlantic Canada will increase not only Killam's growth potential, it will also expand the Company's diversification and exposure to higher growth markets.\n\nAcquisitions in Ontario represented 45% of acquisitions in 2013. In addition to 1,359 apartment units in the province, we also have 2,144 manufactured home community sites, representing 29% of the MHC NOI last year. Based on our current portfolio, 15% of Killam's 2014 NOI will be generated in Ontario, compared to our longer-term goal of generating 50% of NOI outside Atlantic Canada. We expect to reach this goal by focusing acquisition activity in Ontario, with the majority of future investment anticipated in the province over the next few years. We will look for additional development opportunities in Ontario and we are exploring opportunities in Western Canada, attracted by the strong population growth trends in Alberta's urban markets. I would like to thank all Killam employees for their contributions and\n\ncommitment over the last year and our board of directors for their governance. Also, I would like to thank you, our shareholders, for your continued investment in Killam. I invite you to attend the Company's annual meeting on May 7, 2014 at 2:00 pm Atlantic Time at the Halifax Marriott Harbourfront Hotel, either in person or via webcast.\n\nYours truly,\n\nPhilip Fraser", - "page_start": 10, - "page_end": 10, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "What is the conventional workflow for BERT ?", - "target_page": 1, - "target_passage": "The conventional workflow for BERT consists of two stages: pre-training and fine-tuning. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# A Primer in BERTology: What We Know About How BERT Works\n\nAnna Rogers Center for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\nOlga Kovaleva Dept. of Computer Science University of Massachusetts Lowell okovalev@cs.uml.edu\n\n### Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell arum@cs.uml.edu\n\n### Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n### 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear *why*, which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n### 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\n1https://github.com/ google-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "### 5.3 Pre-training BERT\n\nThe original BERT is a bidirectional Transformer pre-trained on two tasks: next sentence prediction (NSP) and masked language model (MLM) (section 2). Multiple studies have come up with alternative training objectives to improve on BERT, which could be categorized as follows:\n\n- How to mask. Raffel et al. (2019) systematically experiment with corruption rate and corrupted span length. Liu et al. (2019b) propose diverse masks for training examples within an epoch, while Baevski et al. (2019) mask every token in a sequence instead of a random selection. Clinchant et al. (2019) replace the MASK token with [UNK] token, to help the model learn a representation for unknowns that could be useful for translation. Song et al. (2020) maximize the amount of information available to the model by conditioning on both masked and unmasked tokens, and letting the model see how many tokens are missing.\n- What to mask. Masks can be applied to full words instead of word-pieces (Devlin et al., 2019; Cui et al., 2019). Similarly, we can mask spans rather than single tokens (Joshi et al., 2020), predicting how many are missing (Lewis et al., 2019). Masking phrases and named entities (Sun et al., 2019b) improves representation of structured knowledge.\n- Where to mask. Lample and Conneau (2019) use arbitrary text streams instead of sentence pairs and subsample frequent outputs similar to Mikolov et al. (2013). Bao et al. (2020) combine the standard autoencoding MLM with partially autoregressive LM objective using special pseudo mask tokens.\n- Alternatives to masking. Raffel et al. (2019) experiment with replacing and dropping spans, Lewis et al. (2019) explore deletion, infilling, sentence permutation and document rotation, and Sun et al. (2019c) predict whether a token is capitalized and whether it occurs in other segments of the same document. Yang et al. (2019) train on different permutations of word order in the input sequence, maximizing the probability of the original word order (cf. the n-gram word order reconstruction task (Wang et al., 2019a)). Clark et al. (2020) detect tokens that were replaced by a generator network rather than masked.\n- NSP alternatives. Removing NSP does not hurt or slightly improves performance (Liu et al., 2019b; Joshi et al., 2020; Clinchant et al., 2019). Wang et al. (2019a) and Cheng et al. (2019) replace NSP with the task of predicting both the next and the previous sentences. Lan et al. (2020a) replace the negative NSP examples by swapped sentences from positive examples, rather than sentences from different documents. ERNIE 2.0 includes sentence reordering and sentence distance prediction. Bai et al. (2020) replace both NSP and token position embeddings by a combination of paragraph, sentence, and token index embeddings. Li and Choi (2020) experiment with utterance order prediction task for multiparty dialogue (and also MLM at the level of utterances and the whole dialogue).\n- Other tasks. Sun et al. (2019c) propose simultaneous learning of 7 tasks, including discourse relation classification and predicting whether a segment is relevant for IR. Guu et al. (2020) include a latent knowledge retriever in language model pretraining. Wang et al. (2020c) combine MLM with knowledge base completion objective. Glass et al. (2020) replace MLM with span prediction task (as in extractive question answering), where the model is expected to provide the answer not from its own weights, but from a *different* passage containing the correct answer (a relevant search engine query snippet).\n\nAnother obvious source of improvement is pretraining data. Several studies explored the benefits of increasing the corpus volume (Liu et al., 2019b; Conneau et al., 2019; Baevski et al., 2019) and longer training (Liu et al., 2019b). The data also does not have to be raw text: there is a number efforts to incorporate explicit linguistic information, both syntactic (Sundararaman et al., 2019) and semantic (Zhang et al., 2020). Wu et al. (2019b) and Kumar et al. (2020) include the label for a given sequence from an annotated task dataset. Schick and Schütze (2020) separately learn representations for rare words.\n\nAlthough BERT is already actively used as a source of world knowledge (see subsection 3.3), there is also work on explicitly supplying structured knowledge. One approach is entityenhanced models. For example, Peters et al. (2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter modules. They achieve competitive performance on 26 classification tasks at a fraction of the computational cost. Adapters in BERT were also used for multi-task learning (Stickland and Murray, 2019) and cross-lingual transfer (Artetxe et al., 2019). An alternative to fine-tuning is extracting features from frozen representations, but fine-tuning works better for BERT (Peters et al., 2019b).\n\nA big methodological challenge in the current NLP is that the reported performance improvements of new models may well be within variation induced by environment factors (Crane, 2018). BERT is not an exception. Dodge et al. (2020) report significant variation for BERT fine-tuned on GLUE tasks due to both weight initialization and training data order. They also propose early stopping on the less-promising seeds.\n\nAlthough we hope that the above observations may be useful for the practitioners, this section does not exhaust the current research on fine-tuning and its alternatives. For example, we do not cover such topics as Siamese architectures, policy gradient training, automated curriculum learning, and others.\n\n## 6 How big should BERT be?\n\n### 6.1 Overparameterization\n\nTransformer-based models keep growing by orders of magnitude: the 110M parameters of base BERT are now dwarfed by 17B parameters of Turing-NLG (Microsoft, 2020), which is dwarfed by 175B of GPT-3 (Brown et al., 2020). This trend raises concerns about computational complexity of self-attention (Wu et al., 2019a), environmental issues (Strubell et al., 2019; Schwartz et al., 2019), fair comparison of architectures (Aßenmacher and Heumann, 2020), and reproducibility.\n\nHuman language is incredibly complex, and would perhaps take many more parameters to describe fully, but the current models do not make good use of the parameters they already have. Voita et al. (2019b) showed that all but a few Transformer heads could be pruned without significant losses in performance. For BERT, Clark et al. (2019) observe that most heads in the same layer show similar self-attention patterns (perhaps related to the fact that the output of all self-attention heads in a layer is passed through the same MLP), which explains why Michel et al. (2019) were able to reduce most layers to a single head.\n\nDepending on the task, some BERT heads/layers are not only redundant (Kao et al., 2020), but also harmful to the downstream task performance. Positive effect from head disabling was reported for machine translation (Michel et al., 2019), abstractive summarization (Baan et al., 2019), and GLUE tasks (Kovaleva et al., 2019). Additionally, Tenney et al. (2019a) examine the cumulative gains of their structural probing classifier, observing that in 5 out of 8 probing tasks some layers cause a drop in scores (typically in the final layers). Gordon et al. (2020) find that 30–40% of the weights can be pruned without impact on downstream tasks.\n\nIn general, larger BERT models perform better (Liu et al., 2019a; Roberts et al., 2020), but not always: BERT-base outperformed BERT-large on subject-verb agreement (Goldberg, 2019) and sentence subject detection (Lin et al., 2019). Given the complexity of language, and amounts of pretraining data, it is not clear why BERT ends up with redundant heads and layers. Clark et al. (2019) suggest that one possible reason is the use of attention dropouts, which causes some attention weights to be zeroed-out during training.\n\n#### 6.2 Compression techniques\n\nGiven the above evidence of overparameterization, it does not come as a surprise that BERT can be efficiently compressed with minimal accuracy loss, which would be highly desirable for real-world applications. Such efforts to date are summarized in Table 1. The main approaches are knowledge distillation, quantization, and pruning.\n\nThe studies in the knowledge distillation framework (Hinton et al., 2014) use a smaller student-network trained to mimic the behavior of a larger teacher-network. For BERT, this has been achieved through experiments with loss functions (Sanh et al., 2019b; Jiao et al., 2019), mimicking the activation patterns of individual portions of the teacher network (Sun et al., 2019a), and knowledge transfer at the pre-training (Turc et al., 2019; Jiao et al., 2019; Sun et al., 2020) or fine-tuning stage (Jiao et al., 2019). McCarley et al. (2020) suggest that distillation has so far worked better for GLUE than for reading comprehension, and report good results for QA from a combination of structured pruning and task-specific distillation.\n\nQuantization decreases BERT's memory footprint through lowering the precision of its weights (Shen et al., 2019; Zafrir et al., 2019). Note that", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "mBERT across 29 tasks. Either way, these models do not address the inclusion problems raised by [65], who note that over 90% of the world's languages used by more than a billion people currently have little to no support in terms of language technology.\n\nAlongside work investigating what information the models retain from the data, we see a trend in reducing the size of these models using various techniques such as knowledge distillation [26, 58], quantization [118, 153], factorized embedding parameterization and cross-layer parameter sharing [70], and progressive module replacing [146]. Rogers et al. [110] provide a comprehensive comparison of models derived from BERT using these techniques, such as DistilBERT [113] and ALBERT [70]. While these models maintain and sometimes exceed the performance of the original BERT model, despite their much smaller size, they ultimately still rely on large quantities of data and significant processing and storage capabilities to both hold and reduce the model.\n\nWe note that the change from n-gram LMs to word vectors distilled from neural LMs to pretrained Transformer LMs is paralleled by an expansion and change in the types of tasks they are useful for: n-gram LMs were initially typically deployed in selecting among the outputs of e.g. acoustical or translation models; the LSTM-derived word vectors were quickly picked up as more effective representations of words (in place of bag of words features) in a variety of NLP tasks involving labeling and classification; and the pretrained Transformer models can be retrained on very small datasets (few-shot, one-shot or even zero-shot learning) to perform apparently meaning-manipulating tasks such as summarization, question answering and the like. Nonetheless, all of these systems share the property of being LMs in the sense we give above, that is, systems trained to predict sequences of words (or characters or sentences). Where they differ is in the size of the training datasets they leverage and the spheres of influence they can possibly affect. By scaling up in these two ways, modern very large LMs incur new kinds of risk, which we turn to in the following sections.\n\n# 3 ENVIRONMENTAL AND FINANCIAL COST\n\nStrubell et al. recently benchmarked model training and development costs in terms of dollars and estimated 퐶푂2 emissions [129]. While the average human is responsible for an estimated 5t 퐶푂2푒 per year,2 the authors trained a Transformer (big) model [136] with neural architecture search and estimated that the training procedure emitted 284t of 퐶푂2. Training a single BERT base model (without hyperparameter tuning) on GPUs was estimated to require as much energy as a trans-American flight.\n\nWhile some of this energy comes from renewable sources, or cloud compute companies' use of carbon credit-offset sources, the authors note that the majority of cloud compute providers' energy is not sourced from renewable sources and many energy sources in the world are not carbon neutral. In addition, renewable energy sources are still costly to the environment,3 and data centers with increasing computation requirements take away from other potential uses of\n\ngreen energy,4 underscoring the need for energy efficient model architectures and training paradigms.\n\nStrubell et al. also examine the cost of these models vs. their accuracy gains. For the task of machine translation where large LMs have resulted in performance gains, they estimate that an increase in 0.1 BLEU score using neural architecture search for English to German translation results in an increase of $150,000 compute cost in addition to the carbon emissions. To encourage more equitable access to NLP research and reduce carbon footprint, the authors give recommendations to report training time and sensitivity to hyperparameters when the released model is meant to be re-trained for downstream use. They also urge governments to invest in compute clouds to provide equitable access to researchers.\n\nInitiatives such as the SustainNLP workshop5 have since taken up the goal of prioritizing computationally efficient hardware and algorithms. Schwartz et al. [115] also call for the development of green AI, similar to other environmentally friendly scientific developments such as green chemistry or sustainable computing. As shown in [5], the amount of compute used to train the largest deep learning models (for NLP and other applications) has increased 300,000x in 6 years, increasing at a far higher pace than Moore's Law. To promote green AI, Schwartz et al. argue for promoting efficiency as an evaluation metric and show that most sampled papers from ACL 2018, NeurIPS 2018, and CVPR 2019 claim accuracy improvements alone as primary contributions to the field, and none focused on measures of efficiency as primary contributions. Since then, works such as [57, 75] have released online tools to help researchers benchmark their energy usage. Among their recommendations are to run experiments in carbon friendly regions, consistently report energy and carbon metrics, and consider energyperformance trade-offs before deploying energy hungry models. In addition to these calls for documentation and technical fixes, Bietti and Vatanparast underscore the need for social and political engagement in shaping a future where data driven systems have minimal negative impact on the environment [16].\n\nWhile [129] benchmarks the training process in a research setting, many LMs are deployed in industrial or other settings where the cost of inference might greatly outweigh that of training in the long run. In this scenario, it may be more appropriate to deploy models with lower energy costs during inference even if their training costs are high. In addition to benchmarking tools, works estimating the cost increase associated with the introduction of LMs for particular applications, and how they compare to alternative NLP methods, will be important for understanding the trade-offs.\n\nWhen we perform risk/benefit analyses of language technology, we must keep in mind how the risks and benefits are distributed, because they do not accrue to the same people. On the one hand, it is well documented in the literature on environmental racism that the negative effects of climate change are reaching and impacting the world's most marginalized communities first [1, 27].6 Is it fair or just to ask, for example, that the residents of the Maldives (likely to be underwater by 2100 [6]) or the 800,000 people in Sudan affected\n\n2Data for 2017, from https://ourworldindata.org/co2-emissions, accessed Jan 21, 2021 3https://www.heraldscotland.com/news/18270734.14m-trees-cut-scotland-make-waywind-farms/\n\n4https://news.microsoft.com/2017/11/02/microsoft-announces-one-of-the-largestwind-deals-in-the-netherlands-with-vattenfall/\n\n5https://sites.google.com/view/sustainlp2020/organization\n\n6https://www.un.org/sustainabledevelopment/blog/2016/10/report-inequalitiesexacerbate-climate-impacts-on-poor/", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "**43**. Liu Y, Ott M, Goyal N, et al. Roberta: a robustly optimized bert pretraining approach. arXiv. Preprint posted online July 26, 2019. doi:10.48550/arXiv.1907.11692\n\n**44**. Touvron H, Martin L, Stone K, et al. Llama 2: open foundation and fine-tuned chat models. arXiv. Preprint posted online July 19, 2023. doi:10.48550/arXiv.2307.09288\n\n**45**. World Health Organization. Conceptual framework for the international classification for patient safety version 1.1: final technical report January 2009. 2010. Accessed October 23, 2024. https://www.who.int/publications/ i/item/WHO-IER-PSP-2010.2\n\n**46**. Lin CY. Rouge: a package for automatic evaluation of summaries. 2004. Accessed October 23, 2024. https:// aclanthology.org/W04-1013/\n\n**47**. Zhang T, Kishore V, Wu F, Weinberger KQ, Artzi Y. Bertscore: Evaluating text generation with bert. arXiv. Preprint posted online February 24, 2020. doi:10.48550/arXiv.1904.09675\n\n**48**. Lattimer BM, Chen P, Zhang X, Yang Y. Fast and accurate factual inconsistency detection over long documents. Presented at: Conference on Empirical Methods in Natural Language Processing. December 6-10, 2023; Singapore.\n\n**49**. Schaye V, Miller L, Kudlowitz D, et al. Development of a clinical reasoning documentation assessment tool for resident and fellow admission notes: a shared mental model for feedback.J Gen Intern Med. 2022;37(3):507-512. doi:10.1007/s11606-021-06805-6\n\n**50**. Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge summaries to patient-friendly language and format.JAMA Netw Open. 2024;7(3):e240357. doi:10.1001/ jamanetworkopen.2024.0357\n\n**51**. Choudhury A, Chaudhry Z. Large language models and user trust: consequence of self-referential learning loop and the deskilling of health care professionals.J Med Internet Res. 2024;26:e56764. doi:10.2196/56764\n\n**52**. Gisev N, Bell JS, Chen TF. Interrater agreement and interrater reliability: key concepts, approaches, and applications. Res Social Adm Pharm. 2013;9(3):330-338. doi:10.1016/j.sapharm.2012.04.004\n\n**53**. Baxter SL, Longhurst CA, Millen M, Sitapati AM, Tai-Seale M. Generative artificial intelligence responses to patient messages in the electronic health record: early lessons learned.JAMIA Open. 2024;7(2):ooae028. doi:10. 1093/jamiaopen/ooae028\n\n**54**. Goodman KE, Paul HY, Morgan DJ. LLM-generated clinical summaries require more than accuracy.JAMA. 2024;331(8):637-638. doi:10.1001/jama.2024.0555\n\n**55**. Achiam J, Adler S, Agarwal S, et al. Gpt-4 technical report. arXiv. Preprint posted online March 4, 2024. doi:10. 48550/arXiv.2303.08774\n\n**56**. Chung HW, Hou L, Longpre S, et al. Scaling instruction-finetuned language models.J Mach Learn Res. 2024; 25(70):1-53.\n\n#### **SUPPLEMENT 1.**\n\n**eAppendix 1.** Technology Specifications, Model Training, and Inference **eAppendix 2.** Automated Method of SCALE **eTable 1.** Definitions From the Clinical Assessment **eTable 2.** Worst Case Scenario of Incorrectness Examples From LLM-Generated Notes\n\n**SUPPLEMENT 2.**\n\n**Data Sharing Statement**\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 12/12", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed8.pdf" - }, - { - "text": "*International Conference on Learning Representations*.\n\n- Olga Kovaleva, Alexey Romanov, Anna Rogers, and Anna Rumshisky. 2019. Revealing the Dark Secrets of BERT. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 4356–4365, Hong Kong, China. Association for Computational Linguistics.\n- Kalpesh Krishna, Gaurav Singh Tomar, Ankur P. Parikh, Nicolas Papernot, and Mohit Iyyer. 2020. Thieves on Sesame Street! Model Extraction of BERT-Based APIs. In *ICLR 2020*.\n- Varun Kumar, Ashutosh Choudhary, and Eunah Cho. 2020. Data Augmentation using Pre-Trained Transformer Models. *arXiv:2003.02245 [cs]*.\n- Ilia Kuznetsov and Iryna Gurevych. 2020. A Matter of Framing: The Impact of Linguistic Formalism on Probing Results. *arXiv:2004.14999 [cs]*.\n- Guillaume Lample and Alexis Conneau. 2019. Cross-Lingual Language Model Pretraining. *arXiv:1901.07291 [cs]*.\n- Zhenzhong Lan, Mingda Chen, Sebastian Goodman, Kevin Gimpel, Piyush Sharma, and Radu Soricut. 2020a. ALBERT: A Lite BERT for Self-Supervised Learning of Language Representations. In *ICLR*.\n- Zhenzhong Lan, Mingda Chen, Sebastian Goodman, Kevin Gimpel, Piyush Sharma, and Radu Soricut. 2020b. ALBERT: A Lite BERT for Self-supervised Learning of Language Representations. In *ICLR 2020*.\n- Cheolhyoung Lee, Kyunghyun Cho, and Wanmo Kang. 2019. Mixout: Effective regularization to finetune large-scale pretrained language models. *arXiv preprint arXiv:1909.11299*.\n- Mike Lewis, Yinhan Liu, Naman Goyal, Marjan Ghazvininejad, Abdelrahman Mohamed, Omer Levy, Ves Stoyanov, and Luke Zettlemoyer. 2019. BART: Denoising Sequence-to-Sequence Pre-Training for Natural Language Generation, Translation, and Comprehension. *arXiv:1910.13461 [cs, stat]*.\n- Changmao Li and Jinho D. Choi. 2020. Transformers to Learn Hierarchical Contexts in Multiparty Dialogue for Span-based Question Answering. In *Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics*, pages 5709–5714, Online. Association for Computational Linguistics.\n- Zhuohan Li, Eric Wallace, Sheng Shen, Kevin Lin, Kurt Keutzer, Dan Klein, and Joseph E Gonzalez. 2020. Train large, then compress: Rethinking model size for efficient training and inference of transformers. *arXiv preprint arXiv:2002.11794*.\n- Yongjie Lin, Yi Chern Tan, and Robert Frank. 2019. Open Sesame: Getting inside BERT's Linguistic Knowledge. In *Proceedings of the 2019 ACL Workshop BlackboxNLP: Analyzing and Interpreting Neural Networks for NLP*, pages 241– 253.\n- Nelson F. Liu, Matt Gardner, Yonatan Belinkov, Matthew E. Peters, and Noah A. Smith. 2019a. Linguistic Knowledge and Transferability of Contextual Representations. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pages 1073–1094, Minneapolis, Minnesota. Association for Computational Linguistics.\n- Yinhan Liu, Myle Ott, Naman Goyal, Jingfei Du, Mandar Joshi, Danqi Chen, Omer Levy, Mike Lewis, Luke Zettlemoyer, and Veselin Stoyanov. 2019b. RoBERTa: A Robustly Optimized BERT Pretraining Approach. *arXiv:1907.11692 [cs]*.\n- Xiaofei Ma, Zhiguo Wang, Patrick Ng, Ramesh Nallapati, and Bing Xiang. 2019. Universal Text Representation from BERT: An Empirical Study. *arXiv:1910.07973 [cs]*.\n- Christopher D. Manning, Kevin Clark, John Hewitt, Urvashi Khandelwal, and Omer Levy. 2020. Emergent linguistic structure in artificial neural networks trained by self-supervision. *Proceedings of the National Academy of Sciences*, page 201907367.\n- Chandler May, Alex Wang, Shikha Bordia, Samuel R. Bowman, and Rachel Rudinger. 2019. On Measuring Social Biases in Sentence Encoders. In *Proceedings of the 2019 Confer-*", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 3: Attention patterns in BERT (Kovaleva et al., 2019)\n\nies) insufficient (Warstadt et al., 2019). A given method might also favor one model over another, e.g., RoBERTa trails BERT with one tree extraction method, but leads with another (Htut et al., 2019). The choice of linguistic formalism also matters (Kuznetsov and Gurevych, 2020).\n\nIn view of all that, the alternative is to focus on identifying what BERT actually relies on at inference time. This direction is currently pursued both at the level of architecture blocks (to be discussed in detail in subsection 6.3), and at the level of information encoded in model weights. Amnesic probing (Elazar et al., 2020) aims to specifically remove certain information from the model and see how it changes performance, finding, for example, that language modeling does rely on part-of-speech information.\n\nAnother direction is information-theoretic probing. Pimentel et al. (2020) operationalize probing as estimating mutual information between the learned representation and a given linguistic property, which highlights that the focus should be not on the amount of information contained in a representation, but rather on how easily it can be extracted from it. Voita and Titov (2020) quantify the amount of effort needed to extract information from a given representation as minimum description length needed to communicate both the probe size and the amount of data required for it to do well on a task.\n\n### 4 Localizing linguistic knowledge\n\n#### 4.1 BERT embeddings\n\nIn studies of BERT, the term \"embedding\" refers to the output of a Transformer layer (typically, the final one). Both conventional static embeddings (Mikolov et al., 2013) and BERT-style embeddings can be viewed in terms of mutual information maximization (Kong et al., 2019), but the latter are contextualized. Every token is represented by a vector dependent on the particular context of occurrence, and contains at least some information about that context (Miaschi and Dell'Orletta, 2020).\n\nSeveral studies reported that distilled contextualized embeddings better encode lexical semantic information (i.e. they are better at traditional word-level tasks such as word similarity). The methods to distill a contextualized representation into static include aggregating the information across multiple contexts (Akbik et al., 2019; Bommasani et al., 2020), encoding \"semantically bleached\" sentences that rely almost exclusively on the meaning of a given word (e.g. \"This is <>\") (May et al., 2019), and even using contextualized embeddings to train static embeddings (Wang et al., 2020d).\n\nBut this is not to say that there is no room for improvement. Ethayarajh (2019) measure how similar the embeddings for identical words are in every layer, reporting that later BERT layers produce more context-specific representations3 . They also find that BERT embeddings occupy a narrow cone in the vector space, and this effect increases from the earlier to later layers. That is, two random words will on average have a much higher cosine similarity than expected if embeddings were directionally uniform (isotropic). Since isotropy was shown to be beneficial for static word embeddings (Mu and Viswanath, 2018), this might be a fruitful direction to explore for BERT.\n\nSince BERT embeddings are contextualized, an interesting question is to what extent they capture phenomena like polysemy and homonymy. There is indeed evidence that BERT's contextualized embeddings form distinct clusters corresponding to word senses (Wiedemann et al., 2019; Schmidt and Hofmann, 2020), making BERT successful at word sense disambiguation task. However, Mickus et al. (2019) note that the representations of the same word depend on the position of the sentence in which it occurs, likely due to the NSP objective. This is not desirable from the linguistic point of view, and could be a promising\n\n3Voita et al. (2019a) look at the evolution of token embeddings, showing that in the earlier Transformer layers, MLM forces the acquisition of contextual information at the expense of the token identity, which gets recreated in later layers.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 5: Pre-trained weights help BERT find wider optima in fine-tuning on MRPC (right) than training from scratch (left) (Hao et al., 2019)\n\nbeddings as input for training BERT, while Poerner et al. (2019) adapt entity vectors to BERT representations. As mentioned above, Wang et al. (2020c) integrate knowledge not through entity embeddings, but through additional pre-training objective of knowledge base completion. Sun et al. (2019b,c) modify the standard MLM task to mask named entities rather than random words, and Yin et al. (2020) train with MLM objective over both text and linearized table data. Wang et al. (2020a) enhance RoBERTa with both linguistic and factual knowledge with task-specific adapters.\n\nPre-training is the most expensive part of training BERT, and it would be informative to know how much benefit it provides. On some tasks, a randomly initialized and fine-tuned BERT obtains competitive or higher results than the pre-trained BERT with the task classifier and frozen weights (Kovaleva et al., 2019). The consensus in the community is that pre-training does help in most situations, but the degree and its exact contribution requires further investigation. Prasanna et al. (2020) found that *most* weights of pre-trained BERT are useful in fine-tuning, although there are \"better\" and \"worse\" subnetworks. One explanation is that pre-trained weights help the fine-tuned BERT find wider and flatter areas with smaller generalization error, which makes the model more robust to overfitting (see Figure 5 from Hao et al. (2019)).\n\nGiven the large number and variety of proposed modifications, one would wish to know how much impact each of them has. However, due to the overall trend towards large model sizes, systematic ablations have become expensive. Most new models claim superiority on standard benchmarks, but gains are often marginal, and estimates of model stability and significance testing are very rare.\n\n### 5.4 Fine-tuning BERT\n\nPre-training + fine-tuning workflow is a crucial part of BERT. The former is supposed to provide task-independent knowledge, and the latter would presumably teach the model to rely more on the representations useful for the task at hand.\n\nKovaleva et al. (2019) did not find that to be the case for BERT fine-tuned on GLUE tasks5 : during fine-tuning, the most changes for 3 epochs occurred in the last two layers of the models, but those changes caused self-attention to focus on [SEP] rather than on linguistically interpretable patterns. It is understandable why fine-tuning would increase the attention to [CLS], but not [SEP]. If Clark et al. (2019) are correct that [SEP] serves as \"noop\" indicator, fine-tuning basically tells BERT what to ignore.\n\nSeveral studies explored the possibilities of improving the fine-tuning of BERT:\n\n- Taking more layers into account: learning a complementary representation of the information in deep and output layers (Yang and Zhao, 2019), using a weighted combination of all layers instead of the final one (Su and Cheng, 2019; Kondratyuk and Straka, 2019), and layer dropout (Kondratyuk and Straka, 2019).\n- Two-stage fine-tuning introduces an intermediate supervised training stage between pre-training and fine-tuning (Phang et al., 2019; Garg et al., 2020; Arase and Tsujii, 2019; Pruksachatkun et al., 2020; Glavaš and Vulic´, 2020). Ben-David et al. (2020) propose a pivot-based variant of MLM to fine-tune BERT for domain adaptation.\n- Adversarial token perturbations improve robustness of the model (Zhu et al., 2019).\n- Adversarial regularization in combination with *Bregman Proximal Point Optimization* helps alleviate pre-trained knowledge forgetting and therefore prevents BERT from overfitting to downstream tasks (Jiang et al., 2019a).\n- Mixout regularization improves the stability of BERT fine-tuning even for a small number of training examples (Lee et al., 2019).\n\nWith large models, even fine-tuning becomes expensive, but Houlsby et al. (2019) show that it can\n\n5Kondratyuk and Straka (2019) suggest that fine-tuning on Universal Dependencies does result in syntactically meaningful attention patterns, but there was no quantitative evaluation.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "### 3 What knowledge does BERT have?\n\nA number of studies have looked at the knowledge encoded in BERT weights. The popular approaches include fill-in-the-gap probes of MLM, analysis of self-attention weights, and probing classifiers with different BERT representations as inputs.\n\n#### 3.1 Syntactic knowledge\n\nLin et al. (2019) showed that BERT representations are hierarchical rather than linear, i.e. there is something akin to syntactic tree structure in addition to the word order information. Tenney et al. (2019b) and Liu et al. (2019a) also showed that BERT embeddings encode information about parts of speech, syntactic chunks and roles. Enough syntactic information seems to be captured in the token embeddings themselves to recover syntactic trees (Vilares et al., 2020; Kim et al., 2020; Rosa and Marecek ˇ , 2019), although probing classifiers could not recover the labels of distant parent nodes in the syntactic tree (Liu et al., 2019a). Warstadt and Bowman (2020) report evidence of hierarchical structure in three out of four probing tasks. [CLS]For thosewho follow social media transitions on CapitolHill , thiswill be a little different . [CLS] For those who follow social media transitions on Capitol Hill , this will be a little different . 0 Figure 1: Heatmap of the impact matrix for the sentence \"For those who follow social media transitions on Capitol Hill, this will be a little different.\"\n\nAs far as *how* syntax is represented, it seems that syntactic structure is not directly encoded in self-attention weights. Htut et al. (2019) were unable to extract full parse trees from BERT heads even with the gold annotations for the root. Jawahar et al. (2019) include a brief illustration of a dependency tree extracted directly from self-attention weights, but provide no quantitative evaluation. 3 Visualization with Impact Maps Before we discuss specific syntactic phenomena, let us first analyze some example impact matrices derived from sample sentences. We visualize an impact matrix of a sentence by displaying a heatmap. We use the term \"impact map\" to refer\n\nHowever, syntactic information can be recovered from BERT token representations. Hewitt and Manning (2019) were able to learn transformation matrices that successfully recovered syntactic dependencies in PennTreebank data from BERT's token embeddings (see also Manning et al., 2020). Jawahar et al. (2019) experimented with transformations of the [CLS] token using Tensor Product Decomposition Networks (McCoy et al., 2019a), concluding that dependency trees are the best match among 5 decomposition schemes (although the reported MSE differences are very small). Miaschi and Dell'Orletta (2020) performs a range of syntactic probing experiments with concatenated token representations as input. to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English Parallel Universal Dependencies (PUD) treebank of the CoNLL 2017 Shared Task (Zeman et al., 2017). We follow the setup and pre-processing steps employed in pre-training BERT. An example impact map is shown in Figure 1. Dependency. We notice that the impact map contains many *stripes*, which are short series of vertical/horizontal cells, typically located along the diagonal. Take the word \"*different*\" as an example (which is illustrated by the second-to-last column in the impact matrix). We observe a clear vertical stripe above the main diagonal. The interpretation is that this particular occurrence of the word \"*different*\" strongly affects the occurrences\n\nNote that all these approaches look for the evidence of gold-standard linguistic structures, and add some amount of extra knowledge to the probe. Most recently, Wu et al. (2020) proposed a of those words before it. These strong influences are shown by the darker-colored pixels seen in the second last column of the impact map. This observation agrees with the ground-truth dependency tree, which selects \"*different*\" as the head of all\n\nfrom the matrices (see Section 4.1).\n\nremaining words in the phrase \"*this will be a little different*.\" We also observe similar patterns on \"*transitions*\" and \"*Hill*\". Such correlations lead us to explore the idea of extracting dependency trees\n\nfollow social media transitions on Capitol Hill\n\nFigure 2: Part of the constituency tree.\n\nConstituency. Figure 2 shows part of the constituency tree of our example sentence generated by Stanford CoreNLP (Manning et al., 2014). In this sentence, \"*media*\" and \"*on*\" are two words that are adjacent to \"*transitions*\". From the tree, however, we see that \"*media*\" is closer to \"*transitions*\" than \"*on*\" is in terms of syntactic distance. If a model is syntactically uninformed, we would expect \"*media*\" and \"*on*\" to have comparable impacts on the prediction of \"*transitions*\", and vice versa. However, we observe a far greater impact (darker color) between \"*media*\" and \"*transitions*\" than that between \"*on*\" and \"*transitions*\". We will further support this observation with empirical ex-\n\nOther Structures. Along the diagonal of the impact map, we see that words are grouped into four contiguous chunks that have specific intents (e.g., a noun phrase – *on Capitol Hill*). We also observe that the two middle chunks have relatively strong inter-chunk word impacts and thus a bonding that groups them together, forming a larger verb phrase. This observation suggest that BERT may capture the compositionality of the language. In the following sections we quantitatively eval-\n\nWe start with two syntactic probes – dependency\n\nWith the goal of exploring the extent dependency relations are captured in BERT, we set out to answer the following question: Can BERT outperform linguistically uninformed baselines in unsupervised dependency parsing? If so, to what ex-\n\nWe begin by using the token-level perturbed masking technique to extract an impact matrix F for each sentence. We then utilize graph-based algorithms to induce a dependency tree from F, and compare it against ground-truth whose annotations\n\nperiments in Section 4.2.\n\nuate these observations.\n\n4 Syntactic Probe\n\nprobe and constituency probe.\n\n4.1 Dependency Probe\n\ntent?\n\n3 Visualization with Impact Maps Before we discuss specific syntactic phenomena, Figure 2: Part of the constituency tree. Constituency. Figure 2 shows part of the con-Figure 1: Parameter-free probe for syntactic knowledge: words sharing syntactic subtrees have larger impact on each other in the MLM prediction (Wu et al., 2020)\n\n1\n\n2\n\n3\n\n4\n\n5\n\nlet us first analyze some example impact matrices derived from sample sentences. We visualize an impact matrix of a sentence by displaying a heatmap. We use the term \"impact map\" to refer to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English stituency tree of our example sentence generated by Stanford CoreNLP (Manning et al., 2014). In this sentence, \"*media*\" and \"*on*\" are two words that are adjacent to \"*transitions*\". From the tree, however, we see that \"*media*\" is closer to \"*transitions*\" than \"*on*\" is in terms of syntactic distance. If a model is syntactically uninformed, we would expect \"*media*\" and \"*on*\" to have comparable imparameter-free approach based on measuring the impact that one word has on predicting another word within a sequence in the MLM task (Figure 1). They concluded that BERT \"naturally\" learns some syntactic information, although it is not very similar to linguistic annotated resources.\n\nParallel Universal Dependencies (PUD) treebank of the CoNLL 2017 Shared Task (Zeman et al., 2017). We follow the setup and pre-processing steps employed in pre-training BERT. An example impact map is shown in Figure 1. Dependency. We notice that the impact map contains many *stripes*, which are short series of vertical/horizontal cells, typically located along the diagonal. Take the word \"*different*\" as an example (which is illustrated by the second-to-last column in the impact matrix). We observe a clear pacts on the prediction of \"*transitions*\", and vice versa. However, we observe a far greater impact (darker color) between \"*media*\" and \"*transitions*\" than that between \"*on*\" and \"*transitions*\". We will further support this observation with empirical experiments in Section 4.2. Other Structures. Along the diagonal of the impact map, we see that words are grouped into four contiguous chunks that have specific intents (e.g., a noun phrase – *on Capitol Hill*). We also observe that the two middle chunks have relatively strong inter-chunk word impacts and thus a bonding that groups them together, forming a larger The fill-in-the-gap probes of MLM showed that BERT takes subject-predicate agreement into account when performing the cloze task (Goldberg, 2019; van Schijndel et al., 2019), even for meaningless sentences and sentences with distractor clauses between the subject and the verb (Goldberg, 2019). A study of negative polarity items (NPIs) by Warstadt et al. (2019) showed that BERT is better able to detect the presence of NPIs (e.g. \"ever\") and the words that allow their use (e.g. \"whether\") than scope violations.\n\nvertical stripe above the main diagonal. The interpretation is that this particular occurrence of the word \"*different*\" strongly affects the occurrences of those words before it. These strong influences are shown by the darker-colored pixels seen in the second last column of the impact map. This observation agrees with the ground-truth dependency tree, which selects \"*different*\" as the head of all remaining words in the phrase \"*this will be a little different*.\" We also observe similar patterns on \"*transitions*\" and \"*Hill*\". Such correlations lead us verb phrase. This observation suggest that BERT may capture the compositionality of the language. In the following sections we quantitatively evaluate these observations. 4 Syntactic Probe We start with two syntactic probes – dependency probe and constituency probe. 4.1 Dependency Probe With the goal of exploring the extent dependency The above claims of syntactic knowledge are belied by the evidence that BERT does not \"understand\" negation and is insensitive to malformed input. In particular, its predictions were not altered2 even with shuffled word order, truncated sentences, removed subjects and objects (Ettinger, 2019). This could mean that either BERT's syntactic knowledge is incomplete, or it does not need to rely on it for solving its tasks. The latter seems more likely, since Glavaš and Vulic´ (2020)\n\nWe begin by using the token-level perturbed masking technique to extract an impact matrix F for each sentence. We then utilize graph-based algorithms to induce a dependency tree from F, and compare it against ground-truth whose annotations\n\n4168\n\nto explore the idea of extracting dependency trees\n\nrelations are captured in BERT, we set out to an-\n\n4168 from the matrices (see Section 4.1). swer the following question: Can BERT outperform linguistically uninformed baselines in unsupervised dependency parsing? If so, to what extent? 2 See also the recent findings on adversarial triggers, which get the model to produce a certain output even though they are not well-formed from the point of view of a human reader (Wallace et al., 2019a).", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "avenue for future work.\n\nThe above discussion concerns token embeddings, but BERT is typically used as a sentence or text encoder. The standard way to generate sentence or text representations for classification is to use the [CLS] token, but alternatives are also being discussed, including concatenation of token representations (Tanaka et al., 2020), normalized mean (Tanaka et al., 2020), and layer activations (Ma et al., 2019). See Toshniwal et al. (2020) for a systematic comparison of several methods across tasks and sentence encoders.\n\n### 4.2 Self-attention heads\n\nSeveral studies proposed classification of attention head types. Raganato and Tiedemann (2018) discuss attending to the token itself, previous/next tokens and the sentence end. Clark et al. (2019) distinguish between attending to previous/next tokens, [CLS], [SEP], punctuation, and \"attending broadly\" over the sequence. Kovaleva et al. (2019) propose 5 patterns shown in Figure 3.\n\n#### 4.2.1 Heads with linguistic functions\n\nThe \"heterogeneous\" attention pattern shown in Figure 3 *could* potentially be linguistically interpretable, and a number of studies focused on identifying the functions of self-attention heads. In particular, some BERT heads seem to specialize in certain types of syntactic relations. Htut et al. (2019) and Clark et al. (2019) report that there are BERT heads that attended significantly more than a random baseline to words in certain syntactic positions. The datasets and methods used in these studies differ, but they both find that there are heads that attend to words in obj role more than the positional baseline. The evidence for nsubj, advmod, and amod varies between these two studies. The overall conclusion is also supported by Voita et al. (2019b)'s study of the base Transformer in machine translation context. Hoover et al. (2019) hypothesize that even complex dependencies like dobj are encoded by a combination of heads rather than a single head, but this work is limited to qualitative analysis. Zhao and Bethard (2020) looked specifically for the heads encoding negation scope.\n\nBoth Clark et al. (2019) and Htut et al. (2019) conclude that no single head has the complete syntactic tree information, in line with evidence of partial knowledge of syntax (cf. subsection 3.1). However, Clark et al. (2019) identify a BERT head\n\nthat can be directly used as a classifier to perform coreference resolution on par with a rule-based system, which by itself would seem to require quite a lot of syntactic knowledge.\n\nLin et al. (2019) present evidence that attention weights are weak indicators of subjectverb agreement and reflexive anaphora. Instead of serving as strong pointers between tokens that should be related, BERT's self-attention weights were close to a uniform attention baseline, but there was some sensitivity to different types of distractors coherent with psycholinguistic data. This is consistent with conclusions by Ettinger (2019).\n\nTo our knowledge, morphological information in BERT heads has not been addressed, but with the sparse attention variant by Correia et al. (2019) in the base Transformer, some attention heads appear to merge BPE-tokenized words. For semantic relations, there are reports of self-attention heads encoding core frame-semantic relations (Kovaleva et al., 2019), as well as lexicographic and commonsense relations (Cui et al., 2020).\n\nThe overall popularity of self-attention as an interpretability mechanism is due to the idea that \"attention weight has a clear meaning: how much a particular word will be weighted when computing the next representation for the current word\" (Clark et al., 2019). This view is currently debated (Jain and Wallace, 2019; Serrano and Smith, 2019; Wiegreffe and Pinter, 2019; Brunner et al., 2020), and in a multi-layer model where attention is followed by non-linear transformations, the patterns in individual heads do not provide a full picture. Also, while many current papers are accompanied by attention visualizations, and there is a growing number of visualization tools (Vig, 2019; Hoover et al., 2019), the visualization is typically limited to qualitative analysis (often with cherry-picked examples) (Belinkov and Glass, 2019), and should not be interpreted as definitive evidence.\n\n#### 4.2.2 Attention to special tokens\n\nKovaleva et al. (2019) show that most selfattention heads do not directly encode any nontrivial linguistic information, at least when finetuned on GLUE (Wang et al., 2018), since only less than 50% of heads exhibit the \"heterogeneous\" pattern. Much of the model produced the vertical pattern (attention to [CLS], [SEP], and punctuation tokens), consistent with the observations by Clark et al. (2019). This redundancy is likely related to the overparameterization issue (see section 6).", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is syntaxis encoded with Bert model ?", - "target_page": 2, - "target_passage": " As far as how syntaxis represented, it seems that syntactic structure is not directly encoded in self-attention weights.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# A Primer in BERTology: What We Know About How BERT Works\n\nAnna Rogers Center for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\nOlga Kovaleva Dept. of Computer Science University of Massachusetts Lowell okovalev@cs.uml.edu\n\n### Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell arum@cs.uml.edu\n\n### Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n### 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear *why*, which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n### 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\n1https://github.com/ google-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "### 3 What knowledge does BERT have?\n\nA number of studies have looked at the knowledge encoded in BERT weights. The popular approaches include fill-in-the-gap probes of MLM, analysis of self-attention weights, and probing classifiers with different BERT representations as inputs.\n\n#### 3.1 Syntactic knowledge\n\nLin et al. (2019) showed that BERT representations are hierarchical rather than linear, i.e. there is something akin to syntactic tree structure in addition to the word order information. Tenney et al. (2019b) and Liu et al. (2019a) also showed that BERT embeddings encode information about parts of speech, syntactic chunks and roles. Enough syntactic information seems to be captured in the token embeddings themselves to recover syntactic trees (Vilares et al., 2020; Kim et al., 2020; Rosa and Marecek ˇ , 2019), although probing classifiers could not recover the labels of distant parent nodes in the syntactic tree (Liu et al., 2019a). Warstadt and Bowman (2020) report evidence of hierarchical structure in three out of four probing tasks. [CLS]For thosewho follow social media transitions on CapitolHill , thiswill be a little different . [CLS] For those who follow social media transitions on Capitol Hill , this will be a little different . 0 Figure 1: Heatmap of the impact matrix for the sentence \"For those who follow social media transitions on Capitol Hill, this will be a little different.\"\n\nAs far as *how* syntax is represented, it seems that syntactic structure is not directly encoded in self-attention weights. Htut et al. (2019) were unable to extract full parse trees from BERT heads even with the gold annotations for the root. Jawahar et al. (2019) include a brief illustration of a dependency tree extracted directly from self-attention weights, but provide no quantitative evaluation. 3 Visualization with Impact Maps Before we discuss specific syntactic phenomena, let us first analyze some example impact matrices derived from sample sentences. We visualize an impact matrix of a sentence by displaying a heatmap. We use the term \"impact map\" to refer\n\nHowever, syntactic information can be recovered from BERT token representations. Hewitt and Manning (2019) were able to learn transformation matrices that successfully recovered syntactic dependencies in PennTreebank data from BERT's token embeddings (see also Manning et al., 2020). Jawahar et al. (2019) experimented with transformations of the [CLS] token using Tensor Product Decomposition Networks (McCoy et al., 2019a), concluding that dependency trees are the best match among 5 decomposition schemes (although the reported MSE differences are very small). Miaschi and Dell'Orletta (2020) performs a range of syntactic probing experiments with concatenated token representations as input. to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English Parallel Universal Dependencies (PUD) treebank of the CoNLL 2017 Shared Task (Zeman et al., 2017). We follow the setup and pre-processing steps employed in pre-training BERT. An example impact map is shown in Figure 1. Dependency. We notice that the impact map contains many *stripes*, which are short series of vertical/horizontal cells, typically located along the diagonal. Take the word \"*different*\" as an example (which is illustrated by the second-to-last column in the impact matrix). We observe a clear vertical stripe above the main diagonal. The interpretation is that this particular occurrence of the word \"*different*\" strongly affects the occurrences\n\nNote that all these approaches look for the evidence of gold-standard linguistic structures, and add some amount of extra knowledge to the probe. Most recently, Wu et al. (2020) proposed a of those words before it. These strong influences are shown by the darker-colored pixels seen in the second last column of the impact map. This observation agrees with the ground-truth dependency tree, which selects \"*different*\" as the head of all\n\nfrom the matrices (see Section 4.1).\n\nremaining words in the phrase \"*this will be a little different*.\" We also observe similar patterns on \"*transitions*\" and \"*Hill*\". Such correlations lead us to explore the idea of extracting dependency trees\n\nfollow social media transitions on Capitol Hill\n\nFigure 2: Part of the constituency tree.\n\nConstituency. Figure 2 shows part of the constituency tree of our example sentence generated by Stanford CoreNLP (Manning et al., 2014). In this sentence, \"*media*\" and \"*on*\" are two words that are adjacent to \"*transitions*\". From the tree, however, we see that \"*media*\" is closer to \"*transitions*\" than \"*on*\" is in terms of syntactic distance. If a model is syntactically uninformed, we would expect \"*media*\" and \"*on*\" to have comparable impacts on the prediction of \"*transitions*\", and vice versa. However, we observe a far greater impact (darker color) between \"*media*\" and \"*transitions*\" than that between \"*on*\" and \"*transitions*\". We will further support this observation with empirical ex-\n\nOther Structures. Along the diagonal of the impact map, we see that words are grouped into four contiguous chunks that have specific intents (e.g., a noun phrase – *on Capitol Hill*). We also observe that the two middle chunks have relatively strong inter-chunk word impacts and thus a bonding that groups them together, forming a larger verb phrase. This observation suggest that BERT may capture the compositionality of the language. In the following sections we quantitatively eval-\n\nWe start with two syntactic probes – dependency\n\nWith the goal of exploring the extent dependency relations are captured in BERT, we set out to answer the following question: Can BERT outperform linguistically uninformed baselines in unsupervised dependency parsing? If so, to what ex-\n\nWe begin by using the token-level perturbed masking technique to extract an impact matrix F for each sentence. We then utilize graph-based algorithms to induce a dependency tree from F, and compare it against ground-truth whose annotations\n\nperiments in Section 4.2.\n\nuate these observations.\n\n4 Syntactic Probe\n\nprobe and constituency probe.\n\n4.1 Dependency Probe\n\ntent?\n\n3 Visualization with Impact Maps Before we discuss specific syntactic phenomena, Figure 2: Part of the constituency tree. Constituency. Figure 2 shows part of the con-Figure 1: Parameter-free probe for syntactic knowledge: words sharing syntactic subtrees have larger impact on each other in the MLM prediction (Wu et al., 2020)\n\n1\n\n2\n\n3\n\n4\n\n5\n\nlet us first analyze some example impact matrices derived from sample sentences. We visualize an impact matrix of a sentence by displaying a heatmap. We use the term \"impact map\" to refer to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English stituency tree of our example sentence generated by Stanford CoreNLP (Manning et al., 2014). In this sentence, \"*media*\" and \"*on*\" are two words that are adjacent to \"*transitions*\". From the tree, however, we see that \"*media*\" is closer to \"*transitions*\" than \"*on*\" is in terms of syntactic distance. If a model is syntactically uninformed, we would expect \"*media*\" and \"*on*\" to have comparable imparameter-free approach based on measuring the impact that one word has on predicting another word within a sequence in the MLM task (Figure 1). They concluded that BERT \"naturally\" learns some syntactic information, although it is not very similar to linguistic annotated resources.\n\nParallel Universal Dependencies (PUD) treebank of the CoNLL 2017 Shared Task (Zeman et al., 2017). We follow the setup and pre-processing steps employed in pre-training BERT. An example impact map is shown in Figure 1. Dependency. We notice that the impact map contains many *stripes*, which are short series of vertical/horizontal cells, typically located along the diagonal. Take the word \"*different*\" as an example (which is illustrated by the second-to-last column in the impact matrix). We observe a clear pacts on the prediction of \"*transitions*\", and vice versa. However, we observe a far greater impact (darker color) between \"*media*\" and \"*transitions*\" than that between \"*on*\" and \"*transitions*\". We will further support this observation with empirical experiments in Section 4.2. Other Structures. Along the diagonal of the impact map, we see that words are grouped into four contiguous chunks that have specific intents (e.g., a noun phrase – *on Capitol Hill*). We also observe that the two middle chunks have relatively strong inter-chunk word impacts and thus a bonding that groups them together, forming a larger The fill-in-the-gap probes of MLM showed that BERT takes subject-predicate agreement into account when performing the cloze task (Goldberg, 2019; van Schijndel et al., 2019), even for meaningless sentences and sentences with distractor clauses between the subject and the verb (Goldberg, 2019). A study of negative polarity items (NPIs) by Warstadt et al. (2019) showed that BERT is better able to detect the presence of NPIs (e.g. \"ever\") and the words that allow their use (e.g. \"whether\") than scope violations.\n\nvertical stripe above the main diagonal. The interpretation is that this particular occurrence of the word \"*different*\" strongly affects the occurrences of those words before it. These strong influences are shown by the darker-colored pixels seen in the second last column of the impact map. This observation agrees with the ground-truth dependency tree, which selects \"*different*\" as the head of all remaining words in the phrase \"*this will be a little different*.\" We also observe similar patterns on \"*transitions*\" and \"*Hill*\". Such correlations lead us verb phrase. This observation suggest that BERT may capture the compositionality of the language. In the following sections we quantitatively evaluate these observations. 4 Syntactic Probe We start with two syntactic probes – dependency probe and constituency probe. 4.1 Dependency Probe With the goal of exploring the extent dependency The above claims of syntactic knowledge are belied by the evidence that BERT does not \"understand\" negation and is insensitive to malformed input. In particular, its predictions were not altered2 even with shuffled word order, truncated sentences, removed subjects and objects (Ettinger, 2019). This could mean that either BERT's syntactic knowledge is incomplete, or it does not need to rely on it for solving its tasks. The latter seems more likely, since Glavaš and Vulic´ (2020)\n\nWe begin by using the token-level perturbed masking technique to extract an impact matrix F for each sentence. We then utilize graph-based algorithms to induce a dependency tree from F, and compare it against ground-truth whose annotations\n\n4168\n\nto explore the idea of extracting dependency trees\n\nrelations are captured in BERT, we set out to an-\n\n4168 from the matrices (see Section 4.1). swer the following question: Can BERT outperform linguistically uninformed baselines in unsupervised dependency parsing? If so, to what extent? 2 See also the recent findings on adversarial triggers, which get the model to produce a certain output even though they are not well-formed from the point of view of a human reader (Wallace et al., 2019a).", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "| | Finetuned | Language | # params | Size (Gb) | Seq. Len. | Emb. dim. | License | Sentence sim |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Model bert-base-multilingual-cased | No | multilingual | 1,78e+08 | 0.71 | 512 | 768 | Apache-2.0 | No |\n| bert-base-multilingual-uncased | No | multilingual | 1,67e+08 | 0.67 | 512 | 768 | Apache-2.0 | No |\n| camembert-base | No | french | 1,11e+08 | 0.44 | 514 | 768 | MIT | No |\n| camembert-large | No | french | 3,37e+08 | 1.35 | 514 | 1024 | MIT | No |\n| sentence-camembert-base | Yes | french | 1,11e+08 | 0.44 | 128 | 768 | Apache-2.0 | Yes |\n| sentence-camembert-large | Yes | french | 3,37e+08 | 1.35 | 514 | 1024 | Apache-2.0 | Yes |\n| sentence-flaubert-base | Yes | french | 1,37e+08 | 0.55 | 512 | 768 | Apache-2.0 | Yes |\n| embed-multilingual-light-v3.0 | N/A | multilingual | N/A | N/A | 512 | 384 | Closed source | N/A |\n| embed-multilingual-v3.0 | N/A | multilingual | N/A | N/A | 512 | 1024 | Closed source | N/A |\n| flaubert-base-cased | No | french | 1,38e+08 | 0.55 | 512 | 768 | MIT | No |\n| flaubert-base-uncased | No | french | 1,37e+08 | 0.55 | 512 | 768 | MIT | No |\n| flaubert-large-cased | No | french | 3,73e+08 | 1.49 | 512 | 1024 | MIT | No |\n| distilbert-base-25lang-cased | No | multilingual | 1,08e+08 | 0.43 | 512 | 768 | Apache-2.0 | No |\n| distilbert-base-en-fr-cased | No | bilingual | 6,86e+07 | 0.27 | 512 | 768 | Apache-2.0 | No |\n| distilbert-base-fr-cased | No | french | 6,17e+07 | 0.25 | 512 | 768 | Apache-2.0 | No |\n| multilingual-e5-base multilingual-e5-large | No No | multilingual multilingual | 2,78e+08 5,60e+08 | 1.11 2.24 | 512 512 | 768 1024 | MIT MIT | Yes Yes |\n| multilingual-e5-small | No | multilingual | 1,18e+08 | 0.47 | 512 | 384 | MIT | Yes |\n| e5-mistral-7b-instruct | Yes | english-plus | 7,11e+09 | 28.44 | 32768 | 4096 | MIT | Yes |\n| udever-bloom-1b1 | Yes | multilingual | 1,07e+09 | 4.26 | 2048 | 1536 | bloom-rail-1.0 | Yes |\n| udever-bloom-560m | Yes | multilingual | 5,59e+08 | 2.24 | 2048 | 1024 | bloom-rail-1.0 | Yes |\n| laser2 | Yes | multilingual | 4,46e+07 | 0.18 | N/A | 1024 | BSD License | Yes |\n| all-MiniLM-L12-v2 | Yes Yes | english-plus english-plus | 3,34e+07 2,27e+07 | 0.13 0.09 | 128 256 | 384 384 | Apache-2.0 Apache-2.0 | Yes Yes |\n| all-MiniLM-L6-v2 | Yes | multilingual | 1,35e+08 | 0.54 | 128 | 512 | Apache-2.0 | Yes |\n| distiluse-base-multilingual-cased-v2 LaBSE | Yes | multilingual | 4,72e+08 | 1.89 | 256 | 768 | Apache-2.0 | Yes |\n| multi-qa-MiniLM-L6-cos-v1 | Yes | english | 2,27e+07 | 0.09 | 512 | 384 | N/A | Yes |\n| paraphrase-multilingual-MiniLM-L12-v2 | Yes | multilingual | 1,18e+08 | 0.47 | 128 | 384 | Apache-2.0 | Yes |\n| sentence-t5-base | Yes | multilingual | 1,10e+08 | 0.44 | 256 | 768 | Apache-2.0 | Yes |\n| sentence-t5-large | Yes | multilingual | 3,36e+08 | 1.34 | 256 | 768 | Apache-2.0 | Yes |\n| sentence-t5-xl | Yes | multilingual | 1,24e+09 | 4.97 | 256 | 768 | Apache-2.0 | Yes |\n| sentence-t5-xxl | Yes | multilingual | 4,87e+09 | 19.46 | 256 | 768 | Apache-2.0 | Yes |\n| text2vec-base-multilingual | Yes | multilingual | 1,18e+08 | 0.47 | 256 | 384 | Apache-2.0 | Yes |\n| text-embedding-ada-002 | N/A | multilingual | N/A | N/A | 8191 | 1536 | Closed source | N/A |\n| text-embedding-3-small | N/A | multilingual | N/A | N/A | 8191 | 1536 | Closed source | N/A |\n| text-embedding-3-large | N/A | multilingual | N/A | N/A | 8191 | 3072 | Closed source | N/A |\n| mistral-embed | N/A | multilingual | N/A | N/A | 16384 | 1024 | Closed source | N/A |\n| universal-sentence-encoder-multilingual-3 | Yes | multilingual | 6,89e+07 | 0.28 | N/A | 512 | Apache-2.0 | Yes |\n| universal-sentence-encoder-multilingual-large-3 | Yes | multilingual | 8,52e+07 | 0.34 | N/A | 512 | Apache-2.0 | Yes |\n| xlm-roberta-base | No | multilingual | 2,78e+08 | 1.11 | 514 | 768 | MIT | No |\n| xlm-roberta-large | No | multilingual | 5,60e+08 | 2.24 | 514 | 1024 | MIT | No |\n| sentence-croissant-llm-base | Yes | french | 1,28e+09 | 5.12 | 256 | 2048 | MIT | Yes |\n| paraphrase-multilingual-mpnet-base-v2 | No | multilingual | 2,78e+08 | 1.11 | 128 | 768 | Apache-2.0 | Yes |\n| voyage-2 | N/A | english | N/A | N/A | 4000 | 1024 | Closed source | N/A |\n| voyage-code-2 | N/A | english | N/A | N/A | 16000 | 1536 | Closed source | N/A |\n| Solon-embeddings-large-0.1 | Yes | french | 5.60e+08 | 2.239561728 | 512.0 | 1024.0 | MIT | Yes |\n| Solon-embeddings-base-0.1 | Yes | french | 2.78e+08 | 1.112174592 | 512.0 | 768.0 | MIT | Yes |\n| sentence-croissant-alpha-v0.3 | Yes | french | 1.28e+09 | 5.11954944 | 1024.0 | 2048.0 | MIT | Yes |\n| sentence-croissant-alpha-v0.2 | Yes | french | 1.28e+09 | 5.11954944 | 1024.0 | 2048.0 | MIT | Yes |\n| bge-m3 | Yes | multilingual | 5.68e+08 | 2.271019008 | 8192.0 | 1024.0 | MIT | Yes |\n| bge-m3-custom-fr | Yes | multilingual | 5.68e+08 | 2.271019008 | 8192.0 | 1024.0 | MIT | Yes |\n\nTable 7: Models included in the benchmark with their main characteristics. The size in Gb is estimated using the number of parameters counted as float32 numbers. *Sentence sim* refers to the fact that the model was trained on a task that favors semantic similarity.\n\n| Task type | Prompt |\n| --- | --- |\n| Classification | \"Classify the following task: \" |\n| Clustering | \"Identify the topic or theme based on the text: \" |\n| Retrieval | \"Retrieve semantically similar text: \" |\n| Reranking | \"Re-rank the following text: \" |\n| Pair Classification | \"Classify the following pair of text: \" |\n| STS | \"Determine the similarity between the following text: \" |\n| Summarization | \"Summarize the following text: \" |\n| Bitext Mining | \"Translate the following text: \" |\n\nTable 8: Prompts used for the evaluation of *e5-mistral-7b-instruct*.", - "page_start": 19, - "page_end": 19, - "source_file": "arxiv4.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for sentence embeddings have been developed by the open-source community2 , by fine-tuning models like *CamemBERT*(Martin et al., 2019) or *CroissantLLM*(Faysse et al., 2024).\n\nBenchmarks Embedding models are generally compared on specific tasks, such as information retrieval, STS or reranking (Thakur et al., 2021; Agirre et al., 2016; Wang et al., 2021). Other works evaluate embedding models on multiple tasks (Wang et al., 2018; et al., 2022; Conneau and Kiela, 2018) or compare meta-embeddings (García-Ferrero et al., 2021). The most comprehensive benchmark to date is MTEB (Muennighoff et al., 2022). MTEB still has a critical limit: it mainly focuses on English. Some initiatives already extended this benchmark to other languages, such as Chinese (Xiao et al., 2024) and German (Wehrli et al., 2024). Our work comes with the same ambition for French. It relies on the MTEB structure that provides a solid basis for analysis and extends it to a new language.\n\n#### 3 MTEB for French\n\nIn this section, we describe the datasets and the models that we propose for the French extension of MTEB. We also list the research questions we want to discuss with the results.\n\n#### 3.1 New Datasets\n\nWe identified 7 datasets relevant to French in the existing MTEB, which we assume are of good quality. We complemented these with 8 external relevant datasets proposed in the literature, such as BSARD (Louis and Spanakis, 2022) and Alloprof (Lefebvre-Brossard et al., 2023), which are proven to be good quality. We created 3 new ones presented in Table 1 and assessed their quality with various procedures and metrics. In addition to all performed checks, we run multiple models on these datasets and provide results to show that they are neither trivial nor impossible to solve (see Tables 10, 11, 12 and 13).\n\nTherefore, as of today, our French MTEB runs on 18 datasets. Some datasets are framed differently according to the task category they are used with. For example, MasakhaNEWS dataset (Adelani et al., 2023) is used for both Classification (*MasakhaNEWSClassification*) and Clustering (*MasakhaNEWSClusteringS2S* and *MasakhaNEWSClusteringP2P*). Table 3 shows details of each task data used for running the benchmark.\n\nThis section describes the 3 new datasets we introduce, quality checks performed and an analysis of the semantic similarities between datasets.\n\n#### 3.1.1 Syntec (Retrieval)\n\nThe Syntec French collective bargaining agreement3 comprises around 90 articles. Despite its topic, the language used does not feature the specificity of the legal vocabulary, making the data suitable for benchmarking general-purpose models. The articles have been scraped for use as documents. Four annotators were divided into two groups. Each group was given half of the articles and asked to choose an article and write a question about it. Each annotator wrote 25 questions. Thus, a hundred questions have been manually created and paired with the articles containing the answer4 . Examples of the dataset are available in the appendix Figure 5. This dataset could also be used for text classification, clustering or topic modeling. Regarding quality checks, every article's integrity has been reviewed while manually creating questions. We also manually checked that the questions could only be answered using the annotated article.\n\n#### 3.1.2 HAL (Clustering)\n\n*Hyper Articles en Ligne* (HAL) is a French open archive of scholarly documents from all academic fields. Scrapping this resource, we fetched 85,000 publications in French5 . We extracted IDs, titles and the author's choice among domain labels. The last 2 are provided by authors when submitting their papers to HAL. Since domain annotations are provided, the dataset can be used for many tasks, such as topic modeling or text classification. To ensure the dataset quality is suitable for a benchmark, further data cleaning has been performed:\n\n- Duplicates are eliminated, retaining unique publications for each field.\n- Irrelevant titles (due to API indexing mistakes) or titles in languages other than French have been manually removed.\n\n2Models on the HuggingFace hub: *sentence-camebert*, *sentence_croissant_alpha_v0.3*, *Solon-embeddings-large-0.1*.\n\n3 https://www.syntec.fr/convention-collective/ 4 https://huggingface.co./datasets/lyon-nlp/ mteb-fr-retrieval-syntec-s2p\n\n5 https://huggingface.co./datasets/lyon-nlp/ clustering-hal-s2s", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "Figure 3: Attention patterns in BERT (Kovaleva et al., 2019)\n\nies) insufficient (Warstadt et al., 2019). A given method might also favor one model over another, e.g., RoBERTa trails BERT with one tree extraction method, but leads with another (Htut et al., 2019). The choice of linguistic formalism also matters (Kuznetsov and Gurevych, 2020).\n\nIn view of all that, the alternative is to focus on identifying what BERT actually relies on at inference time. This direction is currently pursued both at the level of architecture blocks (to be discussed in detail in subsection 6.3), and at the level of information encoded in model weights. Amnesic probing (Elazar et al., 2020) aims to specifically remove certain information from the model and see how it changes performance, finding, for example, that language modeling does rely on part-of-speech information.\n\nAnother direction is information-theoretic probing. Pimentel et al. (2020) operationalize probing as estimating mutual information between the learned representation and a given linguistic property, which highlights that the focus should be not on the amount of information contained in a representation, but rather on how easily it can be extracted from it. Voita and Titov (2020) quantify the amount of effort needed to extract information from a given representation as minimum description length needed to communicate both the probe size and the amount of data required for it to do well on a task.\n\n### 4 Localizing linguistic knowledge\n\n#### 4.1 BERT embeddings\n\nIn studies of BERT, the term \"embedding\" refers to the output of a Transformer layer (typically, the final one). Both conventional static embeddings (Mikolov et al., 2013) and BERT-style embeddings can be viewed in terms of mutual information maximization (Kong et al., 2019), but the latter are contextualized. Every token is represented by a vector dependent on the particular context of occurrence, and contains at least some information about that context (Miaschi and Dell'Orletta, 2020).\n\nSeveral studies reported that distilled contextualized embeddings better encode lexical semantic information (i.e. they are better at traditional word-level tasks such as word similarity). The methods to distill a contextualized representation into static include aggregating the information across multiple contexts (Akbik et al., 2019; Bommasani et al., 2020), encoding \"semantically bleached\" sentences that rely almost exclusively on the meaning of a given word (e.g. \"This is <>\") (May et al., 2019), and even using contextualized embeddings to train static embeddings (Wang et al., 2020d).\n\nBut this is not to say that there is no room for improvement. Ethayarajh (2019) measure how similar the embeddings for identical words are in every layer, reporting that later BERT layers produce more context-specific representations3 . They also find that BERT embeddings occupy a narrow cone in the vector space, and this effect increases from the earlier to later layers. That is, two random words will on average have a much higher cosine similarity than expected if embeddings were directionally uniform (isotropic). Since isotropy was shown to be beneficial for static word embeddings (Mu and Viswanath, 2018), this might be a fruitful direction to explore for BERT.\n\nSince BERT embeddings are contextualized, an interesting question is to what extent they capture phenomena like polysemy and homonymy. There is indeed evidence that BERT's contextualized embeddings form distinct clusters corresponding to word senses (Wiedemann et al., 2019; Schmidt and Hofmann, 2020), making BERT successful at word sense disambiguation task. However, Mickus et al. (2019) note that the representations of the same word depend on the position of the sentence in which it occurs, likely due to the NSP objective. This is not desirable from the linguistic point of view, and could be a promising\n\n3Voita et al. (2019a) look at the evolution of token embeddings, showing that in the earlier Transformer layers, MLM forces the acquisition of contextual information at the expense of the token identity, which gets recreated in later layers.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with supervised parsing does not make much difference for downstream task performance. models may also be storing relational knowledge present in the training data, and may be able to answer queries structured as \"fillin-the-blank\" cloze statements. Language\n\nAbstract\n\nRecent progress in pretraining language models on large textual corpora led to a surge of improvements for downstream NLP tasks. Whilst learning linguistic knowledge, these\n\nFabio Petroni1 Tim Rocktaschel ¨\n\n#### 3.2 Semantic knowledge models have many advantages over structured knowledge bases: they require no schema en-\n\narXiv:1909.01066v2 [cs.CL] 4 Sep 2019\n\nTo date, more studies have been devoted to BERT's knowledge of syntactic rather than semantic phenomena. However, we do have evidence from an MLM probing study that BERT has some knowledge of semantic roles (Ettinger, 2019). BERT even displays some preference for the incorrect fillers for semantic roles that are semantically related to the correct ones, as opposed to those that are unrelated (e.g. \"to tip a chef\" is better than \"to tip a robin\", but worse than \"to tip a waiter\"). gineering, allow practitioners to query about an open class of relations, are easy to extend to more data, and require no human supervision to train. We present an in-depth analysis of the relational knowledge already present (without fine-tuning) in a wide range of state-of-theart pretrained language models. We find that (i) without fine-tuning, BERT contains relational knowledge competitive with traditional NLP methods that have some access to oracle knowledge, (ii) BERT also does remarkably well on open-domain question answer-\n\nTenney et al. (2019b) showed that BERT encodes information about entity types, relations, semantic roles, and proto-roles, since this information can be detected with probing classifiers. ing against a supervised baseline, and (iii) certain types of factual knowledge are learned much more readily than others by standard language model pretraining approaches. The surprisingly strong ability of these models to re-\n\nBERT struggles with representations of numbers. Addition and number decoding tasks showed that BERT does not form good representations for floating point numbers and fails to generalize away from the training data (Wallace et al., 2019b). A part of the problem is BERT's wordpiece tokenization, since numbers of similar values can be divided up into substantially different word chunks. call factual knowledge without any fine-tuning demonstrates their potential as unsupervised open-domain QA systems. The code to reproduce our analysis is available at https: //github.com/facebookresearch/LAMA. 1 Introduction Recently, pretrained high-capacity language models such as ELMo (Peters et al., 2018a) and BERT\n\nOut-of-the-box BERT is surprisingly brittle to named entity replacements: e.g. replacing names in the coreference task changes 85% of predictions (Balasubramanian et al., 2020). This suggests that the model does not actually form a generic idea of named entities, although its F1 scores on NER probing tasks are high (Tenney et al., 2019a). Broscheit (2019) find that fine-tuning BERT on Wikipedia entity linking \"teaches\" it additional entity knowledge, which would suggest that it did not absorb all the relevant entity information during pre-training on Wikipedia. (Devlin et al., 2018a) have become increasingly important in NLP. They are optimised to either predict the next word in a sequence or some masked word anywhere in a given sequence (*e.g.* \"Dante was born in [Mask] in the year 1265.\"). The parameters of these models appear to store\n\n#### 3.3 World knowledge\n\nThe bulk of evidence about commonsense knowledge captured in BERT comes from practitioners using it to extract such knowledge. One direct probing study of BERT reports that BERT struggles with pragmatic inference and role-based event knowledge (Ettinger, 2019). BERT also struggles with abstract attributes of objects, as well as visual and perceptual properties that are likely to be assumed rather than mentioned (Da and Kasai, 2019).\n\nThe MLM component of BERT is easy to adapt for knowledge induction by filling in the\n\nMemory Query Answer\n\nSymbolic Memory Access\n\nFlorence\n\n(Dante, born-in, X)\n\n1,2 Patrick Lewis1,2 Anton Bakhtin1\n\nDante\n\nFlorence born-in\n\nLanguage Models as Knowledge Bases?\n\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2 1Facebook AI Research 2University College London {fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\n\nKG\n\nFigure 1: Querying knowledge bases (KB) and language models (LM) for factual knowledge. Figure 2: BERT world knowledge (Petroni et al., 2019)\n\nvast amounts of linguistic knowledge (Peters et al., 2018b; Goldberg, 2019; Tenney et al., 2019) useful for downstream tasks. This knowledge is usually accessed either by conditioning on latent context representations produced by the original model or by using the original model weights to initialize a task-specific model which is then further fine-tuned. This type of knowledge transfer is crucial for current state-of-the-art results on a wide range of tasks. blanks (e.g. \"Cats like to chase [___]\"). Petroni et al. (2019) showed that, for some relation types, vanilla BERT is competitive with methods relying on knowledge bases (Figure 2), and Roberts et al. (2020) show the same for open-domain QA using T5 model (Raffel et al., 2019). Davison et al. (2019) suggest that it generalizes better to unseen data. In order to retrieve BERT's knowledge, we need good template sentences, and there is work on their automatic extraction and augmentation (Bouraoui et al., 2019; Jiang et al., 2019b).\n\nIn contrast, knowledge bases are effective solutions for accessing annotated gold-standard relational data by enabling queries such as (Dante, born-in, X). However, in practice we often need to *extract* relational data from text or other modalities to populate these knowledge bases. This requires complex NLP pipelines involving entity extraction, coreference resolution, entity linking and relation extraction (Surdeanu and Ji, 2014) components that often need supervised data and fixed schemas. Moreover, errors can easily propagate and accumulate throughout the pipeline. Instead, we could attempt to query neural language models for relational data by asking them to fill in masked tokens in sequences like \"Dante was born However, BERT cannot reason based on its world knowledge. Forbes et al. (2019) show that BERT can \"guess\" the affordances and properties of many objects, but can not reason about the relationship between properties and affordances. For example, it \"knows\" that people can walk into houses, and that houses are big, but it cannot infer that houses are bigger than people. Zhou et al. (2020) and Richardson and Sabharwal (2019) also show that the performance drops with the number of necessary inference steps. Some of BERT's world knowledge success comes from learning stereotypical associations (Poerner et al., 2019), e.g., a person with an Italian-sounding name is predicted to be Italian, even when it is incorrect.\n\n#### 3.4 Limitations\n\nMultiple probing studies in section 3 and section 4 report that BERT possesses a surprising amount of syntactic, semantic, and world knowledge. However, Tenney et al. (2019a) remarks, \"the fact that a linguistic pattern is not observed by our probing classifier does not guarantee that it is not there, and the observation of a pattern does not tell us how it is used.\" There is also the issue of how complex a probe should be allowed to be (Liu et al., 2019a). If a more complex probe recovers more information, to what extent are we still relying on the original model?\n\nFurthermore, different probing methods may lead to complementary or even contradictory conclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "*International Conference on Learning Representations*.\n\n- Olga Kovaleva, Alexey Romanov, Anna Rogers, and Anna Rumshisky. 2019. Revealing the Dark Secrets of BERT. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 4356–4365, Hong Kong, China. Association for Computational Linguistics.\n- Kalpesh Krishna, Gaurav Singh Tomar, Ankur P. Parikh, Nicolas Papernot, and Mohit Iyyer. 2020. Thieves on Sesame Street! Model Extraction of BERT-Based APIs. 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Train large, then compress: Rethinking model size for efficient training and inference of transformers. *arXiv preprint arXiv:2002.11794*.\n- Yongjie Lin, Yi Chern Tan, and Robert Frank. 2019. Open Sesame: Getting inside BERT's Linguistic Knowledge. In *Proceedings of the 2019 ACL Workshop BlackboxNLP: Analyzing and Interpreting Neural Networks for NLP*, pages 241– 253.\n- Nelson F. Liu, Matt Gardner, Yonatan Belinkov, Matthew E. Peters, and Noah A. Smith. 2019a. Linguistic Knowledge and Transferability of Contextual Representations. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pages 1073–1094, Minneapolis, Minnesota. Association for Computational Linguistics.\n- Yinhan Liu, Myle Ott, Naman Goyal, Jingfei Du, Mandar Joshi, Danqi Chen, Omer Levy, Mike Lewis, Luke Zettlemoyer, and Veselin Stoyanov. 2019b. 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We selected models with embedding dimensions ranging from 384 to 4096.\n\n- *Sequence length:* Being the number of tokens that a model can consider as input, the sequence length is important as it impacts the unit that can be encoded (sentence, paragraph, document). However, encoding overly long sequences requires efficiently storing the relevant information into a single vector. Among the selected methods, this criterion varies from 128 tokens to 32768.\n- *Model parameters:* Often correlated with the two first characteristics, parameter count is important for practical applications as it affects usability on resource-efficient machines. The selected models have a number of parameters ranging from 20 million (∼100Mb in float32) to 7 billion (∼28Gb).\n- *Language:* This is a major feature of language models. Some are monolingual, and others are multilingual. Language is usually acquired during pre-training, but sometimes, models familiarize themselves with new languages at tuning. For the benchmark, we selected French models, as well as bilingual or multilingual models. We also included a few ones that claimed to be English (e.g. *all-MiniLM-L12-v2*9 ).\n- *Model types:* There are several strategies to generate text embeddings such as aggregating (e.g. with average pooling) token-level embeddings from raw pre-trained models, or adding an extra contrastive learning step on a sentence similarity task with, optionally, additional transformation layers. We included models of all types in our benchmark, summarizing the model type information under two relevant criteria: finetuned vs pretrained, and trained for sentence similarity or not.\n\nThe selected models are visible in Figure 1, and all of their characteristics are summarized in appendix Table 7. Overall, the selection includes the best models from the sentence transformers framework (Reimers and Gurevych, 2019), the most popular French NLP models (Le et al., 2020; Martin\n\net al., 2019), their variants optimized for semantic similarity (Reimers and Gurevych, 2019), numerous multilingual models performing at the top on MTEB (e.g *E5* and *T5*), *Bloom* variants (Zhang et al., 2023), models based on very recent powerful LLMs (Wang et al., 2023; Faysse et al., 2024) and finally the proprietary models of OpenAI, Cohere and Voyage. Certain models were selected in multiple sizes to isolate the dimensionality effect effectively. We provide information on the models' licenses as reported in the Hugging Face hub10 . However, we encourage readers to conduct further research before utilizing a model.\n\n#### 3.3 Evaluation\n\nFor the sake of homogeneity, models are evaluated using the same metrics per task as in MTEB (Muennighoff et al., 2022): Classification (Accuracy), Bitext mining (F1 score), Pair classification (AP), Clustering (V measure), Reranking (MAP), Retrieval (NDCG@10), Summarization and STS (Spearman correlation based on cosine similarity). BitextMining tasks are excluded from the average performance scores and therefore the figures, as this task evaluates 2 languages instead of one, and this benchmark focuses only on one language (French). We present the results for both *DiaBlaBitextMining* and *FloresBitextMining* in Table 12.\n\nUsing the overall benchmark results, our goal will be to answer the following research questions: Q1: Is a model outstanding on all tasks?\n\nAs we are trying to find out whether one embedding model is statistically better than the others for French, the objective will also be to analyze the performance of the models by tasks to facilitate model choice for specific applications.\n\nQ2: Are there any links between the model characteristics and performance?\n\nIn section 3.2, we undertook the substantial task of gathering the characteristics of all evaluated models. The goal here will be to analyze their impact on performance and draw conclusions about, for example, the relationship between embedding dimension and model ranking on the benchmark.\n\nQ3: Do monolingual models have multilingual capabilities?\n\nWe interrogate the ability of a model trained exclusively in one language to perform well in another language.\n\nQ4: Are there any correlations between datasets\n\n9 https://huggingface.co./sentence-transformers/ all-MiniLM-L12-v2\n\n10https://huggingface.co./models", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "*Semantic Evaluation (SemEval-2022)*, pages 1094– 1106, Seattle, United States. Association for Computational Linguistics.\n\n- Alexis Conneau and Douwe Kiela. 2018. Senteval: An evaluation toolkit for universal sentence representations. *ArXiv*, abs/1803.05449.\n- Mathias Creutz. 2018. Open subtitles paraphrase corpus for six languages. 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Summeval: Re-evaluating summarization evaluation. *Transactions of the Association for Computational Linguistics*, 9:391–409.\n- Manuel Faysse, Patrick Fernandes, Nuno M. Guerreiro, António Loison, Duarte M. Alves, Caio Corro, Nicolas Boizard, João Alves, Ricardo Rei, Pedro H. Martins, Antoni Bigata Casademunt, François Yvon, André F. T. Martins, Gautier Viaud, Céline Hudelot, and Pierre Colombo. 2024. Croissantllm: A truly bilingual french-english language model.\n- Jack FitzGerald, Christopher Hench, Charith Peris, Scott Mackie, Kay Rottmann, Ana Sanchez, Aaron Nash, Liam Urbach, Vishesh Kakarala, Richa Singh, Swetha Ranganath, Laurie Crist, Misha Britan, Wouter Leeuwis, Gokhan Tur, and Prem Natarajan. 2023. MASSIVE: A 1M-example multilingual natural language understanding dataset with 51 typologically-diverse languages. In *Proceedings of the 61st Annual Meeting of the Association for Computational Linguistics (Volume 1: Long Papers)*, pages 4277–4302, Toronto, Canada. Association for Computational Linguistics.\n- Tianyu Gao, Xingcheng Yao, and Danqi Chen. 2021. Simcse: Simple contrastive learning of sentence embeddings. In *Conference on Empirical Methods in Natural Language Processing*.\n- Iker García-Ferrero, Rodrigo Agerri, and German Rigau. 2021. Benchmarking meta-embeddings: What works and what does not. In *Findings of the Association for Computational Linguistics: EMNLP 2021*, pages\n\n3957–3972, Punta Cana, Dominican Republic. Association for Computational Linguistics.\n\n- Naman Goyal, Cynthia Gao, Vishrav Chaudhary, Peng-Jen Chen, Guillaume Wenzek, Da Ju, Sanjana Krishnan, Marc'Aurelio Ranzato, Francisco Guzmán, and Angela Fan. 2021. The flores-101 evaluation benchmark for low-resource and multilingual machine translation.\n- Hang Le, Loïc Vial, Jibril Frej, Vincent Segonne, Maximin Coavoux, Benjamin Lecouteux, Alexandre Allauzen, Benoît Crabbé, Laurent Besacier, and Didier Schwab. 2020. Flaubert: Unsupervised language model pre-training for french.\n- Chankyu Lee, Rajarshi Roy, Mengyao Xu, Jonathan Raiman, Mohammad Shoeybi, Bryan Catanzaro, and Wei Ping. 2024. Nv-embed: Improved techniques for training llms as generalist embedding models.\n- Antoine Lefebvre-Brossard, Stephane Gazaille, and Michel C. Desmarais. 2023. Alloprof: a new french question-answer education dataset and its use in an information retrieval case study.\n- Haoran Li, Abhinav Arora, Shuohui Chen, Anchit Gupta, Sonal Gupta, and Yashar Mehdad. 2021. MTOP: A comprehensive multilingual task-oriented semantic parsing benchmark. In *Proceedings of the 16th Conference of the European Chapter of the Association for Computational Linguistics: Main Volume*, pages 2950–2962, Online. Association for Computational Linguistics.\n- Chin-Yew Lin. 2004. ROUGE: A package for automatic evaluation of summaries. In *Text Summarization Branches Out*, pages 74–81, Barcelona, Spain. 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In *Deep Learning and Representation Learning Workshop: NIPS 2014*.\n- Benjamin Hoover, Hendrik Strobelt, and Sebastian Gehrmann. 2019. exBERT: A Visual Analysis Tool to Explore Learned Representations in Transformers Models. *arXiv:1910.05276 [cs]*.\n- Neil Houlsby, Andrei Giurgiu, Stanislaw Jastrzebski, Bruna Morrone, Quentin de Laroussilhe, Andrea Gesmundo, Mona Attariyan, and Sylvain Gelly. 2019. Parameter-Efficient Transfer Learning for NLP. *arXiv:1902.00751 [cs, stat]*.\n- Phu Mon Htut, Jason Phang, Shikha Bordia, and Samuel R Bowman. 2019. Do attention heads in BERT track syntactic dependencies? *arXiv preprint arXiv:1911.12246*.\n- Sarthak Jain and Byron C. Wallace. 2019. Attention is not Explanation. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pages 3543–3556.\n- Ganesh Jawahar, Benoît Sagot, Djamé Seddah, Samuel Unicomb, Gerardo Iñiguez, Márton Karsai, Yannick Léo, Márton Karsai, Carlos Sarraute, Éric Fleury, et al. 2019. What does BERT learn about the structure of language? In *57th Annual Meeting of the Association for Computational Linguistics (ACL), Florence, Italy*.\n- Haoming Jiang, Pengcheng He, Weizhu Chen, Xiaodong Liu, Jianfeng Gao, and Tuo Zhao. 2019a. SMART: Robust and Efficient Fine-Tuning for Pre-trained Natural Language Models through Principled Regularized Optimization. *arXiv preprint arXiv:1911.03437*.\n- Zhengbao Jiang, Frank F. Xu, Jun Araki, and Graham Neubig. 2019b. How Can We Know What Language Models Know? *arXiv:1911.12543 [cs]*.\n- Xiaoqi Jiao, Yichun Yin, Lifeng Shang, Xin Jiang, Xiao Chen, Linlin Li, Fang Wang, and Qun Liu. 2019. TinyBERT: Distilling BERT for natural language understanding. *arXiv preprint arXiv:1909.10351*.\n- Di Jin, Zhijing Jin, Joey Tianyi Zhou, and Peter Szolovits. 2020. Is BERT Really Robust? A Strong Baseline for Natural Language Attack on Text Classification and Entailment. In *AAAI 2020*.\n- Mandar Joshi, Danqi Chen, Yinhan Liu, Daniel S. Weld, Luke Zettlemoyer, and Omer Levy. 2020. SpanBERT: Improving Pre-Training by Representing and Predicting Spans. *Transactions of the Association for Computational Linguistics*, 8:64–77.\n- Wei-Tsung Kao, Tsung-Han Wu, Po-Han Chi, Chun-Cheng Hsieh, and Hung-Yi Lee. 2020. Further boosting BERT-based models by duplicating existing layers: Some intriguing phenomena inside BERT. *arXiv preprint arXiv:2001.09309*.\n- Taeuk Kim, Jihun Choi, Daniel Edmiston, and Sang-goo Lee. 2020. Are pre-trained language models aware of phrases? simple but strong baselines for grammar induction. In *ICLR 2020*.\n- Goro Kobayashi, Tatsuki Kuribayashi, Sho Yokoi, and Kentaro Inui. 2020. Attention Module is Not Only a Weight: Analyzing Transformers with Vector Norms. *arXiv:2004.10102 [cs]*.\n- Dan Kondratyuk and Milan Straka. 2019. 75 Languages, 1 Model: Parsing Universal Dependencies Universally. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 2779–2795, Hong Kong, China. Association for Computational Linguistics.\n- Lingpeng Kong, Cyprien de Masson d'Autume, Lei Yu, Wang Ling, Zihang Dai, and Dani Yogatama. 2019. A mutual information maximization perspective of language representation learning. In", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is BERT good with numbers representations ?", - "target_page": 3, - "target_passage": " BERTstruggles with representations of numbers. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "# A Primer in BERTology: What We Know About How BERT Works\n\nAnna Rogers Center for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\nOlga Kovaleva Dept. of Computer Science University of Massachusetts Lowell okovalev@cs.uml.edu\n\n### Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell arum@cs.uml.edu\n\n### Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n### 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear *why*, which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n### 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\n1https://github.com/ google-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter modules. They achieve competitive performance on 26 classification tasks at a fraction of the computational cost. Adapters in BERT were also used for multi-task learning (Stickland and Murray, 2019) and cross-lingual transfer (Artetxe et al., 2019). An alternative to fine-tuning is extracting features from frozen representations, but fine-tuning works better for BERT (Peters et al., 2019b).\n\nA big methodological challenge in the current NLP is that the reported performance improvements of new models may well be within variation induced by environment factors (Crane, 2018). BERT is not an exception. Dodge et al. (2020) report significant variation for BERT fine-tuned on GLUE tasks due to both weight initialization and training data order. They also propose early stopping on the less-promising seeds.\n\nAlthough we hope that the above observations may be useful for the practitioners, this section does not exhaust the current research on fine-tuning and its alternatives. For example, we do not cover such topics as Siamese architectures, policy gradient training, automated curriculum learning, and others.\n\n## 6 How big should BERT be?\n\n### 6.1 Overparameterization\n\nTransformer-based models keep growing by orders of magnitude: the 110M parameters of base BERT are now dwarfed by 17B parameters of Turing-NLG (Microsoft, 2020), which is dwarfed by 175B of GPT-3 (Brown et al., 2020). This trend raises concerns about computational complexity of self-attention (Wu et al., 2019a), environmental issues (Strubell et al., 2019; Schwartz et al., 2019), fair comparison of architectures (Aßenmacher and Heumann, 2020), and reproducibility.\n\nHuman language is incredibly complex, and would perhaps take many more parameters to describe fully, but the current models do not make good use of the parameters they already have. Voita et al. (2019b) showed that all but a few Transformer heads could be pruned without significant losses in performance. For BERT, Clark et al. (2019) observe that most heads in the same layer show similar self-attention patterns (perhaps related to the fact that the output of all self-attention heads in a layer is passed through the same MLP), which explains why Michel et al. (2019) were able to reduce most layers to a single head.\n\nDepending on the task, some BERT heads/layers are not only redundant (Kao et al., 2020), but also harmful to the downstream task performance. Positive effect from head disabling was reported for machine translation (Michel et al., 2019), abstractive summarization (Baan et al., 2019), and GLUE tasks (Kovaleva et al., 2019). Additionally, Tenney et al. (2019a) examine the cumulative gains of their structural probing classifier, observing that in 5 out of 8 probing tasks some layers cause a drop in scores (typically in the final layers). Gordon et al. (2020) find that 30–40% of the weights can be pruned without impact on downstream tasks.\n\nIn general, larger BERT models perform better (Liu et al., 2019a; Roberts et al., 2020), but not always: BERT-base outperformed BERT-large on subject-verb agreement (Goldberg, 2019) and sentence subject detection (Lin et al., 2019). Given the complexity of language, and amounts of pretraining data, it is not clear why BERT ends up with redundant heads and layers. Clark et al. (2019) suggest that one possible reason is the use of attention dropouts, which causes some attention weights to be zeroed-out during training.\n\n#### 6.2 Compression techniques\n\nGiven the above evidence of overparameterization, it does not come as a surprise that BERT can be efficiently compressed with minimal accuracy loss, which would be highly desirable for real-world applications. Such efforts to date are summarized in Table 1. The main approaches are knowledge distillation, quantization, and pruning.\n\nThe studies in the knowledge distillation framework (Hinton et al., 2014) use a smaller student-network trained to mimic the behavior of a larger teacher-network. For BERT, this has been achieved through experiments with loss functions (Sanh et al., 2019b; Jiao et al., 2019), mimicking the activation patterns of individual portions of the teacher network (Sun et al., 2019a), and knowledge transfer at the pre-training (Turc et al., 2019; Jiao et al., 2019; Sun et al., 2020) or fine-tuning stage (Jiao et al., 2019). McCarley et al. (2020) suggest that distillation has so far worked better for GLUE than for reading comprehension, and report good results for QA from a combination of structured pruning and task-specific distillation.\n\nQuantization decreases BERT's memory footprint through lowering the precision of its weights (Shen et al., 2019; Zafrir et al., 2019). Note that", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with supervised parsing does not make much difference for downstream task performance. models may also be storing relational knowledge present in the training data, and may be able to answer queries structured as \"fillin-the-blank\" cloze statements. Language\n\nAbstract\n\nRecent progress in pretraining language models on large textual corpora led to a surge of improvements for downstream NLP tasks. Whilst learning linguistic knowledge, these\n\nFabio Petroni1 Tim Rocktaschel ¨\n\n#### 3.2 Semantic knowledge models have many advantages over structured knowledge bases: they require no schema en-\n\narXiv:1909.01066v2 [cs.CL] 4 Sep 2019\n\nTo date, more studies have been devoted to BERT's knowledge of syntactic rather than semantic phenomena. However, we do have evidence from an MLM probing study that BERT has some knowledge of semantic roles (Ettinger, 2019). BERT even displays some preference for the incorrect fillers for semantic roles that are semantically related to the correct ones, as opposed to those that are unrelated (e.g. \"to tip a chef\" is better than \"to tip a robin\", but worse than \"to tip a waiter\"). gineering, allow practitioners to query about an open class of relations, are easy to extend to more data, and require no human supervision to train. We present an in-depth analysis of the relational knowledge already present (without fine-tuning) in a wide range of state-of-theart pretrained language models. We find that (i) without fine-tuning, BERT contains relational knowledge competitive with traditional NLP methods that have some access to oracle knowledge, (ii) BERT also does remarkably well on open-domain question answer-\n\nTenney et al. (2019b) showed that BERT encodes information about entity types, relations, semantic roles, and proto-roles, since this information can be detected with probing classifiers. ing against a supervised baseline, and (iii) certain types of factual knowledge are learned much more readily than others by standard language model pretraining approaches. The surprisingly strong ability of these models to re-\n\nBERT struggles with representations of numbers. Addition and number decoding tasks showed that BERT does not form good representations for floating point numbers and fails to generalize away from the training data (Wallace et al., 2019b). A part of the problem is BERT's wordpiece tokenization, since numbers of similar values can be divided up into substantially different word chunks. call factual knowledge without any fine-tuning demonstrates their potential as unsupervised open-domain QA systems. The code to reproduce our analysis is available at https: //github.com/facebookresearch/LAMA. 1 Introduction Recently, pretrained high-capacity language models such as ELMo (Peters et al., 2018a) and BERT\n\nOut-of-the-box BERT is surprisingly brittle to named entity replacements: e.g. replacing names in the coreference task changes 85% of predictions (Balasubramanian et al., 2020). This suggests that the model does not actually form a generic idea of named entities, although its F1 scores on NER probing tasks are high (Tenney et al., 2019a). Broscheit (2019) find that fine-tuning BERT on Wikipedia entity linking \"teaches\" it additional entity knowledge, which would suggest that it did not absorb all the relevant entity information during pre-training on Wikipedia. (Devlin et al., 2018a) have become increasingly important in NLP. They are optimised to either predict the next word in a sequence or some masked word anywhere in a given sequence (*e.g.* \"Dante was born in [Mask] in the year 1265.\"). The parameters of these models appear to store\n\n#### 3.3 World knowledge\n\nThe bulk of evidence about commonsense knowledge captured in BERT comes from practitioners using it to extract such knowledge. One direct probing study of BERT reports that BERT struggles with pragmatic inference and role-based event knowledge (Ettinger, 2019). BERT also struggles with abstract attributes of objects, as well as visual and perceptual properties that are likely to be assumed rather than mentioned (Da and Kasai, 2019).\n\nThe MLM component of BERT is easy to adapt for knowledge induction by filling in the\n\nMemory Query Answer\n\nSymbolic Memory Access\n\nFlorence\n\n(Dante, born-in, X)\n\n1,2 Patrick Lewis1,2 Anton Bakhtin1\n\nDante\n\nFlorence born-in\n\nLanguage Models as Knowledge Bases?\n\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2 1Facebook AI Research 2University College London {fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\n\nKG\n\nFigure 1: Querying knowledge bases (KB) and language models (LM) for factual knowledge. Figure 2: BERT world knowledge (Petroni et al., 2019)\n\nvast amounts of linguistic knowledge (Peters et al., 2018b; Goldberg, 2019; Tenney et al., 2019) useful for downstream tasks. This knowledge is usually accessed either by conditioning on latent context representations produced by the original model or by using the original model weights to initialize a task-specific model which is then further fine-tuned. This type of knowledge transfer is crucial for current state-of-the-art results on a wide range of tasks. blanks (e.g. \"Cats like to chase [___]\"). Petroni et al. (2019) showed that, for some relation types, vanilla BERT is competitive with methods relying on knowledge bases (Figure 2), and Roberts et al. (2020) show the same for open-domain QA using T5 model (Raffel et al., 2019). Davison et al. (2019) suggest that it generalizes better to unseen data. In order to retrieve BERT's knowledge, we need good template sentences, and there is work on their automatic extraction and augmentation (Bouraoui et al., 2019; Jiang et al., 2019b).\n\nIn contrast, knowledge bases are effective solutions for accessing annotated gold-standard relational data by enabling queries such as (Dante, born-in, X). However, in practice we often need to *extract* relational data from text or other modalities to populate these knowledge bases. This requires complex NLP pipelines involving entity extraction, coreference resolution, entity linking and relation extraction (Surdeanu and Ji, 2014) components that often need supervised data and fixed schemas. Moreover, errors can easily propagate and accumulate throughout the pipeline. Instead, we could attempt to query neural language models for relational data by asking them to fill in masked tokens in sequences like \"Dante was born However, BERT cannot reason based on its world knowledge. Forbes et al. (2019) show that BERT can \"guess\" the affordances and properties of many objects, but can not reason about the relationship between properties and affordances. For example, it \"knows\" that people can walk into houses, and that houses are big, but it cannot infer that houses are bigger than people. Zhou et al. (2020) and Richardson and Sabharwal (2019) also show that the performance drops with the number of necessary inference steps. Some of BERT's world knowledge success comes from learning stereotypical associations (Poerner et al., 2019), e.g., a person with an Italian-sounding name is predicted to be Italian, even when it is incorrect.\n\n#### 3.4 Limitations\n\nMultiple probing studies in section 3 and section 4 report that BERT possesses a surprising amount of syntactic, semantic, and world knowledge. However, Tenney et al. (2019a) remarks, \"the fact that a linguistic pattern is not observed by our probing classifier does not guarantee that it is not there, and the observation of a pattern does not tell us how it is used.\" There is also the issue of how complex a probe should be allowed to be (Liu et al., 2019a). If a more complex probe recovers more information, to what extent are we still relying on the original model?\n\nFurthermore, different probing methods may lead to complementary or even contradictory conclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 5: Pre-trained weights help BERT find wider optima in fine-tuning on MRPC (right) than training from scratch (left) (Hao et al., 2019)\n\nbeddings as input for training BERT, while Poerner et al. (2019) adapt entity vectors to BERT representations. As mentioned above, Wang et al. (2020c) integrate knowledge not through entity embeddings, but through additional pre-training objective of knowledge base completion. Sun et al. (2019b,c) modify the standard MLM task to mask named entities rather than random words, and Yin et al. (2020) train with MLM objective over both text and linearized table data. Wang et al. (2020a) enhance RoBERTa with both linguistic and factual knowledge with task-specific adapters.\n\nPre-training is the most expensive part of training BERT, and it would be informative to know how much benefit it provides. On some tasks, a randomly initialized and fine-tuned BERT obtains competitive or higher results than the pre-trained BERT with the task classifier and frozen weights (Kovaleva et al., 2019). The consensus in the community is that pre-training does help in most situations, but the degree and its exact contribution requires further investigation. Prasanna et al. (2020) found that *most* weights of pre-trained BERT are useful in fine-tuning, although there are \"better\" and \"worse\" subnetworks. One explanation is that pre-trained weights help the fine-tuned BERT find wider and flatter areas with smaller generalization error, which makes the model more robust to overfitting (see Figure 5 from Hao et al. (2019)).\n\nGiven the large number and variety of proposed modifications, one would wish to know how much impact each of them has. However, due to the overall trend towards large model sizes, systematic ablations have become expensive. Most new models claim superiority on standard benchmarks, but gains are often marginal, and estimates of model stability and significance testing are very rare.\n\n### 5.4 Fine-tuning BERT\n\nPre-training + fine-tuning workflow is a crucial part of BERT. The former is supposed to provide task-independent knowledge, and the latter would presumably teach the model to rely more on the representations useful for the task at hand.\n\nKovaleva et al. (2019) did not find that to be the case for BERT fine-tuned on GLUE tasks5 : during fine-tuning, the most changes for 3 epochs occurred in the last two layers of the models, but those changes caused self-attention to focus on [SEP] rather than on linguistically interpretable patterns. It is understandable why fine-tuning would increase the attention to [CLS], but not [SEP]. If Clark et al. (2019) are correct that [SEP] serves as \"noop\" indicator, fine-tuning basically tells BERT what to ignore.\n\nSeveral studies explored the possibilities of improving the fine-tuning of BERT:\n\n- Taking more layers into account: learning a complementary representation of the information in deep and output layers (Yang and Zhao, 2019), using a weighted combination of all layers instead of the final one (Su and Cheng, 2019; Kondratyuk and Straka, 2019), and layer dropout (Kondratyuk and Straka, 2019).\n- Two-stage fine-tuning introduces an intermediate supervised training stage between pre-training and fine-tuning (Phang et al., 2019; Garg et al., 2020; Arase and Tsujii, 2019; Pruksachatkun et al., 2020; Glavaš and Vulic´, 2020). Ben-David et al. (2020) propose a pivot-based variant of MLM to fine-tune BERT for domain adaptation.\n- Adversarial token perturbations improve robustness of the model (Zhu et al., 2019).\n- Adversarial regularization in combination with *Bregman Proximal Point Optimization* helps alleviate pre-trained knowledge forgetting and therefore prevents BERT from overfitting to downstream tasks (Jiang et al., 2019a).\n- Mixout regularization improves the stability of BERT fine-tuning even for a small number of training examples (Lee et al., 2019).\n\nWith large models, even fine-tuning becomes expensive, but Houlsby et al. (2019) show that it can\n\n5Kondratyuk and Straka (2019) suggest that fine-tuning on Universal Dependencies does result in syntactically meaningful attention patterns, but there was no quantitative evaluation.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "avenue for future work.\n\nThe above discussion concerns token embeddings, but BERT is typically used as a sentence or text encoder. The standard way to generate sentence or text representations for classification is to use the [CLS] token, but alternatives are also being discussed, including concatenation of token representations (Tanaka et al., 2020), normalized mean (Tanaka et al., 2020), and layer activations (Ma et al., 2019). See Toshniwal et al. (2020) for a systematic comparison of several methods across tasks and sentence encoders.\n\n### 4.2 Self-attention heads\n\nSeveral studies proposed classification of attention head types. Raganato and Tiedemann (2018) discuss attending to the token itself, previous/next tokens and the sentence end. Clark et al. (2019) distinguish between attending to previous/next tokens, [CLS], [SEP], punctuation, and \"attending broadly\" over the sequence. Kovaleva et al. (2019) propose 5 patterns shown in Figure 3.\n\n#### 4.2.1 Heads with linguistic functions\n\nThe \"heterogeneous\" attention pattern shown in Figure 3 *could* potentially be linguistically interpretable, and a number of studies focused on identifying the functions of self-attention heads. In particular, some BERT heads seem to specialize in certain types of syntactic relations. Htut et al. (2019) and Clark et al. (2019) report that there are BERT heads that attended significantly more than a random baseline to words in certain syntactic positions. The datasets and methods used in these studies differ, but they both find that there are heads that attend to words in obj role more than the positional baseline. The evidence for nsubj, advmod, and amod varies between these two studies. The overall conclusion is also supported by Voita et al. (2019b)'s study of the base Transformer in machine translation context. Hoover et al. (2019) hypothesize that even complex dependencies like dobj are encoded by a combination of heads rather than a single head, but this work is limited to qualitative analysis. Zhao and Bethard (2020) looked specifically for the heads encoding negation scope.\n\nBoth Clark et al. (2019) and Htut et al. (2019) conclude that no single head has the complete syntactic tree information, in line with evidence of partial knowledge of syntax (cf. subsection 3.1). However, Clark et al. (2019) identify a BERT head\n\nthat can be directly used as a classifier to perform coreference resolution on par with a rule-based system, which by itself would seem to require quite a lot of syntactic knowledge.\n\nLin et al. (2019) present evidence that attention weights are weak indicators of subjectverb agreement and reflexive anaphora. Instead of serving as strong pointers between tokens that should be related, BERT's self-attention weights were close to a uniform attention baseline, but there was some sensitivity to different types of distractors coherent with psycholinguistic data. This is consistent with conclusions by Ettinger (2019).\n\nTo our knowledge, morphological information in BERT heads has not been addressed, but with the sparse attention variant by Correia et al. (2019) in the base Transformer, some attention heads appear to merge BPE-tokenized words. For semantic relations, there are reports of self-attention heads encoding core frame-semantic relations (Kovaleva et al., 2019), as well as lexicographic and commonsense relations (Cui et al., 2020).\n\nThe overall popularity of self-attention as an interpretability mechanism is due to the idea that \"attention weight has a clear meaning: how much a particular word will be weighted when computing the next representation for the current word\" (Clark et al., 2019). This view is currently debated (Jain and Wallace, 2019; Serrano and Smith, 2019; Wiegreffe and Pinter, 2019; Brunner et al., 2020), and in a multi-layer model where attention is followed by non-linear transformations, the patterns in individual heads do not provide a full picture. Also, while many current papers are accompanied by attention visualizations, and there is a growing number of visualization tools (Vig, 2019; Hoover et al., 2019), the visualization is typically limited to qualitative analysis (often with cherry-picked examples) (Belinkov and Glass, 2019), and should not be interpreted as definitive evidence.\n\n#### 4.2.2 Attention to special tokens\n\nKovaleva et al. (2019) show that most selfattention heads do not directly encode any nontrivial linguistic information, at least when finetuned on GLUE (Wang et al., 2018), since only less than 50% of heads exhibit the \"heterogeneous\" pattern. Much of the model produced the vertical pattern (attention to [CLS], [SEP], and punctuation tokens), consistent with the observations by Clark et al. (2019). This redundancy is likely related to the overparameterization issue (see section 6).", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "mBERT across 29 tasks. Either way, these models do not address the inclusion problems raised by [65], who note that over 90% of the world's languages used by more than a billion people currently have little to no support in terms of language technology.\n\nAlongside work investigating what information the models retain from the data, we see a trend in reducing the size of these models using various techniques such as knowledge distillation [26, 58], quantization [118, 153], factorized embedding parameterization and cross-layer parameter sharing [70], and progressive module replacing [146]. Rogers et al. [110] provide a comprehensive comparison of models derived from BERT using these techniques, such as DistilBERT [113] and ALBERT [70]. While these models maintain and sometimes exceed the performance of the original BERT model, despite their much smaller size, they ultimately still rely on large quantities of data and significant processing and storage capabilities to both hold and reduce the model.\n\nWe note that the change from n-gram LMs to word vectors distilled from neural LMs to pretrained Transformer LMs is paralleled by an expansion and change in the types of tasks they are useful for: n-gram LMs were initially typically deployed in selecting among the outputs of e.g. acoustical or translation models; the LSTM-derived word vectors were quickly picked up as more effective representations of words (in place of bag of words features) in a variety of NLP tasks involving labeling and classification; and the pretrained Transformer models can be retrained on very small datasets (few-shot, one-shot or even zero-shot learning) to perform apparently meaning-manipulating tasks such as summarization, question answering and the like. Nonetheless, all of these systems share the property of being LMs in the sense we give above, that is, systems trained to predict sequences of words (or characters or sentences). Where they differ is in the size of the training datasets they leverage and the spheres of influence they can possibly affect. By scaling up in these two ways, modern very large LMs incur new kinds of risk, which we turn to in the following sections.\n\n# 3 ENVIRONMENTAL AND FINANCIAL COST\n\nStrubell et al. recently benchmarked model training and development costs in terms of dollars and estimated 퐶푂2 emissions [129]. While the average human is responsible for an estimated 5t 퐶푂2푒 per year,2 the authors trained a Transformer (big) model [136] with neural architecture search and estimated that the training procedure emitted 284t of 퐶푂2. Training a single BERT base model (without hyperparameter tuning) on GPUs was estimated to require as much energy as a trans-American flight.\n\nWhile some of this energy comes from renewable sources, or cloud compute companies' use of carbon credit-offset sources, the authors note that the majority of cloud compute providers' energy is not sourced from renewable sources and many energy sources in the world are not carbon neutral. In addition, renewable energy sources are still costly to the environment,3 and data centers with increasing computation requirements take away from other potential uses of\n\ngreen energy,4 underscoring the need for energy efficient model architectures and training paradigms.\n\nStrubell et al. also examine the cost of these models vs. their accuracy gains. For the task of machine translation where large LMs have resulted in performance gains, they estimate that an increase in 0.1 BLEU score using neural architecture search for English to German translation results in an increase of $150,000 compute cost in addition to the carbon emissions. To encourage more equitable access to NLP research and reduce carbon footprint, the authors give recommendations to report training time and sensitivity to hyperparameters when the released model is meant to be re-trained for downstream use. They also urge governments to invest in compute clouds to provide equitable access to researchers.\n\nInitiatives such as the SustainNLP workshop5 have since taken up the goal of prioritizing computationally efficient hardware and algorithms. Schwartz et al. [115] also call for the development of green AI, similar to other environmentally friendly scientific developments such as green chemistry or sustainable computing. As shown in [5], the amount of compute used to train the largest deep learning models (for NLP and other applications) has increased 300,000x in 6 years, increasing at a far higher pace than Moore's Law. To promote green AI, Schwartz et al. argue for promoting efficiency as an evaluation metric and show that most sampled papers from ACL 2018, NeurIPS 2018, and CVPR 2019 claim accuracy improvements alone as primary contributions to the field, and none focused on measures of efficiency as primary contributions. Since then, works such as [57, 75] have released online tools to help researchers benchmark their energy usage. Among their recommendations are to run experiments in carbon friendly regions, consistently report energy and carbon metrics, and consider energyperformance trade-offs before deploying energy hungry models. In addition to these calls for documentation and technical fixes, Bietti and Vatanparast underscore the need for social and political engagement in shaping a future where data driven systems have minimal negative impact on the environment [16].\n\nWhile [129] benchmarks the training process in a research setting, many LMs are deployed in industrial or other settings where the cost of inference might greatly outweigh that of training in the long run. In this scenario, it may be more appropriate to deploy models with lower energy costs during inference even if their training costs are high. In addition to benchmarking tools, works estimating the cost increase associated with the introduction of LMs for particular applications, and how they compare to alternative NLP methods, will be important for understanding the trade-offs.\n\nWhen we perform risk/benefit analyses of language technology, we must keep in mind how the risks and benefits are distributed, because they do not accrue to the same people. On the one hand, it is well documented in the literature on environmental racism that the negative effects of climate change are reaching and impacting the world's most marginalized communities first [1, 27].6 Is it fair or just to ask, for example, that the residents of the Maldives (likely to be underwater by 2100 [6]) or the 800,000 people in Sudan affected\n\n2Data for 2017, from https://ourworldindata.org/co2-emissions, accessed Jan 21, 2021 3https://www.heraldscotland.com/news/18270734.14m-trees-cut-scotland-make-waywind-farms/\n\n4https://news.microsoft.com/2017/11/02/microsoft-announces-one-of-the-largestwind-deals-in-the-netherlands-with-vattenfall/\n\n5https://sites.google.com/view/sustainlp2020/organization\n\n6https://www.un.org/sustainabledevelopment/blog/2016/10/report-inequalitiesexacerbate-climate-impacts-on-poor/", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "*International Conference on Learning Representations*.\n\n- Olga Kovaleva, Alexey Romanov, Anna Rogers, and Anna Rumshisky. 2019. Revealing the Dark Secrets of BERT. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 4356–4365, Hong Kong, China. Association for Computational Linguistics.\n- Kalpesh Krishna, Gaurav Singh Tomar, Ankur P. Parikh, Nicolas Papernot, and Mohit Iyyer. 2020. Thieves on Sesame Street! Model Extraction of BERT-Based APIs. In *ICLR 2020*.\n- Varun Kumar, Ashutosh Choudhary, and Eunah Cho. 2020. Data Augmentation using Pre-Trained Transformer Models. *arXiv:2003.02245 [cs]*.\n- Ilia Kuznetsov and Iryna Gurevych. 2020. A Matter of Framing: The Impact of Linguistic Formalism on Probing Results. *arXiv:2004.14999 [cs]*.\n- Guillaume Lample and Alexis Conneau. 2019. Cross-Lingual Language Model Pretraining. *arXiv:1901.07291 [cs]*.\n- Zhenzhong Lan, Mingda Chen, Sebastian Goodman, Kevin Gimpel, Piyush Sharma, and Radu Soricut. 2020a. ALBERT: A Lite BERT for Self-Supervised Learning of Language Representations. In *ICLR*.\n- Zhenzhong Lan, Mingda Chen, Sebastian Goodman, Kevin Gimpel, Piyush Sharma, and Radu Soricut. 2020b. ALBERT: A Lite BERT for Self-supervised Learning of Language Representations. In *ICLR 2020*.\n- Cheolhyoung Lee, Kyunghyun Cho, and Wanmo Kang. 2019. Mixout: Effective regularization to finetune large-scale pretrained language models. *arXiv preprint arXiv:1909.11299*.\n- Mike Lewis, Yinhan Liu, Naman Goyal, Marjan Ghazvininejad, Abdelrahman Mohamed, Omer Levy, Ves Stoyanov, and Luke Zettlemoyer. 2019. BART: Denoising Sequence-to-Sequence Pre-Training for Natural Language Generation, Translation, and Comprehension. *arXiv:1910.13461 [cs, stat]*.\n- Changmao Li and Jinho D. Choi. 2020. Transformers to Learn Hierarchical Contexts in Multiparty Dialogue for Span-based Question Answering. In *Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics*, pages 5709–5714, Online. Association for Computational Linguistics.\n- Zhuohan Li, Eric Wallace, Sheng Shen, Kevin Lin, Kurt Keutzer, Dan Klein, and Joseph E Gonzalez. 2020. Train large, then compress: Rethinking model size for efficient training and inference of transformers. *arXiv preprint arXiv:2002.11794*.\n- Yongjie Lin, Yi Chern Tan, and Robert Frank. 2019. Open Sesame: Getting inside BERT's Linguistic Knowledge. In *Proceedings of the 2019 ACL Workshop BlackboxNLP: Analyzing and Interpreting Neural Networks for NLP*, pages 241– 253.\n- Nelson F. Liu, Matt Gardner, Yonatan Belinkov, Matthew E. Peters, and Noah A. Smith. 2019a. Linguistic Knowledge and Transferability of Contextual Representations. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pages 1073–1094, Minneapolis, Minnesota. Association for Computational Linguistics.\n- Yinhan Liu, Myle Ott, Naman Goyal, Jingfei Du, Mandar Joshi, Danqi Chen, Omer Levy, Mike Lewis, Luke Zettlemoyer, and Veselin Stoyanov. 2019b. RoBERTa: A Robustly Optimized BERT Pretraining Approach. *arXiv:1907.11692 [cs]*.\n- Xiaofei Ma, Zhiguo Wang, Patrick Ng, Ramesh Nallapati, and Bing Xiang. 2019. Universal Text Representation from BERT: An Empirical Study. *arXiv:1910.07973 [cs]*.\n- Christopher D. Manning, Kevin Clark, John Hewitt, Urvashi Khandelwal, and Omer Levy. 2020. Emergent linguistic structure in artificial neural networks trained by self-supervision. *Proceedings of the National Academy of Sciences*, page 201907367.\n- Chandler May, Alex Wang, Shikha Bordia, Samuel R. Bowman, and Rachel Rudinger. 2019. 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In *Proceedings of the 3rd Workshop on Neural Generation and Translation*, pages 108–117, Hong Kong. Association for Computational Linguistics.\n- Alexis Conneau, Kartikay Khandelwal, Naman Goyal, Vishrav Chaudhary, Guillaume Wenzek, Francisco Guzmán, Edouard Grave, Myle Ott, Luke Zettlemoyer, and Veselin Stoyanov.\n\n2019. Unsupervised Cross-Lingual Representation Learning at Scale. *arXiv:1911.02116 [cs]*.\n\n- Gonçalo M. Correia, Vlad Niculae, and André F. T. Martins. 2019. Adaptively Sparse Transformers. In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 2174–2184, Hong Kong, China. Association for Computational Linguistics.\n- Matt Crane. 2018. 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In *Proceedings of the 2019 Conference on Empirical Methods in Natural Language Processing and the 9th International Joint Conference on Natural Language Processing (EMNLP-IJCNLP)*, pages 1173–1178, Hong Kong, China. Association for Computational Linguistics.\n- Jacob Devlin, Ming-Wei Chang, Kenton Lee, and Kristina Toutanova. 2019. BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding. In *Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers)*, pages 4171–4186.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "layers are more transferable (Liu et al., 2019a). In fine-tuning, it explains why the final layers change the most (Kovaleva et al., 2019), and why restoring the weights of lower layers of fine-tuned BERT to their original values does not dramatically hurt the model performance (Hao et al., 2019).\n\nTenney et al. (2019a) suggest that while syntactic information appears early in the model and can be localized, semantics is spread across the entire model, which explains why certain non-trivial examples get solved incorrectly at first but correctly at the later layers. This is rather to be expected: semantics permeates all language, and linguists debate whether meaningless structures can exist at all (Goldberg, 2006, p.166-182). But this raises the question of what stacking more Transformer layers in BERT actually achieves in terms of the spread of semantic knowledge, and whether that is beneficial. Tenney et al. compared BERT-base and BERT-large, and found that the overall pattern of cumulative score gains is the same, only more spread out in the larger model.\n\nNote that Tenney et al. (2019a)'s experiments concern sentence-level semantic relations; Cui et al. (2020) report that the encoding of ConceptNet semantic relations is the worst in the early layers and increases towards the top. Jawahar et al. (2019) place \"surface features in lower layers, syntactic features in middle layers and semantic features in higher layers\", but their conclusion is surprising, given that only one semantic task in this study actually topped at the last layer, and three others peaked around the middle and then considerably degraded by the final layers.\n\n### 5 Training BERT\n\nThis section reviews the proposals to optimize the training and architecture of the original BERT.\n\n### 5.1 Model architecture choices\n\nTo date, the most systematic study of BERT architecture was performed by Wang et al. (2019b), who experimented with the number of layers, heads, and model parameters, varying one option and freezing the others. They concluded that the number of heads was not as significant as the number of layers. That is consistent with the findings of Voita et al. (2019b) and Michel et al. (2019) (section 6), and also the observation by Liu et al. (2019a) that the middle layers were the most transferable. Larger hidden representation size was consistently better, but the gains varied by setting.\n\nAll in all, changes in the number of heads and layers appear to perform different functions. The issue of model depth must be related to the information flow from the most task-specific layers closer to the classifier (Liu et al., 2019a), to the initial layers which appear to be the most task-invariant (Hao et al., 2019), and where the tokens resemble the input tokens the most (Brunner et al., 2020) (see subsection 4.3). If that is the case, a deeper model has more capacity to encode information that is not task-specific.\n\nOn the other head, many self-attention heads in vanilla BERT seem to naturally learn the same patterns (Kovaleva et al., 2019). This explains why pruning them does not have too much impact. The question that arises from this is how far we could get with intentionally encouraging diverse self-attention patterns: theoretically, this would mean increasing the amount of information in the model with the same number of weights. Raganato et al. (2020) show for Transformer-based machine translation we can simply pre-set the patterns that we already know the model would learn, instead of learning them from scratch.\n\nVanilla BERT is symmetric and balanced in terms of self-attention and feed-forward layers, but it may not have to be. For the base Transformer, Press et al. (2020) report benefits from more selfattention sublayers at the bottom and more feedforward sublayers at the top.\n\n#### 5.2 Improvements to the training regime\n\nLiu et al. (2019b) demonstrate the benefits of large-batch training: with 8k examples both the language model perplexity and downstream task performance are improved. They also publish their recommendations for other parameters. You et al. (2019) report that with a batch size of 32k BERT's training time can be significantly reduced with no degradation in performance. Zhou et al. (2019) observe that the normalization of the trained [CLS] token stabilizes the training and slightly improves performance on text classification tasks.\n\nGong et al. (2019) note that, since self-attention patterns in higher and lower layers are similar, the model training can be done in a recursive manner, where the shallower version is trained first and then the trained parameters are copied to deeper layers. Such a \"warm-start\" can lead to a 25% faster training without sacrificing performance.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "More recently, Kobayashi et al. (2020) showed that the norms of attention-weighted input vectors, which yield a more intuitive interpretation of self-attention, reduce the attention to special tokens. However, even when the attention weights are normed, it is still not the case that most heads that do the \"heavy lifting\" are even potentially interpretable (Prasanna et al., 2020).\n\nOne methodological choice in in many studies of attention is to focus on inter-word attention and simply exclude special tokens (e.g. Lin et al. (2019) and Htut et al. (2019)). However, if attention to special tokens actually matters at inference time, drawing conclusions purely from inter-word attention patterns does not seem warranted.\n\nThe functions of special tokens are not yet well understood. [CLS] is typically viewed as an aggregated sentence-level representation (although all token representations also contain at least some sentence-level information, as discussed in subsection 4.1); in that case, we may not see e.g. full syntactic trees in inter-word attention because part of that information is actually packed in [CLS].\n\nClark et al. (2019) experiment with encoding Wikipedia paragraphs with base BERT to consider specifically the attention to special tokens, noting that heads in early layers attend more to [CLS], in middle layers to [SEP], and in final layers to periods and commas. They hypothesize that its function might be one of \"no-op\", a signal to ignore the head if its pattern is not applicable to the current case. As a result, for example, [SEP] gets increased attention starting in layer 5, but its importance for prediction drops. However, after fine-tuning both [SEP] and [CLS] get a lot of attention, depending on the task (Kovaleva et al., 2019). Interestingly, BERT also pays a lot of attention to punctuation, which Clark et al. (2019) explain by the fact that periods and commas are simply almost as frequent as the special tokens, and so the model might learn to rely on them for the same reasons.\n\n#### 4.3 BERT layers\n\nThe first layer of BERT receives as input a combination of token, segment, and positional embeddings.\n\nIt stands to reason that the lower layers have the most information about linear word order. Lin et al. (2019) report a decrease in the knowledge of linear word order around layer 4 in BERT-base. This is accompanied by an increased knowledge\n\n(a) ELMo (original)\n\nestingly, we see that layers 1 and 2 in the 4-layer ELMo model have very similar performance—this warrants further exploration. On the other hand, the layers of the ELMo (transformer) model do not exhibit such a monotonic increase. While the topmost layer is best (which we expected, since this is the vector originally fed into a softmax classifier during pretraining), the middle layers show varying performance. Across all models, the representations that are better-suited for language modeling are also those that exhibit worse probing task performance (Figure 3), indicating that contextualizer layers trade off between encoding general\n\nThese results also reveal a difference in the layerwise behavior of LSTMs and transformers; moving up the LSTM layers yields more taskspecific representations, but the same does not hold for transformers. Better understanding the differences between transformers and LSTMs is an active area of research (Chen et al., 2018; Tang et al., 2018), and we leave further exploration of\n\nThese observations motivate the gradual unfreezing method of Howard and Ruder (2018), where the model layers are progressively unfrozen (starting from the final layer) during the finetuning process. Given our observation that higherlevel LSTM layers are less general (and more pretraining task-specific), they likely have to be finetuned a bit more in order to make them appropriately task specific. Meanwhile, the base layer of the LSTM already learns highly transferable features, and may not benefit from fine-tuning.\n\nand task-specific features.\n\nthese observations to future work.\n\n6 Transferring Between Tasks\n\nguage model pretraining.\n\nSuccessful pretrained contextualizers have used self-supervised tasks such as bidirectional language modeling (Peters et al., 2018a) and next sentence prediction (Devlin et al., 2018), which enable the use of large, unannotated text corpora. However, contextualizers can also be pretrained on explicitly supervised objectives, as done in pretrained *sentence* embedding methods (Conneau et al., 2017). To better understand how the choice of pretraining task affects the linguistic knowledge within and transferability of CWRs, we compare pretraining on a range of different explicitly-supervised tasks with bidirectional lan-\n\n(b) ELMo (4-layer)\n\n(c) ELMo (transformer)\n\n(d) OpenAI transformer\n\nLayer 0 Layer 2\n\nLayer 0 Layer 4\n\nLayer 0 Layer 6\n\nLayer 0 Layer 12\n\nFigure 3: A visualization of layerwise patterns in task performance. Each column represents a probing task, and each row represents a contextualizer layer. Figure 4: BERT layer transferability (columns correspond to probing tasks, Liu et al. (2019a).\n\ntextualizers. Furthermore, the ELMo-based models facilitate a controlled comparison—they only of hierarchical sentence structure, as detected by the probing tasks of predicting the token index, the main auxiliary verb and the sentence subject.\n\ndiffer in the contextualizer architecture used. We evaluate how well CWR features perform the pretraining task—bidirectional language modeling. Specifically, we take the pretrained representations for each layer and relearn the language model softmax classifiers used to predict the next and previous token. The ELMo models are trained on the Billion Word Benchmark, so we retrain the softmax classifier on similar data to mitigate any possible effects from domain shift. We split the held-out portion of the Billion Word Benchmark into train (80%, 6.2M tokens) and evaluation (20%, 1.6M tokens) sets and use this data to retrain and evaluate the softmax classifiers. We expect that biLM perplexity will be lower when training the softmax classifiers on representations from layers that capture more information about There is a wide consensus in studies with different tasks, datasets and methodologies that syntactic information is most prominent in the middle layers of BERT.4 Hewitt and Manning (2019) had the most success reconstructing syntactic tree depth from the middle BERT layers (6-9 for base-BERT, 14-19 for BERT-large). Goldberg (2019) reports the best subject-verb agreement around layers 8- 9, and the performance on syntactic probing tasks used by Jawahar et al. (2019) also seems to peak around the middle of the model. The prominence of syntactic information in the middle BERT layers is related to Liu et al. (2019a)'s observation that the middle layers of Transformers are best-performing overall and the most transferable across tasks (see Figure 4).\n\nthe pretraining task. 5.2 Results and Discussion Figure 4 presents the performance of softmax classifiers trained to perform the bidirectional language modeling task, given just the CWRs as input. We notice that higher layers in recurrent models consistently achieve lower perplexities. Inter-There is conflicting evidence about syntactic chunks. Tenney et al. (2019a) conclude that \"the basic syntactic information appears earlier in the network while high-level semantic features appear at the higher layers\", drawing parallels between this order and the order of components in a typical NLP pipeline – from POS-tagging to dependency parsing to semantic role labeling. Jawahar et al. (2019) also report that the lower layers were more useful for chunking, while middle layers were more useful for parsing. At the same time, the probing experiments by Liu et al. (2019a) find the opposite: both POS-tagging and chunking were performed best at the middle layers, in both BERT-base and BERT-large. However, all three studies use different suites of probing tasks.\n\nThe final layers of BERT are the most taskspecific. In pre-training, this means specificity to the MLM task, which explains why the middle\n\n4These BERT results are also compatible with findings by Vig and Belinkov (2019), who report the highest attention to tokens in dependency relations in the middle layers of GPT-2.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "How many affiliate banks has First Financial Bankshares ?", - "target_page": 4, - "target_passage": "The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "First Financial Bankshares, Inc. is a financial holding company\n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion as of December 31, 2002. The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. The common stock of First Financial Bankshares, Inc. is held by more than 3,500 shareholders and is listed on The NASDAQ Stock Market® under the symbol FFIN.\n\n\"Our 10 affiliate banks provide services from 28 full-service locations in the Central, West and High Plains regions of Texas.\"", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### **First Financial Bankshares customers and shareholders also know a thing or two about Value and Values – and we learn from them every day. We're proud to share in their success. Here are just a few of their stories.**\n\n**George Marti believes in doing things. Good things.** \n\nBorn to humble roots on his parents' farm in 1920, Marti has accomplished much, including founding three radio stations (and investing in 10 more) and developing a remote pickup device that became standard equipment in 80 percent of all radio stations worldwide. He still has part ownership of KCLE in Cleburne, Texas (the town where he was once mayor for 12 years).\n\nMarti's dedication to his hometown is part of the reason why he bought Cleburne State Bank in 1992. His business skills (and success in the broadcasting industry) gave him the resources to turn the bank into yet another winning venture. Five years later, he sold it to First Financial, which merged it with their existing First Financial Bank, Cleburne.\n\nThe proceeds from the sale helped Marti complete the funding for his proudest achievement: the Marti Foundation, which he created in the 1970s to help send students from Johnson County to college. \"We help over 100 students a year … most are the first from their family ever to attend college,\" says Marti. \"I know what education did for me, so it's a great thing to help these young people.\" Marti says that when he dies, the Foundation will live on, $20 million strong.\n\nMarti still serves on the board of First Financial Bank, Cleburne. \"First Financial's merger of the banks was positive for the community. They have a good customer base. They are friendly, helpful and creative. They are growing, and the branches in Alvarado and Burleson are both doing well. Those are all good things.\"\n\n\"They are friendly, helpful and creative. Those are all good things.\"\n\nGeorge Marti Founder Marti Enterprises Cleburne, Texas 6", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **REPORT OF INDEPENDENT AUDITORS**\n\nTo the Board of Directors and Shareholders of First Financial Bankshares, Inc.\n\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas corporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings, comprehensive earnings, shareholders' equity, and cash flows for the year then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and for each of the two years then ended, were audited by other auditors who have ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those statements.\n\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their operations and their cash flows for the year then ended in conformity with accounting principles generally accepted in the United States.\n\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the two years then ended were audited by other auditors who have ceased operations. As described in Note 1, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, *Goodwill and Other Intangible Assets*, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000 included (a) agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense including related tax effects recognized in those periods related to goodwill to the Company's underlying records obtained from management, and (b) testing the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related earnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 and 2000 financial statements taken as a whole.\n\nErnst & Young LLP\n\nDallas, Texas January 14, 2003", - "page_start": 64, - "page_end": 64, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES Consolidated Balance Sheets December 31, 2002 and 2001\n\n| ASSETS | 2002 | 2001 |\n| --- | --- | --- |\n| CASH AND DUE FROM BANKS | $ 108,436,645 | $ 112,150,214 |\n| FEDERAL FUNDS SOLD | 70,000,000 | 72,975,000 |\n| Total cash and cash equivalents | 178,436,645 | 185,125,214 |\n| INTEREST-BEARING DEPOSITS IN BANKS | 2,324,425 | 1,374,285 |\n| INVESTMENT SECURITIES: | | |\n| Securities held-to-maturity (fair value of $211,862,151 in | | |\n| 2002 and $298,569,794 in 2001) | 200,449,784 | 290,674,490 |\n| Securities available-for-sale, at fair value | 571,806,629 | 431,019,205 |\n| Total investment securities | 772,256,413 | 721,693,695 |\n| LOANS | 964,039,773 | 940,130,975 |\n| Less- allowance for loan losses | 11,218,729 | 10,602,419 |\n| Net loans | 952,821,044 | 929,528,556 |\n| BANK PREMISES AND EQUIPMENT, net | 40,605,401 | 42,012,431 |\n| INTANGIBLE ASSETS | 24,870,788 | 24,711,969 |\n| OTHER ASSETS | 21,868,220 | 25,247,980 |\n| Total assets | $1,993,182,936 | $1,929,694,130 |\n| LIABILITIES AND SHAREHOLDERS' EQUITY | | |\n| NONINTEREST-BEARING DEPOSITS | $ 425,473,353 | $ 389,406,666 |\n| INTEREST-BEARING DEPOSITS | 1,286,088,863 | 1,295,755,932 |\n| Total deposits | 1,711,562,216 | 1,685,162,598 |\n| DIVIDENDS PAYABLE | 4,327,374 | 3,699,976 |\n| SECURITIES SOLD UNDER AGREEMENTS TO REPURCHASE | 26,708,994 | 19,847,067 |\n| OTHER LIABILITIES | 11,816,707 | 7,330,476 |\n| Total liabilities | 1,754,415,291 | 1,716,040,117 |\n| COMMITMENTS AND CONTINGENCIES | | |\n| SHAREHOLDERS' EQUITY: | | |\n| Common stock, $10 par value; authorized 20,000,000 shares; | | |\n| 12,364,201 and 12,333,252 issued and outstanding at December 31, 2002 and 2001, respectively | 123,642,010 | 123,332,520 |\n| Capital surplus | 58,087,687 | 57,824,061 |\n| Retained earnings | 45,647,522 | 28,375,353 |\n| Accumulated other comprehensive earnings | 11,390,426 | 4,122,079 |\n| Total shareholders' equity | 238,767,645 | 213,654,013 |\n| Total liabilities and shareholders' equity | $1,993,182,936 | $1,929,694,130 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 67, - "page_end": 67, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES Consolidated Statements of Earnings December 31, 2002, 2001 and 2000\n\n| | | 2002 | | 2001 | | 2000 |\n| --- | --- | --- | --- | --- | --- | --- |\n| INTEREST INCOME: | | | | | | |\n| Interest and fees on loans | | $ 64,609,189 | | $ 74,881,682 | $ 75,474,661 | |\n| Interest on investment securities: | | | | | | |\n| Taxable | | 32,263,763 | | 32,169,874 | | 33,556,796 |\n| Exempt from federal income tax | | 7,042,102 | | 6,279,973 | | 5,770,861 |\n| Interest on federal funds sold and interest-bearing | | | | | | |\n| deposits in banks | | 946,861 | | 3,211,316 | | 3,148,277 |\n| Total interest income | | 104,861,915 | | 116,472,845 | 117,950,595 | |\n| INTEREST EXPENSE: | | | | | | |\n| Interest on deposits | | 24,087,911 | | 43,970,532 | | 47,737,862 |\n| Other | | 291,793 | | 863,480 | | 1,091,180 |\n| Total interest expense | | 24,379,704 | | 44,834,012 | 48,829,042 | |\n| Net interest income | | 80,482,211 | | 71,638,833 | | 69,121,553 |\n| PROVISION FOR LOAN LOSSES | | 2,369,634 | | 1,964,050 | | 2,397,750 |\n| Net interest income after provision for loan losses | | 78,112,577 | | 69,674,783 | 66,723,803 | |\n| NONINTEREST INCOME: | | | | | | |\n| Trust department income | | 5,835,909 | | 5,890,600 | | 5,494,246 |\n| Service fees on deposit accounts | | 15,435,137 | | 14,743,217 | | 14,073,514 |\n| ATM fees | | 2,370,313 | | 1,941,508 | | 1,554,437 |\n| Real estate mortgage fees | | 1,858,378 | | 1,609,518 | | 1,021,590 |\n| Net gain on securities transactions | | 16,373 | | 67,789 | | 530,097 |\n| Other | | 4,036,366 | | 3,325,858 | | 3,273,445 |\n| Total noninterest income | | 29,552,476 | | 27,578,490 | 25,947,329 | |\n| NONINTEREST EXPENSE: | | | | | | |\n| Salaries and employee benefits | | 31,992,733 | | 28,685,294 | | 27,077,436 |\n| Net occupancy expense | | 3,908,856 | | 3,995,597 | | 3,563,289 |\n| Equipment expense | | 4,800,768 | | 4,457,909 | | 4,180,782 |\n| Printing, stationary and supplies | | 1,474,683 | | 1,084,134 | | 882,470 |\n| Correspondent bank service charges | | 1,491,132 | | 1,329,134 | | 1,261,811 |\n| Amortization of intangible assets | | 135,156 | | 1,641,367 | | 1,641,367 |\n| Other expenses | | 15,278,722 | | 13,878,262 | 13,085,333 | |\n| Total noninterest expense | | 59,082,050 | | 55,071,697 | 51,692,488 | |\n| EARNINGS BEFORE INCOME TAXES | | 48,583,003 | | 42,181,576 | | 40,978,644 |\n| INCOME TAX EXPENSE | | 14,630,453 | | 12,827,071 | 12,662,597 | |\n| NET EARNINGS | $ | 33,952,550 | | $ 29,354,505 | $28,316,047 | |\n| NET EARNINGS PER SHARE, BASIC | $ | 2.75 | $ | 2.38 | $ 2.28 | |\n| NET EARNINGS PER SHARE, ASSUMING DILUTION | $ | 2.74 | $ | 2.37 | $ | 2.27 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 68, - "page_end": 68, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### 1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:\n\n#### Nature of Operations\n\nFirst Financial Bankshares, Inc. (a Texas corporation) (\"Bankshares\") is a financial holding company which owns (through its wholly-owned Delaware subsidiary) all of the capital stock of ten banks located in Texas as of December 31, 2002. Those subsidiary banks are First National Bank of Abilene; Hereford State Bank; First National Bank, Sweetwater; Eastland National Bank; First Financial Bank, National Association, Cleburne; Stephenville Bank & Trust Co.; San Angelo National Bank; Weatherford National Bank; First Financial Bank, National Association, Southlake and City National Bank, Mineral Wells. Each subsidiary bank's primary source of revenue is providing loans and banking services to consumers and commercial customers in the market area in which the subsidiary is located.\n\nA summary of significant accounting policies of Bankshares and subsidiaries (collectively, the \"Company\") applied in the preparation of the accompanying consolidated financial statements follows. The accounting principles followed by the Company and the methods of applying them are in conformity with both accounting principles generally accepted in the United States of America and prevailing practices of the banking industry.\n\n#### Use of Estimates in Preparation of Financial Statements\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Material estimates that are particularly susceptible to significant change in the near term relate to the determination of the allowance for loan losses, the valuations of foreclosed real estate, deferred income tax assets, and the fair value of financial instruments.\n\n#### Consolidation\n\nThe accompanying consolidated financial statements include the accounts of Bankshares and its subsidiaries, all of which are wholly-owned. All significant intercompany accounts and transactions have been eliminated.\n\n#### Investment Securities\n\nManagement classifies debt and equity securities as held-to-maturity, available-for-sale, or trading based on its intent. Debt securities that management has the positive intent and ability to hold to maturity are classified as heldto-maturity and recorded at cost, adjusted for amortization of premiums and accretion of discounts, which are recognized as adjustments to interest income using the interest method. Securities not classified as held-to-maturity or trading are classified as available-for-sale and recorded at estimated fair value, with unrealized gains and losses, net of deferred income taxes, excluded from earnings and reported in a separate component of shareholders' equity. Securities classified as trading are recorded at estimated fair value, with unrealized gains and losses included in earnings. The Company had no trading securities at December 31, 2002, 2001, or 2000.\n\n#### Loans and Allowance for Loan Losses\n\nLoans are stated at the amount of unpaid principal, reduced by unearned income and an allowance for loan losses. Unearned income on installment loans is recognized in income over the terms of the loans in decreasing amounts using a method which approximates the interest method. Interest on other loans is calculated by using the simple interest method on daily balances of the principal amounts outstanding. The Company expenses its net loan origination costs, a method which does not materially differ from deferring and amortizing such amounts as an adjustment to yield. The allowance for loan losses is established through a provision for loan losses charged to", - "page_start": 72, - "page_end": 72, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### CERTIFICATIONS\n\nI, F. Scott Dueser, certify that:\n\n1. I have reviewed this annual report on Form 10-K of First Financial Bankshares, Inc.;\n\n2. Based on my knowledge, this annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this annual report;\n\n3. Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this annual report;\n\n4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and have;\n\na. Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this annual report is being prepared;\n\nb. Evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this annual report (the \"Evaluation Date\"); and\n\nc. Presented in this annual report our conclusions about the effectiveness of this disclosure controls and procedures based on our evaluation as of the Evaluation Date;\n\n5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent functions):\n\na. All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and\n\nb. Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and\n\n6. The registrant's other certifying officers and I have indicated in this annual report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.\n\nDate: March 10, 2003\n\nBy: /s/ F. SCOTT DUESER F. Scott Dueser President, Chief Executive Officer and Director", - "page_start": 62, - "page_end": 62, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS**\n\nTo the Board of Directors and Shareholders of First Financial Bankshares, Inc.\n\nWe have audited the accompanying consolidated balance sheets of First Financial Bankshares, Inc. (a Texas corporation) and subsidiaries as of December 31, 2001 and 2000, and the related consolidated statements of earnings, comprehensive earnings, shareholders' equity, and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and 2000, and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001, in conformity with accounting principles generally accepted in the United States.\n\nArthur Andersen LLP\n\nDallas, Texas, January 11, 2002\n\n### NOTE: THIS IS A COPY OF A REPORT PREVIOUSLY ISSUED BY ARTHUR ANDERSEN LLP WHICH CEASED OPERATIONS. THIS REPORT ADDRESSES CERTAIN FINANCIAL STATEMENTS FOR PERIODS THAT ARE NOT OTHERWISE REQUIRED TO BE INCLUDED IN THIS FORM 10-K.", - "page_start": 65, - "page_end": 65, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "range of services to individuals, associations, and corporations. These services include administering estates, testamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene, First Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association, Southlake, Texas provide securities brokerage services through arrangements with various third parties.\n\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose national bank under which we will consolidate the management of our current trust departments. The new entity will operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We believe that with this structure we can more effectively manage our current trust operations and provide trust services to customers of our banks that do not currently have trust departments. We anticipate that the new trust company will begin operations in the latter part of 2003.\n\n#### **Competition**\n\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state's deposits, we represent only a minor segment of the industry. To succeed in this industry, our management believes that our banks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services offered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas against highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions, mortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and some of which are larger than our subsidiary banks in terms of capital, resources and personnel.\n\nOur business does not depend on any single customer or any few customers, the loss of any one of which would have a materially adverse effect upon our business. Although we have a broad base of customers that are not related to us, our customers also occasionally include our officers and directors, as well as other entities with which we are affiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are affiliated, in the ordinary course of business. We make these loans on substantially the same terms, including interest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to directors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws which we describe in greater detail below.\n\n#### **Employees**\n\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003. Our management believes that our employee relations have been and will continue to be good.\n\n#### **Supervision and Regulation**\n\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and banks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the deposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also benefit. The following information describes particular laws and regulatory provisions relating to financial holding companies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory provisions. A change in any of these laws or regulations may have a material effect on our business and the business of our subsidiary banks.\n\n#### *Bank Holding Companies and Financial Holding Companies*\n\nTraditionally, the activities of bank holding companies were limited to the business of banking and activities closely related or incidental to banking. Bank holding companies were generally prohibited from acquiring control of any company which was not a bank and from engaging in any business other than the business of banking or managing and controlling banks. The Gramm-Leach-Bliley Act, which took effect on March 12, 2000, dismantled many Depression-era restrictions against affiliation between banking, securities and insurance firms by permitting bank holding companies to engage in a broader range of financial activities, so long as certain safeguards are observed. Specifically, bank holding companies may elect to become \"financial holding companies\" that may affiliate with securities firms and insurance companies and engage in other activities that are financial in nature or", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Our subsidiary banks paid aggregate dividends of approximately $26.6 million in 2002 and approximately $25.5 million in 2001. Under the dividend restrictions discussed above, as of December 31, 2002, our subsidiary banks, without obtaining governmental approvals, could have declared in the aggregate additional dividends of approximately $20.7 million from retained net profits.\n\nTo pay dividends, we and our subsidiary banks must maintain adequate capital above regulatory guidelines. In addition, if the applicable regulatory authority believes that a bank under its jurisdiction is engaged in or is about to engage in an unsafe or unsound practice (which, depending on the financial condition of the bank, could include the payment of dividends), the authority may require, after notice and hearing, that such bank cease and desist from the unsafe practice. The Federal Reserve Board and the OCC have each indicated that paying dividends that deplete a bank's capital base to an inadequate level would be an unsafe and unsound banking practice. The Federal Reserve Board, the OCC and the FDIC have issued policy statements that recommend that bank holding companies and insured banks should generally only pay dividends to the extent that net income is sufficient to cover both cash dividends and rate of earnings retention consistent with capital needs, asset quality and overall financial condition. No undercapitalized institution may pay a dividend.\n\n#### *Affiliate Transactions*\n\nThe Federal Reserve Act, the FDIA and the rules adopted under these statutes restrict the extent to which we can borrow or otherwise obtain credit from, or engage in certain other transactions with, our depository subsidiaries. These laws regulate \"covered transactions\" between insured depository institutions and their subsidiaries, on the one hand, and their nondepository affiliates, on the other hand. \"Covered transactions\" include a loan or extension of credit to a nondepository affiliate, a purchase of securities issued by such an affiliate, a purchase of assets from such an affiliate (unless otherwise exempted by the Federal Reserve Board), an acceptance of securities issued by such an affiliate as collateral for a loan, and an issuance of a guarantee, acceptance, or letter of credit for the benefit of such an affiliate. The \"covered transactions\" that an insured depository institution and its subsidiaries are permitted to engage in with their nondepository affiliates are limited to the following amounts: (1) in the case of any one such affiliate, the aggregate amount of \"covered transactions\" cannot exceed ten percent of the capital stock and the surplus of the insured depository institution; and (2) in the case of all affiliates, the aggregate amount of \"covered transactions\" cannot exceed twenty percent of the capital stock and surplus of the insured depository institution. In addition, extensions of credit that constitute \"covered transactions\" must be collateralized in prescribed amounts. Further, a bank holding company and its subsidiaries are prohibited from engaging in certain tie-in arrangements in connection with any extension of credit, lease or sale of property or furnishing of services. Finally, when we and our subsidiary banks conduct transactions internally among us, we are required to do so at arm's length.\n\n#### *Loans to Directors, Executive Officers and Principal Shareholders*\n\nThe authority of our subsidiary banks to extend credit to our directors, executive officers and principal shareholders, including their immediate family members and corporations and other entities that they control, is subject to substantial restrictions and requirements under Sections 22(g) and 22(h) of the Federal Reserve Act and Regulation O promulgated thereunder. These statutes and regulations impose specific limits on the amount of loans our subsidiary banks may make to directors and other insiders, and specified approval procedures must be followed in making loans that exceed certain amounts. In addition, all loans our subsidiary banks make to directors and other insiders must satisfy the following requirements:\n\n- The loans must be made on substantially the same terms, including interest rates and collateral, as prevailing at the time for comparable transactions with persons not affiliated with us or the subsidiary banks;\n- The subsidiary banks must follow credit underwriting procedures at least as stringent as those applicable to comparable transactions with persons who are not affiliated with us or the subsidiary banks; and\n- The loans must not involve a greater than normal risk of repayment or other unfavorable features.", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What was the net income of First Financial Bankshares in 1995 ?", - "target_page": 14, - "target_passage": " 16,355", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES Consolidated Statements of Earnings December 31, 2002, 2001 and 2000\n\n| | | 2002 | | 2001 | | 2000 |\n| --- | --- | --- | --- | --- | --- | --- |\n| INTEREST INCOME: | | | | | | |\n| Interest and fees on loans | | $ 64,609,189 | | $ 74,881,682 | $ 75,474,661 | |\n| Interest on investment securities: | | | | | | |\n| Taxable | | 32,263,763 | | 32,169,874 | | 33,556,796 |\n| Exempt from federal income tax | | 7,042,102 | | 6,279,973 | | 5,770,861 |\n| Interest on federal funds sold and interest-bearing | | | | | | |\n| deposits in banks | | 946,861 | | 3,211,316 | | 3,148,277 |\n| Total interest income | | 104,861,915 | | 116,472,845 | 117,950,595 | |\n| INTEREST EXPENSE: | | | | | | |\n| Interest on deposits | | 24,087,911 | | 43,970,532 | | 47,737,862 |\n| Other | | 291,793 | | 863,480 | | 1,091,180 |\n| Total interest expense | | 24,379,704 | | 44,834,012 | 48,829,042 | |\n| Net interest income | | 80,482,211 | | 71,638,833 | | 69,121,553 |\n| PROVISION FOR LOAN LOSSES | | 2,369,634 | | 1,964,050 | | 2,397,750 |\n| Net interest income after provision for loan losses | | 78,112,577 | | 69,674,783 | 66,723,803 | |\n| NONINTEREST INCOME: | | | | | | |\n| Trust department income | | 5,835,909 | | 5,890,600 | | 5,494,246 |\n| Service fees on deposit accounts | | 15,435,137 | | 14,743,217 | | 14,073,514 |\n| ATM fees | | 2,370,313 | | 1,941,508 | | 1,554,437 |\n| Real estate mortgage fees | | 1,858,378 | | 1,609,518 | | 1,021,590 |\n| Net gain on securities transactions | | 16,373 | | 67,789 | | 530,097 |\n| Other | | 4,036,366 | | 3,325,858 | | 3,273,445 |\n| Total noninterest income | | 29,552,476 | | 27,578,490 | 25,947,329 | |\n| NONINTEREST EXPENSE: | | | | | | |\n| Salaries and employee benefits | | 31,992,733 | | 28,685,294 | | 27,077,436 |\n| Net occupancy expense | | 3,908,856 | | 3,995,597 | | 3,563,289 |\n| Equipment expense | | 4,800,768 | | 4,457,909 | | 4,180,782 |\n| Printing, stationary and supplies | | 1,474,683 | | 1,084,134 | | 882,470 |\n| Correspondent bank service charges | | 1,491,132 | | 1,329,134 | | 1,261,811 |\n| Amortization of intangible assets | | 135,156 | | 1,641,367 | | 1,641,367 |\n| Other expenses | | 15,278,722 | | 13,878,262 | 13,085,333 | |\n| Total noninterest expense | | 59,082,050 | | 55,071,697 | 51,692,488 | |\n| EARNINGS BEFORE INCOME TAXES | | 48,583,003 | | 42,181,576 | | 40,978,644 |\n| INCOME TAX EXPENSE | | 14,630,453 | | 12,827,071 | 12,662,597 | |\n| NET EARNINGS | $ | 33,952,550 | | $ 29,354,505 | $28,316,047 | |\n| NET EARNINGS PER SHARE, BASIC | $ | 2.75 | $ | 2.38 | $ 2.28 | |\n| NET EARNINGS PER SHARE, ASSUMING DILUTION | $ | 2.74 | $ | 2.37 | $ | 2.27 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 68, - "page_end": 68, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES Consolidated Balance Sheets December 31, 2002 and 2001\n\n| ASSETS | 2002 | 2001 |\n| --- | --- | --- |\n| CASH AND DUE FROM BANKS | $ 108,436,645 | $ 112,150,214 |\n| FEDERAL FUNDS SOLD | 70,000,000 | 72,975,000 |\n| Total cash and cash equivalents | 178,436,645 | 185,125,214 |\n| INTEREST-BEARING DEPOSITS IN BANKS | 2,324,425 | 1,374,285 |\n| INVESTMENT SECURITIES: | | |\n| Securities held-to-maturity (fair value of $211,862,151 in | | |\n| 2002 and $298,569,794 in 2001) | 200,449,784 | 290,674,490 |\n| Securities available-for-sale, at fair value | 571,806,629 | 431,019,205 |\n| Total investment securities | 772,256,413 | 721,693,695 |\n| LOANS | 964,039,773 | 940,130,975 |\n| Less- allowance for loan losses | 11,218,729 | 10,602,419 |\n| Net loans | 952,821,044 | 929,528,556 |\n| BANK PREMISES AND EQUIPMENT, net | 40,605,401 | 42,012,431 |\n| INTANGIBLE ASSETS | 24,870,788 | 24,711,969 |\n| OTHER ASSETS | 21,868,220 | 25,247,980 |\n| Total assets | $1,993,182,936 | $1,929,694,130 |\n| LIABILITIES AND SHAREHOLDERS' EQUITY | | |\n| NONINTEREST-BEARING DEPOSITS | $ 425,473,353 | $ 389,406,666 |\n| INTEREST-BEARING DEPOSITS | 1,286,088,863 | 1,295,755,932 |\n| Total deposits | 1,711,562,216 | 1,685,162,598 |\n| DIVIDENDS PAYABLE | 4,327,374 | 3,699,976 |\n| SECURITIES SOLD UNDER AGREEMENTS TO REPURCHASE | 26,708,994 | 19,847,067 |\n| OTHER LIABILITIES | 11,816,707 | 7,330,476 |\n| Total liabilities | 1,754,415,291 | 1,716,040,117 |\n| COMMITMENTS AND CONTINGENCIES | | |\n| SHAREHOLDERS' EQUITY: | | |\n| Common stock, $10 par value; authorized 20,000,000 shares; | | |\n| 12,364,201 and 12,333,252 issued and outstanding at December 31, 2002 and 2001, respectively | 123,642,010 | 123,332,520 |\n| Capital surplus | 58,087,687 | 57,824,061 |\n| Retained earnings | 45,647,522 | 28,375,353 |\n| Accumulated other comprehensive earnings | 11,390,426 | 4,122,079 |\n| Total shareholders' equity | 238,767,645 | 213,654,013 |\n| Total liabilities and shareholders' equity | $1,993,182,936 | $1,929,694,130 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 67, - "page_end": 67, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES Consolidated Statements of Comprehensive Earnings December 31, 2002, 2001 and 2000\n\n| | 2002 | 2001 | 2000 |\n| --- | --- | --- | --- |\n| NET EARNINGS | $ 33,952,550 | $ 29,354,505 | $ 28,316,047 |\n| OTHER ITEMS OF COMPREHENSIVE EARNINGS: | | | |\n| Change in unrealized gain on investment securities | | | |\n| available-for-sale, before income tax | 13,414,265 | 3,916,477 | 9,319,576 |\n| Reclassification adjustment for realized gains on investment | | | |\n| securities included in net earnings, before income tax | (16,373) | (67,789) | (530,097) |\n| Minimum liability pension adjustment, before income tax | (2,215,820) | - | - |\n| Total other items of comprehensive earnings | 11,182,072 | 3,848,688 | 8,789,479 |\n| Income tax expense related to other items of | | | |\n| comprehensive earnings | (3,913,725) | (1,347,041) | (3,076,320) |\n| COMPREHENSIVE EARNINGS | $ 41,220,897 | $ 31,856,152 | $ 34,029,206 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 69, - "page_end": 69, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "First Financial Bankshares, Inc. is a financial holding company\n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion as of December 31, 2002. The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. The common stock of First Financial Bankshares, Inc. is held by more than 3,500 shareholders and is listed on The NASDAQ Stock Market® under the symbol FFIN.\n\n\"Our 10 affiliate banks provide services from 28 full-service locations in the Central, West and High Plains regions of Texas.\"", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIESConsolidated Statements of Shareholders' Equity December 31, 2002, 2001 and 2000\n\n| | | | | | Accumulated Other | |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | | Treasury | Comprehensive | Total |\n| | Common Stock | Capital | Retained | Stock, | Earnings | Shareholders' |\n| | Amount Shares | Surplus | Earnings | at cost | (Losses) | Equity |\n| BALANCE, December 31, 1999 | $99,721,930 9,972,193 | $60,538,481 | $22,495,259 | - $ | $(4,092,727) | $178,662,943 |\n| Net earnings | - - | - | 28,316,047 | - | - | 28,316,047 |\n| Cash dividends declared, $1.03 per share | - - | - | (12,808,111) | - | - | (12,808,111) |\n| Acquisition of treasury stock Stock issuances | 108,090 - 10,809 - | 53,829 - | - - | - (3,925,069) | - - | 161,919 (3,925,069) |\n| Change in unrealized gain (loss) on investment in | | | | | | |\n| securities available-for-sale, net of related income taxes | - - | - | - | - | 5,713,159 | 5,713,159 |\n| BALANCE, December 31, 2000 | $99,830,020 9,983,002 | $60,592,310 | $38,003,195 | $(3,925,069) | $ 1,620,432 | $196,120,888 |\n| Net earnings | - - | - | 29,354,505 | - | - | 29,354,505 |\n| Stock split, effected in the form of a 25% stock dividend | 24,617,700 2,461,770 | - | (24,617,700) | - | - | - |\n| Cash dividends declared, $1.16 per share | - - | - | (14,364,647) | - | - | (14,364,647) |\n| Acquisition of treasury stock | - - | - | - | (315,050) | - | (315,050) |\n| Retirement of treasury stock Stock issuances | 244,800 (1,360,000) 24,480 (136,000) | 111,870 (2,880,119) | - - | - 4,240,119 | - - | 356,670 - |\n| Change in unrealized gain on investment in | | | | | | |\n| securities available-for-sale, net of related income taxes | - - | - | - | - | 2,501,647 | 2,501,647 |\n| BALANCE, December 31, 2001 | $123,332,520 12,333,252 | $57,824,061 | $28,375,353 | - $ | $ 4,122,079 | $213,654,013 |\n| Net earnings | - - | - | 33,952,550 | - | - | 33,952,550 |\n| Cash dividends declared, $1.35 per share Stock issuances | - 309,490 30,949 - | - 263,626 | - (16,680,381) | - - | - - | 573,116 (16,680,381) |\n| Minimum liability pension adjustment, net of related income taxes | - - | - | - | - | (1,440,283) | (1,440,283) |\n| Change in unrealized gain on investment in | | | | | | |\n| securities available-for-sale, net of related income taxes | - - | - | - | - | 8,708,630 | 8,708,630 |\n| BALANCE, December 31, 2002 | $123,642,010 12,364,201 | $58,087,687 | $45,647,522 | - $ | $11,390,426 | $238,767,645 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 70, - "page_end": 70, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### 17. BUSINESS COMBINATION:\n\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. (\"City\") and its subsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market value of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an identifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible asset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized over seven years utilizing a method that approximates the expected attrition of the deposits.\n\nThe primary purpose of the acquisition was to expand the Company's market share in areas with close proximity to Dallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City's historically stable record of earnings, capable management and its geographic location, which complements the Company's existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and City National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are included in the consolidated earnings of the Company commencing July 1, 2001.\n\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts assigned to the major asset and liability captions at the acquisition date.\n\n#### ASSETS\n\n| Cash and cash equivalents | $ 9,651,769 |\n| --- | --- |\n| Investment securities | 29,717,834 |\n| Loans, net | 51,061,735 |\n| Goodwill | 6,891,959 |\n| Identifiable intangible asset | 946,073 |\n| Other assets | 1,465,727 |\n| Total assets | $ 99,735,097 |\n\n#### LIABILITIES AND SHAREHOLDER'S EQUITY\n\n| Noninterest-bearing deposits | $ 11,949,766 |\n| --- | --- |\n| Interest-bearing deposits | 70,575,256 |\n| Other liabilities | 710,075 |\n| Shareholders' equity | 16,500,000 |\n| Total liabilities and shareholder's equity | $ 99,735,097 |\n\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142. Accordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and identifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of City is insignificant to the Company's financial statements.\n\nCash flow information relative to the acquisition of City is, as follows:\n\n| Fair value of assets acquired | $ 99,735,097 |\n| --- | --- |\n| Cash paid for the capital stock of City | 16,500,000 |\n| Liabilities assumed | $ 83,235,097 |", - "page_start": 92, - "page_end": 92, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### 1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:\n\n#### Nature of Operations\n\nFirst Financial Bankshares, Inc. (a Texas corporation) (\"Bankshares\") is a financial holding company which owns (through its wholly-owned Delaware subsidiary) all of the capital stock of ten banks located in Texas as of December 31, 2002. Those subsidiary banks are First National Bank of Abilene; Hereford State Bank; First National Bank, Sweetwater; Eastland National Bank; First Financial Bank, National Association, Cleburne; Stephenville Bank & Trust Co.; San Angelo National Bank; Weatherford National Bank; First Financial Bank, National Association, Southlake and City National Bank, Mineral Wells. Each subsidiary bank's primary source of revenue is providing loans and banking services to consumers and commercial customers in the market area in which the subsidiary is located.\n\nA summary of significant accounting policies of Bankshares and subsidiaries (collectively, the \"Company\") applied in the preparation of the accompanying consolidated financial statements follows. The accounting principles followed by the Company and the methods of applying them are in conformity with both accounting principles generally accepted in the United States of America and prevailing practices of the banking industry.\n\n#### Use of Estimates in Preparation of Financial Statements\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Material estimates that are particularly susceptible to significant change in the near term relate to the determination of the allowance for loan losses, the valuations of foreclosed real estate, deferred income tax assets, and the fair value of financial instruments.\n\n#### Consolidation\n\nThe accompanying consolidated financial statements include the accounts of Bankshares and its subsidiaries, all of which are wholly-owned. All significant intercompany accounts and transactions have been eliminated.\n\n#### Investment Securities\n\nManagement classifies debt and equity securities as held-to-maturity, available-for-sale, or trading based on its intent. Debt securities that management has the positive intent and ability to hold to maturity are classified as heldto-maturity and recorded at cost, adjusted for amortization of premiums and accretion of discounts, which are recognized as adjustments to interest income using the interest method. Securities not classified as held-to-maturity or trading are classified as available-for-sale and recorded at estimated fair value, with unrealized gains and losses, net of deferred income taxes, excluded from earnings and reported in a separate component of shareholders' equity. Securities classified as trading are recorded at estimated fair value, with unrealized gains and losses included in earnings. The Company had no trading securities at December 31, 2002, 2001, or 2000.\n\n#### Loans and Allowance for Loan Losses\n\nLoans are stated at the amount of unpaid principal, reduced by unearned income and an allowance for loan losses. Unearned income on installment loans is recognized in income over the terms of the loans in decreasing amounts using a method which approximates the interest method. Interest on other loans is calculated by using the simple interest method on daily balances of the principal amounts outstanding. The Company expenses its net loan origination costs, a method which does not materially differ from deferring and amortizing such amounts as an adjustment to yield. The allowance for loan losses is established through a provision for loan losses charged to", - "page_start": 72, - "page_end": 72, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### Consolidated Statements of Cash Flows FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nDecember 31, 2002, 2001 and 2000\n\n| | 2002 2002 | 2001 2001 | 2000 |\n| --- | --- | --- | --- |\n| CASH FLOWS FROM OPERATING ACTIVITIES: | | | |\n| Net earnings | $ 33,952,550 | $ 29,354,505 | $ 28,316,047 |\n| Adjustments to reconcile net earnings to net cash | | | |\n| provided by operating activities: | | | |\n| Depreciation and amortization | 4,125,655 | 5,679,082 | 5,502,224 |\n| Provision for loan losses | 2,369,634 | 1,964,050 | 2,397,750 |\n| Premium amortization, net of discount accretion | 2,077,358 | 1,662,108 | 1,359,124 |\n| Loss (gain) on sale of assets | 42,890 | (52,815) | (540,304) |\n| Deferred federal income tax expense (benefit) | 350,415 | (188,982) | (304,240) |\n| (Increase) decrease in other assets | (1,508,089) | 3,565,172 | (2,567,832) |\n| Increase (decrease) in other liabilities | 2,695,533 | (1,778,326) | 1,026,945 |\n| Total adjustments | 10,153,396 | 10,850,289 | 6,873,667 |\n| Net cash provided by operating activities | 44,105,946 | 40,204,794 | 35,189,714 |\n| CASH FLOWS FROM INVESTING ACTIVITIES: | | | |\n| Net increase in interest-bearing deposits in banks | (950,140) | (1,269,947) | (100,258) |\n| Payment for stock of City Bancshares, Inc., net of cash acquired | - | (6,848,231) | - |\n| Activity in available-for-sale securities: | | | |\n| Sales | 30,077,478 | 57,925,815 | 530,097 |\n| Maturities | 814,880,024 | 660,484,725 | 21,660,247 |\n| Purchases | (972,026,050) | (854,748,980) | (41,804,532) |\n| Activity in held-to-maturity securities: | | | |\n| Maturities | 90,203,464 | 176,972,321 | 87,167,939 |\n| Purchases | (2,360,727) | (76,102,656) | (57,628,266) |\n| Net increase in loans | (26,012,420) | (31,639,533) | (63,728,244) |\n| Purchases of bank premises and equipment | (2,913,886) | (5,151,260) | (2,507,214) |\n| Proceeds from sale of other assets | 526,065 | 200,461 | 392,305 |\n| Net cash used in investing activities | (68,576,192) | (80,177,285) | (56,017,926) |\n| CASH FLOWS FROM FINANCING ACTIVITIES: | | | |\n| Net increase (decrease) in noninterest-bearing deposits | 36,066,687 | 41,179,967 | (4,236,804) |\n| Net (decrease) increase in interest-bearing deposits | (9,667,069) | 41,583,909 | (593,942) |\n| Net increase (decrease) in securities sold under agreements to repurchase | 6,861,927 | (6,317,292) | 16,526,625 |\n| Common stock transactions: | | | |\n| Acquisition of treasury stock | - | (315,050) | (3,925,069) |\n| Proceeds of stock issuances | 573,116 | 356,670 | 161,919 |\n| Dividends paid | (16,052,983) | (13,921,211) | (12,543,863) |\n| Net cash provided by (used in) financing activities | 17,781,678 | 62,566,993 | (4,611,134) |\n| NET (DECREASE) INCREASE IN CASH AND CASH EQUIVALENTS | (6,688,569) | 22,594,502 | (25,439,346) |\n| CASH AND CASH EQUIVALENTS, beginning of year | 185,125,214 | 162,530,712 | 187,970,058 |\n| CASH AND CASH EQUIVALENTS, end of year | $ 178,436,645 | $ 185,125,214 | $ 162,530,712 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 71, - "page_end": 71, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **REPORT OF INDEPENDENT AUDITORS**\n\nTo the Board of Directors and Shareholders of First Financial Bankshares, Inc.\n\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas corporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings, comprehensive earnings, shareholders' equity, and cash flows for the year then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and for each of the two years then ended, were audited by other auditors who have ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those statements.\n\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their operations and their cash flows for the year then ended in conformity with accounting principles generally accepted in the United States.\n\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the two years then ended were audited by other auditors who have ceased operations. As described in Note 1, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, *Goodwill and Other Intangible Assets*, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000 included (a) agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense including related tax effects recognized in those periods related to goodwill to the Company's underlying records obtained from management, and (b) testing the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related earnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 and 2000 financial statements taken as a whole.\n\nErnst & Young LLP\n\nDallas, Texas January 14, 2003", - "page_start": 64, - "page_end": 64, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "#### **REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS**\n\nTo the Board of Directors and Shareholders of First Financial Bankshares, Inc.\n\nWe have audited the accompanying consolidated balance sheets of First Financial Bankshares, Inc. (a Texas corporation) and subsidiaries as of December 31, 2001 and 2000, and the related consolidated statements of earnings, comprehensive earnings, shareholders' equity, and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and 2000, and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001, in conformity with accounting principles generally accepted in the United States.\n\nArthur Andersen LLP\n\nDallas, Texas, January 11, 2002\n\n### NOTE: THIS IS A COPY OF A REPORT PREVIOUSLY ISSUED BY ARTHUR ANDERSEN LLP WHICH CEASED OPERATIONS. THIS REPORT ADDRESSES CERTAIN FINANCIAL STATEMENTS FOR PERIODS THAT ARE NOT OTHERWISE REQUIRED TO BE INCLUDED IN THIS FORM 10-K.", - "page_start": 65, - "page_end": 65, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What is the address of the San Angelo National Bank main office ?", - "target_page": 21, - "target_passage": "Main Office 301 W. Beauregard San Angelo, Texas 76903 Chartered 1997 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### San Angelo National Bank\n\n**Main Office** 301 W. Beauregard San Angelo, Texas 76903 *Chartered 1997* \n\n**Branch** 3471 Knickerbocker San Angelo, Texas 76904\n\n#### **Senior Officers**\n\nMichael L. Boyd *President and Chief Executive Officer*\n\nDavid Byrd *Executive Vice President and Trust Officer* Robert Pate *Executive Vice President*\n\nKatherine Reeves *Executive Vice President and Cashier*\n\n#### **Directors**\n\nDal DeWees *Chairman of the Board* George Alexander\n\n*Partner, Alexander Construction Company* Michael L. Boyd\n\n*President and Chief Executive Officer* W. Dan Cravy, M.D.\n\n*Physician* David B. Drake *Investment Advisor*\n\nF. Scott Dueser *First Financial Bankshares, Inc.*\n\nDoug Eakman *Owner, Pecos Street Pharmacy*\n\nJoe Henderson *President, Porter Henderson Implement Company, Inc.*\n\nRobert D. Housley *President and Owner, Housley Communications* Jim Johnson *Shannon, Porter, Johnson, Pfluger, Davis & Joynton, LLP* David F. Lupton *President, Angelo Glass & Mirror Company, Inc.* Kenneth T. Murphy *First Financial Bankshares, Inc.* Bill Pfluger *Rancher* Richard W. Salmon *Investments*\n\nJohn E. Schwartz, Sr. *Farmer/Rancher*\n\nF.L. (Steve) Stephens *Retired Chairman and Chief Executive Officer, Town & Country Food Stores, Inc.*\n\nMichael L. Boyd *President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $303,124 | $299,808 |\n| Loans | 115,450 | 110,685 |\n| Deposits | 251,931 | 257,212 |\n| Equity | 30,634 | 27,986 |\n| Net Income | 4,917 | 4,167 |\n| Trust Assets | 144,047 | 129,471 |\n| Return on Average Assets | 1.70% | 1.46% |\n| Return on Average Equity | 16.48 | 15.13 |\n\nSan Angelo **24 Tom Green County Deposit Market Share %**", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### First National Bank of Abilene\n\n#### **Main Office**\n\n400 Pine Street Abilene, Texas 79601 *Chartered 1890* \n\n#### **Branches**\n\n4400 Buffalo Gap Road Abilene, Texas 79606 4350 Southwest Drive\n\n- Abilene, Texas 79606 920 N. Willis\nAbilene, Texas 79603 3300 S. 14th Street\n\nAbilene, Texas 79605 1010 N. Judge Ely Blvd.\n\nAbilene, Texas 79601\n\n701 Pine Street Abilene, Texas 79601 1345 Barrow Street Abilene, Texas 79605\n\n#### **Senior Officers**\n\nF. Scott Dueser *Chairman of the Board*\n\nChuck A. Cowell *President and Chief Executive Officer*\n\nRon Fogle *Executive Vice President, Commercial Loans*\n\nRobert S. Patterson *Executive Vice President and Senior Trust Officer*\n\nJohn Prince *Executive Vice President, Personal Loans* Mario A. Luppino *Executive Vice President, Marketing and Retail*\n\nGary Tucker, CDP *Executive Vice President and Chief Information Officer*\n\nLeo Dennis *Executive Vice President, Chief Financial Officer and Cashier*\n\n#### **Directors**\n\nChuck A. Cowell *President and Chief Executive Officer*\n\nJ. Michael Alexander *President, James M. Alexander & Co.*\n\nTucker S. Bridwell *President and Chief Executive Officer, Mansefeldt Investments, Inc.*\n\nJoseph E. Canon *Executive Director, Dodge Jones Foundation*\n\nDavid Copeland *President, Shelton Family Foundation*\n\nJoe Crawford *President, Abilene Aero, Inc.*\n\nF. Scott Dueser *First Financial Bankshares, Inc.* Charles Ezzell\n\n*Investments* Allan D. Frizzell *Executive Vice President, Enrich Oil Corporation* Raymond A. McDaniel, Jr.\n\n*Investments* \n\nBynum Miers *Rancher*\n\nWilliam D. Minter *Vice President, CameraMouse* Stanley Morris, Jr. *Investments* Kenneth T. Murphy *First Financial Bankshares, Inc.* James Parker *President, Parker Properties, Inc.*\n\nJack D. Ramsey, M.D. *Physician* Dian Graves Stai\n\nMichael C. Waters, F.A.C.H.E. *President, Hendrick Health System*\n\n#### **Advisory**\n\n*Investments*\n\nBob J. Surovik *McMahon, Surovik, Suttle, Buhrmann, Hicks and Gill, P.C.*\n\nSteve Suttle *McMahon, Surovik, Suttle, Buhrmann, Hicks and Gill, P.C.*\n\n| 11000000000 | | 11 | | 1 |\n| --- | --- | --- | --- | --- |\n| o | 2 | of Children the | | |\n| 1 | 2 | | | |\n\nChuck A. Cowell *President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $705,468 | $670,959 |\n| Loans | 353,564 | 344,341 |\n| Deposits | 624,262 | 598,310 |\n| Equity | 68,670 | 63,276 |\n| Net Income | 14,277 | 13,051 |\n| Trust Assets | 740,745 | 722,504 |\n| Return on Average Assets | 2.12% | 1.98% |\n| Return on Average Equity | 21.05 | 20.19 |\n\nAbilene", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "- Eastland National Bank, Eastland, Texas;\n- First Financial Bank, National Association, Cleburne, Texas;\n- Stephenville Bank and Trust Co., Stephenville, Texas;\n- San Angelo National Bank, San Angelo, Texas;\n- Weatherford National Bank, Weatherford, Texas;\n- First Financial Bank, National Association, Southlake, Texas; and\n- City National Bank, Mineral Wells, Texas.\n\nAs described in more detail below, we elected to be treated as a financial holding company in September 2001.\n\nOur service centers are located primarily in North Central and West Texas. Considering the branches and locations of all our subsidiary banks, as of December 31, 2002, we had 28 financial centers across Texas, with seven locations in Abilene, two locations in Cleburne, two locations in Stephenville, two locations in San Angelo, three locations in Weatherford, and one location each in Mineral Wells, Hereford, Sweetwater, Eastland, Southlake, Aledo, Alvarado, Burleson, Keller, Trophy Club, Roby, and Trent.\n\nInformation on our revenues, profits and losses and total assets appears in the discussion of our Results of Operations contained in Item 7 hereof.\n\n#### **First Financial Bankshares, Inc.**\n\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables them to improve or expand their banking services while continuing their local activity and identity. Each of our subsidiary banks operates under the day-to-day management of its own board of directors and officers, with substantial authority in making decisions concerning their own investments, loan policies, interest rates, and service charges. We provide resources and policy direction in, among other things, the following areas:\n\n- asset and liability management;\n- accounting, budgeting, planning and insurance;\n- capitalization; and\n- regulatory compliance.\n\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital expenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and appointment of officers and directors and their compensation. We also perform, through corporate staff groups or by outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National Bank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing, advertising, public relations, and computer services.\n\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we periodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate potential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be provided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of credit and future debt or equity offerings.\n\n#### **Services Offered by Our Subsidiary Banks**\n\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own board of directors and officers. Each of our subsidiary banks provides general commercial banking services, which include accepting and holding checking, savings and time deposits, making loans, automated teller machines, drivein and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial banking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other employee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and Trust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", - "page_start": 29, - "page_end": 29, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### First Financial Bank, National Association, Cleburne\n\n#### **Main Office**\n\n403 N. Main Cleburne, Texas 76033 *Chartered 1927* \n\n#### **Branches**\n\n200 N. Ridgeway Cleburne, Texas 76033\n\n1900 S.W. Wilshire Burleson, Texas 76028\n\n201 E. Highway 67 Alvarado, Texas 76009\n\n#### **Senior Officers**\n\nRonald E. Schneider *Chairman of the Board, President and Chief Executive Officer*\n\nPerry Ginn *Executive Vice President* Homer S. Pittman, Jr. *Senior Vice President and Cashier* Craig Beskow\n\n*Senior Vice President* Derek Schmidt *Senior Vice President*\n\n#### **Directors**\n\nRonald E. Schneider *Chairman of the Board, President and Chief Executive Officer*\n\nAlbert A. Archer *Chairman of the Board, Walls Industries, Inc.*\n\nGary Bennett *Bennett Printing & Office Supply* Robert T. Childress *Investments*\n\nF. Scott Dueser *First Financial Bankshares, Inc.* Jim Easdon *Investments* Curtis R. Harvey *First Financial Bankshares, Inc.* Hollis E. (Gene) Joslin *Investments* Brent D. Magers *Chief Executive Officer and Administrator, Walls Regional Hospital* George Marti *Marti Enterprises*\n\nRonald E. Schneider *Chairman of the Board, President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $205,591 | $209,159 |\n| Loans | 106,755 | 108,607 |\n| Deposits | 182,715 | 189,597 |\n| Equity | 20,364 | 18,040 |\n| Net Income | 3,451 | 3,120 |\n| Return on Average Assets | 1.72% | 1.62% |\n| Return on Average Equity | 17.66 | 17.08 |\n\n# **22 Johnson County Deposit Market Share %**\n\nCleburne", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### City National Bank, Mineral Wells\n\n**Office**\n\n1800 E. Hubbard Mineral Wells, Texas 76068 *Chartered 1925*\n\n#### **Senior Officers**\n\nKen A. Williamson *Chairman of the Board, President and Chief Executive Officer*\n\nBrad Seay *Executive Vice President, Lending* Eddie Gregory\n\n*Vice President*\n\nKay Hudspeth *Cashier*\n\nMike Mearse *Vice President*\n\n#### **Directors**\n\nKen A. Williamson *Chairman of the Board, President and Chief Executive Officer*\n\nF. Scott Dueser *First Financial Bankshares, Inc.*\n\nTerry L. Murphy *President and Chief Executive Officer, Murphy and Murphy, Inc.*\n\nDon O'Neal *Don O'Neal Distributing Company, Inc., O'Neal Enterprises, Inc.*\n\nDavid Ramsey, M.D. *Family Practice Center* Brad Seay *Executive Vice President* Jimmy Seay *Investments and Ranching* Walter Joe Thomas, D.D.S. *Dentist*\n\nKen A. Williamson *Chairman of the Board, President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $93,969 | $91,252 |\n| Loans | 51,224 | 48,838 |\n| Deposits | 84,043 | 82,339 |\n| Equity | 9,538 | 8,433 |\n| Net Income | 1,659 | 574 |\n| Return on Average Assets | 1.79% | 1.25% |\n| Return on Average Equity | 18.02 | 13.22 |\n\n**26 Palo Pinto County Deposit Market Share %**\n\nMineral Wells", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### First Financial Bank, National Association, Southlake\n\n#### **Main Office**\n\n3205 E. Highway 114 Southlake, Texas 76092 *Chartered 1985* \n\n#### **Branches**\n\n95 Trophy Club Drive Trophy Club, Texas 76262\n\n891 E. Keller Parkway Suite 100 Keller, Texas 76248\n\n#### **Senior Officers**\n\nPerry D. Elliott *Chairman of the Board* Mark L. Jones *President and Chief Executive Officer*\n\nF. Mills Shallene *Senior Vice President*\n\nJ. Sean Shope *Senior Vice President*\n\nMichele P. Stevens *Senior Vice President and Cashier*\n\n#### **Directors**\n\nPerry D. Elliott *Chairman of the Board*\n\nJames E. Burger *Burger Construction* Jack Dortch *Jack Dortch Insurance Agency* F. Scott Dueser *First Financial Bankshares, Inc.* Derrell Johnson *President, American Council of Engineering Companies Life Health Trust* Mark L. Jones *President and Chief Executive Officer* K. Wayne Lee *President, DDFW Properties* Robert S. Mundlin *Owner, Lifetime Benefits Insurance* Jim Ridenour *President, Sunbelt Station Service*\n\nMark L. Jones *President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $67,750 | $65,554 |\n| Loans | 45,132 | 42,366 |\n| Deposits | 61,532 | 59,672 |\n| Equity | 6,295 | 5,845 |\n| Net Income | 412 | 652 |\n| Return on Average Assets | 0.62% | 1.07% |\n| Return on Average Equity | 6.74 | 10.97 |\n\nSouthlake **9 Cities of Southlake, Keller and Roanoke % Deposit Market Share**", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### Weatherford National Bank\n\n**Main Office**\n\n101 N. Main Street Weatherford, Texas 76086 *Chartered 1984* \n\n#### **Branches**\n\n101 College Park Drive Weatherford, Texas 76086\n\n1214 N. Main Street Weatherford, Texas 76086\n\n505 Farm Road 1187 Aledo, Texas 76008\n\n#### **Senior Officers**\n\nDoyle Lee *Chairman of the Board, President and Chief Executive Officer*\n\nBob Bradberry *Executive Vice President*\n\nJay Gibbs *Executive Vice President*\n\nPaul Baker *Senior Vice President* Jean Bryan\n\n*Senior Vice President*\n\nLarry Mangrem *Senior Vice President and Cashier* Louis Sneed *Senior Vice President*\n\n**Directors**\n\nDoyle Lee *Chairman of the Board, President and Chief Executive Officer*\n\nStephen G. Brogdon, D.D.S. *General and Cosmetic Dentistry* Mac A. Coalson *Real Estate and Ranching*\n\nF. Scott Dueser *First Financial Bankshares, Inc.*\n\nBob Kingsley *Host and Producer, American Country Countdown*\n\nDave Lang *President, Dralco, Inc.* Kenneth T. Murphy\n\n*First Financial Bankshares, Inc.*\n\nDoyle Lee *Chairman of the Board, President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $211,235 | $201,768 |\n| Loans | 96,660 | 91,096 |\n| Deposits | 189,630 | 182,696 |\n| Equity | 20,526 | 18,595 |\n| Net Income | 3,862 | 3,721 |\n| Return on Average Assets | 1.97% | 1.99% |\n| Return on Average Equity | 19.43 | 20.83 |\n\nWeatherford\n\n# **26 Parker County Deposit Market Share %**", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### Stephenville Bank & Trust Co.\n\n**Main Office**\n\n2201 W. South Loop Stephenville, Texas 76401 *Chartered 1923* \n\n#### **Branches**\n\n1875 Lingleville Road Stephenville, Texas 76401\n\n199 N. Columbia Stephenville, Texas 76401\n\n#### **Senior Officers**\n\nRon Butler *President and Chief Executive Officer* Perry D. Elliott\n\n*Vice Chairman* Ken Luker *Executive Vice President*\n\nMonty Bedwell *Senior Vice President*\n\nDereece Howell *Senior Vice President and Cashier* Terry McCoy *Senior Vice President* Robert Reeves *Senior Vice President*\n\n#### **Directors**\n\nJames C. Terrell, Jr., M.D. *Chairman of the Board*\n\nPerry D. Elliott *Vice Chairman* Ron Butler *President and Chief Executive Officer*\n\nWilliam L. Corbin *Investments*\n\nF. Scott Dueser *First Financial Bankshares, Inc.* Charles P. Gillespie, Jr.\n\n*Engineer* Curtis R. Harvey *First Financial Bankshares, Inc.* William H. Oxford *Attorney*\n\nBill Parham *Parham & Parham, CPAs* Jerry Parham *Investments* Jack Parks *Farmer* Ronald E. Schneider *First Financial Bank, Cleburne* Frank Terrell, M.D. *Ophthalmologist* John Terrill *Attorney* **Advisory** W.L. Nix *Investments*\n\nRon Butler *President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $138,260 | $130,186 |\n| Loans | 75,454 | 71,367 |\n| Deposits | 125,226 | 118,903 |\n| Equity | 12,755 | 10,954 |\n| Net Income | 2,313 | 2,151 |\n| Trust Assets | 36,578 | 40,859 |\n| Return on Average Assets | 1.75% | 1.79% |\n| Return on Average Equity | 19.06 | 19.88 |\n\n# Stephenville **31 Erath County Deposit Market Share %**", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Assets managed by the Trust Departments at First National Bank of Abilene, San Angelo National Bank, Stephenville Bank & Trust Co. and First National Bank, Sweetwater, increased $27.3 million during the past year to a December 31, 2002 book value of $986.2 million. However, due to depressed stock market values and volumes, trust department revenue declined in 2002. Trust combined revenues for the year were down slightly from $5.89 million in 2001 to $5.83 million for 2002. In 2003, we anticipate a return to improved income growth.\n\nThe performance of the stock market the past three years has been a challenge that our trust investment professionals have managed well. Not since 1939-1941 have we seen the S&P 500 drop 35% in a three-year period. Our portfolio managers outperformed their indices in Large Cap stocks by 83 basis points and Fixed Income securities by 168 basis points. This performance bodes well for the present and future of our client accounts.\n\nDuring 2002, we saw a successful conversion of Stephenville Bank & Trust to the SEI Corporation accounting system. In March 2003, we will be converting First National Bank, Sweetwater, to this system as well. This will provide all First Financial Bankshares trust clients with the strength and advantages of a uniform accounting system. Other operational systems have been examined and consistent practices and procedures have been implemented.\n\nTo further enhance our risk management assessments in 2003, we will be introducing an Operational Peer Review Team similar to the successful peer review teams used in the Personal Trust areas of our four locations.\n\nRobert S. Patterson *First National Bank of Abilene*\n\nDavid Byrd *San Angelo National Bank*\n\nJanis McDowell *First National Bank, Sweetwater*\n\nPlans for the formation of a First Financial Bankshares trust company are moving forward with regulatory approval anticipated in late Spring or early Summer. This will permit your Company to provide quality, locally delivered trust services to additional markets.\n\nWith skilled trust professionals offering a complete range of financial products and services, the future of our trust departments look bright. Through dedication to individualized portfolio design and personalized service, our trust departments stand ready to meet the needs of our present and future clients.\n\nSenior Vice President, Trust Services", - "page_start": 14, - "page_end": 14, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### First National Bank, Sweetwater\n\n#### **Main Office**\n\n201 Elm Street Sweetwater, Texas 79556 *Chartered 1948* \n\n#### **Branches**\n\n123 N. Concho Roby, Texas 79543\n\n117 N. Main Trent, Texas 79561\n\n#### **Senior Officers**\n\nJ.V. Martin *Chairman of the Board, President and Chief Executive Officer* Kirby Andrews *Senior Vice President, Lending*\n\nRodney Foster *Senior Vice President, Lending*\n\nJanis McDowell *Senior Vice President, Trust Officer*\n\nDonnie Ruppert *Senior Vice President and Controller*\n\n### **Directors**\n\nJ.V. Martin *Chairman of the Board, President and Chief Executive Officer*\n\nGlenn D. Bennett *Bennett & Associates* Louis Brooks, Jr. *Ranching, Brooks-Maberry, Inc.* Bill W. Burns *President, Bill Burns Oil Co., Inc.*\n\nRonnie Cox *Owner, Cox Jewelry* F. Scott Dueser *First Financial Bankshares, Inc.* Cecil J. King *Retired President, Citizens State Bank, Roby* Thomas L. Rees, Sr. *Rees and Rees, Attorneys*\n\n| J.V. Martin |\n| --- |\n\nJ.V. Martin *Chairman of the Board, President and Chief Executive Officer*\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n| --- | --- | --- |\n| Assets | $112,079 | $104,968 |\n| Loans | 49,487 | 46,666 |\n| Deposits | 100,306 | 90,100 |\n| Equity | 11,114 | 10,204 |\n| Net Income | 2,078 | 1,605 |\n| Trust Assets | 64,854 | 66,118 |\n| Return on Average Assets | 1.99% | 1.53% |\n| Return on Average Equity | 19.15 | 15.82 |\n\n### Sweetwater **38 Nolan and Fisher Counties Deposit Market Share %**", - "page_start": 23, - "page_end": 23, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What kind of scholarship programs are available to start a financial career?", - "target_page": 1, - "target_passage": "Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Home / Money / 3 Great Resources to Kick-Start Your Financial Planning Career\n\n#### MONEY\n\n### 3 Great Resources to Kick-Start Your Financial Planning Career\n\n11/23/2022\n\n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should be a top contender, whether you are just starting out or looking to make a career change. But once you have decided that financial planning is the field for you, how do you get started? Here are three resources that can help you launch a successful financial planning career.\n\n1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide introduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry points and career tracks, explores the types of companies that hire financial planners and provides information on how to find financial planning career opportunities. It also includes resources such as a list of recommended questions to ask in a job interview.\n\n2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional journey. Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning, which administers 16 scholarship programs that help pay for the education and exam requirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer scholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and credentials such as CFP® certification -- some of which may be required to advance within the company.\n\n3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective employers. CFP Board's spring and fall career fairs are some of the most popular hiring events in the profession, with dozens of firms participating in these online exhibitions. Job seekers can visit employers' virtual exhibit booths and view open jobs and internships, apply for open positions and interact with employers through one-on-one video meetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship opportunities in financial planning, as well as a collection of articles providing career guidance.\n\nOther top resources include career offices at your college or university, financial services companies' career websites and professional organizations that may have a local chapter near you.\n\nMaking the most of these resources will not only help you find a financial planning job, but also support your growth and development as a future financial planning professional. To learn more about CFP® certification, visit the CFP Board website.\n\nArticle Link\n\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…\n\n### RELATED ARTICLES", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, marketing, business administration, computer science and information technology. In addition, scholars will take part in a Chesapeake Presidential Leadership Course facilitated by faculty members in coordination with designated Chesapeake leadership coaches, including a Chesapeake senior vice president and OCU alumni.\n\nIn 2007 Chesapeake launched a scholarship program in Texas with an initial $1.25 million contribution, challenging the cities of Fort Worth and Dallas to match its gift within a year. The cities responded and matched the gift, so Chesapeake in 2008 added another $1.25 million to the fund, bringing the total to $3.75 million. The Chesapeake Scholarship Fund currently funds the cost of higher education for 48 minority students. The fund provides each student $20,000 a year for up to four years at the school of their choice. To date more than $1.0 million has been distributed to deserving local students.\n\nTo help ensure the training of qualified geologists, engineers, landmen and energy lawyers in the next generation, we award scholarships to students pursuing energy-related degrees. We also help mentor them through Chesapeake's Peak Program. Junior- and senior-level scholarship recipients are paired with Chesapeake employee mentors who help develop students' knowledge and provide career advice. There are currently 25 mentors and 40 scholarship recipients participating in the Peak Program.\n\nOur recruiting team also initiated a strategic military recruitment effort during the past two years to hire former military personnel to work in a variety of leadership and crew positions. This effort earned Chesapeake an honor from G.I. JOBS magazine when we were named a 2011 Top 100 Military-Friendly Employer. Chesapeake currently employs 37 men and women who formerly served as junior military officers and more than 100 former servicemen and servicewomen who joined the company through a program called Troops 2 Roughnecks.\n\nIn addition to our specific scholarship programs, one-time educational donations and recruitment efforts, in 2010 we gave more than $1.8 million to fund higher education for nearly 400 other students in 12 states through our Chesapeake Scholars program. Chesapeake's scholarships help recruit the best and brightest students and provide educational opportunities in communities where we operate. In Oklahoma City, more than 400 employees volunteer for up to an hour a week on company time at four local public schools. Chesapeake's program has grown to become the largest corporate mentoring program in Oklahoma.\n\n# **Community Impact**\n\nChesapeake employees have been enriching their hometowns as volunteers for many years. We formalized those efforts in 2009 by establishing an official employee volunteer program, the H.E.L.P. (Helping Energize Local Progress) Initiative, wherein employees are invited to volunteer each month for a variety of organizations from food pantries to animal shelters. Through that program, employees donated more than 26,000 hours to their communities in 2009.\n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a higher level through the launch of Operation Blue. From Memorial Day through Labor Day, each employee was given four hours of company time to complete the volunteer project of their choice. Our employees eagerly accepted the challenge, and in three months more than 4,900 employees donated 30,900 hours of service to 519 organizations in more than 96 communities across the country. Operation Blue is now an annual volunteer program in which employees roll up their sleeves in the communities they call home.\n\nChesapeake's contributions take many forms: financial and equipment donations, volunteerism and scholarships. Last year, we made numerous in-kind donations of laptops, reconditioned Chesapeake fleet vehicles and subsidized office space. These contributions provide essential operating tools as nonprofit organizations across the nation attempt to serve more people — often with lower budgets — in tough economic times.\n\nFor example, in Louisiana we donated 12 vehicles in 2010, including one to the Panola College Oil and Natural Gas Technology Program, which teaches students about the natural gas industry and provides them with hands-on technical training. Across many of the company's operating areas, we've donated computers to deserving students, schools and organizations through Chesapeake's Discovering Tomorrow's Leaders program. In 2010 the company equipped 14 students with laptops and donated 70 computers to schools or supporting nonprofit organizations.\n\nChesapeake partners with other companies and organizations to meet basic, practical needs in hundreds of communities. An example is our\n\n*Putting food on the table — Employees volunteer at the Regional Food Bank of Oklahoma as part of Operation Blue.*\n\nsponsorship of the annual Day of Caring at the Ganus Center of Harding University in White County, Arkansas. During the event, approximately 1,200 uninsured or underinsured residents received a day of free medical, dental and eye screenings.\n\nTo help cultivate an appreciation for the great outdoors, in 2010 Chesapeake provided $25,000 to REAL School Gardens, a Fort Worthbased organization that establishes gardens at approximately 70 lower income elementary schools in North Texas. At I.M. Terrell Elementary School, students, parents, teachers and volunteers from Chesapeake and other groups worked together to prepare vegetable gardens and flower beds. In addition to teamwork skills and gardening, students learned about nutrition and took home food from the garden's bounty.\n\nWe supported servicemen and servicewomen by partnering with the Shreveport Chapter of Operation Support Our Troops, Inc. Our contribution helped offset the postage to send more than 100 care packages to troops overseas. The shipment was the largest in the organization's history and included Christmas cards, games and nonperishable food items.\n\nBy investing in the communities where we operate and the people whose lives we touch, we ensure a stronger today and a more hopeful tomorrow.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "FINANCIAL SECTION", - "page_start": 69, - "page_end": 69, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Financial Information", - "page_start": 55, - "page_end": 55, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Flexibility is Key to a Thriving Retirement\n\nHow Financial Planners Can Advance Equality Feb 23, 2023\n\nSpending and Saving Strategies for 2023 Jan 12, 2023\n\nPlanning for Winter Expenses Pays Off Dec 07, 2022\n\n4 Tax-Smart Strategies for Your Charitable Giving Oct 31, 2022\n\nHow to Find a Financial Planner Oct 27, 2022\n\n| CATEGORIES |\n| --- |\n| FASHION |\n| BUSINESS |\n| INFOGRAPHIC |\n| ENVIRONMENT |\n| HEALTH |\n| MONEY |\n| FOOD |\n| TRAVEL |\n| BRIDAL |\n| RECREATION |\n| TECHNOLOGY |\n| HOME |\n| EDUCATION |\n| ARTS & ENTERTAINMENT |\n| AUTO |\n| CHILDREN |\n| FITNESS |\n| HOLIDAY |\n| INSURANCE |\n| LAWN & GARDEN |\n| LISTICLE |\n| NUTRITION |\n| PARENTING |", - "page_start": 1, - "page_end": 1, - "source_file": "news3.pdf" - }, - { - "text": "#### SALES FINANCE\n\nNAOTOMO UCHIMURA President Nissan Financial Services\n\n## **Providing Profit and Supporting Sales**\n\n\"Sales finance is a core business in the auto world. Automotive financing supports car sales and provides additional income, which translates into increased profit for the Group. All Nissan finance companies operate under strict risk management control policies and must balance the drive for profit with active sales support.\n\nIn Japan, about fifty percent of customers use cash when buying a car. Corporate sales account for another 20 percent of the total, while the remaining 30 percent of customers use automotive financing. Therefore, we focus on capturing that 30 percent market, in addition to penetrating the cash customer segment. Nissan Financial Services, or NFS, has the highest level of market penetration in Japan, and our centralized customer center gives us a clear advantage over other finance companies.\n\nA sales finance company is exposed to various forms of risk. One risk is interest rate fluctuation. NFS mitigates this risk by matching interest as much as possible. Almost seventy percent of our portfolio is on a match-funding basis. Another risk is credit risk. Fortunately, our portfolio is improving. The economy is getting better, and we've had success with a low-interest, 2.9 percent APR program. Because this is a competitive rate, it has attracted customers with good credit ratings who otherwise would have opted for bank financing.\n\nWe have also improved our scoring system for credit analysis. We have a new system that can automatically process 60 percent of all credit applications. Turnaround time for the credit decision used to take three to four hours, but with continuous improvement of our system it takes just 14 minutes. If the dealer submits the data online, turnaround is reduced to four minutes. This has really increased customer satisfaction. In addition, having a centralized system ensures that our credit standards are consistently applied.\n\nThe above improvements have reduced our loss ratio to below 0.3 percent. More importantly, 95 percent of applicants are approved for financing. The challenge is to reduce the loss ratio and rejection rate at the same time. We want to support sales by providing financing, and keep the loss ratio low.\n\nIn the past, NFS depended on the parent company for funding. Since Nissan and NFS had their financial ratings upgraded, we issued our first public bond in September 2003. We have also issued commercial paper and diversified our funding sources. As a result, our reliance on the parent company for funding has been reduced to almost zero.\n\nSales finance became actively involved in sales support during NISSAN 180. We have always been a source of profit, but now we are aiming to enhance the value chain as well. We have the largest number of business lines of any finance company, including credit loans, corporate and private leasing, car rentals, credit cards, insurance, maintenance and much more. Because we have more touch points with the customer, we have a great opportunity to easily cross-sell our products. Nissan is allocating more resources to light commercial vehicles, which is a perfect platform for us as well. And two years ago we created a fleet division with Nissan that provides both vehicles and a full range of services including total outsourcing of fleet management.\n\nThe Alliance with Renault has played a central role in our development over the past few years.", - "page_start": 29, - "page_end": 29, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Financial Information", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "**Choice of vesting patterns.** Under SFAS 123(R), awards with graded vesting, as all of our awards have, may be expensed in one of two time patterns: 1) On a straightline basis over the complete vesting period (as though the entire award was one grant); or 2) On an accelerated basis, treating each vesting layer as a separate grant and amortizing each layer on a straight-line basis. For disclosure purposes under SFAS 123, we used the accelerated basis. We have preliminarily concluded that we will use the straight-line method for future grants under SFAS 123(R). As discussed below under transition methods, such policy will only apply to future grants. Expense recognized under SFAS 123(R) for previously granted options will be recorded on the accelerated basis.\n\n**Estimating forfeitures.** Under SFAS 123, we could choose whether to estimate forfeitures at the grant date or recognize actual forfeitures as they occur. Under SFAS 123(R), we must estimate forfeitures as of the grant date.\n\n**Presentation of excess tax benefits in the statement of cash flows.** Under SFAS 123(R), the excess of tax benefits realized from the exercise of employee stock options over the tax benefit associated with the financial reporting expense is shown as a financing cash inflow in the statement of cash flows. Previously, these excess benefits were shown as an operating cash inflow.\n\n**Transition alternatives.** There are two allowable transition alternatives – the modifiedprospective transition or the modified-retrospective transition. Under the modifiedprospective transition, we would begin applying the valuation and other criteria to stock options granted beginning July 1, 2005. We would begin recognizing expense for the unvested portion of previously issued grants at the same time, based on the valuation and attribution methods originally used to calculate the disclosures. Under the modified-retrospective transition, we would restate prior periods to reflect the previously calculated amounts in the pro forma disclosures as actual expenses of the prior period (with no change in valuation or attribution methods). Future accounting would\n\nbe the same as under the modified-prospective transition. We would also restate the statement of cash flows for the change in classification of excess tax benefits. In addition, we would be required under the modified-retrospective transition method to estimate forfeitures for options outstanding as of July 1, 2005 and recognize a cumulative effect of change in accounting principle to reverse such previously recognized compensation. We have not yet determined which transition method we will apply.\n\n**Disclosures.** There are additional disclosure requirements under SFAS 123(R), which will not have a material impact on us.\n\nThe impact of adopting SFAS 123(R) on our operating results will depend in part on the amount of stock options or other share-based payments we grant in the future. The following table shows compensation expense related to options granted through December 31, 2004, based on the options' vesting schedules:\n\n| | (In thousands) |\n| --- | --- |\n| 2002 (Actual, included in our pro forma disclosures) | $47,761 |\n| 2003 (Actual, included in our pro forma disclosures) | 43,310 |\n| 2004 (Actual, included in our pro forma disclosures) | 22,963 |\n| 2005, through June 30 (Estimated, for pro forma disclosures) | 10,299 |\n| 2005, July 1 through December 31 (Estimated, to be recorded as expense) | 10,032 |\n\nWe do not believe the adoption of SFAS 123(R) will have a material impact on our cash flows or financial position.\n\n#### **Market Risk**\n\nMarket risk is the risk of loss arising from adverse changes in market rates and prices, such as interest rates, foreign currency exchange rates and commodity prices. Our primary exposure to market risk is interest rate risk associated with our", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### **First Financial Bankshares customers and shareholders also know a thing or two about Value and Values – and we learn from them every day. We're proud to share in their success. Here are just a few of their stories.**\n\n**George Marti believes in doing things. Good things.** \n\nBorn to humble roots on his parents' farm in 1920, Marti has accomplished much, including founding three radio stations (and investing in 10 more) and developing a remote pickup device that became standard equipment in 80 percent of all radio stations worldwide. He still has part ownership of KCLE in Cleburne, Texas (the town where he was once mayor for 12 years).\n\nMarti's dedication to his hometown is part of the reason why he bought Cleburne State Bank in 1992. His business skills (and success in the broadcasting industry) gave him the resources to turn the bank into yet another winning venture. Five years later, he sold it to First Financial, which merged it with their existing First Financial Bank, Cleburne.\n\nThe proceeds from the sale helped Marti complete the funding for his proudest achievement: the Marti Foundation, which he created in the 1970s to help send students from Johnson County to college. \"We help over 100 students a year … most are the first from their family ever to attend college,\" says Marti. \"I know what education did for me, so it's a great thing to help these young people.\" Marti says that when he dies, the Foundation will live on, $20 million strong.\n\nMarti still serves on the board of First Financial Bank, Cleburne. \"First Financial's merger of the banks was positive for the community. They have a good customer base. They are friendly, helpful and creative. They are growing, and the branches in Alvarado and Burleson are both doing well. Those are all good things.\"\n\n\"They are friendly, helpful and creative. Those are all good things.\"\n\nGeorge Marti Founder Marti Enterprises Cleburne, Texas 6", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "| MONEY AND FINANCE |\n| --- |\n| BOOKS & ENTERTAINMENT |\n| BOOKS |\n| ARTS & ENTERTAINMENT |\n\n## RECENT POSTS School Choice Combines Nature And Nuture for Success Think Outside the (Gift) Box, Contribute to a 529 Plan Black Friday Bonanza—Don't Miss These Hot Gifts Self-Publishing Helps Parents Share New Books with Kids Five Tips to Safely Manage Medications Self-care on Your Schedule with Mental Wellness App *01 02 03 04 05 06*\n\n### MOST POPULAR\n\n| | Property of | 1 | | 2 | ﺍﻟﻤﺴﺎ | 17 | 2 |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 12.7 | 1 | 327 | . | - | | | |\n\nWomen's Hearts Need Attention 11 May 21\n\n### HOME OFFICE MAKEOVER\n\n11 May 21\n\nToys For Tots and The UPS Store Build Bridges With Books 26 May 21\n\nBookTrib's Bites: Potpourri of History, Creativity, Women's Rights and Investing 12 Jun 21\n\nBookBites: Mike Bond's Historical Saga \"America\" Is a Coming-of-Age Masterpiece\n\nDonate Cash for Greatest Disaster Relief Impact 08 Jul 21 12 Jul 21\n\n# Fashion Business Infographic Environment Health Money Food Travel Bridal Recreation Technology Home Education Arts & Entertainment Auto Children Fitness Holiday Insurance Lawn & Garden Listicle Nutrition Parenting Pets Seasonal Seniors Spanish Tips and How To Entertainment Career Community Family Tips Internet Human_Interest Beauty Arts RealEstate Safety Medicine Book_Review Recipe African_Americans How_To Bylined_Column Charity Sports Home_Improvement Tech Wellness TAGS", - "page_start": 3, - "page_end": 3, - "source_file": "news3.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "what are career fairs for?", - "target_page": 1, - "target_passage": " In-person and virtual career fairs provide valuable opportunities to connect with prospective employers.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Home / Money / 3 Great Resources to Kick-Start Your Financial Planning Career\n\n#### MONEY\n\n### 3 Great Resources to Kick-Start Your Financial Planning Career\n\n11/23/2022\n\n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should be a top contender, whether you are just starting out or looking to make a career change. But once you have decided that financial planning is the field for you, how do you get started? Here are three resources that can help you launch a successful financial planning career.\n\n1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide introduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry points and career tracks, explores the types of companies that hire financial planners and provides information on how to find financial planning career opportunities. It also includes resources such as a list of recommended questions to ask in a job interview.\n\n2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional journey. Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning, which administers 16 scholarship programs that help pay for the education and exam requirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer scholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and credentials such as CFP® certification -- some of which may be required to advance within the company.\n\n3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective employers. CFP Board's spring and fall career fairs are some of the most popular hiring events in the profession, with dozens of firms participating in these online exhibitions. Job seekers can visit employers' virtual exhibit booths and view open jobs and internships, apply for open positions and interact with employers through one-on-one video meetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship opportunities in financial planning, as well as a collection of articles providing career guidance.\n\nOther top resources include career offices at your college or university, financial services companies' career websites and professional organizations that may have a local chapter near you.\n\nMaking the most of these resources will not only help you find a financial planning job, but also support your growth and development as a future financial planning professional. To learn more about CFP® certification, visit the CFP Board website.\n\nArticle Link\n\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…\n\n### RELATED ARTICLES", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "# **Environmental Activities**\n\n**Committed to supporting environmental businesses, a CSR priority, through our core businesses**\n\n# **A new venue for confabs: SMFG Environmental Business Forum at Eco-Products**\n\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each December, is one of Japan December, is one of Japan's largest envi s largest environmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held the SMFG Environmental Business Forum, the SMFG Environmental Business Forum, a unique event to which the whole SMFG a unique event to which the whole SMFG Group contributed. Group contributed.\n\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum enables encounters and information enables encounters and information exchange in the field of environmental exchange in the field of environmental business. SMFG and its Group companies business. SMFG and its Group companies provide various platforms, including business provide various platforms, including business matching events, stands and catalogue matching events, stands and catalogue exhibitions, and lectures and seminars, exhibitions, and lectures and seminars, with the aim of giving new business with the aim of giving new business opportunities to companies and other opportunities to companies and other organizations that are considering entering organizations that are considering entering the environmental business, expanding the environmental business, expanding their marketing channels within it, or just their marketing channels within it, or just gathering information. gathering information.\n\n# **The eco japan cup: \"A Contest for Unearthing and Growing Seeds of New Businesses\"**\n\nSMBC jointly organizes the \"eco japan cup,\" an SMBC jointly organizes the \"eco japan cup,\" an environmental business contest, together with environmental business contest, together with the Ministry of the Environment, the Ministry the Ministry of the Environment, the Ministry of Internal Affairs and of Internal Affairs and Communi Communications, cations, the Ministry of Land, Infrastructure, he Ministry of Land, Infrastructure, Transport and Tourism, Development Bank of port and Tourism, Development Bank of Japan Inc. and Environmental Business Japan Inc. and Environmental Business Women. The competition has four major Women. The competition has four major categories – business, culture, lifestyle, and categories – business, culture, lifestyle, and policy-making. policy-making.\n\nIn eco japan cup 2010, the \"SMBC Eco-Banking In eco japan cup 2010, the \"SMBC Eco-Banking Office Prize\" was launched in the cultural Office Prize\" was launched in the cultural division. Entries were solicited on creating division. Entries were solicited on creating eco-friendly bank branches through envi eco-friendly bank branches through environment protection measures including ronment protection measures including advanced energy initiatives and reduction advanced energy initiatives and reduction of carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning proposals (for example, efficient use of proposals (for example, efficient use of timber from forest thinning) have been timber from forest thinning) have been adopted at environm adopted at environment-friendly model ent-friendly model branches that the bank is developing. branches that the bank is developing.\n\nEnvironmental business matching Environment-friendly model branches\n\n# **Sumitomo Mitsui Finance & Leasing: Promoting recycling and reuse**\n\nAs part of its core leasing operations, As part of its core leasing operations, Sumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is helping reduce customers' environmental helping reduce customers' environmental\n\nRecycling and reuse of old equipment and machinery\n\nload through measures such as \"carbon load through measures such as \"carbon neutral leases\" (with carbon credits allocated neutral leases\" (with carbon credits allocated in proportion to emission volumes of leased in proportion to emission volumes of leased assets) and leasing of environment-friendly assets) and leasing of environment-friendly and energy-saving equipment. and energy-saving equipment.\n\nLikewise, by trading used machinery and Likewise, by trading used machinery and semiconductor- manufacturing equipment, semiconductor- manufacturing equipment, Sumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is supporting more efficient capital investment supporting more efficient capital investment by its customers, while itself evolving into a by its customers, while itself evolving into a recycling-oriented, environment-friendly recycling-oriented, environment-friendly company. company.\n\n## **Recycling of rare earths used in smart cards**\n\nAt Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths extracted from IC chips from expired credit extracted from IC chips from expired credit cards are recycled. cards are recycled.\n\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare earth product per expired card. earth product per expired card. Rare earths are special metals, unobtainable Rare earths are special metals, unobtainable in Japan, which are essential to in Japan, which are essential to PCs and cellphones, electric vehicles and solar power cellphones, electric vehicles and solar power generators. Given that Japan is dependent on generators. Given that Japan is dependent on imports for nearly its entire supply, we believe imports for nearly its entire supply, we believe recycling rare earths is a worthwhile endeavor recycling rare earths is a worthwhile endeavor in terms of national energy policy. in terms of national energy policy. Card microcircuits that have become unusable Card microcircuits that have become unusable due to changes in card design are collected due to changes in card design are collected from cards with IC chips, which are separated from cards with IC chips, which are separated\n\nExpired credit cards with IC chips\n\nEco-Products is one of Japan's largest comprehensive environmental exhibitions\n\nfrom cards without IC chips. Both types are from cards without IC chips. Both types are pulverized at the company pulverized at the company's Shimura Center s Shimura Center in Tokyo and sealed separately in recycling in Tokyo and sealed separately in recycling bags, under supervision of a company official. bags, under supervision of a company official. The bags are then sent off for processing by The bags are then sent off for processing by an outside company, which analyzes and an outside company, which analyzes and purifies the contents and then extracts the purifies the contents and then extracts the rare earths. rare earths.\n\n- * After intermediate processing, waste materials other than the rare earths and the cards with no IC chips are both sent off for final disposal, in conformity with established procedures.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "When we think about our careers, and what we need to do to establish them, we often forget about the need to develop an essential skill: communication. If you start reading through the job descriptions in a industry, you will find that the vast majority of jobs require one or more of the following:\n\n- Effective communication skills\n- Interpersonal skills\n- Ability to work in a team\n- Negotiation skills\n- Conflict resolution skills\n- Report writing skills\n\nWhat all of these skills have in common is that they involve the use of language to achieve a particular purpose. And for this reason, having good language skills is essential in any working environment.\n\n#### In a career context, good language skills can also:\n\n- Affect your credibility. Poor grammar indicates to a prospective employer that you are sloppy, while flawless grammar indicates that you pay attention to detail.\n- Improve your relationships with your co- workers. If you are able to express yourself clearly, you can eliminate the confusion and misunderstanding that often leads to conflict.\n- Increase your chances of being promoted.\n- Help you to create a good impression.\n- Improve your ability to persuade others (which is a valuable skill in the working world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "#### Example:\n\n\"I have been offered an opportunity to work as an IT Manager abroad, and I have decided to accept the offer.\"\n\n#### 4.\n\n### A sentence or two in which you thank your employer for the opportunities you have been given during your time with the organisation.\n\n#### Example:\n\n\"I would like to thank you for the wonderful opportunities you have given me, both to develop my skills, and to work with such knowledgeable and inspiring people.\"\n\n#### 5.\n\n#### An offer to help with the transition.\n\nOnly include this if you are sincere, and don't make any promises that you won't be able to keep. You could, for example, assure your employer that you will finish your current projects or hand them over to a colleague. You could also offer to train the person who will be replacing you.\n\n#### Example:\n\n\"During the next two weeks, I will do everything I can to ensure a smooth transition for the company. If required, I am more than willing to assist with the hiring and training of the new Assistant IT Manager.\"\n\n#### 6.\n\n#### A suitable closing.\n\nIt is important to use a closing that is appropriate in the circumstances. If you have a good relationship with your employer, you may want to wish him/her well for the future, and provide contact details that he/she can use to get in touch with you once you have left the organisation. You can then end your letter with a greeting such as \"Kind regards,\" followed by your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "#### First Paragraph\n\nIntroduce yourself, and explain why you are writing the letter. If you are responding to a job advertisement, state which advertisement you are responding to, and indicate where you found it.\n\n#### For example:\n\n\"I would like to apply for the position of Graphic Designer, as advertised in the Career Times on 1 March 2015.\"\n\nIf possible, mention a mutual contact or acquaintance.\n\nFor example:\n\n\"Samantha Stevens mentioned that you are looking for an experienced Graphic Designer with a keen interest in the fashion industry.\"\n\n#### Second Paragraph\n\nMention your qualifications, skills and experience, and relate them to the needs of the company. Give relevant examples of how you have used your skills in the past to perform similar tasks and responsibilities to those set out in the job description.\n\n#### Third Paragraph\n\nExplain why you want to work for this organisation in particular. Where relevant, explain any gaps in your CV. If you don't have the required academic qualifications, for example, you can explain how your practical work experience makes up for it.\n\n#### Fourth paragraph\n\nMention any documents or attachments that you have included with your cover letter, and state your availability for an interview.\n\n#### Close\n\nThank the recipient for taking the time to read your letter, and sign off with a professional greeting, such as \"Yours sincerely\" or \"Kind regards\", followed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## **Dynamism and Diversity**\n\nHUMAN RESOURCES\n\nHITOSHI KAWAGUCHI Senior Vice President\n\n\"Once perceived as bureaucratic and slow to change, Human Resources changed dramatically during the NISSAN 180 period. Now, in fact, people occasionally say that we're changing too rapidly. That may be true, but a positive dynamism is emerging as a result, and Nissan is stronger because of it.\n\nThe impetus for many of the modifications comes from top management. Mr. Ghosn, for one, takes a direct and abiding interest in this area of operations. There is also a cross-functional team dedicated to organizational issues that recommends changes to HR policy. And because half the people on our HR staff come from other companies, many suggestions are coming from within as well. The latter is very unusual for a major Japanese company such as Nissan, and is a direct result of a new policy we call Mid-Career Scouting, which actively seeks talent from outside Nissan. All of these activities are indicative of the dynamism that is creating such diversity at the Company.\n\nThere is no doubt that diversity is a key theme in our HR evolution. We are currently focusing on three areas in particular: women in the workforce, Mid-Career Scouting, and embracing other cultures. We are working to provide more opportunities for our female employees (please see the Diversity feature on p. 57). Renault, which has a number of female executives—including many with families—has served as a great example for us. Unfortunately, that kind of work-home balance is still rare for women both inside and outside the executive ranks in Japan.\n\nThe second area mentioned, Mid-Career Scouting, is still an uncommon practice at Japanese companies. We have found great value, though, in the insights people who have experience in other corporate cultures bring to Nissan, and we are able to learn to take advantage of those insights.\n\nThe third area, embracing other cultures, became a more pressing consideration after the Alliance. Suddenly we had many foreign executives working at Nissan headquarters, and the majority of communications were in English as well as Japanese. As a result, more employees, including non-management staff, are being assigned to work outside of Japan. In addition, proficiency in English is now a prerequisite for all managers at Nissan. These efforts to promote diversity are transforming our corporate culture.\n\nOne of the most interesting developments of NISSAN 180 was the advent of the Career Coach system, which we imported from our Alliance partner, Renault. In a modern business structure, HR is in charge of structural and system functions such as compensation. The Career Coach system provides career development for the individual employee. There are five career coaches at this time, one for each of the major functions. Their collective task is to identify people of high potential and create career plans for them. In a sense, they work outside of HR, although they report to me. The coaches gather once a month for the Nissan Assignment Committee, headed by Mr. Ghosn, to report on their activities.\n\nEmployees at Nissan also have the chance to control their career paths through our internal \"self-career\" system on the Company's intranet. Managers can search for employees registered on the system for open positions they have and proactively post job vacancies on the openentry system portal. Although the open-entry system has a longer history, the self-career system began in early fiscal 2005 in Japan. We plan to expand both these programs on a global basis.\n\nNissan Management Institute", - "page_start": 57, - "page_end": 57, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Specific Examples of CSR Activities\n\n# **Together with Our Employees**\n\n**We are developing human resources that can take on global roles, and we are creating globalized working environments**\n\n# **Preparing human resources to take on global roles**\n\nFaced with changing markets and rising Faced with changing markets and rising costs, many Japanese companies are costs, many Japanese companies are moving their operations overseas. Many moving their operations overseas. Many large companies already have gone global large companies already have gone global in terms of production and marketing bases, in terms of production and marketing bases, and now mid-sized and smaller companies and now mid-sized and smaller companies are moving into overseas markets too, are moving into overseas markets too, especially in Asia. especially in Asia.\n\nWe believe this trend will pick up speed We believe this trend will pick up speed up in the future. And so, to service these up in the future. And so, to service these companies, SMFG also needs to take companies, SMFG also needs to take measures, as a matter of urgency, to measures, as a matter of urgency, to internationalize its operations. internationalize its operations.\n\nFocusing on practical language skills and Focusing on practical language skills and international awareness, SMBC is putting in international awareness, SMBC is putting in place frameworks to give impetus to the place frameworks to give impetus to the process of \"in-house internationalization.\" process of \"in-house internationalization.\" Under our \"global course\" program, newly Under our \"global course\" program, newly hired *sogoshoku sogoshoku* (management-track) staff (management-track) staff are sent overseas after basic training. We are sent overseas after basic training. We have also expanded human resource have also expanded human resource training programs in English and Chinese training programs in English and Chinese and at overseas units. and at overseas units.\n\nImprovement of language skills in particular Improvement of language skills in particular is something that requires ongoing is something that requires ongoing commitment. For this reason, we have set a commitment. For this reason, we have set a TOEIC target of 800 points and are sending TOEIC target of 800 points and are sending 1,000 employees per year to English 1,000 employees per year to English conversation classes given at specially conversation classes given at specially installed teaching booths at SMBC installed teaching booths at SMBC's Head Office and elsewhere. Office and elsewhere.\n\nWe are also committed to stepping up We are also committed to stepping up personnel exchanges within Japan and with personnel exchanges within Japan and with overseas countries. For example, we overseas countries. For example, we organize \"Global Corporate Banker Training\" organize \"Global Corporate Banker Training\" classes in Tokyo for foreign staff working classes in Tokyo for foreign staff working at overseas units and for regular employees at overseas units and for regular employees in Japan. All of these courses are in English in Japan. All of these courses are in English and feature discussions and presentations and feature discussions and presentations on resolution of issues faced by global on resolution of issues faced by global companies. Through such lively exchanges, companies. Through such lively exchanges, the aim is to develop the ability to deepen the aim is to develop the ability to deepen cross-cultural communication and cultivate cross-cultural communication and cultivate a global outlook and mentality. a global outlook and mentality.\n\nAt the bank, we will continue measures to At the bank, we will continue measures to promote globalization going forward, and promote globalization going forward, and create systems that can provide higher create systems that can provide higher quality support to our customers. quality support to our customers.\n\n\"Global Corporate Banker Training\" program\n\nLanguage booths at the Head Office\n\n# **Better support for carers: Workplace measures to deal with the rising old-age dependency ratio**\n\nIn November 2010, the bank expanded its In November 2010, the bank expanded its employee carer support program. employee carer support program.\n\nEven now, much remains to be done to Even now, much remains to be done to develop public support mechanisms, develop public support mechanisms, subsidies and other infrastructure needed subsidies and other infrastructure needed to provide and enable old-age care services. to provide and enable old-age care services. If the old-age dependency ratio continues to If the old-age dependency ratio continues to climb, we expect the number of employees climb, we expect the number of employees with care responsibilities to increase. In light with care responsibilities to increase. In light of this, we have broadened the scope of of this, we have broadened the scope of our support program to achieve a sounder our support program to achieve a sounder balance between work and care needs. balance between work and care needs. The improvements have three aspects: The improvements have three aspects: (1) Care-leave time has been extended to (1) Care-leave time has been extended to one year; (2) the time frame during which one year; (2) the time frame during which staggered and shortened working hours staggered and shortened working hours for care-giving are allowed has been for care-giving are allowed has been extended to three years; and (3) greater extended to three years; and (3) greater flexibility has been introduced in reduction flexibility has been introduced in reduction of working hours for care purposes. of working hours for care purposes. We have also established the SMBC Care We have also established the SMBC Care Consultation Desk as a convenient general Consultation Desk as a convenient general service for employees and their family service for employees and their family members concerned about care issues. members concerned about care issues. In this way, SMBC is creating better working In this way, SMBC is creating better working environments, based on an understanding environments, based on an understanding of diversifying employee needs. of diversifying employee needs.\n\n#### **Improvements to care support system**\n\n| | Before | After |\n| --- | --- | --- |\n| Total care leave | 93 days | 1 year |\n| | (Including staggered and reduced | (Excluding staggered and reduced |\n| | working hours) | working hours) |\n| Staggered and shorter working hours to care for | 93 days | 3 years in each case |\n| sick family members | (Including care leave) | (Excluding care leave) |\n| More flexible approach to | Delay start of working day by one hour | Offer menu of work-scheduling options |\n| daily scheduling of care | or | (Work six or seven hour day), with option |\n| leave | End working day one hour earlier | of selecting working days |\n\n### **SMBC Care Consultation Desk**\n\n| For | Services |\n| --- | --- |\n| | (1) Consultation with Public Health Nurses and other nurses, |\n| | geriatric care managers and other experts |\n| SMBC employees and their family members | (2) Information about care facilities |\n| | (3) Care service agency |\n| | (4) Other preferential services |\n\nNative speaker teachers\n\n(Work six or seven hour day), with option\n\n### **Creating support tools for developing the role of female employees**\n\n#### **\"My Story\"**\n\nSMBC has surveyed approximately 1,000 female employees on their careers and major events in their lives. Role models have been created based on 50 of these individual interviews, and presented in the form of book, which is distributed as a guide to individual women's career paths and as a management aid for superiors in executive training.\n\n#### **Career development handbook for young mothers**\n\nSMBC has compiled a career development handbook covering maternity leave for all women employees wishing to strike a better balance between work and family life. It provides pathways for mothers pursuing careers, citing answers by women who have been through this experience to questions such as \"What do I need to do to return to work?\" and \"How do I go about arranging nursery school?\" It also includes preparatory exercises for expectant mothers and support lectures on child-raising leave after they return to the workplace.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Meeting essentials**\n\n### **Create meetings**\n\n- Select **+ New meeting** or double-click on a time in your calendar to create a new meeting. 1.\n- 2. Add people, a location and any notes.\n- 3. Send your invite.\n\n### **Join meetings**\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n### **Present in meetings**\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n# **Meeting controls**\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\nClick to see who has been invited to the meeting, or to add new people.\n\nUse chat to share files, ideas, and notes.\n\nStay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak.\n\nMute and unmute your microphone when you want to speak.\n\nTurn your camera on or off. You can also select the … button near the camera to access audio and video settings.\n\nUse this to share your screen with others.\n\n**Tip** Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "### IN THIS E-BOOK, WE'LL BE HELPING YOU TO:\n\n- Develop your basic English language skills.\n- Improve your English grammar.\n\nApply your language and communication skills in a business contexT. (www.oxbridgeacademy.co.za/find-a- course/business-administrationcourses/)\n\n> *\"Grammar is a litmus test. If job hopefuls can't distinguish between 'to' and too', their applications go into the bin\"*\n\nKyle Wiens, CEO of iFixit\n\n*\"Grammar often seems to be a low priority in education. Are school undervaluing grammar, given that employers may rule out applications with sloppy writing?\"*\n\nThe New York Times", - "page_start": 5, - "page_end": 5, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What are the priorities for job seekers ?", - "target_page": 1, - "target_passage": " Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### First Paragraph\n\nIntroduce yourself, and explain why you are writing the letter. If you are responding to a job advertisement, state which advertisement you are responding to, and indicate where you found it.\n\n#### For example:\n\n\"I would like to apply for the position of Graphic Designer, as advertised in the Career Times on 1 March 2015.\"\n\nIf possible, mention a mutual contact or acquaintance.\n\nFor example:\n\n\"Samantha Stevens mentioned that you are looking for an experienced Graphic Designer with a keen interest in the fashion industry.\"\n\n#### Second Paragraph\n\nMention your qualifications, skills and experience, and relate them to the needs of the company. Give relevant examples of how you have used your skills in the past to perform similar tasks and responsibilities to those set out in the job description.\n\n#### Third Paragraph\n\nExplain why you want to work for this organisation in particular. Where relevant, explain any gaps in your CV. If you don't have the required academic qualifications, for example, you can explain how your practical work experience makes up for it.\n\n#### Fourth paragraph\n\nMention any documents or attachments that you have included with your cover letter, and state your availability for an interview.\n\n#### Close\n\nThank the recipient for taking the time to read your letter, and sign off with a professional greeting, such as \"Yours sincerely\" or \"Kind regards\", followed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 2 – FILL IN YOUR STUDENT DETAILS\n\n| STEP 2 - Student details | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| ID/Passport No *: | | | | Date of Birth: | | | | |\n| *Attach proof of ID | | | | | | | | |\n| Full Names: | | | | | | | | |\n| Surname: | | | | | | Mr | Ms | Mrs |\n| Email Address: | | | | | | | | |\n| Cell No: | | | Race: | African | White | Coloured | | Asian |\n| Work No: | | | | | | | | |\n| Postal Address: | | | | | | | | |\n| | | | | | Code: | | | |\n| Delivery Address (Work address preferred): | | | | | | | | |\n| | | | | | Code: | | | |\n| Job Status: Unemployed | Employed | | | | | | | |\n| Occupation: | | | | | | | | |\n| Company/Work Name: | | | | | | | | |\n| Highest School Grade Passed \": | | Year Grade Passed: | | | | | | |\n| Other Qualifications: | | | | | | | | |\n| \" Attach proof of highest grade/other qualifications passed | | | | | | | | |\n\nTo complete this section, you need to provide us with your personal details:\n\n#### **E-mail address**\n\nPlease provide a valid e-mail address that you check on a regular basis, as we'll be using this address to communicate with you throughout your studies.\n\n#### **Occupation**\n\nRefers to your current job (if you are employed). If you are unemployed, you can simply write \"unemployed\" or \"not applicable\". **Delivery address**\n\nRefers to the address at which you want your study material to be delivered. The reason why we prefer you to select your work address is sothat there will always be someone available to receive your study material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# **Priority Issues for Us** As one of Japa As one of Japan's leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues we have identified as significantly impacting the nation. we have identified as significantly impacting the nation.\n\n**Measures for Japan's regeneration**\n\n# **Reconstruction after the earthquake and tsunami**\n\nMitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\nThe March 11 earthquake and tsunami (The Gr The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power eat East Japan Earthquake) undermined power generation capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition to the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as a leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the enormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders including enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\n#### **Further measures needed**\n\n- Wide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n- Ongoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n- Comprehensive support for industrial recovery Comprehensive support for industrial recovery in partnership with local governments and in partnership with local governments and financial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\n**Environmental measures Creating systems for sustainability Global challenges**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively leverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future. Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to contribute to sustainable development by supporting contribute to sustainable development by supporting the worldwide adoption of Japan's much-admired the worldwide adoption of Japan's much-admired technological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\n#### **Further measures needed**\n\n- Give further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas reduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n- Do more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a financial institution financial institution\n- Share our information assets and know-how globally in the Share our information assets and know-how globally in the environmental business environmental business\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper mine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this corporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business philosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 years of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving problems facing the international problems facing the international community through our financial community through our financial service service operations. operations.\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\n# **Shrinking and aging population Ensuring peace of mind for the future**\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifest frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle yle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to crea planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound te systems and a corporate culture that foster a sound balance between work and care needs, given that many gr balance between work and care needs, given that many group employees will later need to nurse ailing relatives. oup employees will later need to nurse ailing relatives. *Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n#### **Further measures needed**\n\n- nursing care nursing care\n- elderly (planning for asset management for old age) elderly (planning for asset management for old age)\n- Foster a better work-life balance Foster a better work-life balance\n\n# **Symbiosis and diversity**\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its operations both in Japan and overseas. Initiative operations both in Japan and overseas. Initiatives include aggressive development of advisory include aggressive development of advisory services for infrastructure upgrades in emergi services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, g economies, a cross-departmental endeavor, as well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly through branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international community so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n#### **Further measures needed**\n\n- Share expertise in corporate social responsibility Share expertise in corporate social responsibility with the international community with the international community\n- Improve financial services in preparation for the Improve financial services in preparation for the globalization of operations in Japan (multilingual globalization of operations in Japan (multilingual support) support)\n- Promote diversity Promote diversity", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "### *4.3.4 Working life perspective – health*\n\nThis EWCS 2015 question on the **working life perspective** (*'Will you be able to do this or a similar job at 60 years of age?'*) gives quite a good hint to the individual long-term prospects, which might even be more valuable than the question on currently affected health because it is a personal assessment of the overall status of health.\n\n**Differences between countries are significant but not as significant as between other categories, for example, between sectors and occupations**. The EU average of 'No' responses to the question *'Do you think you will be able to do your current job or a similar one until you are 60 years old?'* is at 27%; the eight countries with the highest rates of 'No' responses (between 44% and 33%) are France, Slovenia, Poland, Slovakia, Croatia, Belgium, Malta and Bulgaria. Under 25% of 'No' responses were given in eight countries, starting from Portugal (16%) over Germany, Denmark, Ireland, Sweden, Italy, Estonia and Lithuania (24%).263\n\n#### **Figure 35: Opinion on work until the age of 60 – EWCS 2015**\n\n**Young workers under 35 are much more sceptic** than those over 50; 38% say that they will not be able, a much higher percentage than the 22% of workers aged over 50. The employment status is also very important; 26% of the permanently employed respond with a 'No' compared to 39% of those with 'Other arrangements'. Remarkably, only 19% of the self-employed do not believe that they will be able to do their job at 60 years.\n\n**Large differences can be seen between occupation levels.** 37% per cent of the low-skilled manual workers respond with 'No', and 30% of the highly skilled manual workers respond 'No', as do 27% of the low-skilled clerical workers and only 21% of the high-skilled clerical workers, a 16% difference between high-skilled clerical workers and low-skilled manual workers. In some countries only 10% to 15% of the highly skilled clerical workers respond with 'No' while in a number of countries more than 50% of the low-skilled manual workers respond with 'No', for example, in Slovenia, Croatia, Slovakia and Czechia.\n\nThe authors of the Senior Working Life study describe these differences as follows:264\n\n*'For ISCO groups 1–4 (seated work) main expected reasons for retiring were freedom to choose and desire for more leisure time, but many would consider staying longer if there were better possibilities for additional senior days, longer vacations and flexible working hours. For ISCO groups 5–9 (physical work), poor physical health and not being capable of doing the job were common expected reasons for retiring, but many would consider staying longer if the work were less physically demanding and there were more senior days. Possibility for pension was a general expected reason for retiring. Expected reasons differed to a less extent between genders than between ISCO groups, e.g. economic factors were more important for men and high work demands more important for women.*", - "page_start": 95, - "page_end": 95, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### Example:\n\n\"I have been offered an opportunity to work as an IT Manager abroad, and I have decided to accept the offer.\"\n\n#### 4.\n\n### A sentence or two in which you thank your employer for the opportunities you have been given during your time with the organisation.\n\n#### Example:\n\n\"I would like to thank you for the wonderful opportunities you have given me, both to develop my skills, and to work with such knowledgeable and inspiring people.\"\n\n#### 5.\n\n#### An offer to help with the transition.\n\nOnly include this if you are sincere, and don't make any promises that you won't be able to keep. You could, for example, assure your employer that you will finish your current projects or hand them over to a colleague. You could also offer to train the person who will be replacing you.\n\n#### Example:\n\n\"During the next two weeks, I will do everything I can to ensure a smooth transition for the company. If required, I am more than willing to assist with the hiring and training of the new Assistant IT Manager.\"\n\n#### 6.\n\n#### A suitable closing.\n\nIt is important to use a closing that is appropriate in the circumstances. If you have a good relationship with your employer, you may want to wish him/her well for the future, and provide contact details that he/she can use to get in touch with you once you have left the organisation. You can then end your letter with a greeting such as \"Kind regards,\" followed by your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "When we think about our careers, and what we need to do to establish them, we often forget about the need to develop an essential skill: communication. If you start reading through the job descriptions in a industry, you will find that the vast majority of jobs require one or more of the following:\n\n- Effective communication skills\n- Interpersonal skills\n- Ability to work in a team\n- Negotiation skills\n- Conflict resolution skills\n- Report writing skills\n\nWhat all of these skills have in common is that they involve the use of language to achieve a particular purpose. And for this reason, having good language skills is essential in any working environment.\n\n#### In a career context, good language skills can also:\n\n- Affect your credibility. Poor grammar indicates to a prospective employer that you are sloppy, while flawless grammar indicates that you pay attention to detail.\n- Improve your relationships with your co- workers. If you are able to express yourself clearly, you can eliminate the confusion and misunderstanding that often leads to conflict.\n- Increase your chances of being promoted.\n- Help you to create a good impression.\n- Improve your ability to persuade others (which is a valuable skill in the working world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that makes it possible to use it on local issues, for the reasons and in the ways discussed in the next paragraph. For example, visualization techniques like those used by ABC News to show the effects of the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before and after the earthquake is to move a slider, should be routinely used to explain proposals about urban planning, zoning and related topics.\n\n### **4.6. Focus on local, specific issues to raise interest for Open Data**\n\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens to use Open Data in their political, economic and professional decisions, one of the final recommendations of the Open Data, Open Society report confirms its importance and needs to be repeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of citizens that demand and use Open Data in the shortest possible time, to practice all the recommendations of this report *at the local level*,\n\nMost people encounter their local governments much more often then their national ones. When working within a single city or region it is much easier to inform citizens, raise their interest and involve them, because they would be searching *local* solutions to improve *local* services and/or save *local* money. There may also be much more opportunities to do so, especially in this period of financial crisis that will see substantial decreases both in credit by financial institutions and in subsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" must be the keys for local activists and public employees working on local Open Data:\n\n- work on specific issues and with precise objectives\n- focus on immediate usefulness\n- work on demand, on the *services* that people want. Required services define what data must be open, not the contrary\n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: *\"how do we get people to use the data that we publish?\"*. The right question, instead, is \"what data do people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, or that what they need can be done more quickly and cheaply by releasing some information in that way.\n\nA great example of what all this means is the Great British Public Toilet Map: a public participation", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## **Dynamism and Diversity**\n\nHUMAN RESOURCES\n\nHITOSHI KAWAGUCHI Senior Vice President\n\n\"Once perceived as bureaucratic and slow to change, Human Resources changed dramatically during the NISSAN 180 period. Now, in fact, people occasionally say that we're changing too rapidly. That may be true, but a positive dynamism is emerging as a result, and Nissan is stronger because of it.\n\nThe impetus for many of the modifications comes from top management. Mr. Ghosn, for one, takes a direct and abiding interest in this area of operations. There is also a cross-functional team dedicated to organizational issues that recommends changes to HR policy. And because half the people on our HR staff come from other companies, many suggestions are coming from within as well. The latter is very unusual for a major Japanese company such as Nissan, and is a direct result of a new policy we call Mid-Career Scouting, which actively seeks talent from outside Nissan. All of these activities are indicative of the dynamism that is creating such diversity at the Company.\n\nThere is no doubt that diversity is a key theme in our HR evolution. We are currently focusing on three areas in particular: women in the workforce, Mid-Career Scouting, and embracing other cultures. We are working to provide more opportunities for our female employees (please see the Diversity feature on p. 57). Renault, which has a number of female executives—including many with families—has served as a great example for us. Unfortunately, that kind of work-home balance is still rare for women both inside and outside the executive ranks in Japan.\n\nThe second area mentioned, Mid-Career Scouting, is still an uncommon practice at Japanese companies. We have found great value, though, in the insights people who have experience in other corporate cultures bring to Nissan, and we are able to learn to take advantage of those insights.\n\nThe third area, embracing other cultures, became a more pressing consideration after the Alliance. Suddenly we had many foreign executives working at Nissan headquarters, and the majority of communications were in English as well as Japanese. As a result, more employees, including non-management staff, are being assigned to work outside of Japan. In addition, proficiency in English is now a prerequisite for all managers at Nissan. These efforts to promote diversity are transforming our corporate culture.\n\nOne of the most interesting developments of NISSAN 180 was the advent of the Career Coach system, which we imported from our Alliance partner, Renault. In a modern business structure, HR is in charge of structural and system functions such as compensation. The Career Coach system provides career development for the individual employee. There are five career coaches at this time, one for each of the major functions. Their collective task is to identify people of high potential and create career plans for them. In a sense, they work outside of HR, although they report to me. The coaches gather once a month for the Nissan Assignment Committee, headed by Mr. Ghosn, to report on their activities.\n\nEmployees at Nissan also have the chance to control their career paths through our internal \"self-career\" system on the Company's intranet. Managers can search for employees registered on the system for open positions they have and proactively post job vacancies on the openentry system portal. Although the open-entry system has a longer history, the self-career system began in early fiscal 2005 in Japan. We plan to expand both these programs on a global basis.\n\nNissan Management Institute", - "page_start": 57, - "page_end": 57, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "### **4.3 Wellbeing and health status**\n\nExisting concepts of **wellbeing** cover **more aspects of work than working conditions or safety and health** at workplaces. Eurofound mentions as the most relevant components: *income, working time arrangements, possibilities for skills development and career advancement, and the degree of individual control over work*.243 The United Nations Economic Commission for Europe (UNECE) developed a scheme of quality of employment that covers these aspects: *safety and ethics of employment, income benefits and employment, working hours and balancing working and non-working life, security of employment and social protection, social dialogue, skills development and training, workplace relationships and work motivation.*244\n\nThis chapter **focuses on the health and safety aspects** of wellbeing, although the OSH aspect is often not clearly separable from the above-mentioned aspects, that is, when surveys are intending to identify the level of 'satisfaction at work'. Still, due to its serious impact on all other aspects of working conditions, the consequences of insufficient health are regarded as critical:\n\n*'While OHS is only one substantive working condition, like earnings and job insecurity it is arguably a critical one for many workers. In terms of scope and severity, even official data … suggests poor OHS is something most workers will experience at some point and many far more frequently.'*245\n\nA common methodology to collect data on **health status** and wellbeing is **self-reporting and selfassessment** of workplace risks, health risks and health problems, absence, job satisfaction and working life perspective from a health point of view. The data are in general collected by EU-wide surveys, for example, by the EWCS, the Flash Eurobarometer, ESENER or the LFS Ad hoc modules. The description of working conditions in the OSH Barometer starts with responses regarding the **'Overall opinion'** on working conditions. This allows insight into the subjective assessment of health risks at work and wellbeing.\n\n### *4.3.1 Satisfaction at work*\n\nIn the EWCS of 2015, at EU level 86% of the workers respond that they are **'satisfied'** (60%) or **'very satisfied'** (26%) with their work. Country differences exist but are not striking. The EU Member States with the highest satisfaction rates are Austria, the Netherlands, Finland, Czechia, Denmark, Belgium and Estonia; they range between 93% and 90%. The six countries with the lowest sum of satisfied and very satisfied responses are Greece, Croatia, France, Spain, Italy and Latvia; their values range between 77% and 82%.\n\n#### **Figure 28: Satisfaction with working conditions in the main paid job – EWCS 2015246**", - "page_start": 88, - "page_end": 88, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Regarding OSH, it is important to consider that **migrants from non-EU countries are overrepresented in certain sectors and occupations** like cleaners and helpers, personal services and care, building workers, mining, manufacturing, transport, food and agriculture. The next table shows the percentage of non-EU citizens in the workforce of certain occupations compared to the share of workforce of EU citizens in the same occupations.310", - "page_start": 111, - "page_end": 111, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What does ShareAlike mean in terms of licencing ?", - "target_page": 1, - "target_passage": "adaptations based on this work must be licensed under the same license.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "I am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] concerning intellectual property rights and exploitation of the results and I confirm that I transferred all the relevant rights to [*insert name of contractor or other intermediary right holder*].\n\nI declare that [I have received full remuneration] [I agreed to receive remuneration by [*insert date*]].\n\n[As creator, I also confirm that I do not object to the following:\n\n- (a) that my name be mentioned or not mentioned when the results are presented to the public;\n- (b) that the results be divulged or not after they have been delivered in their final version to the contracting authority;\n- (c) that the results be adapted, provided that this is done in a manner which is not prejudicial to my honour or reputation.]\n\nDate, place, signature", - "page_start": 48, - "page_end": 48, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "By clicking on the \"**Data->Licensing Assistant**\" link in the main menu, the Licence Assistant is opened in a new window, displaying relevant information of all supported licences by the tool.\n\n| | | Newsletter FAQ Search Contact Cookies Legal notice English (en) | > |\n| --- | --- | --- | --- |\n| | | Search site content ... | ರ |\n| European Data Portal > Licensing Assistant | | | |\n| 11 What we do - | Data~ Providing Data . | Using Data - Resources . | |\n| Datasets Cataloques | Metadata Quality Licensing Assistant | SPARQL Manager Statistics | |\n| Licensing Assistant | | | |\n| Data which is shared with a licence becomes Open Data. There are many licences available. | The licence assistant provides a description of the available licences. It also gives an overview | | |\n| of how to apply licences as re-publisher/distributor of Open Data and how to combine multiple | | | |\n| licences. | | | |\n| Please find a licence by selecting the preferred licence terms below: | | | |\n| Advanced settings | | | |\n| Obligation | Permission | Prohibition | |\n| Lesser Copyleft Attribution | Derivative Works Distribution | Commercial use | |\n| Sharealike Notice Copyleft | Reproduction Sublicensing | | |\n| State Changes | Use patent claims | | |\n| Name Terms | | | |\n| CC BY 3.0 Austria | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY 4.0 | Obligation: Attribution Permission: Derivative Works | Permission: Distribution Obligation: Notice | |\n| | Obligation: State Changes Permission: Reproduction | | |\n| CC-BY 3.0 NL | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY-NC 4.0 | Obligation: Attribution Permission: Derivative Works | Obligation: Notice | |\n| | Prohibition: Commercial use Permission: Distribution | Obligation: State Changes | |\n| | Permission: Reproduction | | |\n| CC-BY-NC-ND 4.0 | Obligation: Attribution Obligation: Notice | Prohibition: Commercial use Permission: Distribution | |\n| | Obligation: State Changes Permission: Reproduction | | |", - "page_start": 34, - "page_end": 34, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "- (i) where the *results* are or include logos or subject-matter which could be registered as a trademark: the right to register such logo or subject-matter as a trademark and to further exploit and use it;\n- (j) where the *results* are or include know-how: the right to use such know-how as is necessary to make use of the *results* to the full extent provided for by this FWC, and the right to make it available to contractors or subcontractors acting on behalf of the contracting authority, subject to their signing of adequate confidentiality undertakings where necessary;\n- (k) where the *results* are documents:\n\t- (i) the right to authorise the reuse of the documents in conformity with the Commission Decision of 12 December 2011 on the reuse of Commission documents (2011/833/EU), to the extent it is applicable and the documents fall within its scope and are not excluded by any of its provisions; for the sake of this provision, \"reuse\" and \"document\" have the meaning given to them by this Decision;\n\t- (ii) the right to store and archive the *results* in line with the document management rules applicable to the contracting authority, including digitisation or converting the format for preservation or new use purposes;\n- (l) where the *results* are or incorporate software, including source code, object code and, where relevant, documentation, preparatory materials and manuals, in addition to the other rights mentioned in this Article:\n\t- (i) end-user rights, for all uses by the contracting authority or by subcontractors which result from this FWC and from the intention of the parties;\n\t- (ii) the rights to receive both the source code and the object code;\n- (m) the right to license to third parties any of the exclusive rights or of the modes of exploitation set out in this FWC; however, for *pre-existing materials* which are only licensed to the contracting authority, the right to sub-license does not apply, except in the two cases foreseen by Article II.13.2.;\n- (n) to the extent that the contractor may invoke moral rights, the right for the contracting authority, except where otherwise provided in this FWC, to publish the *results* with or without mentioning the *creator*(s)' name(s), and the right to decide when and whether the *results* may be disclosed and published.\n\nThe contractor warrants that the exclusive rights and the modes of exploitation may be exercised by the contracting authority on all parts of the *results*, be it via a transfer of ownership of the rights, on those parts which were specifically created by the contractor, or via a licence of the pre-existing rights, on those parts consisting of *pre-existing materials*.\n\nWhere *pre-existing materials* are inserted in the *results*, the contracting authority may accept reasonable restrictions impacting on the above list, provided that the said materials are easily identifiable and separable from the rest, that they do not correspond to substantial elements of the *results*, and that, should the need arise, satisfactory replacement solutions exist, at no additional costs to the contracting authority. In such case, the contractor will have to clearly inform the contracting authority before making such choice and the contracting authority has the right to refuse it.\n\n# **II.13.4. Identification of pre-existing rights**\n\nWhen delivering the *results*, the contractor must warrant that, for any use that the contracting authority may envisage within the limits set in this FWC, the newly created parts and the *pre-existing material* incorporated in the *results* are free of claims from", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "- ' *Share Repurchases.* If we are unable to identify opportunities that satisfy our growth strategy, we intend to continue to use our free cash Öow to repurchase shares of our common stock at prices that provide value to our stockholders. As of December 31, 2004, we had repurchased a total of 35.2 million shares, or approximately 20% of our common stock outstanding at the commencement of our share repurchase program in 2000, for $750.4 million. In October 2004, our board of directors authorized the repurchase of up to an additional $275.0 million of our common stock, of which $274.6 million remained available at December 31, 2004. We believe that our share repurchase program will continue to enhance stockholder value.\n- ' *Dividends.* In July 2003, our board of directors initiated a quarterly cash dividend of $.06 per share. EÅective October 2004, our quarterly cash dividend was increased to $.12 per share. We may consider increasing our quarterly cash dividend if we believe it will enhance stockholder value.\n- ' *Minimize Borrowings.* To the extent that the opportunities to enhance stockholder value mentioned above are not available, we also intend to continue to use our free cash Öow to minimize our borrowings.\n\nAnother key component of our Ñnancial strategy includes maintaining an investment grade rating on our senior debt. This has allowed us to secure favorable, long-term, Ñxed-rate Ñnancing that reduces our exposure to changing interest rates. This has also allowed us, and will continue to allow us, to readily access capital markets.\n\nFor certain risks related to our Ñnancial strategy, see \"\"Risk Factors.''\n\n### **Operating Strategy**\n\nWe seek to leverage existing assets and revenue growth to increase operating margins and enhance stockholder value. Our operating strategy to accomplish this goal is to:\n\n- ' utilize the extensive industry knowledge and experience of our executive management,\n- ' utilize a decentralized management structure in overseeing day-to-day operations,\n- ' integrate waste operations,\n- ' improve operating margins through economies of scale, cost eÇciencies and asset utilization,\n- ' achieve high levels of customer satisfaction, and\n- ' utilize systems to improve consistency in Ñnancial and operational performance.\n\nFor certain risks related to our operating strategy, see \"\"Risk Factors.''\n\n- ' *Experienced Executive Management Team.* We believe that we have one of the most experienced executive management teams in the solid waste industry.\nJames E. O'Connor, who has served as our Chief Executive OÇcer since December 1998, also became our Chairman in January 2003. He worked at Waste Management, Inc. from 1972 to 1978 and from 1982 to 1998. During that time, he served in various management positions, including Senior Vice President in 1997 and 1998, and Area President of Waste Management of Florida, Inc. from 1992 to 1997. Mr. O'Connor has over 30 years of experience in the solid waste industry.\n\nMichael J. Cordesman, who has served as our Chief Operating OÇcer since March 2002 and also as our President since February 2003, has over 24 years of experience in the solid waste industry. He joined us in June 2001 as our Eastern Region Vice President. From 1999 to 2001, Mr. Cordesman served as Vice President of the Central Region for Superior Services Inc. From 1980 to 1999, he served in various positions with Waste Management, including Vice President of the Mid-Atlantic Region from 1992 to 1999.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "#### **NOTE 11 — STOCKHOLDERS' EQUITY**\n\nShare repurchases are only conducted under repurchase programs approved by the Board of Directors and publicly announced. Share repurchase activity was as follows:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| August 2001 authorization (0, 1.4 million | | | | |\n| and 6.4 million shares purchased) $ | — | $ 36,034 | $ 207,590 | |\n| February 2003 authorization | | | | |\n| (10 million shares purchased) | — | 335,911 | — | |\n| November 2003 authorization (8 million | | | | |\n| and 2 million shares purchased) | 348,895 | 70,919 | — | |\n| | $ 348,895 | $ 442,864 | $ 207,590 | |\n| Average price of shares repurchased $ | 43.59 | $ 33.17 | $ 32.28 | |\n\nAt December 31, 2004, we had 10 million shares available for repurchase under a July 2004 authorization.\n\nIn May 2002, the Board of Directors approved a restricted stock plan. The plan allowed for the issuance of up to 1 million shares of Company common stock to certain key employees. The restrictions on selling these shares lapse 50% on the third anniversary date from the grant date and 50% on the fourth anniversary date after the grant date. Through December 31, 2004, 903,000 shares were issued, with an aggregate value of $32 million. This amount was recorded as deferred compensation in the accompanying consolidated balance sheet and is being amortized to operating expenses on a straight-line basis through the period in which the restrictions fully lapse. Amortization of deferred compensation was $7 million, $8 million and $5 million for the years ended December 31, 2004, 2003 and 2002, respectively, and 855,000 shares were outstanding under the plan at December 31, 2004. In November 2002, the Board of Directors determined that no more awards would be granted under the plan.\n\n#### **NOTE 12 — EMPLOYEE BENEFIT PLANS**\n\nEmployees of the Company who are members of various unions are covered by union-sponsored, collectively bargained, multi-employer health and welfare and defined benefit pension plans. The Company recorded an expense of $86 million in 2004, $77 million in 2003 and $66 million in 2002 under such plans. The plans' sponsors have not provided sufficient information to permit the Company to determine its share of unfunded vested benefits, if any.\n\nThe Company is self-insured for most health care benefits for its non-union employees. The liability for claims filed and estimates of claims incurred but not reported is included in the \"Other accrued liabilities\" caption in the accompanying consolidated balance sheets.\n\nThe Company has a retirement savings plan under Section 401(k) of the Internal Revenue Code for eligible employees not covered by a collective bargaining agreement that does not specifically provide for participation in the plan. The plans allow employees to defer, within prescribed limits, up to 30% of their income on a pre-tax basis through contributions to the plans. The Company matches, within prescribed limits, a portion of eligible employees' contributions. In the case of certain union employees, the Company contributes to the plan are based on hours worked. The Company recorded charges for 401(k) contributions of $12 million in 2004, $10 million in 2003 and $12 million in 2002.\n\nThe Company maintains a nonqualified deferred retirement plan for certain key employees. The plan allows participants to defer, on a pre-tax basis, a portion of their salary and bonus and accumulate tax deferred earnings, plus investment earnings on the deferred balances, as a retirement fund. Participants receive a Company match of up to 4% of salary, net of any Company match received under the Company's 401(k) plan. All employee deferrals vest immediately. The Company matching contributions vest ratably over a three-year period. The Company recorded charges for matching contributions of $1 million in 2004, $2 million in 2003 and $1 million in 2002.", - "page_start": 72, - "page_end": 72, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "entities working for it or cooperating with it, including contractors and subcontractors, whether legal or natural persons, but only for the purpose of their mission for the contracting authority;\n\n(b) if the *result* is a \"document\" such as a report or a study, and it is meant to be published, the existence of *pre-existing materials* in the *result* may not prevent the publication of the document, its translation or its \"reuse\", it being understood however that the \"reuse\" may only be made of the *result* as a whole and not of the *pre-existing materials* taken separately from the *result*; for the sake of this provision, \"reuse\" and \"document\" have the meaning given by the Commission Decision of 12 December 2011 on the reuse of Commission documents (2011/833/EU).\n\nAll *pre-existing rights* are licensed to the contracting authority from the moment the *results* are delivered and approved by the contracting authority.\n\nThe licensing of *pre-existing rights* to the contracting authority under this FWC covers all territories worldwide and is valid for the duration of intellectual property rights protection.\n\nThe payment of the price as set out in the specific contracts is deemed to also include any fees payable to the contractor in relation to the licensing of *pre-existing rights* to the contracting authority, including for all forms of exploitation and of use of the *results*.\n\nWhere *implementation of the FWC* requires that the contractor uses *pre-existing materials* belonging to the contracting authority, the contracting authority may request that the contractor signs an adequate licence agreement. Such use by the contractor will not entail any transfer of rights to the contractor and is limited to the needs of this FWC.\n\n# **II.13.3. Exclusive rights**\n\nThe Contracting Authority acquires the following exclusive rights:\n\n- (a) reproduction: the right to authorise or prohibit direct or indirect, temporary or permanent reproduction of the *results* by any means (mechanical, digital or other) and in any form, in whole or in part;\n- (b) communication to the public: the exclusive right to authorise or prohibit any display, performance or communication to the public, by wire or wireless means, including the making available to the public of the *results* in such a way that members of the public may access them from a place and at a time individually chosen by them; this also includes the communication on Internet and broadcasting by cable or by satellite;\n- (c) distribution: the exclusive right to authorise or prohibit any form of distribution of *results* or copies of the *results* to the public, by sale or otherwise;\n- (d) rental: the exclusive right to authorise or prohibit rental or lending of the *results* or of copies of the *results*;\n- (e) adaptation: the exclusive right to authorise or prohibit any modification of the *results*;\n- (f) translation: the exclusive right to authorise or prohibit any translation, adaptation, arrangement, creation of derivative works based on the *results*, and any other alteration of the *results*, subject to the respect of moral rights of authors, where applicable;\n- (g) where the *results* are or include a database: the exclusive right to authorise or prohibit the extraction of all or a substantial part of the contents of the database to another medium by any means or in any form; and the exclusive right to authorise or prohibit the re-utilization of all or a substantial part of the contents of the database by the distribution of copies, by renting, by on-line or other forms of transmission;\n- (h) where the *results* are or include a patentable subject-matter: the right to register them as a patent and to further exploit such patent to the fullest extent;", - "page_start": 23, - "page_end": 23, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What is the most restricive Creative Common licence ?", - "target_page": 1, - "target_passage": "CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "By clicking on the \"**Data->Licensing Assistant**\" link in the main menu, the Licence Assistant is opened in a new window, displaying relevant information of all supported licences by the tool.\n\n| | | Newsletter FAQ Search Contact Cookies Legal notice English (en) | > |\n| --- | --- | --- | --- |\n| | | Search site content ... | ರ |\n| European Data Portal > Licensing Assistant | | | |\n| 11 What we do - | Data~ Providing Data . | Using Data - Resources . | |\n| Datasets Cataloques | Metadata Quality Licensing Assistant | SPARQL Manager Statistics | |\n| Licensing Assistant | | | |\n| Data which is shared with a licence becomes Open Data. There are many licences available. | The licence assistant provides a description of the available licences. It also gives an overview | | |\n| of how to apply licences as re-publisher/distributor of Open Data and how to combine multiple | | | |\n| licences. | | | |\n| Please find a licence by selecting the preferred licence terms below: | | | |\n| Advanced settings | | | |\n| Obligation | Permission | Prohibition | |\n| Lesser Copyleft Attribution | Derivative Works Distribution | Commercial use | |\n| Sharealike Notice Copyleft | Reproduction Sublicensing | | |\n| State Changes | Use patent claims | | |\n| Name Terms | | | |\n| CC BY 3.0 Austria | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY 4.0 | Obligation: Attribution Permission: Derivative Works | Permission: Distribution Obligation: Notice | |\n| | Obligation: State Changes Permission: Reproduction | | |\n| CC-BY 3.0 NL | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY-NC 4.0 | Obligation: Attribution Permission: Derivative Works | Obligation: Notice | |\n| | Prohibition: Commercial use Permission: Distribution | Obligation: State Changes | |\n| | Permission: Reproduction | | |\n| CC-BY-NC-ND 4.0 | Obligation: Attribution Obligation: Notice | Prohibition: Commercial use Permission: Distribution | |\n| | Obligation: State Changes Permission: Reproduction | | |", - "page_start": 34, - "page_end": 34, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n# **About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n#### **Chief Executive Officer**\n\nAnna Tumadóttir\n\n#### **General Counsel**\n\nKat Walsh\n\n# **Board of Directors**\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann Lawrence Lessig **Emeritus* Angela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Except where otherwise noted, \"Annual Report 2023\" by Creative Commons is licensed under CC BY 4.0.**", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# *6. Cross-cutting design questions*\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n### *Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative \"opt-in\" consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of \"opt-out\" could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about *who* can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many\n\nIn fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38 EU's legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data mining for commercial uses and/or are users outside of the covered set of research and heritage institutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI developers.", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "This is a frame from \"Twenty Years of Creative Commons (in Sixty Seconds)\" by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n**Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "- (i) where the *results* are or include logos or subject-matter which could be registered as a trademark: the right to register such logo or subject-matter as a trademark and to further exploit and use it;\n- (j) where the *results* are or include know-how: the right to use such know-how as is necessary to make use of the *results* to the full extent provided for by this FWC, and the right to make it available to contractors or subcontractors acting on behalf of the contracting authority, subject to their signing of adequate confidentiality undertakings where necessary;\n- (k) where the *results* are documents:\n\t- (i) the right to authorise the reuse of the documents in conformity with the Commission Decision of 12 December 2011 on the reuse of Commission documents (2011/833/EU), to the extent it is applicable and the documents fall within its scope and are not excluded by any of its provisions; for the sake of this provision, \"reuse\" and \"document\" have the meaning given to them by this Decision;\n\t- (ii) the right to store and archive the *results* in line with the document management rules applicable to the contracting authority, including digitisation or converting the format for preservation or new use purposes;\n- (l) where the *results* are or incorporate software, including source code, object code and, where relevant, documentation, preparatory materials and manuals, in addition to the other rights mentioned in this Article:\n\t- (i) end-user rights, for all uses by the contracting authority or by subcontractors which result from this FWC and from the intention of the parties;\n\t- (ii) the rights to receive both the source code and the object code;\n- (m) the right to license to third parties any of the exclusive rights or of the modes of exploitation set out in this FWC; however, for *pre-existing materials* which are only licensed to the contracting authority, the right to sub-license does not apply, except in the two cases foreseen by Article II.13.2.;\n- (n) to the extent that the contractor may invoke moral rights, the right for the contracting authority, except where otherwise provided in this FWC, to publish the *results* with or without mentioning the *creator*(s)' name(s), and the right to decide when and whether the *results* may be disclosed and published.\n\nThe contractor warrants that the exclusive rights and the modes of exploitation may be exercised by the contracting authority on all parts of the *results*, be it via a transfer of ownership of the rights, on those parts which were specifically created by the contractor, or via a licence of the pre-existing rights, on those parts consisting of *pre-existing materials*.\n\nWhere *pre-existing materials* are inserted in the *results*, the contracting authority may accept reasonable restrictions impacting on the above list, provided that the said materials are easily identifiable and separable from the rest, that they do not correspond to substantial elements of the *results*, and that, should the need arise, satisfactory replacement solutions exist, at no additional costs to the contracting authority. In such case, the contractor will have to clearly inform the contracting authority before making such choice and the contracting authority has the right to refuse it.\n\n# **II.13.4. Identification of pre-existing rights**\n\nWhen delivering the *results*, the contractor must warrant that, for any use that the contracting authority may envisage within the limits set in this FWC, the newly created parts and the *pre-existing material* incorporated in the *results* are free of claims from", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "### **3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are supported by the Licence Assistant. When available a link to the assistant is provided on left side of a dataset page.\n\nBy clicking on the **licence name** (here: cc-by), the Licence Assistant tool is opened in a new window, displaying relevant information for this particular licence.\n\n| IROPFAN | | | Newsletter FAQ Search Contact Cookies Legal notice | English (en) | ◀ |\n| --- | --- | --- | --- | --- | --- |\n| | | European Data Portal > Datasets > Daten über Anbieter von Hochs ... | | Search site content ... | ರ |\n| 1 European Data Po | | What we do ▼ Data ▼ Pro | | | |\n| WI G | | Data · Dataset Categories Similar Datasets | Using Data - | Resources . | |\n| | | Higher Education Provider Daing Assistant | SPARQL Manager | Statistics | |\n| | | data.gov.uk | | | |\n| Licensi | | | | | |\n| | | We publish the full HESA Finance return as open data | | | |\n| | | providers for the reference of funding and requlatory | | | |\n| CC-BY | | | | | |\n| Open licer | | Distributions (21) | | | |\n| You are f | | | | Comparable licences | |\n| Deriva | | Tahle 12 Analysis of staff costs 2016/17 to 2017/18 | | · CC-BY-NC-ND4.0 | |\n| CSV Create | | | | · CC-BY-NC-SA4.0 | |\n| Distrib | | Licence: cc-by (i | | · CC-BY-NC4.0 | |\n| | | | | · CC-BY-ND4.0 | |\n| Redistr | | | | · CC-BY-SA3.0NL | |\n| Reproc CSV | | Table 1 - Consolidated statement of comprehensive | | | |\n| \"Repro | | expenditure year ended 31 July 2015/16 to 2017/18 | without limitation by sound or | · CC-BY-SA4.0 | |\n| | | | | · CC-BY3.0NL | |\n| visual r | Licence: cc-by (i | | Work, including storage of a | | |\n| protect | | | edium. | · CC-BY4.0 | |\n| | | | | · CCBY3.0Austria | |\n| | | | | · DL-DE-BY-NC1.0 | |\n| You are obligated to: | | | | · DL-DE-BY1.0 | |\n| | | | | · DL-DE-BY2.0 | |\n| Attribution | | | | · EUPL-1.1 | |\n| Give proper credit to the copyright holder and/or author | | | | · FR-LO | |\n| Notice | | | | · GFDL-1.1 | |\n| Keep copyright and licence notices intact | | | | · GFDL-1.2 | |\n| State Changes | | | | · GFDL-1.3 | |\n| | | Indicate which changes have been made to the original licenced work in a manner that permits attribution. | | · IODLv1.0 | |\n| | | | | · IODLv2.0 | |\n| | | | | · NLOD | |\n| | | | | · ODC-BY | |\n| | | | | · ODC-ODbL | |\n| | | | | · OGL-NC | |\n| | | | | · OGL-ROU-1.0 | |\n| | | | | · OGL1.0 | |\n| | | | | · OGL2.0 | |\n| | | | | · OGL3.0 | |\n| | | | | · PSEUL | |", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "In which case CC licence can't be used ?", - "target_page": 1, - "target_passage": "fair use, fair dealing, or some other limitation and exception to copyright applies the the work.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Training in how to use CC Licenses is key to their adoption.**\n\nWe offer a ten-week **CC Certificate** program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and **available in 10 languages**.\n\nAs of 2023, we've certified:\n\n### **In 2023, we greatly expanded our CC Licenses training and education offerings:**\n\n#### **19 Workshops & Trainings**\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n#### **2 Week-Long CC Certificate Bootcamps**\n\nfor California Community Colleges.\n\n#### **27 Webinars**\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n#### **12 CC Legal Open Office Hours**\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "By clicking on the \"**Data->Licensing Assistant**\" link in the main menu, the Licence Assistant is opened in a new window, displaying relevant information of all supported licences by the tool.\n\n| | | Newsletter FAQ Search Contact Cookies Legal notice English (en) | > |\n| --- | --- | --- | --- |\n| | | Search site content ... | ರ |\n| European Data Portal > Licensing Assistant | | | |\n| 11 What we do - | Data~ Providing Data . | Using Data - Resources . | |\n| Datasets Cataloques | Metadata Quality Licensing Assistant | SPARQL Manager Statistics | |\n| Licensing Assistant | | | |\n| Data which is shared with a licence becomes Open Data. There are many licences available. | The licence assistant provides a description of the available licences. It also gives an overview | | |\n| of how to apply licences as re-publisher/distributor of Open Data and how to combine multiple | | | |\n| licences. | | | |\n| Please find a licence by selecting the preferred licence terms below: | | | |\n| Advanced settings | | | |\n| Obligation | Permission | Prohibition | |\n| Lesser Copyleft Attribution | Derivative Works Distribution | Commercial use | |\n| Sharealike Notice Copyleft | Reproduction Sublicensing | | |\n| State Changes | Use patent claims | | |\n| Name Terms | | | |\n| CC BY 3.0 Austria | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY 4.0 | Obligation: Attribution Permission: Derivative Works | Permission: Distribution Obligation: Notice | |\n| | Obligation: State Changes Permission: Reproduction | | |\n| CC-BY 3.0 NL | Obligation: Attribution Permission: Derivative Works | Obligation: Notice Permission: Distribution | |\n| | Permission: Reproduction | | |\n| CC-BY-NC 4.0 | Obligation: Attribution Permission: Derivative Works | Obligation: Notice | |\n| | Prohibition: Commercial use Permission: Distribution | Obligation: State Changes | |\n| | Permission: Reproduction | | |\n| CC-BY-NC-ND 4.0 | Obligation: Attribution Obligation: Notice | Prohibition: Commercial use Permission: Distribution | |\n| | Obligation: State Changes Permission: Reproduction | | |", - "page_start": 34, - "page_end": 34, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "### **3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are supported by the Licence Assistant. When available a link to the assistant is provided on left side of a dataset page.\n\nBy clicking on the **licence name** (here: cc-by), the Licence Assistant tool is opened in a new window, displaying relevant information for this particular licence.\n\n| IROPFAN | | | Newsletter FAQ Search Contact Cookies Legal notice | English (en) | ◀ |\n| --- | --- | --- | --- | --- | --- |\n| | | European Data Portal > Datasets > Daten über Anbieter von Hochs ... | | Search site content ... | ರ |\n| 1 European Data Po | | What we do ▼ Data ▼ Pro | | | |\n| WI G | | Data · Dataset Categories Similar Datasets | Using Data - | Resources . | |\n| | | Higher Education Provider Daing Assistant | SPARQL Manager | Statistics | |\n| | | data.gov.uk | | | |\n| Licensi | | | | | |\n| | | We publish the full HESA Finance return as open data | | | |\n| | | providers for the reference of funding and requlatory | | | |\n| CC-BY | | | | | |\n| Open licer | | Distributions (21) | | | |\n| You are f | | | | Comparable licences | |\n| Deriva | | Tahle 12 Analysis of staff costs 2016/17 to 2017/18 | | · CC-BY-NC-ND4.0 | |\n| CSV Create | | | | · CC-BY-NC-SA4.0 | |\n| Distrib | | Licence: cc-by (i | | · CC-BY-NC4.0 | |\n| | | | | · CC-BY-ND4.0 | |\n| Redistr | | | | · CC-BY-SA3.0NL | |\n| Reproc CSV | | Table 1 - Consolidated statement of comprehensive | | | |\n| \"Repro | | expenditure year ended 31 July 2015/16 to 2017/18 | without limitation by sound or | · CC-BY-SA4.0 | |\n| | | | | · CC-BY3.0NL | |\n| visual r | Licence: cc-by (i | | Work, including storage of a | | |\n| protect | | | edium. | · CC-BY4.0 | |\n| | | | | · CCBY3.0Austria | |\n| | | | | · DL-DE-BY-NC1.0 | |\n| You are obligated to: | | | | · DL-DE-BY1.0 | |\n| | | | | · DL-DE-BY2.0 | |\n| Attribution | | | | · EUPL-1.1 | |\n| Give proper credit to the copyright holder and/or author | | | | · FR-LO | |\n| Notice | | | | · GFDL-1.1 | |\n| Keep copyright and licence notices intact | | | | · GFDL-1.2 | |\n| State Changes | | | | · GFDL-1.3 | |\n| | | Indicate which changes have been made to the original licenced work in a manner that permits attribution. | | · IODLv1.0 | |\n| | | | | · IODLv2.0 | |\n| | | | | · NLOD | |\n| | | | | · ODC-BY | |\n| | | | | · ODC-ODbL | |\n| | | | | · OGL-NC | |\n| | | | | · OGL-ROU-1.0 | |\n| | | | | · OGL1.0 | |\n| | | | | · OGL2.0 | |\n| | | | | · OGL3.0 | |\n| | | | | · PSEUL | |", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "# **Problems with automatic license activation**\n\nIf connections problems occur with the automatic license activation procedure, the system times out after 3 minutes with an error.\n\nCheck whether the personal computer that is used to connect to the Storwize V7000 GUI and activate the license can access the internet. If you cannot complete the automatic activation procedure, use the manual activation procedure that is described in 12.3.5, \"Activate the license manually\" on page 617.\n\nAlthough authorization codes and encryption license keys use the same format (four groups of four hexadecimal digits), you can only use each of them in the appropriate activation process. If you use a license key when the system expects an authorization code, the system displays an error message, as shown in Figure 12-16.\n\n| × Activate License Automatically |\n| --- |\n| V Sent machine information to ibm.com |\n| V Retrieved license keys |\n| Applied license keys |\n| Processing of authorization code 1234-ABCD-DCBA-4321 |\n| has failed for the following reason: |\n| The authorization code cannot be decrypted. |\n| Ensure that you entered the authorization code correctly and |\n| retry the activation request. |\n\n*Figure 12-16 Authorization code failure*", - "page_start": 637, - "page_end": 637, - "source_file": "sg247938.pdf" - }, - { - "text": "- 8. Select whether the encryption feature was purchased for this system. In this example, it is assumed encryption was not purchased, as shown in Figure 4-14. Click **Next**.\n**Note:** If you purchased the encryption feature, you are prompted to activate your encryption license manually or automatically. For more information about how to activate your encryption license during the system setup wizard, see Chapter 12, \"Encryption\" on page 603.\n\n| System Setup | | × |\n| --- | --- | --- |\n| Welcome | Encryption | |\n| D License Agreement | | |\n| | | Was the encryption feature purchased for this system? |\n| D Change Password | No | |\n| D System Name | Yes | |\n| D Licensed Functions | | |\n| O Date and Time | | |\n| Encryption | | |\n| Call Home | | |\n| Storage Insights | | |\n| Support | | |\n| Assistance | | |\n| Summary | | |\n| ? Need Help | Cancel | Back Next > |\n\n*Figure 4-14 System setup: Encryption*", - "page_start": 121, - "page_end": 121, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Problems with manual license activation**\n\nAlthough authorization codes and encryption license keys use the same format (four groups of four hexadecimal digits), you can only use each of them in the appropriate activation process. If you use an authorization code when the system expects a license key, the system displays an error message, as shown in Figure 12-20.\n\n| Activate Function | |\n| --- | --- |\n| The task completed with errors. | 100% |\n| V View more details | |\n| DCBA-4321 | > |\n| There is a problem activating function: Key = 1234- 5:00 PM | |\n| ABCD-DCBA-4321. | |\n| CLI returned error message: | 5:00 PM |\n| CMMVC7218E The task cannot be initiated because an | 5:00 PM |\n| invalid license key was specified. | |\n| Synchronizing memory cache. | 5:00 PM |\n| The task is 100% complete. | 5:00 PM |\n| The task completed with errors. | 5:00 PM |\n| Cancel | Close |\n\n*Figure 12-20 License key failure*\n\n# **12.4 Enabling encryption**\n\nThis section describes the process to create and store system master access key copies, also referred to as *encryption keys*. These keys can be stored on any or both of two key providers: USB flash drives or a key server.\n\nTwo types of key servers are supported by IBM Spectrum Virtualize:\n\n- -IBM Security Key Lifecycle Manager (SKLM), introduced in IBM Spectrum Virtualize V7.8.\n- -Gemalto SafeNet KeySecure, introduced in IBM Spectrum Virtualize V8.2.\n\nIBM Spectrum Virtualize code V8.1 introduced the ability to define up to four encryption key servers, which is a preferred configuration because it increases key provider availability. In this version, support for simultaneous use of both USB flash drives and key server was added.\n\nOrganizations that use encryption key management servers might consider parallel use of USB flash drives as a backup solution. During normal operation, such drives can be disconnected and stored in a secure location. However, during a catastrophic loss of encryption servers, the USB drives can still be used to unlock the encrypted storage.\n\nThe key server and USB flash drive characteristics that are described next might help you to choose the type of encryption key provider that you want to use.", - "page_start": 640, - "page_end": 640, - "source_file": "sg247938.pdf" - }, - { - "text": "#### **Reliance on Copyright Limitations and Exceptions**\n\nEven if a book is in copyright, it's possible that copying books for AI training may be covered by existing limitations and exceptions to copyright law in particular jurisdictions. For example:\n\n- In the United States, many argue using existing works to train generative AI is \"fair use,\" consistent with existing law and legal precedents. This is the subject of a 19 number of currently active court cases, and different actors and tools may yield different results, as fair use is applied case-by-case using a flexible balancing test.\n- In the European Union, there are explicit exceptions in the law for \"text and data mining\" uses of in-copyright works, both for non-commercial research and for commercial purposes. However, for commercial uses and for users outside of research and heritage institutions, they must respect the rights of rightsholders who choose to \"reserve their rights\" (i.e., opt-out of allowing text and data mining) via machine readable mechanisms. The exception also requires that users have \"lawful 20 access\" to the works.\n- Finally, Japan provides a specific text and data mining exception, without any comparable opt-out requirement for commercial uses as is embedded in EU law.21\n\nWhile exceptions that allow AI training exist in several other countries, such as Singapore and Israel, most countries do not provide exceptions that appear to permit AI training. Even where potentially available, as in the United States, legal uncertainty and risk create a hurdle for anyone building a books commons.22\n\nSee e.g. Comments from Sprigman, Samuelson, Sag to Copyright Office, October 2023, at https:// 19 www.regulations.gov/comment/COLC-2023-0006-10299 as well as many other submissions to the US copyright office; see also Advocacy, Katherine Klosek, Director of Information Policy and Federal Relations, Association of Research Libraries (ARL), and Marjory S. Blumenthal, Senior Policy Fellow, American Library Association (ALA) Office of Public Policy and. \"Training Generative AI Models on Copyrighted Works Is Fair Use.\" *Association of Research Libraries*, 23 Jan. 2024, www.arl.org/blog/ training-generative-ai-models-on-copyrighted-works-is-fair-use/.\n\nSee Articles 3 and 4 of the EU's Directive on Copyright and Related Rights in the Digital Single Market 20 — https://eur-lex.europa.eu/eli/dir/2019/790/oj.\n\nJapan clarified its laws in 2018 to make clear that this type of use is permitted — see discussion in 21 Testimony of Matthew Sag, July 2023, https://www.judiciary.senate.gov/imo/media/doc/ 2023-07-12_pm_-_testimony_-_sag.pdf, see also Fiil-Flynn, S. *et al.* (2022) *Legal reform to enhance global text and Data Mining Research*, *Science*. Available at: https://www.science.org/doi/10.1126/ science.add6124 (Accessed: 28 Sept. 2023).\n\nSee supra note 22*.* See also Jonathan Band, *Copyright Implications of the Relationship between* 22 *Generative Artificial Intelligence and Text and Data Mining | Infojustice*. infojustice.org/archives/45509. In addition, for an in-depth look at the cross-border legal challenges involved see: *Wrapping up Our NEH-Funded Project to Help Text and Data Mining Researchers Navigate Cross-Border Legal and Ethical Issues*. 2 Oct. 2023, buildinglltdm.org/2023/10/02/wrapping-up-our-neh-funded-project-to-help-text-anddata-mining-researchers-navigate-cross-border-legal-and-ethical-issues/. Accessed 20 Mar. 2024.", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "In how many regions the Republic Services operations are organized ?", - "target_page": 9, - "target_passage": "As of December 31, 2004, our operations were organized into five regions whose boundaries may change from time to time: Eastern, Central, Southern, Southwestern and Western.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| 84 | Mauritania | MRT |\n| --- | --- | --- |\n| 85 | Mauritius | MUS |\n| 86 | Mexico | MEX |\n| 87 | Micronesia (Federated | FSM |\n| | States of) | |\n| 88 | Mongolia | MNG |\n| 89 | Montenegro | MNE |\n| 90 | Morocco | MAR |\n| 91 | Mozambique | MOZ |\n| 92 | Myanmar | MMR |\n| 93 | Namibia | NAM |\n| 94 | Nauru | NRU |\n| 95 | Nepal | NPL |\n| 96 | Nicaragua | NIC |\n| 97 | Niger | NER |\n| 98 | Nigeria | NGA |\n| 99 | Niue | NIU |\n| 100 | Oman | OMN |\n| 101 | Pakistan | PAK |\n| 102 | Palau | PLW |\n| 103 | Panama | PAN |\n| 104 | Papua New Guinea | PNG |\n| 105 | Paraguay | PRY |\n| 106 | Peru | PER |\n| 107 | Philippines | PHL |\n| 108 | Qatar | QAT |\n| 109 | Republic of Korea | KOR |\n| 110 | Republic of Moldova | MDA |\n| 111 | Rwanda | RWA |\n| 112 | Saint Kitts and Nevis | KNA |\n| 113 | Saint Lucia | LCA |\n| 114 | Saint Vincent and the | VCT |\n| | Grenadines | |\n| 115 | Samoa | WSM |\n| 116 | San Marino | SMR |\n| 117 | Sao Tome and Principe | STP |\n| 118 | Saudi Arabia | SAU |\n| 119 | Senegal | SEN |\n| 120 | Serbia | SRB |\n| 121 | Seychelles | SYC |\n| 122 | Sierra Leone | SLE |\n| 123 | Singapore | SGP |\n| 124 | Solomon Islands | SLB |\n| 125 | Somalia | SOM |\n\n| 126 | South Africa | ZAF |\n| --- | --- | --- |\n| 127 | South Sudan | SSD |\n| 128 | Sri Lanka | LKA |\n| 129 | Sudan | SDN |\n| 130 | Suriname | SUR |\n| 131 | Swaziland | SWZ |\n| 132 | Syrian Arab Republic | SYR |\n| 133 | Tajikistan | TJK |\n| 134 | Thailand | THA |\n| 135 | The former Yugoslav | MKD |\n| | Republic of Macedonia | |\n| 136 | Timor-Leste | TLS |\n| 137 | Togo | TGO |\n| 138 | Tonga | TON |\n| 139 | Trinidad and Tobago | TTO |\n| 140 | Tunisia | TUN |\n| 141 | Turkmenistan | TKM |\n| 142 | Tuvalu | TUV |\n| 143 | Uganda | UGA |\n| 144 | United Arab Emirates | ARE |\n| 145 | United Republic of Tanzania | TZA |\n| 146 | Uruguay | URY |\n| 147 | Uzbekistan | UZB |\n| 148 | Vanuatu | VUT |\n| 149 | Venezuela | VEN |\n| 150 | Viet Nam | VNM |\n| 151 | Yemen | YEM |\n| 152 | Zambia | ZMB |\n| 153 | Zimbabwe | ZWE |", - "page_start": 45, - "page_end": 45, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### **REPUBLIC SERVICES, INC.**\n\n### **VALUATION AND QUALIFYING ACCOUNTS AND RESERVES SCHEDULE II (in millions)**\n\n| | Balance at | Additions | Accounts | | Balance at |\n| --- | --- | --- | --- | --- | --- |\n| | Beginning | Charged to | Written | | End |\n| | of Year | Income | OÅ | Other(1) | of Year |\n| CLASSIFICATIONS | | | | | |\n| Allowance for doubtful accounts: | | | | | |\n| 2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $19.0 | $ 8.0 | $ (9.0) | $ Ì | $18.0 |\n| 2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 10.4 | (10.4) | Ì | 19.0 |\n| 2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 11.2 | (11.4) | .2 | 19.0 |\n\n(1) Allowance of acquired and divested businesses, net.", - "page_start": 101, - "page_end": 101, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### **Letter to Shareholders**\n\n# *Dear Fellow Shareholders:*\n\nI am pleased to report that 2004 was a very good year for Republic Services, Inc. Our team met and exceeded the important financial and management goals we told you about here a year ago, and we plan to work just as hard and accomplish just as much in the coming year.\n\nRepublic is strengthening its competitive position among the leading waste services providers every day. As always, we are doing so by offering our customers cost-effective and safe waste collection, reliable recycling, and environmentally protective disposal options.\n\nI am proud of our team and what they accomplished. The results tell you just how well they did.\n\nare exceeded.\n\n**The Year Ahead**\n\nimpressive results in 2005.\n\n2005 and beyond.\n\n**James E. O'Connor**\n\nMarch 31, 2005\n\n*Chairman and Chief Executive Officer*\n\nSincerely,\n\nmade to our people and service communities.\n\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local conditions. Our division leaders are well-positioned to respond immediately to the needs, changes and developments among their customers. We in the corporate office set the goals, establish the discipline, provide financial resources, management and operational support, but it is in our local divisions where customer relationships are established and the work is done. Our community-based focus forges strong local relationships and ensures that, at the customer level, the highest expectations\n\n**Board of Directors**\n\nJames E. O'Connor 1 *Chairman & Chief Executive Officer*\n\nJames E. O'Connor\n\n**Officers**\n\nDavid A. Barclay\n\nTod C. Holmes\n\nLee V. Twyford\n\nBrian A. Bales\n\nTim M. Benter\n\nJerry S. Clark\n\nPaul J. Connealy *Vice President, Tax* Matthew E. Davies\n\nArthur J. Dudzinski\n\nKenneth M. Baylor\n\n*Vice President & Controller*\n\nMichael J. Cordesman\n\nW. Lee Nutter 2, 3, 4 *Chairman, Compensation Committee Chairman, President & Chief Executive Officer Rayonier, Inc. (a forest products company)*\n\n*Chairman & Chief Executive Officer*\n\n*President & Chief Operating Officer* \n\n*Senior Vice President & General Counsel*\n\n*Vice President, Corporate Development*\n\n*Vice President, Employee & Labor Relations*\n\n*Vice President & Associate General Counsel*\n\n*Regional Vice President - Western Region*\n\n*Vice President, Environmental Engineering & Compliance*\n\n*Senior Vice President & Chief Financial Officer*\n\n*Senior Vice President & Chief Information Officer*\n\nWilliam C. Flower\n\nAllan C. Sorensen 2, 3, 4 *Presiding Director President & Chief Executive Officer Interim Health Care, Inc. (a provider of temporary labor to the healthcare industry)*\n\nHarris W. Hudson 1 *Vice Chairman of the Board*\n\n1 *Member, Executive Committee* • 2 *Member, Audit Committee* • 3 *Member, Compensation Committee* • 4 *Member, Nominating and Corporate Governance Committee*\n\nRamon A. Rodriguez 2, 3, 4 *Chairman, Audit Committee President & Chief Executive Officer Madsen, Sapp, Mena, Rodriguez & Co. (a public accounting firm)*\n\nMatthew D. Katz\n\nRonald R. Krall\n\nEdward A. Lang III\n\nThomas E. Miller\n\nCraig J. Nichols\n\nCharles F. Serianni\n\nRobert N. Shepard\n\nKevin C. Walbridge\n\nGerard W. Wickett\n\nGary L. Sova\n\n*Vice President, Communications*\n\n*Vice President & Associate General Counsel*\n\nMichael W. Wickham 2, 3, 4 *Retired Chairman, President & Chief Executive Officer, Roadway Corporation*\n\nJohn W. Croghan 2, 3, 4 *Chairman, Nominating and Corporate Governance Committee Chairman, Rail-Splitter Capital Management, LLC (an investment management firm)*\n\n*Regional Vice President - Southwest Region*\n\n*Vice President & Chief Accounting Officer*\n\n*Regional Vice President - Southern Region*\n\n*Regional Vice President - Central Region*\n\n*Vice President, Purchasing & Maintenance*\n\n*Regional Vice President - Eastern Region*\n\n*Vice President, Finance & Treasurer*\n\n*Vice President, Human Resources*\n\n*Vice President, Marketing & Sales*\n\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We know the importance of strong and predictable cash flow in meeting our shareholders' expectations. Over time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year's record free cash flow enabled us to reinvest in our business, acquire new companies, repurchase $266 million of our common stock and double the quarterly dividend to $0.12 per share. The plan this year is similar. We will continue to use our strong free cash flow to grow and strengthen the Company by building our customer base through internal growth and strategic acquisitions. Additionally, we plan to repurchase Republic stock worth up to $275 million and pay a regular quarterly cash dividend to\n\nWe are focused on improving our service and strengthening relationships with our customers. Exceptional service allows us to build loyalty and create lasting bonds with those we serve. We will continue to train and develop our people, too, so they may grow as we grow as a Company. And we will continue to focus on improving the safety of our operations, an important commitment we have\n\nThe last year was indeed an outstanding one for Republic. Our goal is to continue to deliver\n\nI am both privileged and grateful to have the opportunity to lead a team of such exceptional people. Everyday, I grow more impressed with the experience, knowledge, loyalty and hard work they\n\nOn behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in us. We are a Company that cares about you, and we pledge to continue working hard to serve you in\n\ncontribute. Republic truly has one of the best management and operations teams in America.\n\nour shareholders. We believe these steps will increase shareholder value.\n\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new municipal contracts and improved pricing. At the same time, we benefited from our presence in highgrowth markets, especially those in the rapidly expanding Sunbelt states.\n\nWe met last year's guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue enhancement and cost reduction efforts produced results. We generated a record level of free cash flow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash flow. As in the past year, we will concentrate on free cash flow and use it for acquisitions, reinvestment, repurchases of our stock and regular quarterly cash dividends.\n\nAs I thought about these achievements, I realized they result from the environment that we work to create for both our customers and our people. We care about our customers and the communities we serve. About our people. About the environment. And, of course, we care about you -- our shareholders. Every year we adopt a theme that captures our Company and our values. Our theme for 2005 is \"Republic Services…A Company that cares\".\n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we deliver our services, increasing our efficiency in routing our collection trucks. We improved the way we construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to control prices. And, we communicated to our customers the value of the services we offer. This year will be no different. We will continue to concentrate on these fundamentals.\n\nRepublic's future is bright. We are mindful of our mission. We know our business exists to ease the burden of managing society's waste. It's not a glamorous business, but it is an essential one, and we take this responsibility very seriously.\n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 recycling facilities in 22 states. These resources give us many opportunities to listen to our customers, anticipate their needs and quickly respond to them. Each customer faces challenges unique to his or her business and community. Our goal is to remain flexible and to tailor our services to each customer.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Amazon has many regions all across the globe. Inside each region, there are one or more Availability Zones located tens of miles apart. The distance is near enough for low latency the gap between requesting and receiving a response, and far enough to reduce the chance that multiple zones are affected if a disaster happens.\n\nEach region is identified by a code, such as \"us-west-1\", \"us-east-1\" or \"eu-west-2\". Within each region, the multiple isolated locations known as *Availability Zones* or AZs are identified with the region code followed by a letter identifier. For example, us-east-1a. AWS handles deploying to multiple availability zones within a region for resilience.\n\n# **Amazon Resource Name (ARN)**\n\nServices are identified with regional endpoints. The general syntax of a regional endpoint is as follows:\n\n```\nprotocol://..amazonaws.com\n```\nFor example, https://dynamodb.us-west-1.amazonaws.com is the endpoint for the Amazon DynamoDB service in the US West (N. California) Region.\n\nThe region code is also used to identify AWS resources with Amazon Resource Names, also called \"ARNs\". Because AWS is deployed all over the world, ARNs function like an addressing system to precisely locate which specific part of AWS we are referring to. ARNs have a hierarchical structure:", - "page_start": 17, - "page_end": 17, - "source_file": "serverless-core.pdf" - }, - { - "text": "### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON THE FINANCIAL STATEMENTS**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and subsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits also included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements and schedule are the responsibility of the Company's management. Our responsibility is to express an opinion on these Ñnancial statements and schedule based on our audits.\n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the Ñnancial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An audit also includes assessing the accounting principles used and signiÑcant estimates made by management, as well as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the consolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and the consolidated results of their operations and their cash Öows for each of the three years in the period ended December 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the related Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a whole, presents fairly in all material respects the information set forth therein.\n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of accounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas collection systems.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL OVER FINANCIAL REPORTING**\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited management's assessment, included in the accompanying Report of Management on Republic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and subsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is responsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the eÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on management's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial reporting based on our audit.\n\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether eÅective internal control over Ñnancial reporting was maintained in all material respects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating management's assessment, testing and evaluating the design and operating eÅectiveness of internal control, and performing such other procedures as we considered necessary in the circumstances. We believe that our audits provide a reasonable basis for our opinion.\n\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable assurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over Ñnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reÖect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial statements.\n\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect misstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies and procedures may deteriorate.\n\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the COSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal control over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated balance sheets as of Republic Services, Inc. as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for each of the three years in the period ended December 31, 2004 of the Company and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n> /s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### Geographical areas\n\nThe geographical segment information for the Company and its consolidated subsidiaries for the years ended March 31, 2005, 2004 and 2003 is as follows:\n\n| Fiscal year 2004 (For the year ended Mar. 31, 2005) | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | Other foreign | | | | | |\n| Japan | | North America | Europe | | countries | | Total | Eliminations | | Consolidated |\n| | | | | | Millions of yen | | | | | |\n| Sales to third parties ¥2,556,683 ¥3,726,456 ¥1,254,007 ¥1,039,131 | | | | | | | ¥ 8,576,277 | ¥ | — | ¥8,576,277 |\n| Inter-area sales and transfers 51,109 | 1,981,104 | 81,794 | | | 7,622 | | | 2,121,629 ¥(2,121,629) | | — |\n| Total sales 1,305,116 | 4,537,787 | 3,808,250 | | | 1,046,753 | | 10,697,906 | (2,121,629) | | 8,576,277 |\n| Operating expenses 1,249,110 | 4,196,667 | 3,392,676 | | | 996,529 | | 9,834,982 | (2,119,865) | | 7,715,117 |\n| Operating income ¥ ¥ 56,006 | 341,120 ¥ | 415,574 | | ¥ | 50,224 | ¥ | 862,924 | ¥(1,764) ¥ | | 861,160 |\n| Total assets ¥5,590,397 ¥4,714,272 ¥ 799,778 ¥ | | | | | 637,065 | | | ¥11,741,512 ¥(1,892,989) ¥9,848,523 | | |\n| | | | | | Thousands of U.S. dollars | | | | | |\n| Sales to third parties $23,894,234 $34,826,692 $11,719,692 | | | | | $9,711,503 | | $ 80,152,121 | $ | — | $80,152,121 |\n\n| Sales to third parties $23,894,234 $34,826,692 $11,719,692 | | | | $9,711,503 | | $ 80,152,121 $ | | — | $80,152,121 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Inter-area sales and transfers | 18,514,991 | 764,430 | 477,654 | 71,234 | | 19,828,309 | | (19,828,309) | — |\n| Total sales | 42,409,225 | 35,591,122 | 12,197,346 | 9,782,737 | | 99,980,430 | | (19,828,309) | 80,152,121 |\n| Operating expenses | 39,221,187 | 31,707,252 | 11,673,925 | 9,313,355 | | 91,915,719 | | (19,811,822) | 72,103,897 |\n| Operating income | $ 3,188,038 | $ 3,883,870 $ | 523,421 | $ 469,382 | $ | 8,064,711 $ | | (16,487) | $ 8,048,224 |\n| Total assets $52,246,701 $44,058,617 | | | $ 7,474,561 | $5,953,878 | | | $109,733,757 $(17,691,485) $92,042,272 | | |\n\n| | | | | Fiscal year 2003 (For the year ended Mar. 31, 2004) | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Japan | | North America | Europe | Other foreign countries | Total | Eliminations | Consolidated |\n| | | | | Millions of yen | | | |\n| Sales to third parties ¥2,559,806 ¥3,278,966 ¥1,164,032 | | | | ¥426,415 | ¥7,429,219 ¥ | — | ¥7,429,219 |\n| Inter-area sales and transfers | 1,725,491 | 35,384 | 31,690 | 4,663 | 1,797,228 | (1,797,228) | — |\n| Total sales | 4,285,297 | 3,314,350 | 1,195,722 | 431,078 | 9,226,447 | (1,797,228) | 7,429,219 |\n| Operating expenses | 3,932,835 | 2,914,529 | 1,146,549 | 412,938 | 8,406,851 | (1,802,487) | 6,604,364 |\n| Operating income ¥ | 352,462 ¥ | 399,821 ¥ | 49,173 | ¥ 18,140 | ¥ 819,596 ¥ | 5,259 | ¥ 824,855 |\n| Total assets ¥4,805,718 ¥3,664,382 ¥ | | | 607,926 | ¥219,109 | | ¥9,297,135 ¥(1,437,279) ¥7,859,856 | |\n\na) As described in Note 2(b), effective April 1, 2003, Nissan Motor Manufacturing (UK) Ltd., a consolidated subsidiary, implemented early adoption of a new accounting standard for retirement benefits in the United Kingdom. The effect of this change was to decrease operating income in the \"Europe\" segment by ¥1,686 million for the year ended March 31, 2004 as compared with the corresponding amount which would have been recorded if the previous method had been followed.\n\nb) As described in Note 2(c), effective April 1, 2003, the Company and its domestic consolidated subsidiaries changed their method of accounting for noncancelable lease transactions which transfer substantially all risks and rewards associated with the ownership of assets, from accounting for them as operating leases, to finance leases. The effect of this change was to decrease sales and operating expenses in the \"Japan\" segment by ¥17,943 million and ¥39,534 million, respectively, and to increase operating income and total assets in the \"Japan\" segment by ¥21,591 million and ¥137,184 million, respectively, for the year ended March 31, 2004 as compared with the corresponding amounts which would have been recorded if the previous method had been followed.", - "page_start": 102, - "page_end": 102, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "```\narn:partition:service:region:account-id:resource-id\narn:partition:service:region:account-id:resource-type/resource-id\narn:partition:service:region:account-id:resource-type:resource-id\n```\n- arn: literally, the string \"arn\"\n- partition is one of the three partitions: AWS Regions, AWS China Regions, or AWS GovCloud (US) Regions\n- service is the specific service such as Amazon EC2 or DynamoDB\n- region is the AWS region like us-east-1 (North Virginia)\n- account-id is the AWS account ID\n- resource-id is the unique resource ID. Other forms for resource IDs like resource-type/ resource-id, are used by services like IAM where IAM users have resource-type of user and resource-id a username like MyUsername,\n\nTry to identify the service, region, and resource for the following example ARNs:\n\n```\narn:aws::dynamodb:us-west-2:123456789012:table/myDynamoDBTable\narn:aws::lambda:us-east-2:123456789012:function:my-function:1\n```\nIf you are interested in learning more, check out a map of Regions and Availability Zones, a view of our data centers, and the complete list of regional service endpoints.\n\n# **Security model**\n\nSecurity is a top priority for AWS. Before you start building serverless solutions, you need to know how security factors into AWS solutions.\n\nAmazon Web Services has a *shared responsibility model:*", - "page_start": 18, - "page_end": 18, - "source_file": "serverless-core.pdf" - }, - { - "text": "#### **Board of Directors**\n\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local conditions. Our division leaders are well-positioned to respond immediately to the needs, changes and developments among their customers. We in the corporate office set the goals, establish the discipline, provide financial resources, management and operational support, but it is in our local divisions where customer relationships are established and the work is done. Our community-based focus forges strong local relationships and ensures that, at the customer level, the highest expectations\n\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We know the importance of strong and predictable cash flow in meeting our shareholders' expectations. Over time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year's record free cash flow enabled us to reinvest in our business, acquire new companies, repurchase $266 million of our common stock and double the quarterly dividend to $0.12 per share. The plan this year is similar. We will continue to use our strong free cash flow to grow and strengthen the Company by building our customer base through internal growth and strategic acquisitions. Additionally, we plan to repurchase Republic stock worth up to $275 million and pay a regular quarterly cash dividend to\n\nWe are focused on improving our service and strengthening relationships with our customers. Exceptional service allows us to build loyalty and create lasting bonds with those we serve. We will continue to train and develop our people, too, so they may grow as we grow as a Company. And we will continue to focus on improving the safety of our operations, an important commitment we have\n\nThe last year was indeed an outstanding one for Republic. Our goal is to continue to deliver\n\nI am both privileged and grateful to have the opportunity to lead a team of such exceptional people. Everyday, I grow more impressed with the experience, knowledge, loyalty and hard work they\n\nOn behalf of all of us at Republic, I want to thank our shareholders for the trust they have placed in us. We are a Company that cares about you, and we pledge to continue working hard to serve you in\n\ncontribute. Republic truly has one of the best management and operations teams in America.\n\nour shareholders. We believe these steps will increase shareholder value.\n\nare exceeded.\n\n**The Year Ahead**\n\nimpressive results in 2005.\n\n2005 and beyond.\n\n**James E. O'Connor**\n\nMarch 31, 2005\n\n*Chairman and Chief Executive Officer*\n\nSincerely,\n\nmade to our people and service communities.\n\n*Dear Fellow Shareholders:*\n\nI am pleased to report that 2004 was a very good year for Republic Services, Inc. Our team met and exceeded the important financial and management goals we told you about here a year ago, and we plan to work just as hard and\n\nRepublic is strengthening its competitive position among the leading waste services providers every day. As always, we are doing so by offering our customers cost-effective and safe waste collection, reliable recycling, and\n\nI am proud of our team and what they accomplished. The\n\nfor 2005 is \"Republic Services…A Company that cares\".\n\ngrowth markets, especially those in the rapidly expanding Sunbelt states.\n\nreinvestment, repurchases of our stock and regular quarterly cash dividends.\n\nwill be no different. We will continue to concentrate on these fundamentals.\n\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new municipal contracts and improved pricing. At the same time, we benefited from our presence in high-\n\nWe met last year's guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue enhancement and cost reduction efforts produced results. We generated a record level of free cash flow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash flow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\n\nAs I thought about these achievements, I realized they result from the environment that we work to create for both our customers and our people. We care about our customers and the communities we serve. About our people. About the environment. And, of course, we care about you -- our shareholders. Every year we adopt a theme that captures our Company and our values. Our theme\n\nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we deliver our services, increasing our efficiency in routing our collection trucks. We improved the way we construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to control prices. And, we communicated to our customers the value of the services we offer. This year\n\nRepublic's future is bright. We are mindful of our mission. We know our business exists to ease the burden of managing society's waste. It's not a glamorous business, but it is an essential one, and we\n\nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35 recycling facilities in 22 states. These resources give us many opportunities to listen to our customers, anticipate their needs and quickly respond to them. Each customer faces challenges unique to his or her business and community. Our goal is to remain flexible and to tailor our services to each\n\naccomplish just as much in the coming year.\n\n**Letter to Shareholders**\n\nenvironmentally protective disposal options.\n\nresults tell you just how well they did.\n\ntake this responsibility very seriously.\n\ncustomer.\n\nJames E. O'Connor 1 *Chairman & Chief Executive Officer*\n\nHarris W. Hudson 1 *Vice Chairman of the Board*\n\nJohn W. Croghan 2, 3, 4 *Chairman, Nominating and Corporate Governance Committee Chairman, Rail-Splitter Capital Management, LLC (an investment management firm)*\n\nW. Lee Nutter 2, 3, 4 *Chairman, Compensation Committee Chairman, President & Chief Executive Officer Rayonier, Inc. (a forest products company)*\n\nRamon A. Rodriguez 2, 3, 4 *Chairman, Audit Committee President & Chief Executive Officer Madsen, Sapp, Mena, Rodriguez & Co. (a public accounting firm)*\n\nAllan C. Sorensen 2, 3, 4 *Presiding Director President & Chief Executive Officer Interim Health Care, Inc. (a provider of temporary labor to the healthcare industry)*\n\nMichael W. Wickham 2, 3, 4 *Retired Chairman, President & Chief Executive Officer, Roadway Corporation*\n\n1 *Member, Executive Committee* • 2 *Member, Audit Committee* • 3 *Member, Compensation Committee* • 4 *Member, Nominating and Corporate Governance Committee*\n\n#### **Officers**\n\nJames E. O'Connor *Chairman & Chief Executive Officer*\n\nMichael J. Cordesman *President & Chief Operating Officer* \n\nDavid A. Barclay *Senior Vice President & General Counsel*\n\nTod C. Holmes *Senior Vice President & Chief Financial Officer*\n\nLee V. Twyford *Senior Vice President & Chief Information Officer*\n\nBrian A. Bales *Vice President, Corporate Development*\n\nKenneth M. Baylor *Vice President, Employee & Labor Relations*\n\nTim M. Benter *Vice President & Associate General Counsel*\n\nJerry S. Clark *Vice President & Controller*\n\nPaul J. Connealy *Vice President, Tax*\n\nMatthew E. Davies *Vice President, Environmental Engineering & Compliance*\n\nArthur J. Dudzinski *Regional Vice President - Western Region* William C. Flower *Vice President, Communications*\n\nMatthew D. Katz *Vice President & Associate General Counsel*\n\nRonald R. Krall *Regional Vice President - Eastern Region*\n\nEdward A. Lang III *Vice President, Finance & Treasurer*\n\nThomas E. Miller *Regional Vice President - Southwest Region*\n\nCraig J. Nichols *Vice President, Human Resources*\n\nCharles F. Serianni *Vice President & Chief Accounting Officer*\n\nRobert N. Shepard *Regional Vice President - Southern Region* Gary L. Sova\n\n*Vice President, Marketing & Sales* Kevin C. Walbridge\n\n*Regional Vice President - Central Region*\n\nGerard W. Wickett *Vice President, Purchasing & Maintenance*", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### **(19) Business Segment Information**\n\nE u ronet and its subsidiaries operate in two business segments: (1) a segment that provides an independent shared ATM network and other e l e c t ronic payment network services to banks, retail and financial institutions (the \"Network Services Segment\"); and (2) a segment that p roduces application software and solutions for payment and transaction delivery systems (the \"Software Solutions Segment\"). These business segments are supported by a corporate service segment which provides corporate and other administrative services which are not d i rectly identifiable with the two business segments, (the \"Corporate Services Segment\"). The accounting policies of each segment are the same as those described in the summary of significant accounting policies. The Company evaluates perf o rmance based on profit or loss fro m operations before income taxes not including nonre c u rring gains and net loss. Prior period segment information has been restated to conform to the current period's presentation.\n\nAs the Network Services Segment continued to grow throughout 1999, the Company's management began to divide the internal org a n i z a t i o n of the segment into Sub-segments. Accord i n g l y, beginning in January 2000, the Company divided the Network Services Segment into thre e Sub-segments: \"Central European Sub-segment\" (including Hungary, Poland, the Czech Republic, Croatia, Greece and Romania), \"We s t e rn E u ropean Sub-segment\" (including Germ a n y, France, and the United Kingdom) and \"Other Operations Sub-segment\" (including the United States and unallocated processing center costs). Where practical, certain amounts have been reclassified to reflect the change in intern a l re p o rting. The Company is unable to present Network Services Segment assets by Sub-segment as of December 31, 1999. Prior to January 1, 2000, certain assets that were used to provide support services to the Company as a whole were included in the assets in the balance sheet of the Company's wholly owned Hungarian subsidiary, Bank Tech. In order to segregate corporate assets from those of the Hungarian operations, these assets were transferred as of December 31, 1999, from Bank Tech to an existing Hungarian shell company, Administrative S e rvices. Those assets are now shown under the Other Operations Sub-segment.\n\nThe following tables present the segment results of the Company's operations for the years ended December 31, 2000, 1999 and 1998.\n\n| | | Year Ended December 31, 2000 | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Network Serv i c e s | | | | | | | | | |\n| | | | | | N e t w o r k | | | | | |\n| | Central | We s t e rn | | | S e rvices | | S o f t w a re | C o r p o r a t e | | |\n| | E u rope | E u rope | O t h e r | | To t a l | | Solutions | S e rvices | | To t a l |\n| | | | | | (in thousands) | | | | | |\n| Total Revenues | $ 1 8 , 5 9 9. | $ 1 6 , 6 1 5. | $ | 1 , 7 0 0. | $ | 3 6 , 9 1 4. | $ 1 6 , 0 0 6. | $ | —. | $ 5 2 , 9 2 0. |\n| Total operating expenses | ( 2 1 , 6 6 9 ) | ( 1 8 , 9 0 1 ) | | ( 2 , 4 0 9 ) | | ( 4 2 , 9 7 9 ) | ( 3 7 , 4 7 5 ) | ( 7 , 8 6 2 ) | | ( 8 8 , 3 1 6 ) |\n| Operating loss. | ( 3 , 0 7 0 ) | ( 2 , 2 8 6 ) | | ( 7 0 9 ) | | ( 6 , 0 6 5 ) | ( 2 1 , 4 6 9 ) | ( 7 , 8 6 2 ) | | ( 3 5 , 3 9 6 ) |\n| I n t e rest income | 2 8 9. | 6 5. | | 1 9 0. | | 5 4 4. | 1 0 3. | | 4 4 2. | 1 , 0 8 9. |\n| I n t e rest expense | ( 1 , 0 1 6 ) | ( 1 6 8 ) | | ( 1 5 0 ) | | ( 1 , 3 3 4 ) | —. | ( 9 , 4 9 5 ) | | ( 1 0 , 8 2 9 ) |\n| F o reign exchange (loss)/gain, net | ( 6 1 6 ) | ( 4 9 4 ) | | ( 1 5 5 ) | | ( 1 , 2 6 5 ) | 1. . | ( 1 , 9 6 3 ) | | ( 3 , 2 2 7 ) |\n| Net loss before income taxes | $ ( 4 , 4 1 3 ) | $ ( 2 , 8 8 3 ) | $ | ( 8 2 4 ) | $ | ( 8 , 1 2 0 ) | $( 2 1 , 3 6 5 ) | $( 1 8 , 8 7 8 ) | | $ ( 4 8 , 3 6 3 ) |\n| Segment assets | $ 2 5 , 6 9 7. | $ 1 6 , 7 5 5 | $ | 3 , 6 5 2. | | $ 4 6 , 1 0 4. | $ 9 , 4 3 3. | $ 5 , 3 5 3. | | $ 6 0 , 8 9 0. |\n| Fixed assets | 1 7 , 1 4 5. | 1 1 , 7 0 7. | | 1 , 6 8 2. | | 3 0 , 5 3 4. | 9 6 8. | | 1 5 5. | 3 1 , 6 5 7. |\n| D e p reciation and amort i z a t i o n | 3 , 9 7 7. | 2 , 8 8 4. | | 1 , 1 0 0. | | 7 , 9 6 1. | 2 , 2 1 5. | | 2 0 8. | 1 0 , 3 8 4. |\n| Asset write down | 6 6 8. | 1 1 0. | | — | | 7 7 8. | 1 1 , 1 9 0 | | —. | 1 1 , 9 6 8. |\n\n| | Year Ended December 31, 2000 | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Network Serv i c e s | | | | | | | | | | |\n| | | | | | | N e t w o r k | | | | | |\n| | Central | | We s t e rn | | | S e rvices | | S o f t w a re | C o r p o r a t e | | |\n| | E u rope | | E u rope | O t h e r | | To t a l | | Solutions | S e rvices | | To t a l |\n| | | | | | | (in thousands) | | | | | |\n| Total Revenues | $ | 1 2 , 6 6 4. | $ 1 2 , 6 3 7. | $ | 1 , 2 0 2. | $ 2 6 , 5 0 3. | | $ 1 5 , 1 4 9. | $ | —. | $ 4 1 , 6 5 2. |\n| Total operating expenses | | ( 2 0 , 6 8 3 ) | ( 1 6 , 4 7 7 ) | | ( 2 , 2 5 0 ) | ( 3 9 , 4 1 0 ) | | ( 2 2 , 2 9 0 ) | ( 6 , 7 5 0 ) | | ( 6 8 , 4 5 0 ) |\n| Operating loss. | | ( 8 , 0 1 9 ) | ( 3 , 8 4 0 ) | | ( 1 , 0 4 8 ) | ( 1 2 , 9 0 7 ) | | ( 7 , 1 4 1 ) | ( 6 , 7 5 0 ) | | ( 2 6 , 7 9 8 ) |\n| I n t e rest income | | 4 4 8. | 1 6. | | 1 0 3. | | 5 6 7. | 1 4 8. | 1 , 2 3 5. | | 1 , 9 5 0. |\n| I n t e rest expense | | ( 9 8 1 ) | ( 1 0 1 ) | | ( 5 1 ) | | ( 1 , 1 3 3 ) | —. | ( 9 , 7 6 6 ) | | ( 1 0 , 8 9 9 ) |\n| F o reign exchange (loss)/gain, net | | ( 3 9 9 ) | ( 1 9 ) | | ( 1 4 6 ) | | ( 5 6 4 ) | 2. | ( 1 , 5 4 8 ) | | ( 2 , 1 1 0 ) |\n| Net loss before income taxes | $ | ( 8 , 9 5 1 ) | $ ( 3 , 9 4 4 ) | $ | ( 1 , 1 4 2 ) | $ ( 1 4 , 0 3 7 ) | | $ ( 6 , 9 9 1 ) | $ ( 1 6 , 8 2 9 ) | | $ ( 3 7 , 8 5 7 ) |\n| Segment assets | | n / a. | n / a. | | n / a. | $ 5 6 , 6 5 8. | | $ 2 1 , 5 2 7. | $ 1 8 , 6 5 9. | | $ 9 6 , 8 4 4. |\n| Fixed assets | | n / a. | n / a. | | n / a. | 3 5 , 4 3 8. | | 1 , 1 1 3. | 1 4 2. | | 3 6 , 6 9 3. |\n| D e p reciation and amort i z a t i o n | | n / a. | n / a. | | n / a. | | 7 , 4 1 0. | 2 , 6 8 3. | 1 4 5. | | 1 0 , 2 3 8. |", - "page_start": 42, - "page_end": 42, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "What was one of the seminal moment of 2004 for MGM MIRAGE ?", - "target_page": 12, - "target_passage": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004.\n\n# U S I N G O U R S T R E N G T H...", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "# POINTS IN TIME DEFINING MOMENTS OF MGM MIRAGE\n\n**19**\n\n**THE NEW YORK-NEW YORK SKYLINE BECOMES A TOWERING PRESENCE IN THE PORTFOLIO.** We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\n**IT ALL BEGINS WITH MGM GRAND.** MGM Grand, the largest hotel-casino in the world, opened to great fanfare. \"The City of Entertainment\" redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **NOTE 1 — ORGANIZATION**\n\nMGM MIRAGE (the \"Company\"), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island (\"TI\"), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line – Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort – as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the \"Golden Nugget Subsidiaries\"). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### FINANCIAL OVERVIEW\n\n# ACHIEVING MOMENTOUS RESULTS\n\n**JAMES J. MURREN** President, CFO & Treasurer\n\no some, momentum is intangible – a product of fortune, a power that cannot be harnessed, and typically a short-lived sensation. Others wonder how they lost their momentum. At MGM MIRAGE, we are constantly thinking of better ways to maximize it. We believe momentum is a product of effort and excellence, a force which can be observed and measured, and something that can be a lasting and defining quality of a great company. Our 2004 results are a clear reminder of the power of moving forward. Our financial policies have long been designed to create and maintain momentum. By investing in our best assets and thinking of new ways to add value to our shareholders, we are able to redefine our Company's place in history every year – and 2004 was a defining time even by our exacting standards. T\n\nSo how did we get here? Last year, we discussed the importance of focus, and the laser-like precision with which we operated our resorts in 2004 affirms the power of our single-minded dedication to excellence. The hard work of our 40,000 employees resulted in a record year in almost every regard. Net revenues increased 10% over 2003 to a record $4.2 billion, with 12% REVPAR growth at our Las Vegas resorts; property-level EBITDA was an all-time record, nearly $1.5 billion, and 23% higher than the prior year. We exceeded the expectations of every market observer, and significantly beat our forecasts. And 2004 will not be a zenith year for your company – rather, we expect to continue our excellent operating performance, re-invest the resulting cash flow to stimulate future growth and move forward to new defining moments.\n\nHow do we re-define a company that is already at the top of its industry? First, we continue to execute on our vision for our existing resorts – to continually evolve and increase the \"Wow!\" factor for our guests. This strategy requires investment, and we will ensure that our resorts are not only world-class, but best-in-class. Examples include the beautiful Spa Tower at Bellagio and *KÀ*, the latest spectacular creation in collaboration with Cirque du Soleil.\n\n**GAMAL AZIZ** President, MGM Grand\n\n**GLENN BONNER** Senior VP & CIO, MGM MIRAGE Information Systems\n\n**GEORGE R. BOYER III** President, MGM Grand Detroit\n\n**JOSEPH BRUNINI** President, MGM Grand Resorts National Marketing\n\n**JEFF DAHL** President, Beau Rivage", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### Defining Momentum for Our Industry\n\nThe gaming industry in America is maturing, and international expansion, while exciting in select markets, remains challenging. As a result, your company has pursued a growth strategy that calls for maximizing the assets we currently own and seeking prudent development opportunities and strategic acquisitions.\n\nUpon completion of our merger with Mandalay, MGM MIRAGE will be the world's leading gaming and leisure company. The combination will result in a wellcapitalized company uniquely situated to invest in its current portfolio in addition to creating new projects in the United States and around the world.\n\nWe believe this is an outstanding transaction for the shareholders of both companies. With this acquisition, we will own, operate and have investments in 28 properties throughout Nevada, Mississippi, Illinois, Michigan, and New Jersey.\n\nThe combined company will have an asset portfolio which includes some of the most widely recognized brand names in the world. These properties cater to a broad customer base, ranging from value-oriented to the ultrahigh end. Each resort provides a unique customer experience through its specific personality and combination of amenities.\n\n**FIX** BELLAGIO Classic American fare using the freshest fish, meat, and poultry cooked to order on a wood-burning grill. Costa Rican Padouk wood inspires a warm environment in a unique, vibrant design.\n\n*Mystère*\n\n® by Cirque du Soleil®\n\nWe also will have at Mandalay Bay the fifth largest convention center in the United States, providing the company with a great resource to further develop the business travel and convention market.\n\nBut the bricks and mortar tell only part of the story of this transaction. At the heart of Mandalay is its people. Mandalay employees at all levels are energetic and talented and will be a tremendous asset to us. Together, we will become a family in excess of 70,000 people committed to delivering the best possible experiences for our guests. The transaction also will create unparalleled opportunities for our entire family of employees.\n\nIn short, this groundbreaking transaction creates unstoppable momentum for all stakeholders in the MGM MIRAGE family.\n\n#### Defining Momentum in our Properties\n\nIn 2004, your company invested over $690 million of capital in the creation of new restaurants, clubs, shows and nightspots as well as the development of strategic enhancements to existing amenities. These investments generated exceptional returns in a time when competition for the entertainment dollar has never been higher.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## TO OUR SHAREHOLDERS EXPANDING WITH EXCELLENCE\n\n**BELLAGIO** underwent a significant expansion during 2004 resulting in the opening of the Spa Tower and several important new amenities at this AAA Five Diamond property. Bellagio remains Las Vegas' first and only hotel-casino to receive this prestigious recognition. These new additions add dimension and depth to the world-famous experience awaiting guests at Bellagio.\n\n**MGM GRAND LAS VEGAS** completed a transformation, begun in 2003, of its food and beverage and entertainment offerings. MGM Grand is one of the must-see attractions of Las Vegas, with Cirque du Soleil's newest production, *KA`* TM, and several of the Strip's finest restaurants and hottest nightspots. **18.0%**\n\n**TI**'s transformation was no less extensive, as the property's management team conceived and implemented a program to enliven the property with new restaurants and nightlife.\n\n**THE MIRAGE** was the site of a revolution in Las Vegas' history as the venerable buffet was given new life as a top dining establishment, Cravings. Others may follow this lead, but The Mirage was the first property to breathe new life into what remained of the last bastion of \"old\" Las Vegas.\n\n2004 Revenue Mix Casino\n\n**SKYLOFTS** MGM Grand A private sanctuary of sleek, elegant two-story accommodations, offering discerning guests the quintessential loft environment - harmonizing design, décor, ambiance and unparalleled vistas.\n\n- Rooms Food & Beverage Entertainment, Retail,\n- & Other\n\n**BELLAGIO SPA** Unique design elements, combined with an international array of innovative treatments and specially trained therapists, provide the ultimate indulgent experience.\n\nThese investments in your company's future paid dividends even before the year was out. We established a new record for net revenues posting $4.2 billion, a 10% increase over 2003.\n\nYour company's resorts produced record EBITDA of $1.46 billion, an increase of 23% over 2003, while operating income was $951 million, an increase of 36%, with record results at Bellagio, MGM Grand Las Vegas and Beau Rivage.\n\n#### Defining Momentum in the Community\n\nI've spent 27 years in this profession and the incredible generosity of our employees never ceases to amaze me. Shortly after the merger with Mirage Resorts in 2000, we established the Voice Foundation. This allows employees to express themselves in the communities we serve by providing them a mechanism to raise monies for worthy causes. It's their money and they decide where it goes. Your company provides the marketing and administrative support.\n\nIn each year since we established the program, employees have given record amounts to support a\n\n**KÀ** The most spectacular production ever, by a troupe renowned for its pageantry. Cirque du Soleil's *KÀ* debuted at a new theatre at MGM Grand in the fourth quarter of 2004.\n\nWhat exactly is a defining moment? Try a multi-billion dollar project centered in the heart of Las Vegas.", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### TO OUR SHAREHOLDERS\n\n## MGM MIRAGE DEFINES MOMENTUM\n\n### \"Your company has undergone several defining moments throughout its history.\"\n\nrom its roots some 35 years ago with the opening of the International Hotel, we have played a leading role in continuously redefining the Las Vegas experience. F\n\nWe announced two significant initiatives in 2004 that, taken together, give your company unrivaled momentum to set industry standards for creativity, performance and responsibility for decades to come.\n\n### Defining Momentum for Las Vegas\n\nOur merger agreement with Mandalay Resort Group and our plans to develop Project CityCenter on the Las Vegas Strip are among the most significant announcements in Las Vegas history. As this fabled city begins its second hundred years, MGM MIRAGE is positioned like no other company to take advantage of unsurpassed growth opportunities in the most dynamic gaming and entertainment market in the world.\n\nProject CityCenter will uniquely re-position Las Vegas like no other project before it. Far more than simply another casino-hotel, Project CityCenter encompasses a\n\nmyriad of elements that will propel Las Vegas into a new generation of urban sophistication.\n\nWhile additional details of this extraordinary development will come in the months ahead, I am pleased to tell you that we have secured the services of the internationally acclaimed architect Cesar Pelli to design our anchor resort at the heart of Project CityCenter.\n\nCesar Pelli & Associates has worked with corporate, government and private clients to design major public spaces, museums, airports, research centers, performing arts centers, academic buildings, hotels, office and residential towers and mixed-use projects.\n\nThe work of Cesar Pelli is not constrained by a personal style or a signature that would limit his architecture; instead, it celebrates the unique characteristics of each project. Using this approach, he has designed several exceptional buildings in the United States and abroad.\n\nWe are very excited about our partnership with Mr. Pelli and his colleagues and believe they will deliver for MGM MIRAGE and the residents of Southern Nevada a building of iconic stature around the world.\n\n**J. TERRENCE LANNI** Chairman & Chief Executive Officer\n\n**BELLAGIO SPA TOWER** The quintessential luxury hotel is now even more opulent. This expansion includes 928 rooms and suites, 80,000 square feet of convention space, retail outlets, and restaurants.\n\n**SHIBUYA** MGM GRAND Designed by superstar team Yabu Pushelberg, Shibuya features stellar sushi and the widest sake selection this side of the Pacific, all served in a sleek, airy ambiance.\n\n**CRAVINGS** THE MIRAGE The zenith of all-you-can-eat. Designed by Adam Tihany, Cravings boasts 11 cooking stations, a street of unique restaurants, and an array of temptations in what's unquestionably the ultimate buffet dining experience.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "**BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN.** The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth.\n\n**MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER.** Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States.\n\n09 **20**\n\n**BORGATA CHANGES THE FACE OF ATLANTIC CITY.** Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market.\n\n**SOON, A SPECTACULAR NEW CITY WILL RISE.** Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "**he Mandalay merger will create a powerful combination of assets and people positioned to compete far more strongly than either company individually.** T\n\n**With ever-increasing competition from tribal gaming in California as well as the continuing growth of gaming across the country and abroad, we are positioned to grow through improved performance at existing properties and development of strategic real estate obtained in the merger.**\n\n**MGM MIRAGE and Mandalay combined will create an unmatched collection of the world's most famous resorts in the gaming, entertainment and travel markets. Customers will benefit from choices in all market segments. Lastly, of significance in determining the value of this transaction for shareholders, the merger with Mandalay will be immediately accretive.**\n\n**Extraordinary choices for our customers, unrivaled opportunities for our employees and outstanding returns for our shareholders all add up to make the merger with Mandalay a defining moment in company history.**\n\n# WISELY", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "wide array of community needs. From homeless shelters to after-school programs, MGM MIRAGE employees have generously donated more than $8 million since 2001.\n\nYour company also sets aside a portion of its profits each year to be given to important programs intended to build stronger communities. Since 2001, your company has given more than $18 million to support such programs.\n\n### Defining Momentum in Our Family\n\nOur momentum is driven from within by acknowledging the contributions of each and every one of our employees, business partners and customers. Our commitment to diversity is recognition of the fact that in today's everchanging marketplace, we must reflect that which we see in the world around us.\n\nThis commitment should be seen as a commonsense business decision. That said, we are proud of the recognition our Diversity program has received, including accolades from prestigious media such as *Fortune* and *DiversityInc.* magazines.\n\nSince formalizing our program only four years ago, we've made enormous strides. There is still progress to be made and your company has the momentum to remain at the forefront on diversity initiatives, providing yet another advantage for sustaining performance in the long term.\n\n(from left to right) **KENNETH ROSEVEAR** President, MGM MIRAGE Development; **JOHN T. REDMOND** President & CEO, MGM Grand Resorts, LLC; **J. TERRENCE LANNI** Chairman & CEO, MGM MIRAGE; **ROBERT H. BALDWIN** President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; **GARY N. JACOBS** Executive Vice President, General Counsel & Secretary, MGM MIRAGE; **JAMES J. MURREN** President, CFO & Treasurer, MGM MIRAGE\n\n### Defining Momentum in the Future\n\nYour company achieved many business goals in 2004 and set in motion plans for future growth. These initiatives will provide unmatched returns. We have also created unrivaled opportunities for our employees and will continue our rich history of strengthening the communities in which we do business.\n\nAs exciting as 2004 was, our momentum will carry us to even greater achievements in 2005 and beyond.\n\n**J. TERRENCE LANNI** Chairman of the Board & Chief Executive Officer March 31, 2005\n\n**SENSI** BELLAGIO An eclectic menu features diverse cuisines in an earthy arena replete with waterfalls and chrome. A bold wine list complements Chef Martin Heierling's sumptuous work.\n\n**JEAN-PHILIPPE PATISSERIE** BELLAGIO A mesmerizing fountain of cascading liquid chocolate showcases a splendid selection of chocolates, cakes, crêpes, salads and sandwiches.\n\n**ISLA** TI Designed by Jeffrey Beers, Isla brightens all the senses. Chef Richard Sandoval gives an innovative and modern interpretation of traditional Mexican cuisine.", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": " What are the most significant piece of undeveloped land remaining on the Las Vegas Strip ?", - "target_page": 21, - "target_passage": "W RESIDENTIAL In lofts, brown stones and high-rise buildings, residential options abound to populate the new city and ener gize the surrounding areas. e have been working for some time on con ceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "**RESIDENTIAL In lofts, brownstones and high-rise buildings, residential options abound to populate the new city and energize the surrounding areas.**\n\n**ENTERTAINMENT From street performers to Broadway shows, our entertainment will evoke the best of New York or London.**\n\n**e have been working for some time on conceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip. We certainly could have come up with a spectacular casino-hotel. But, the truth is, Las Vegas is ready for so much more.** W\n\n**As the city eclipses two million residents on its way to passing three million by the end of the decade, and with land prices on the Strip soaring, it has become clear that there is a much better and higher use for this location. As Las Vegas marks its Centennial, Project CityCenter stands as a defining moment for development in this fabled city.** \n\n**Project CityCenter represents a new era of the urban complex, one that encompasses tourism, entertainment, gaming, retail and residential elements. Only MGM MIRAGE has the momentum – financially, intellectually and professionally – to effectively develop such a project.**\n\n**The signature building within Project CityCenter is the 4,000-room hotel-casino. The internationally acclaimed architect Cesar Pelli has been commissioned to design this iconic structure. Pelli's initial concept drawing defines a new generation of urban landscape for the Las Vegas Strip, one which includes gaming at its economic center but not as an emotional centerpiece.** \n\n**Project CityCenter will provide the momentum for the next era of amazing growth for your company and Las Vegas.**\n\n**THE SITE Located in the heart of the Las Vegas Strip, Project CityCenter will dwarf every development that preceded it. Its 66 acres will include a 4,000-room hotel-casino and three boutique hotels.**", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "# POINTS IN TIME DEFINING MOMENTS OF MGM MIRAGE\n\n**19**\n\n**THE NEW YORK-NEW YORK SKYLINE BECOMES A TOWERING PRESENCE IN THE PORTFOLIO.** We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\n**IT ALL BEGINS WITH MGM GRAND.** MGM Grand, the largest hotel-casino in the world, opened to great fanfare. \"The City of Entertainment\" redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### **NOTE 14 — PROPERTY TRANSACTIONS, NET**\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Gain on sale of North Las Vegas land $ | — | $ (36,776) | $ — |\n| Siegfried & Roy theatre write-down – The Mirage | — | 1,408 | — |\n| Storm damage – Beau Rivage | — | — | 7,824 |\n| Write-off of Detroit development costs | — | — | 4,754 |\n| Impairment of assets to be disposed of | 473 | 5,764 | 2,134 |\n| Demolition costs | 7,057 | 6,614 | — |\n| Other net losses on asset sales or disposals | 1,135 | 4,049 | — |\n| $ | 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003 the Company sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, which resulted in a pretax gain of approximately $37 million. Also in 2003, the Company recorded write-downs and impairments of assets abandoned or replaced with new construction, primarily at MGM Grand Las Vegas in preparation for new restaurants and the new theatre. Prior to 2003, the Company classified gains and losses on routine asset sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. Management believes the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in the prior periods. Until 2003, demolition costs were typically capitalized as part of new construction. The Company began expensing demolition costs on major construction projects as incurred on January 1, 2003, and is accounting for this change in policy prospectively. Demolition costs were not material in prior periods. Demolition costs in 2004 and 2003 relate primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, the Company wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million). Also in 2002, the Company recorded write-downs and impairments of assets abandoned or replaced with new construction.\n\n#### **NOTE 15 — RELATED PARTY TRANSACTIONS**\n\nThe Company's related party transactions consisted of the following revenues (expenses):\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Hotel and other revenue from related parties $ | 416 | $ 871 | $ 764 |\n| License fees to entities under common ownership . . . | (1,000) | (1,000) | (1,000) |\n| Professional fees to directors or firms | | | |\n| affiliated with directors | (4,084) | (1,551) | (1,815) |\n| Other related party expenses | (62) | (468) | (224) |\n| | $ (4,730) | $ (2,148) | $ (2,275) |\n\nAt December 31, 2004, the Company owed $2 million for legal fees to a firm affiliated with one of the Company's directors. The Company also engaged in transactions with its unconsolidated affiliates. In each of 2004 and 2003, the Company paid Monte Carlo $4 million as a result of closing the tram between Bellagio and Monte Carlo in preparation for the Bellagio expansion. The Company leases two acres of land to Borgata and received $1 million in each of 2004, 2003 and 2002 under this lease. Borgata is required to pay for a portion of the masterplan improvements at Renaissance Pointe, and the Company is responsible for environmental cleanup costs incurred by Borgata. The net amount reimbursed to the Company under these arrangements for the years ended December 31, 2004, 2003 and 2002 was $1 million, $10 million and $8 million, respectively.", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **NOTE 1 — ORGANIZATION**\n\nMGM MIRAGE (the \"Company\"), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island (\"TI\"), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line – Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort – as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the \"Golden Nugget Subsidiaries\"). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Our growth strategy calls for prudent and strategic development of our real estate assets to maximize shareholder value.\n\n**ATLANTIC CITY LAND/BORGATA EXPANSION Our prime real estate in Atlantic City, in a location we defined as Renaissance Pointe, holds spectacular promise to expand MGM MIRAGE's market presence on the East Coast.**", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "**BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN.** The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth.\n\n**MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER.** Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States.\n\n09 **20**\n\n**BORGATA CHANGES THE FACE OF ATLANTIC CITY.** Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market.\n\n**SOON, A SPECTACULAR NEW CITY WILL RISE.** Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "previously laid off or terminated employees, management determined in 2002 that a portion of the remaining accrual was no longer necessary. This resulted in a restructuring credit of $10 million in 2002.\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Gain on sale of North Las Vegas land $ | — | $ (36,776) | $ — |\n| Siegfried & Roy theatre write-down – The Mirage . . . | — | 1,408 | — |\n| Storm damage – Beau Rivage | — | — | 7,824 |\n| Write-off of Detroit development costs | — | — | 4,754 |\n| Impairment of assets to be disposed of | 473 | 5,764 | 2,134 |\n| Demolition costs | 7,057 | 6,614 | — |\n| Other net losses on asset sales or disposals | 1,135 | 4,049 | — |\n| | $ 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, resulting in the $37 million gain reflected above. Prior to 2003, we classified gains and losses on routine assets sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. We believe the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in periods prior to 2003. Until 2003, demolition costs were typically capitalized as part of new construction. We began expensing demolition costs on major construction projects as incurred on January 1, 2003, and are accounting for this change in policy prospectively. Demolition costs were not material in periods prior to 2003. Demolition costs in 2004 and 2003 related primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments of assets to be disposed of in 2003 consisted primarily of assets related to the former EFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, we wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million).\n\n#### **Non-operating Results**\n\nThe following table summarizes information related to interest on our long-term debt:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Interest cost $ 401,391 | | $ 352,820 | $ | 345,448 |\n| Less: Capitalized interest | (23,005) | (15,234) | | (61,712) |\n| Interest expense, net $ 378,386 | | $ 337,586 | $ | 283,736 |\n| Cash paid for interest, net of amounts capitalized . . . $ 321,008 | | $ 308,198 | $ | 266,071 |\n| Average total debt balance $ 5.5 billion | | $ 5.2 billion | | $ 5.2 billion |\n| Weighted average interest rate | 7.2% | 6.9% | | 6.8% |\n\nInterest cost was higher in 2004 as we had a higher average borrowing rate due to increases in variable interest rates and the issuance of significant fixed rate debt in the second half of 2004 in anticipation of the Mandalay merger.\n\nCapitalized interest increased in 2004 due to the ongoing Bellagio expansion and *KÀ* theatre projects. Capitalized interest in 2005 will include interest capitalized on Project CityCenter. Capitalized interest decreased in 2003 due to the suspension of development in Atlantic City in late 2002 and the mid-2003 cessation of interest capitalization on the Company's investment in Borgata, which opened on July 3, 2003.\n\nNon-operating items from unconsolidated affiliates, primarily our share of Borgata's interest expense and state income taxes, increased from $10 million in 2003 to", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **RESULTS OF OPERATIONS**\n\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts and 50% investments in two other casino resorts, including:\n\n- **Las Vegas, Nevada:** Bellagio, MGM Grand Las Vegas, The Mirage, TI, New York-New York, Boardwalk, and Monte Carlo (50% owned).\n- **Other:** The Primm Valley Resorts (Buffalo Bill's, Primm Valley Resort and Whiskey Pete's) in Primm, Nevada; Beau Rivage in Biloxi, Mississippi; MGM Grand Detroit; Borgata (50% owned) in Atlantic City, New Jersey.\n\nWe operate in one segment, the operation of casino resorts, which includes offering gaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over half of our net revenues are derived from gaming activities, a lower percentage than many of our competitors, as our operating philosophy is to provide a complete resort experience for our guests, including non-gaming amenities which command premium prices based on their quality.\n\nWe generate a majority of our net revenues and operating income from our Las Vegas Strip resorts. In 2004, over 75% of our net revenues and operating income was generated by wholly-owned Las Vegas Strip resorts. We believe that we own the premier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to continually reinvest in these resorts to maintain that competitive advantage. Our concentration on the Las Vegas Strip exposes us to certain risks outside of our control, such as competition from other Las Vegas Strip resorts as well as new or expanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005, and the impact from potential expansion of gaming in California. This concentration also exposes us to risks related to tourism and the general economy, including national and global economic conditions and terrorist attacks or other global events.\n\n#### **Key Performance Indicators**\n\nAs a resort-based company, our operating results are highly dependent on the volume of customers at our resorts, which in turn impacts the price we can charge for our hotel rooms and other amenities. We also generate a significant portion of our operating income from the high-end gaming segment, which can cause variability in our results. Key performance indicators related to revenue are:\n\n- Gaming revenue indicators table games drop and slot handle (volume indicators); \"win\" or \"hold\" percentage, which is not fully controllable by us. Our normal table games win percentage is in the range of 18% to 22% of table games drop and our normal slot win percentage is in the range of 6% to 7% of slot handle;\n- Hotel revenue indicators hotel occupancy (volume indicator); average daily rate (\"ADR\", price indicator); revenue per available room (\"REVPAR\"), a summary measure of hotel results, combining ADR and occupancy rate.\n\nMost of our revenue is essentially cash-based, through customers wagering with cash or paying for non-gaming services with cash or credit cards. Our resorts, like many in the industry, generate significant operating cash flow. Our industry is capital intensive and we rely heavily on the ability of our resorts to generate operating cash flow to repay debt financing, fund maintenance capital expenditures and provide excess cash for future development.\n\nOur results of operations do not tend to be seasonal in nature, though a variety of factors can affect the results of any interim period, including the timing of major Las Vegas conventions, the amount and timing of marketing and special events for our high-end customers, and the level of play during major holidays, including New Year and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "(from left to right) **ROBERT C. SELWOOD** Senior Vice President— Accounting; **JAMES J. MURREN** President, CFO & Treasurer; **BRYAN L. WRIGHT** Senior Vice President — Assistant General Counsel & Assistant Secretary; **DANIEL J. D'ARRIGO** Senior Vice President—Finance\n\nNo company is better positioned to help shape the future of Las Vegas than MGM MIRAGE.\n\ncombination of Mandalay's assets with our financial strength and industry-leading financial discipline will yield significant returns for all of our stakeholders.\n\nWe are currently planning the integration of the two companies, and over time, we expect to realize the full potential of cost and revenue synergies. We will report on our progress throughout the coming year.\n\n### The Next Moment – A City is Born\n\nWhat makes a great city? Las Vegas has long been recognized as the leisure capital of the world. The resorts in our valley have been the innovative leaders in the hospitality industry and have driven the tremendous growth in visitor volume, high occupancy rates and surging food, beverage, entertainment and gaming volumes. But there is another Las Vegas – a community of two million residents on its way to three million by the end of the decade. Las Vegas is leading the U.S. migration to the Southwest. Our newcomers are attracted by the lifestyle, weather, cost of living and economic opportunity. Many have come from cities in the East, West and Midwest and take elements of established communities for granted, such as medical, educational and cultural excellence and diversity.\n\nThe people of Las Vegas today have great aspirations and\n\nexpect and demand more of our community. We are a city without a proper city, and that is about to change. Ambitious plans are underway to revitalize Downtown Las Vegas, centered around a beautiful performing arts center and an academic medical center; UNLV is in the midst of a major capital campaign to enhance the Midtown section of Las Vegas; and your company has embarked on the most comprehensive project to date – Project CityCenter, at the heart of the Las Vegas Strip.\n\nThe Las Vegas Strip has no sense of city now – but we believe it can. The future of Las Vegas is centered around our great resorts and our future development. There are many reasons we believe Project CityCenter is the right project for our Las Vegas Strip development. We believe there is a social imperative that Las Vegas mature as a city, not just a conglomeration of suburbs. A city deserves a center – a center for living, working and playing. We want to be an integral part in defining the Las Vegas of the future.\n\nAnd there is a business motivation. Companies in the gaming industry have historically not been valued on par with other hospitality companies and mixed-use real estate companies. We plan to break out of the gaming mold, and define a company based on extensive holdings in multiple businesses. Project CityCenter will include major residential, retail and entertainment components. We will partner with boutique\n\n**CYNTHIA KISER MURPHEY** Senior VP, MGM MIRAGE Human Resources\n\n**PUNAM MATHUR** Senior VP, MGM MIRAGE Diversity/Community Relations\n\n**WILLIAM MCBEATH** President, The Mirage\n\n**ROBERT V. MOON** Chairman, MGM MIRAGE Marketing\n\n**FELIX D. RAPPAPORT** President, New York-New York\n\n**SCOTT SIBELLA** President, TI", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "# SETTING THE FUTURE IN MOTION\n\n**MGM GRAND MACAU Our joint venture has secured a prime location to develop and construct an exciting addition to this dynamic gaming destination.**\n\n**hile the international opportunities for growth remain to be fully defined, in 2004 MGM MIRAGE entered into a joint venture agreement with Pansy Ho Chiu-king to develop, build and operate a major hotel-casino resort in Macau S.A.R. No other international market has shown its ability to sustain improved growth even as the government takes important steps to modernize its regulatory structure. We have methodically moved through the regulatory process and look forward to initiating construction in 2005 and opening in 2007.** W\n\n**We continue to monitor and pursue opportunities as they arise in the United Kingdom. The bill modernizing British gaming law has moved steadily through the legislative process throughout the year. Several key issues are yet to be resolved, but we remain hopeful that Great Britain will become one of the world's leading jurisdictions with significant growth opportunities for decades to come.**\n\n**We are also excited about the emergence of possible new jurisdictions in the Far East. We plan to pursue additional development opportunities as they become available, as we believe that the Far East holds considerable promise as a growing gaming market.** \n\n**Domestically, we are selectively expanding our presence as well, moving into markets and business lines where our superior brands and assets can provide the best returns. In Las Vegas we will maximize the use of our vast land holdings, beginning with The Residences at MGM Grand. This unique venture is a breakthrough combination of a hotel and condominiums – the first of its kind in Las Vegas. In Atlantic City, we own an exceptional site for future development. The already successful Borgata is prepared to grow bigger and better. Expansion plans include more casino space, a new hotel tower, more restaurants, retail outlets and an expanded spa.**\n\n**THE RESIDENCES AT MGM GRAND Our joint venture with Turnberry Associates to build luxury condo/hotels ignited a flurry of development in Las Vegas.**", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "Which events negatively impacted leisure travel and MCM Mirage high-end gaming business in late 2002 and early 2003 ?", - "target_page": 32, - "target_passage": "The war with Iraq and the outbreak of SARS in Asia, both of which negatively impacted leisure travel and our high-end gaming business in late 2002 and early 2003", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004.\n\n# U S I N G O U R S T R E N G T H...", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **NOTE 1 — ORGANIZATION**\n\nMGM MIRAGE (the \"Company\"), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island (\"TI\"), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line – Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort – as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the \"Golden Nugget Subsidiaries\"). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **RESULTS OF OPERATIONS**\n\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts and 50% investments in two other casino resorts, including:\n\n- **Las Vegas, Nevada:** Bellagio, MGM Grand Las Vegas, The Mirage, TI, New York-New York, Boardwalk, and Monte Carlo (50% owned).\n- **Other:** The Primm Valley Resorts (Buffalo Bill's, Primm Valley Resort and Whiskey Pete's) in Primm, Nevada; Beau Rivage in Biloxi, Mississippi; MGM Grand Detroit; Borgata (50% owned) in Atlantic City, New Jersey.\n\nWe operate in one segment, the operation of casino resorts, which includes offering gaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over half of our net revenues are derived from gaming activities, a lower percentage than many of our competitors, as our operating philosophy is to provide a complete resort experience for our guests, including non-gaming amenities which command premium prices based on their quality.\n\nWe generate a majority of our net revenues and operating income from our Las Vegas Strip resorts. In 2004, over 75% of our net revenues and operating income was generated by wholly-owned Las Vegas Strip resorts. We believe that we own the premier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to continually reinvest in these resorts to maintain that competitive advantage. Our concentration on the Las Vegas Strip exposes us to certain risks outside of our control, such as competition from other Las Vegas Strip resorts as well as new or expanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005, and the impact from potential expansion of gaming in California. This concentration also exposes us to risks related to tourism and the general economy, including national and global economic conditions and terrorist attacks or other global events.\n\n#### **Key Performance Indicators**\n\nAs a resort-based company, our operating results are highly dependent on the volume of customers at our resorts, which in turn impacts the price we can charge for our hotel rooms and other amenities. We also generate a significant portion of our operating income from the high-end gaming segment, which can cause variability in our results. Key performance indicators related to revenue are:\n\n- Gaming revenue indicators table games drop and slot handle (volume indicators); \"win\" or \"hold\" percentage, which is not fully controllable by us. Our normal table games win percentage is in the range of 18% to 22% of table games drop and our normal slot win percentage is in the range of 6% to 7% of slot handle;\n- Hotel revenue indicators hotel occupancy (volume indicator); average daily rate (\"ADR\", price indicator); revenue per available room (\"REVPAR\"), a summary measure of hotel results, combining ADR and occupancy rate.\n\nMost of our revenue is essentially cash-based, through customers wagering with cash or paying for non-gaming services with cash or credit cards. Our resorts, like many in the industry, generate significant operating cash flow. Our industry is capital intensive and we rely heavily on the ability of our resorts to generate operating cash flow to repay debt financing, fund maintenance capital expenditures and provide excess cash for future development.\n\nOur results of operations do not tend to be seasonal in nature, though a variety of factors can affect the results of any interim period, including the timing of major Las Vegas conventions, the amount and timing of marketing and special events for our high-end customers, and the level of play during major holidays, including New Year and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Slot revenues increased substantially in both 2003 and 2004. Improvements were the result of strong customer visitation, enhanced marketing programs, the impact of our Players Club rewards program, and the implementation of cashless gaming technology in 2003. Slot win percentages were consistent among all three periods.\n\nNon-casino revenue increased in 2004 primarily due to the enhanced amenities at our resorts. In addition, we were able to increase the pricing for our rooms and other non-gaming amenities. Our hotel results began to improve notably in the latter half of 2003, particularly at our Las Vegas Strip resorts. For the year ended December 31, 2004 REVPAR at our Las Vegas Strip resorts was $141 compared to $126 in 2003, an increase of 12%. Company-wide REVPAR was $121, an increase of 10% over 2003. This increase was largely rate driven, as occupancy increased from 91% to 92% and ADR increased from $121 to $132. In 2003, company-wide REVPAR increased 6% from $104 to $110, with most of the gains coming in the second half of the year.\n\n#### **Operating Results – Details of Certain Charges** Pre-opening and start-up expenses consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Bellagio expansion $ 3,805 | | $ — | $ — |\n| KÀ | 3,655 | — | — |\n| Borgata | — | 19,326 | 7,757 |\n| New York-New York (Zumanity, Nine Fine Irishmen) | — | 4,310 | — |\n| Players Club | — | 3,051 | 5,117 |\n| Other | 2,816 | 2,579 | 1,267 |\n| $ 10,276 | | $ 29,266 | $ 14,141 |\n\nPre-opening and start-up expenses related to Borgata represent our share of the operating results of Borgata prior to its July 2003 opening.\n\n#### Restructuring costs (credit) consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Contract termination costs $ 3,693 | | $ 4,049 | $ 3,257 |\n| Reversal of certain September 11 charges | — | — | (10,421) |\n| Siegfried & Roy show closure – The Mirage | — | 1,623 | — |\n| Reversal of 2000 contract termination costs | — | — | (9,857) |\n| Other | 1,932 | 925 | — |\n| $ 5,625 | | $ 6,597 | $ (17,021) |\n\nIn 2004, restructuring costs include $3 million for contract termination costs related to the Aqua restaurant at Bellagio and $2 million of workforce reduction costs at MGM Grand Detroit as a result of our efforts to minimize the impact of a gaming tax increase in Michigan.\n\nIn 2003, our primary restructuring activities included closing two marketing offices and terminating the related leases, terminating a lease agreement with a restaurant tenant at MGM Grand Las Vegas, and closing the Siegfried & Roy show, which resulted in a charge for employee severance costs.\n\nIn December 2002, we recorded a restructuring credit of $10 million related to a lease contract termination accrual originally recorded in June 2000 as we determined that payment under this obligation was not probable. We recorded $3 million of restructuring charges in December 2002 related to contract termination costs for a restaurant lease and the EFX! show at MGM Grand Las Vegas. In 2001, management responded to a decline in business volumes caused by the September 11 attacks by implementing cost containment strategies which included a significant reduction in payroll and a refocusing of several of our marketing programs. This resulted in a $22 million charge against earnings. As a result of improving business levels and our success at re-hiring a substantial number of", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "# POINTS IN TIME DEFINING MOMENTS OF MGM MIRAGE\n\n**19**\n\n**THE NEW YORK-NEW YORK SKYLINE BECOMES A TOWERING PRESENCE IN THE PORTFOLIO.** We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\n**IT ALL BEGINS WITH MGM GRAND.** MGM Grand, the largest hotel-casino in the world, opened to great fanfare. \"The City of Entertainment\" redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### Defining Momentum for Our Industry\n\nThe gaming industry in America is maturing, and international expansion, while exciting in select markets, remains challenging. As a result, your company has pursued a growth strategy that calls for maximizing the assets we currently own and seeking prudent development opportunities and strategic acquisitions.\n\nUpon completion of our merger with Mandalay, MGM MIRAGE will be the world's leading gaming and leisure company. The combination will result in a wellcapitalized company uniquely situated to invest in its current portfolio in addition to creating new projects in the United States and around the world.\n\nWe believe this is an outstanding transaction for the shareholders of both companies. With this acquisition, we will own, operate and have investments in 28 properties throughout Nevada, Mississippi, Illinois, Michigan, and New Jersey.\n\nThe combined company will have an asset portfolio which includes some of the most widely recognized brand names in the world. These properties cater to a broad customer base, ranging from value-oriented to the ultrahigh end. Each resort provides a unique customer experience through its specific personality and combination of amenities.\n\n**FIX** BELLAGIO Classic American fare using the freshest fish, meat, and poultry cooked to order on a wood-burning grill. Costa Rican Padouk wood inspires a warm environment in a unique, vibrant design.\n\n*Mystère*\n\n® by Cirque du Soleil®\n\nWe also will have at Mandalay Bay the fifth largest convention center in the United States, providing the company with a great resource to further develop the business travel and convention market.\n\nBut the bricks and mortar tell only part of the story of this transaction. At the heart of Mandalay is its people. Mandalay employees at all levels are energetic and talented and will be a tremendous asset to us. Together, we will become a family in excess of 70,000 people committed to delivering the best possible experiences for our guests. The transaction also will create unparalleled opportunities for our entire family of employees.\n\nIn short, this groundbreaking transaction creates unstoppable momentum for all stakeholders in the MGM MIRAGE family.\n\n#### Defining Momentum in our Properties\n\nIn 2004, your company invested over $690 million of capital in the creation of new restaurants, clubs, shows and nightspots as well as the development of strategic enhancements to existing amenities. These investments generated exceptional returns in a time when competition for the entertainment dollar has never been higher.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "previously laid off or terminated employees, management determined in 2002 that a portion of the remaining accrual was no longer necessary. This resulted in a restructuring credit of $10 million in 2002.\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Gain on sale of North Las Vegas land $ | — | $ (36,776) | $ — |\n| Siegfried & Roy theatre write-down – The Mirage . . . | — | 1,408 | — |\n| Storm damage – Beau Rivage | — | — | 7,824 |\n| Write-off of Detroit development costs | — | — | 4,754 |\n| Impairment of assets to be disposed of | 473 | 5,764 | 2,134 |\n| Demolition costs | 7,057 | 6,614 | — |\n| Other net losses on asset sales or disposals | 1,135 | 4,049 | — |\n| | $ 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, resulting in the $37 million gain reflected above. Prior to 2003, we classified gains and losses on routine assets sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. We believe the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in periods prior to 2003. Until 2003, demolition costs were typically capitalized as part of new construction. We began expensing demolition costs on major construction projects as incurred on January 1, 2003, and are accounting for this change in policy prospectively. Demolition costs were not material in periods prior to 2003. Demolition costs in 2004 and 2003 related primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments of assets to be disposed of in 2003 consisted primarily of assets related to the former EFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, we wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million).\n\n#### **Non-operating Results**\n\nThe following table summarizes information related to interest on our long-term debt:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| Interest cost $ 401,391 | | $ 352,820 | $ | 345,448 |\n| Less: Capitalized interest | (23,005) | (15,234) | | (61,712) |\n| Interest expense, net $ 378,386 | | $ 337,586 | $ | 283,736 |\n| Cash paid for interest, net of amounts capitalized . . . $ 321,008 | | $ 308,198 | $ | 266,071 |\n| Average total debt balance $ 5.5 billion | | $ 5.2 billion | | $ 5.2 billion |\n| Weighted average interest rate | 7.2% | 6.9% | | 6.8% |\n\nInterest cost was higher in 2004 as we had a higher average borrowing rate due to increases in variable interest rates and the issuance of significant fixed rate debt in the second half of 2004 in anticipation of the Mandalay merger.\n\nCapitalized interest increased in 2004 due to the ongoing Bellagio expansion and *KÀ* theatre projects. Capitalized interest in 2005 will include interest capitalized on Project CityCenter. Capitalized interest decreased in 2003 due to the suspension of development in Atlantic City in late 2002 and the mid-2003 cessation of interest capitalization on the Company's investment in Borgata, which opened on July 3, 2003.\n\nNon-operating items from unconsolidated affiliates, primarily our share of Borgata's interest expense and state income taxes, increased from $10 million in 2003 to", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "- The ongoing capital investments in upscale amenities at our resorts, which we believe is allowing us to market more effectively to visitors, capture a greater share of these visitors' increased travel budgets, and generate premium pricing for our resorts' rooms and other amenities.\nAs a result of the above trends, our net revenues increased 10% in 2004, while increasing only 3% in 2003. Net revenues at MGM Grand Las Vegas increased 14% in 2004, due to the addition of several new restaurants, bars and other amenities, and in spite of fewer rooms in service due to room remodel activity. Net revenues at New York-New York increased 26% as the resort continues to benefit from *Zumanity* and Nine Fine Irishmen, both of which opened in summer 2003. Net revenues at The Mirage decreased 2% as the resort was without the Siegfried & Roy show and the buffet was closed for a portion of the year while Cravings was constructed.\n\nOur operating income in 2004 increased 36%, due primarily to the strong revenue trends and a full year of Borgata's results. The increase in income from unconsolidated affiliates is responsible for approximately one-third of the increase in operating income, while improvements at our operating resorts, particularly Bellagio, MGM Grand Las Vegas and New York-New York, make up the rest of the increase. Operating income at MGM Grand Detroit was essentially flat year-overyear, despite an increase in the gaming tax rate from 18% to 24% effective September 2004. Several other factors largely offset: Higher corporate expense due to increased development costs; lower bad debt expense due to improved collections; lower preopening expenses due to Borgata preopening expenses in 2003; and higher property transactions, net due to a $37 million gain on sale of land in 2003.\n\nIn 2003, our operating income decreased by 6%. While revenues grew especially in the second half of 2003, expense growth, particularly in payroll, outpaced revenues.\n\n#### **Operating Results – Detailed Revenue Information** The following table presents details of our net revenues:\n\n#### (In thousands)\n\n| Year Ended December 31 | 2004 | % Change | 2003 | % Change | 2002 |\n| --- | --- | --- | --- | --- | --- |\n| Casino revenues, net: | | | | | |\n| Table games $ | 943,343 | 9% | $ 866,096 | (3%) | $ 893,836 |\n| Slots | 1,218,589 | 9% | 1,115,029 | 5% | 1,064,491 |\n| Other | 62,033 | 10% | 56,389 | 3% | 54,513 |\n| Casino revenues, net . . | 2,223,965 | 9% | 2,037,514 | 1% | 2,012,840 |\n| Non-casino revenue: | | | | | |\n| Rooms | 911,259 | 9% | 833,272 | 5% | 796,861 |\n| Food and beverage | 841,147 | 11% | 757,278 | 7% | 706,153 |\n| Entertainment, retail | | | | | |\n| and other | 696,117 | 7% | 647,702 | 2% | 637,625 |\n| Non-casino revenues | 2,448,523 | 9% | 2,238,252 | 5% | 2,140,639 |\n| | 4,672,488 | 9% | 4,275,766 | 3% | 4,153,479 |\n| Less: Promotional allowances . | (434,384) | 5% | (413,023) | 4% | (396,551) |\n| | $ 4,238,104 | 10% | $ 3,862,743 | 3% | $ 3,756,928 |\n\nTable games revenues increased as a result of the improvements in the U.S. economy and the general economy worldwide, as well as increased attendance at targeted marketing events, including the New Years period. Total table games volume for the year was up 9%, with particular strength in baccarat volume, up 18%. These are the most significant increases in table games volumes since 2000. Table games revenues decreased in 2003, as a slightly lower hold percentage and the impact of the Iraq war and SARS outbreak in early 2003 were not fully offset by strong volume levels over the latter half of 2003. Table games win percentages were within our normal range for all periods presented.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### **NOTE 14 — PROPERTY TRANSACTIONS, NET**\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Gain on sale of North Las Vegas land $ | — | $ (36,776) | $ — |\n| Siegfried & Roy theatre write-down – The Mirage | — | 1,408 | — |\n| Storm damage – Beau Rivage | — | — | 7,824 |\n| Write-off of Detroit development costs | — | — | 4,754 |\n| Impairment of assets to be disposed of | 473 | 5,764 | 2,134 |\n| Demolition costs | 7,057 | 6,614 | — |\n| Other net losses on asset sales or disposals | 1,135 | 4,049 | — |\n| $ | 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003 the Company sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, which resulted in a pretax gain of approximately $37 million. Also in 2003, the Company recorded write-downs and impairments of assets abandoned or replaced with new construction, primarily at MGM Grand Las Vegas in preparation for new restaurants and the new theatre. Prior to 2003, the Company classified gains and losses on routine asset sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. Management believes the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in the prior periods. Until 2003, demolition costs were typically capitalized as part of new construction. The Company began expensing demolition costs on major construction projects as incurred on January 1, 2003, and is accounting for this change in policy prospectively. Demolition costs were not material in prior periods. Demolition costs in 2004 and 2003 relate primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, the Company wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million). Also in 2002, the Company recorded write-downs and impairments of assets abandoned or replaced with new construction.\n\n#### **NOTE 15 — RELATED PARTY TRANSACTIONS**\n\nThe Company's related party transactions consisted of the following revenues (expenses):\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Hotel and other revenue from related parties $ | 416 | $ 871 | $ 764 |\n| License fees to entities under common ownership . . . | (1,000) | (1,000) | (1,000) |\n| Professional fees to directors or firms | | | |\n| affiliated with directors | (4,084) | (1,551) | (1,815) |\n| Other related party expenses | (62) | (468) | (224) |\n| | $ (4,730) | $ (2,148) | $ (2,275) |\n\nAt December 31, 2004, the Company owed $2 million for legal fees to a firm affiliated with one of the Company's directors. The Company also engaged in transactions with its unconsolidated affiliates. In each of 2004 and 2003, the Company paid Monte Carlo $4 million as a result of closing the tram between Bellagio and Monte Carlo in preparation for the Bellagio expansion. The Company leases two acres of land to Borgata and received $1 million in each of 2004, 2003 and 2002 under this lease. Borgata is required to pay for a portion of the masterplan improvements at Renaissance Pointe, and the Company is responsible for environmental cleanup costs incurred by Borgata. The net amount reimbursed to the Company under these arrangements for the years ended December 31, 2004, 2003 and 2002 was $1 million, $10 million and $8 million, respectively.", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "**BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN.** The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth.\n\n**MANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER.** Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States.\n\n09 **20**\n\n**BORGATA CHANGES THE FACE OF ATLANTIC CITY.** Borgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market.\n\n**SOON, A SPECTACULAR NEW CITY WILL RISE.** Project CityCenter – an ambitious multi-dimensional urban plan – will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What possess all naval aviators ?", - "target_page": 5, - "target_passage": "All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "# **AERODYNAMICS FOR NAVAL AVIATORS**\n\n**BY** \n\n**H. H. HURT, JR. UNIVERSITY OF SOUTHERN CALIFORNIA** \n\nDISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited. DESTRUCTION NOTICE - For unclassified, limited documents, destroy by any method that will prevent disclosure of contents or reconstruction of the document.\n\n**PUBLISHED BY DIRECTION OF COMMANDER, NAVAL AIR SYSTEMS COMMAND** \n\n/3", - "page_start": 0, - "page_end": 0, - "source_file": "00-80T-80.pdf" - }, - { - "text": "important feature which defines its suitability the design performance of his aircraft. The for specific missions. The principal items of performance section of the flight handbook airplane performance deserve detailed consid- provides the specific information regarding the eration in order to better understand and capabilities and limitations of each airplane. appreciate the capabilities of each airplane. Knowledge of the various items of airplane performance will provide the Naval Aviator rive operation of his aircraft. with a more complete appreciation of the\n\nThe performance of an aircraft is. the most operating limitations and insight to obtain Every Naval Aviator must rely upon these handbook data as the guide to safe and effec-", - "page_start": 112, - "page_end": 112, - "source_file": "00-80T-80.pdf" - }, - { - "text": "# PREFACE\n\nThe purpose of this textbook is to present the elements of applied aerodynamics and aeronautical engineering which relate directly to the problems of flying operations. All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. Due .to the increasing complexity of modern aircraft, this natural interest must be applied to develop a sound understanding of basic engineering principles and an appreciation of some of the more advanced problems of aerodynamics and engineering. The safety and effectiveness of flying operations will depend greatly on the understanding and appreciation of how and why an airplane flies. The principles of aerodynamics will provide the foundations for developing exacting and precise flying techniques and operational procedures.\n\nThe content of this textbook has been arranged to provide as complete as possible a reference for all phases of flying in Naval Aviation. Hence, the text material is applicable to the problems of flight training, transition training, and general flying operations. The manner of presentation throughout the text has been designed to provide the elements of both theory and application and will allow either directed or unassisted study. As a result, the text material'will be applicable to supplement formal class Iectures and briefings and provide reading material as a background for training and flying operations.\n\nMuch of the specialized mathematical detail of aerodynamics has been omitted wherever it was considered unnecessary in the field of flying operations. Also, many of the basic assumptions and limitations of certain parts of aerodynamic theory have been omitted for the sake of simplicity and clarity of presentation. In order to contend with these specific shortcomings, the Naval Aviator should rely on the assistance of certain specially qualified individuals within Naval Aviation. For example, graduate aeronautical engineers, graduates of the Test Pilot Training School at the Naval Air Test Center, graduates of the Naval Aviation Safety Officers Course, and technical representatives of the manufacturers are qualified to assist in interpreting and applying the more difficult parts of aerodynamics and aeronautical engineering. To be sure, the specialized qualifications of these individuals should be utilized wherever possible.", - "page_start": 4, - "page_end": 4, - "source_file": "00-80T-80.pdf" - }, - { - "text": "# Chapter 1 BASIC AERODYNAMKS\n\nIn order to understand the characteristics of his aircraft and develop precision flying techniques, the Naval Aviator must be familiar with the fundamentals of aerodynamics. There are certain physical laws which describe the behavior of airflow and define the various aerodynamic forces and moments acting on a surface. These principles of aerodynamics provide the foundations for good, precise flying techniques.\n\n#### WING AND AIRFOIL FORCES\n\n#### PROPERTIES OF THE ATMOSPHERE\n\nThe aerodynamic forces and moments acting on a surface are due in great part to the properties of the air mass in which the surface is operating.~ The composition, of the earth's atmosphere by volume is approximately 78 percent. nitrogen, 21 percent oxygen, and 1", - "page_start": 18, - "page_end": 18, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS OD-8OT-80 APPLICATION OF AERODYNAMICS TO SPECIFIC PROBLEMS OF FLYING\n\n# Chapter 6\n\n# APPLICATION OF AERODYNAMICS TO SPECIFBC PROW OF FLYING\n\nWhile the previous chapters have presented the detailed parts of the general field of aerodynamics, there remain various problems of flying which require the application of principles from many parts of aerodynamics. The application of aerodynamics to these various problems of flying will assist the Naval Aviator in understanding these problems and developing good flying techniques.\n\n#### PRIMARY CONTROL OF AIRSPEED AND ALTITUDE\n\nFor the conditions of steady flight, the airplane must be in equilibrium. Equilibrium will be achieved when there is no unbalance of force'or moment acting on the airplane. If it is assumed that the airplane is trimmed so that no unbalance of pitching, yawing, or rolling moments exists, the principal concern is for", - "page_start": 366, - "page_end": 366, - "source_file": "00-80T-80.pdf" - }, - { - "text": "The majority of aircraft accidents are due to some type of error of the pilot. This fact has been true in the past and, unfortunately, most probably will be true in the future. Each Naval Aviator should strive to arm himself with knowledge, training, and exacting, professional attitudes and techniques. The fundamentals of aerodynamics as presented in this text will provide the knowledge and background for safe and effective flying operations. The flight handbooks for the aircraft will provide the particular techniques, procedures, and operating data which are necessary for each aircraft. Diligent study and continuous training are necessary to develop the professional skills and techniques for successful flying operations.\n\nThe author takes this opportunity to express appreciation to those who have assisted in the preparation of the manuscript. In particular, thanks are due to Mr. J. E. Fairchild for his assistance with the portions dealing with helicopter aerodynamics and roll coupling phenomena. Also, thanks are due to Mr. J. F. Detwiler and Mr. E. Dimitruk for their review of the text material.\n\nHUGH HARRISON HURT, Jr.\n\nAugust 1959 University of Southern California Los Angelesj Cnlif.", - "page_start": 5, - "page_end": 5, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS Oo-ROT-80 AIRPLANE PERFORMANCE\n\n$$\\Gamma_{a}=\\Omega(\\Psi_{2}-\\Psi_{1})\\Psi_{a}=\\Gamma_{a}\\Psi_{1}\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\(\\Psi_{$$\n\n$$\\eta_{\\mathbf{p}}={\\frac{2\\mathbf{v}_{1}}{\\mathbf{v}_{2}+\\mathbf{v}_{1}}}$$\n\nFigure 2.5. Principles of Propulsion", - "page_start": 122, - "page_end": 122, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS OO-EOT-80 INDEX\n\n| proprllcrs | lmd |\n| --- | --- |\n| charactcrlstics : | 14s |\n| efficiency | 145 |\n| opcrarmg limitations : | 148 |\n| propulsion | |\n| etlicicncy | 106 |\n| principles : _ | 104 |\n| ram tempcraturc rise | 242 |\n| range performance. $ | 158 |\n| off-optimum conditions | 172 |\n| propeller airplanes | 160 |\n| turbojet airplanes | 164 |\n| rate of climb | 154 |\n| reciprocating engines | |\n| operating characteristics | 13s |\n| operating limitations | 144 |\n| refusal speed, +: | :, 392 |\n| tetreating blade stall | 402 |\n| reversed command region | 353 |\n| Reynolds number : | 54 |\n| scale effect | 59 |\n| separation, airflow | 56 |\n| service life | 328 |\n| shock induced separation | 218 |\n| shock wave formation | 218 |\n| sideslip angle | 284 |\n| slipstream rotation | 294 |\n| sonic booms | 396 |\n| spanwise lift distribution | 74 |\n| specificendurance | 170 |\n| specific fuel consumption | |\n| reciprocating engine | 141 |\n| turbojet cngi.ne | 117 |\n| specificrange | 158 |\n| speed, maximum and minimum | 150 |\n| spin,spinrecovery 291, | 307 |\n| Srability and Control, Chapter IV | 243 |\n| stability | |\n| directional | 284 |\n| dynamic | 245 |\n| helicopter | 319 |\n| lateral | 294 |\n| longitudinal : | 250 |\n| miscellaneous problems | 305 |\n| static | 243 |\n| stallspeeds | 35 |\n\n| | Page |\n| --- | --- |\n| seal pattern | 77 |\n| stall rec\"very | 39 |\n| standard atmosphere | 4 |\n| static strength | 326 |\n| streamline pattern | 14 |\n| supercharging | 141 |\n| supersonic airfoil sections | 223 |\n| sweepback | 63 |\n| advantages | 226 |\n| disadvantages | 231 |\n| takeoff | 365 |\n| takeoff performance | 184 |\n| factors affecting performance | 187 |\n| taper, taper ratio | 63 |\n| thrust augmentation | 129 |\n| thrust required | 96 |\n| time limitations, powcrplants | 128, 144 |\n| tip stall | 77 |\n| tip vortex | 63 |\n| torque ,;, | 137 |\n| transition of boundary layer | 52 |\n| \"s. transon1c aIrfoIl scctlo | 220 |\n| true airspeed, TAS | 14 |\n| turbojetengines | 107 |\n| operating characteristics | 116 |\n| operating limitations | 124 |\n| turboprop, gas turbine-propeller combination. | ... 132 |\n| turbulence 332, | 339 |\n| turning performance | 178 |\n| turn rate, turn radius | 176 |\n| unsymmetrical power, see asymmetrical power. | |\n| viscosity | 4 |\n| V-n or V-g diagram | 334 |\n| vortex system | 63 |\n| line or bound vortex | 64 |\n| tip or trailing vortex | 64 |\n| w&r injection | |\n| reciprocating engine | 144 |\n| turbojetengine | 131 |\n| wavedrag | , 215 |\n| wind, effect on range | 168 |\n| windshear | 367 |\n| yaw,adverse | 291 |\n| yawangle | 284 |\n| YPWm\"me\"t | 284 |", - "page_start": 433, - "page_end": 433, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS 00-8OT-80 INDEX\n\n| endurance | | Pwe | |\n| --- | --- | --- | --- |\n| off-optimum | | | 172 |\n| performance | | | 170 |\n| specific | | 158, 170 | |\n| engine failure | | | |\n| effect on multiengine airplane | | 294, 376 | |\n| power off glide performance | | | 369 |\n| equilibrium conditions | | | 150 |\n| equivalent airspeed, EAT | | | 11 |\n| equivalent parasite area | | | 89 |\n| equivalent shaft horsepower, ESHP | | | 133 |\n| expansionwave | | | 211 |\n| factorofsafcty | | | 326 |\n| fatigue considerations | | | 328 |\n| feathering and governing of propellers | | | 148 |\n| flap | | | |\n| aerodynamic effects | | 37, 43 | |\n| typCS | | | 41 |\n| flutter | | | 342 |\n| force divergence | | | 218 |\n| friction | | | |\n| braking, | | | 388 |\n| cocfficicnt | | | 388 |\n| skin friction | | | 54 |\n| frost | | | 373 |\n| fuel qualities | | | 141 |\n| glide performance | | | 369 |\n| governing apparatus, turbine engines | | | 121 |\n| governing and feathering of propellers | | | 147 |\n| gusts and wind shear | ... | | 367 |\n| gust load factor | | | 332 |\n| groundeffect | | | 379 |\n| heating, aerodynamic | | | 242 |\n| helicopter, problems | | | 399 |\n| helicopter stability and control | | | 319 |\n| high lift | | | |\n| devices | ., ., | | 39 |\n| flight at high lift conditions | | | 35 |\n| High Speed Aerodynamics, Chapter III | | | 201 |\n| humidity, effect on power | | | 144 |\n| ice | | | 373 |\n| indicated airspeed, IAS | | | 10 |\n| induced | | | |\n| angle of attack | | | 66 |\n| drag | | | 66 |\n| drag coefficient | | | 68 |\n| flow | | | 63 |\n| inertia coupling | | | 315 |\n| inlets, supersonic powerplant | | | 238 |\n| interference between airplanes in flight | | | 383 |\n| items of airplane performance | | | 150 |\n| landing and ground loads | | | 343 |\n| landing flare and touchdown, | | | 362 |\n\n| | | | | | | Psge |\n| --- | --- | --- | --- | --- | --- | --- |\n| !a\"ding gear configuration stability. | | | | | | 305 |\n| landing performance | | | | ... | | 192 |\n| factors affecting performance | | | | | | 196 |\n| lateral co\"trol, | | | | | | 300 |\n| lateral stability | | | | | | 294 |\n| lift | | | | | | |\n| characteristics | | | | | | 24 |\n| coefficient | | | | | | 23 |\n| equation | | | | | | 23 |\n| generation | | | | | ... | 16, 63 |\n| lift-drag ratio | | | | | | 32 |\n| limit load | | | | | | 326 |\n| linespeeds | | | | | | 394 |\n| load factor | | | | | | 37, 331 |\n| load spectrum | | _ | | | | 328 |\n| longitudinal | | | | | | |\n| control | | | | | | 275 |\n| dynamic stability | | | | | | 279 |\n| static stability | | | | | | 250 |\n| Mach number | | | | | | |\n| definition | | | | | | 202 |\n| critical Mach \"umber | | | | | | 2!5 |\n| maneuvering load factor | | | | | | 331 |\n| maneuvering performance | | | | | | 176 |\n| maneuvering stability. | | | | | | 268 |\n| mean aerodynamic chord, MAC. | | | | | | 63 |\n| mirror landing system | | | | | | 358 |\n| normal shock wave | | | | | | 207 |\n| obliqueshockwave | | | | | | 207 |\n| operating limitations | | | | | | |\n| propellers, | | | | | | 148 |\n| reciproczring c ... | | | | | | 144 |\n| turbojet | | | | | | 124 |\n| .. turboprop | | | | | | 133 |\n| Operating Strength Limitations, | | | Chapter V | | | 325 |\n| overstress, effect on service life | | | | | | 344 |\n| parasite area, equivalent. | | | | | | 89 |\n| parasitedrag | | | | | | 87 |\n| performance, Airplane Performance, Chapter II. | | | | | | 95 |\n| pilot induced oscillarion. | | | | | | 314 |\n| pitching moment | | | | | | |\n| airfoil | | | | | | 47 |\n| longitudinal | | | | | | 249, 251 |\n| pitch-up | | | | | | 313 |\n| pitot-static system | | | | | | 9 |\n| planform effects | | | | | | 61 |\n| power effects on stability. | | | | | | 259 |\n| power off stability | | | | | | 259 |\n| power required | | | | | | 96 |\n| power settling | | | | | | 4c3 |\n| preignition, | | | | | | 140 |\n| pressure altitude | | | | ... | .. | 4 |\n| pressure distribution. .. | | | | | | 14 |", - "page_start": 432, - "page_end": 432, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### PLIGHT AT HIGH LIFT CONDITIONS\n\nIt is frequently stated that the career Naval Aviator spends more than half his life \"below a thousand feet and a hundred knots.\" Regardless of the implications of such a statement, the thought does cunnute the relationship of minimum flying speeds and carrier aviation. Only in Naval Aviation is there such importance assigned to precision control of the aircraft at high lift conditions. Safe operation in carrier aviation demands precision control of the airplane at high lift conditions.\n\nThe aerodynamic lift characteristics of an airplane are portrayed by the curve of lift coefficient versus angle of attack. Such a curve is illustrated in figure 1.15 for a specific airplane in the clean and flap down configurations. A given aerodynamic configuration experiences increases in lift coefficient with increases in angle of attack until the maximum lift coefficient is obtained. A further increase in angIe of attack produces stall and the lift coefficient then decreases. Since the maximum lift coefficient corresponds to the minimum speed available in flight, it is an important point of reference. The stall speed of the aircraft in level flight is related by the equation:\n\n$$V_{\\circ}=17.2\\,{\\sqrt{\\frac{W}{C_{L_{m a x}}\\sigma\\,\\!f}}}$$\n\nwhere\n\nV.-stall speed, knots TAS W=gross weight, lbs. c Lnoz= airplane maximum lift coefficient csaltitude density ratio S= wing area, sq. ft.\n\nThis equation illustrates the effect on stall speed of weight and wing area (or wing loading, W/S), maximum lift coefficient, and altitude. If the stall speed is desired in EAS, the density ratio will be that for sea level (u= 1.000).\n\nEFFECT OF WEIGHT. Modern configurations of airplanes are characterized by a large percent. of the maximum gross weight being\n\nfuel. Hence, the gross weight and stall speed of the airplane can vary considerably throughout the flight. The effect of only weight on stall speed can be expressed by a modified form of the stall speed equation where density ratio, c r,,,.,, and wing area are held constant.\n\n$${\\frac{V_{s_{2}}}{V_{s_{1}}}}={\\sqrt{\\frac{W_{s_{2}}}{W_{s_{1}}}}}$$\n\nwhere\n\n- V*,=stall speed corresponding to some gross weight, WI\n- V@a= stall speed corresponding to a different gross weight, WP\n\nAs an illustration of this equation, assume that a particular airplane has a stall speed of 100 knots at a gross weight of 10,000 lbs. The stall speeds of this Sam: airplane at other gross weights would be:\n\n| ll,W | 100x 4, '&~=lO, | |\n| --- | --- | --- |\n| 12,ooO | | 110 |\n| 14,4al | | 120 |\n| 9mJ | | 95 |\n| 8,100 | | 90 |\n\nFigure 1.15 illustrates the effect of weight on stall speed on a percentage basis and will be valid for any airplane. Many specific conditions of flight are accomplished at certain fixed angles of attack and lift coefficients. The effect of weight on a percentage basis on the speeds for any specific lift coefficient and angle of attack is identical. Note that at small variations of weight, a rule of thumb may express the effect of weight on stall speed- \"a 2 percent change in weight causes a I percent change in stall speed.\"\n\nEFFECT OF MANEUVERING FLIGHT. Turning flight and maneuvers produce an effect on stall speed which is similar to the effect of weight. Inspection of the chart on figure 1.16 shows the forces acting on an airplane in a steady turn. Any steady turn requires that the vertical component of Iift be equal to", - "page_start": 52, - "page_end": 52, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the static pressure of the aire at standard sea level ?", - "target_page": 20, - "target_passage": "At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "percent water vapor, argon, carbon dioxide, etc. For the majority of all aerodynamic considerations air is considered as a uniform mixture of these gases. The usual quantities used to define the properties of an air mass are as follows:\n\nSTATIC PRESSURE. The absolute static pressure of the air is a property of primary importance. The static pressure of the air at any altitude results from the mass of air supported above that level. At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) and at 40,000 feet altitude this static pressure decreases to approximately 19 percent of the sea level value. The shorthand notation for the ambient static pressure is \"p\" and the standard sea level static pressure is given the subscript \"a\" for zero altitude, pa. A more usual reference in aerodynamics and performance is the proportion of the ambient sta~tic pressure and the standard sea level static pressure. This static pressure ratio is assigned the shorthand notation of 8 (delta).\n\nAltitude pressure ratio\n\n \n \n\\begin{tabular}{l l} \\multicolumn{2}{l}{**Ambient static pressure**} \\\\ Standard sea level static pressure \\\\ \\end{tabular} \n \n\nMany items of gas turbine engine performance are directly related to some parameter involving the altitude pressure ratio.\n\nTEMPERATURE. The absolute temperacure of the air is another important property. The ordinary temperature measurement by the Centigrade scale has a/datum at the freezing point of water but absolute zero temperature is obtained at a temperature of -273\" Centigrade. Thus, the standard sea level tcmperature of 15\" C. is an absolute temperature of 288\". This scale of absolute temperature using the Centigrade increments is the Kelvin scale, e.g., o K. The shorthand notation for the ambient air temperature is \"T\" and the standard sea level air temperature of 288' K. is signified by Ta. The more usual reference is,\n\nthe proportion of the ambient air temperature and the standard sea level air temperature. This temperature ratio is assigned the shorthand notation of 0 (theta).\n\nTemperature ratio\n\n| Ambient | air temperature |\n| --- | --- |\n| =Standard | sea level air temperature |\n| @=TITtl | |\n| ,+273 | |\n| 288 | |\n\nMany items of compressibility effects and jet engine performance involve consideration of the temperature ratio.\n\nDENSITY. The density of the air is a property of greatest importance in the study of aerodynamics. The density of air is simply the mass of air per~cubic foot of volume and is a direct measure of the quantity of matter in each cubic foot of air. Air at standard sea lcvcl conditions weighs 0.0765 pounds per cubic foot and has a density of 0.002378 slugs per cubic foot. At an altitude of 40,000 feet the air density is approximately 25 percent of the sea level value.\n\nThe shorthand notation used for air density is p (rho) and the standard sea level air density is then pO. In many parts of aerodynamics it is very convenient to consider the proportion of the ambient air density and standard sea level air density. This density ratio is assigned the shorthand notation of c (sigma).\n\ndensity ratio = $\\frac{\\text{ambient air density}}{\\text{standard sea level air density}}$ \n \n$\\sigma=\\rho/\\rho_{0}$\n\nA general gas law defines the relationship of pressure temperature, and density when there is no change of state or heat transfer. Simply stated this would be \"density varies directly with pressure, inversely with temperature.\" Using the properties previously defined,\n\ndensity ratio= Pressure rat'o. temperature rat10", - "page_start": 19, - "page_end": 19, - "source_file": "00-80T-80.pdf" - }, - { - "text": "If the potential energy is represented by the static pressure, p, the sum of the potential and kinetic energy is the total pressure of the airstream.\n\n$$H{=}\\,p{+}\\,\\frac{1}{2}/\\,\\rho\\,\\,\\,V^{2}$$\n\nwhere H=total pressure, psf (sometimes referred to as \"head ' pressure)\n\n> p=static pressure, psf. p=density, siugs per cu. ft. V= velocity, ft./set.\n\nThis equation is the Bernoulli equation for 'incompressible flow. It is important to appreciate that the term >$pV2 has the units of pressure, psf. This term is one of the most important in all aerodynamics and appears so frequently t&it is given the name \"dynamic pressure\" and the shorthand notation \"4\".\n\nq= dynamic pressure, psf = jgpv2\n\nWith this definition it could be said that the sum of static and dynamic pressure in the flow tube remains constant.\n\nFigure 1.3 illustrates the variation of static, dynamic, and total pressure of air flowing through a closed tube. Note that the total pressure is con,stant throughout the length and any change in dynamic pressure produces the same magnitude change in static pressure.\n\nThe dynamic pressure of a free airstream is the one 'common denominator of all aerodynamic forces and moments. Dynamic pressure represents the kinetic energy of the free airstream and is a factor relating the capability for producing changes in static pressure on a surface. As defined, the dynamic, pressure varies directly as the density and the square of the velocity. Typical values of dynamic pressure, 4, are shown in table l-1 for various true airspeeds in the standard atmosphere. Notice that the dynamic pressure at some fixed velocity varies directly with the density ratio at any altitude. Also, appreciate the fact that at an altitude of 40,oM) feet (where the density ratio, b, is 0.2462) it is necessary to have a true air velocity twice that at sea level in order to product the same dynamic pressure.\n\n| True air | |\n| --- | --- |\n| speed | - |\n| (fr./scc.) | ,I I |\n| m= | c |\n| | _- |\n| 169 | |\n| 338 | |\n| 507 | |\n| 616 | |\n| 845 | |\n| I, 013 | |\n\nTABLE l-l. Effect of Speed and Altitvde on Dwzmnic Prerrure\n\nAIRSPEED MEASUREMENT. If a symmetrically shaped object were placed in a moving airstream, the flow pattern typical of figure 1.4 would result. The airstream at the very nose of the object would stagnate and the relative flow velocity at this point would be zero. The airflow ahead of the object possesses some certain dynamic pressure and ambient static pressure. At the very nose of the object the local velocity will drop to zero and the airstream dynamic pressure will be converted into an increase in static pressure at the stagnation point. In other words, there will exist a static pressure at the stagnation point which is equal to the airstream total pressure-ambient static pressure plus dynamic pressure.\n\nAround the surface of the object the airflow will divide and the local velocity will increase from zero at the stagnation point to some maximum on the sides of the object. If friction and viscosity effects are neglected, the", - "page_start": 26, - "page_end": 26, - "source_file": "00-80T-80.pdf" - }, - { - "text": "surface anflow continues to the aft stagnation point where the local velocity is again zero. The important point of this example of aerodynamic flow is existence of the stagnation point. The change in airflow static pressure which takes place at the stagnation point IS equal to the free stream dynamic pressure, q.\n\nThe measurement of free stream dynamic pressure is fundamental to the indication of airspeed. In fact, airspeed indicators are simply pressure gauges which measure dynamic pressure related to various airspeeds. Typical airspeed measuring systems are illustrated in figure 1.5. The pitot head has no internal flow velocity and the pressure in the pitot tube is equal to the total pressure of the airstream. The purpose of the static-ports is to sense the true static pressure of the free airstream. The total pressure and static pressure lines are attached to a differential pressure gauge and the net pressure indicated is the dynamic\n\npressure, q. The pressure gauge is then calibrated to indicate flight speed in the standard sea level air mass. For example, a dynamic pressure of 305 psf would be realized at a sea level flight ,speed of 300 knots.\n\nActually there can be many conditions of flight where the airspeed indicator does not truly reflect the actual velocity through the air mass. The corrections that must be applied are many and lisred in sequence below:\n\n(1) The indicated airspeed (IAS) is the actual instrument indication for some given flight condition. Factors such as an altitude other than standard sea level, errors of the instrument and errors due to the installation, compressibility, etc. may create great variance between this instrument indication and the actual flight speed.\n\n(2) The calibrated airspeed (CM) is the result of correcting IAS for errors of the", - "page_start": 27, - "page_end": 27, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS 00-SOT-80 BASIC AERODYNAMICS\n\nthe inherent compensation is inadequate and additional correction must be applied. The subtractive corrections that must be applied to CA$ depend on pressure altitude and CAS and are shown on figure 1.6 for the subsonic flight range. The equivalent airspeed (EAS) is the flight speed in the standard sea level air mass which would produce the same free stream dynamic pressure as the actual flight condition.\n\n(4) The true airspeed (TAS) results when the &4X is corrected for density altitude. Since the airspeed indicator is calibrated for the dynamic pressures corresponding to airspeeds at standard sea level conditions, variations in air density must be accounted for. To relate EAS and TAX requires consideration that the EAS coupled with stand- .ard sea level density produces the same dynamic pressure as the TAX Soupled with the ^^_._^ 1 .:.. 2---:... ,.f *L., bl:A.* rnrJ;r;m.. dCLUd, 'all UcIIJIcy \"I L11L \"'6°C C\"IIUACI\"L'. From this reasoning, it can be shown that:\n\n$$(T A S)^{2}\\rho=(E A S)^{2}\\ \\rho_{0}$$\n \n \nor, $T A S\\!=\\!E A S{\\sqrt{\\frac{\\rho_{0}}{\\rho}}}$ \n \n\n$$T A S\\!=\\!E A S{\\frac{1}{\\sqrt{\\sigma}}}$$\n\nwhere TAX= true airspeed EAS=equivalent airspeed p=actual air density PO= standard sea level air density n=altitude density ratio, p/pa\n\nThe result shows that the TAX is a function of EAS and density altitude. Figure 1.6 shows a chart of density altitude as a function of pressure altitude and temperature. Each particular density altitude fixes the proportion between TAX and EAS. The use of a navigation computer requires setting appropriate values of pressure altitude and temperature on the scales which then fixes rhe proportion between the scales of TAS and EAS (or TAS and CAS when compressibiliry corrections are applicable).\n\nThus, the airspeed indicator system measures dynamic pressure and will relate true flight velocity when instrument, position, compressibility, and density corrections are applied. These corrections are quite necessary for accurate determination of true airspeed and accurate navigation.\n\nBernoulli's principle and the concepts of static, dynamic, and total pressure are the basis of aerodynamic fundamentals. The pressure distribution caused by the variation of local stack and dynamic pressures on a surface is the source of the major aerodynamic forces and moment.\n\n### DEVELOPMENT OF AERODYNAMIC FORCES\n\nThe typical airflow patterns exemplify the relationship of static pressure and velocity defined by Bernoulli. Any object placed in an airstream will have the a& to impact or stagnate at some point near the leading edge. The pressure at this point of stagnation will be an absolute static pressure equal to the total pressure of the airstream. In other words, the static pressure at the stagnation point will be greater than the atmospheric pressure by the amount of the dynamic pressure of the airstream. As the flow divides and proceeds around. the object, the increases in local velocity produce decreases in static pressure. This procedure of flow is best illustrated by the flow patterns and pressure distributions of figure 1.7.\n\nSTREAMLINE PATTERN AND PRES-SURE DISTRIBUTION. The flow pattern of the cylinder of figure 1.7 is characterized by the streamlines which denote the local flow direction. Velocity distribution is noted by the streamline pattern since the streamlines effect a boundary of flow, and the airflow between the streamlines is similar to flow in a closed tube. When the streamlines contract and are close together, high local velocities exist; when the streamlines expand and are far apart, low local velocities exist. At the", - "page_start": 31, - "page_end": 31, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### ICAO STANDARD ATMOSPHERE\n\n| ALTITUDE | DENSITY RATIO | | PRESSURE RATIO | TEMPER- ATURE | TEMPER- ATURE | SPEED OF SOUND | KINEMATIC VISCOSITY |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| FT. | | ل | | | RATIO | | V |\n| | ச | | ટે | o k | ਰ | 0 KNOTS | FT 2/ SEC |\n| O | 1.0000 | 1.0000 | 1.0000 | 59.00 | 1.0000 | 661.7 | 000158 |\n| 1000 | 0.9711 | 0.9854 | 0.9644 | 55.43 | 0.9931 | 659.5 | .000161 |\n| 2000 | 0.9428 | 0.9710 | 0.9298 | 51.87 | O aBES | 657.2 | 000165 |\n| 3000 | ૦. કારા | 0.9566 | 0.8962 | 48.30 | 0.9794 | 654 a | 000169 |\n| 4000 | 0.8881 | 0.9424 | 0.8637 | 44.74 | 0.9725 | 652.6 | .000174 |\n| 5000 | 0.8617 | 0.9283 | 0.8320 | 41.17 | 0.9656 | 650.3 | .000178 |\n| 6000 | 0.8359 | 0.9143 | 0.8014 | 37.60 | 0.9587 | 647.9 | 000182 |\n| 7000 | 0.8106 | 0.9004 | 0.7716 | 34.04 | o asia | 645.6 | .000187 |\n| 8000 | 0.7860 | 0.8866 | 0.7428 | 30.47 | 0.9450 | 643.3 | .000192 |\n| 9000 | 0.7620 | 0.8729 | 0.7148 | 26.90 | 0.938 I | 640.9 | .000197 |\n| 10000 | 0.7385 | 0.8593 | 0.6877 | 23.34 | 0.9312 | 638.6 | 000202 |\n| 15000 | 0.6292 | 0.7932 | 0.5643 | 5.51 | O. 8969 | 626.7 | .000229 |\n| 20000 | 0.5328 | 0.7299 | 0.4595 | -12.32 | 0.8625 | 614.6 | .000262 |\n| 25000 | 0.4481 | 0.6694 | 0.3711 | - 30.15 | 0.8281 | 602.2 | .000302 |\n| 30000 | 0.3741 | 0.6117 | 0.2970 | -47.98 | 0.7937 | 589.5 | .000349 |\n| 35000 | 0.3099 | 0.5567 | 0.2353 | -65.82 | 0.7594 | 576.6 | .000405 |\n| * 36089 | 0.2971 | 0.5450 | 0.2234 | -69.70 | 0.7519 | 573.8 | .000419 |\n| 40000 | 0.2462 | 0.4962 | 0.1851 | -69.70 | 0.7519 | 573.8 | .000506 |\n| 45000 | 0.1936 | 0.4400 | 0.1455 | -69.70 | 0.7519 | 573.8 | .000643 |\n| 50000 | 0.1522 | 0.3902 | 0.1145 | -69.70 | 0.7519 | 573.8 | .000818 |\n| 55000 | 0.1197 | 0.3460 | 0.0900 | -69.70 | 0.7519 | 573.8 | .001040 |\n| 60000 | ' 0.0941 | 0.3068 | 0.0708 | -69.70 | 0.7519 | 573.8 | .001323 |\n| 65000 | 0.0740 | 0.2721 | 0.0557 | -69.70 | 0.7519 | 573.8 | .001682 |\n| 70000 | 0.0582 | 0.2413 | 0.0438 | - 69.70 | 0.7519 | 573.8 | .002139 |\n| 75000 | 0.0458 | 0.2140 | 0.0344 | - 69.70 | 0.7519 | 573.8 | .002721 |\n| 80000 | 0.0360 | 0.1897 | 0.0271 | - 69.70 | 0.7519 | 573.8 | .003460 |\n| 85000 | 0.0280 | 0.1673 | 0.0213 | -64.80 | 0.7613 | 577.4 | 004499 |\n| 90000 | 0.0217 | 0.1472 | 0.0168 | -56.57 | 0.7772 | 583.4 | .00591 |\n| 95000 | 0.0169 | 0.1299 | 0.0134 | - 48.34 | 0.7931 | 589.3 | .00772 |\n| 100000 | 0.0132 | 0.1149 | 0.0107 | - 40.11 | 0.8089 | રતે રહ્યું હતું હ | .01004 |\n\n*GEOPOTENTIAL OF THE TROPOPAUSE\n\nFigure 1.7. Standard Altitude Table", - "page_start": 22, - "page_end": 22, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Figure. 1.5. Airspeed Measurement\n\ninstrument and errors due to position or location of the installation. The instrument error must be small by design of the equipment and is usually negligible in equjpment which is properly maintained and cared for. The position error of the installation must be small in the range of airspeeds involving critical performance conditions. Position errors are most usually confine,d to the static source in that the actual static pressure sensed at the static port may be different from the free airstream static pressure. When the .,aircraft is operated through a large range' of angles of attack, the static pressure distribution varies 'quite greatly and it becomes quite difficult to'minimize the static source error. In most instances a compensating group of static sources may be combined to reduce the position error. In order to appreciate the magnitude of this problem, at flight speed near 100 knots a\n\n0.05 psi position error is an airspeed error of 10 knots. A typical variation of airspeed system position error is illustrated in figure 1.6.\n\n(3) The equivalent airspeed (PAS) is the result of correcting the (CAS) for compressibility effects. At high flight speeds the stagnation pressure recovered in the pitot tube is not representative of the airstream dynamic pressure due to a magnification by compressibility. Compressibility of the airflow produces a stagnation pressure in the pitot which is greater than if the flow were incompressible. As a result, the airspeed indication is given an erroneous magnihcation. The standard airspeed indicator is calibrated to read correct when at standard sea level conditions and thus has a compressibility correction appropriate for these conditions. However, when the aircraft is operating above standard sea level altitude,", - "page_start": 28, - "page_end": 28, - "source_file": "00-80T-80.pdf" - }, - { - "text": "# TABLE OF CONTENTS\n\n| PREFACE.. | ,., | . | iii |\n| --- | --- | --- | --- |\n| CHAPTER I: | BASIC AERODYNAMICS | | |\n| WING AND | AIRFOIL FORCES | | |\n| PROPERTIES | OF THE ATMOSPHERE. | | 1 |\n| Static pressure | | | |\n| Temperature | | | |\n| Density | | | |\n| Viscosity | | | |\n| Standard atmosphere | | | |\n| Pressure altitude | | | |\n| Density altitude | | | |\n| BERNOULLI'S | PRINCIPLE AND SUBSONIC | AIRFLOW.. | 4 |\n| Bernoulli's | equation, | | 6 |\n| Incompressible | tlow | | |\n| of static pressure and velocity | Variation | | |\n| Kinetic and porcntial energy of flow | | | |\n| Static and dynamic prcssurc, 4 | | | |\n| Factors affecting dynamic pressure | | | |\n| Airspeed measurement.. | | . . | 9 |\n| Stagnation prcssurc | | | |\n| Measurement of dynamic pressure | | | |\n| Pitot and static sources | | | |\n| Indicated airspeed | | | |\n| DEVELOPMENT | OF AERODYNAMIC FORCES.. | | 14 |\n| Streamline pattern and pressure distribution. | | | 14 |\n| Generatioaoflift | | | 16 |\n| Circulation | | | |\n| Pressure distribution | | | |\n| Airfoil | terminology. | | ',: |\n| Aerodynamic | force coefficient . . | | |\n| Basic lift equation | | | 2 3 |\n| Lift coefficient | | | |\n| Dynamic prcssurc and surface area | | | |", - "page_start": 6, - "page_end": 6, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS 00401-80 BASIC AERODYNAMICS\n\nthe pressure forces created on an aerodynamic surface can be studied in a simple form which at first neglects the effect of friction and viscosity of the airflow. The most appropriate means of visualizing the effect of airflow and the resulting aerodynamic pressures is to study the fluid flow within a closed tube.\n\nSuppose a stream of air is flowing through the tube shown in figure 1.2. The airflow at station 1 in the tube has a certain velocity, static pressure, and density. As the airstream approaches the constriction at station 2 certain changes must take place. Since the airflow is enclosed within the tube, the mass flow at any point along the tube must be the same and the velocity, pressure, or density must change to accommodate this continuity of flow.\n\nBERNOULLI'S EQUATION. A distinguishing feature of submnic airflow is that changes in pressure and velocity take place with sniall and negligible changes in density. For this reason the study of subsonic airflow can be simplified by neglecting the variation of density in the flow and assuming the flow to be incomprmiblc. Of course, at high flow speeds whjch approach the speed of sound, the flow must be considered as compressible and \"compressibility effects\" taken into account. However, if the flow through the tube of figure 1.2 is considered subsonic, the density of the airstream is essentially constant at all stations along the length.\n\nIf the density of the flow remains constant, static pressure and velocity are the variable quantities. As the flow approaches the constriction of station 2 the velocity must increase to maintain the same mass flow. As the velocity increases the static pressure will decrease and the decrease in static pressure which accompanies the increase in velocity can be verified in two ways:\n\n(I) Newton's laws of motion state the requirement of an unbalanced force to produce an acceleration (velocity change). If the airstream experiences an increase in velocity approaching the constriction, there must\n\nbe an unbalance of force to provide the acceleration. Since there is only air within the tube, the unbalance of force is provided by the static pressure at station 1 being greater than the static pressure at the constriction, station 2.\n\n(2) The total energy of the air stream in the tube is unchanged. However, the air- .' stream energy may be in two forms. The airstream may have a potential energy which is related by the static pressure and a kimtic energy by virtue of mass and motion. As the total energy is unchanged, an increase in velocity (kinetic energy) will be accompanied by a decrease in static pressure (potential energy). This situation is analagous to a ball rolling along-a smooth surface. As the ball rolls downhill, the potential energy due to position is exchanged for kinetic energy of motion. If .friction- were negligibie, the change of potential energy would equal the change in ki,netic energy. This- is also the case for the airflow within the tube.\n\nThe relationship of static pressure and velocity is maintained throughout the length of the tube. As the flow moves past the constriction toward station 3, the velocity decreases and the static pressure increases.\n\nThe Bernoulli equation for incompressible flow is most readily explained ,by accounting for the energy of the~airflow within the tube. As the airstream has no energy added or subtracted at any point, the sum of the potential +id kinetic energy must be constant. The kinetic energy of an object is found by:\n\n\"KE. =%MV=\n\nwhere K;E. = kinetic energy, ft.-lbs.\n\n$$M=\\mathrm{mass,~slugs~}$$\n\nV'=velocity, ft./set.\n\nThe kinetic energy of a cubic foot of air is:\n\n$${\\frac{\\mathrm{K.E.}}{\\mathrm{ft.}^{3}}}=\\gamma_{2}\\rho V^{2}$$\n\nwhere g= kinetic energy per cu. ft., psf\n\np=air density, slugs per cu. ft. V=ait velocity, ft./set.", - "page_start": 23, - "page_end": 23, - "source_file": "00-80T-80.pdf" - }, - { - "text": "existing on the surface. Of course, the velocity distribution, and resulting pressure distribution, is determmed by the.shape or profile of the surface and the angle of a'track. Thus, any aerodynamic force can be represented as the product df three major factors:\n\nthe surface area of the objects\n\nthe dynamic pressure of the airstream the coefficient or index of force determined\n\nby the relative pressure distribution This relationship is expressed by the following equation :\n\nF= C,qS\n\nwhere\n\nF = aerodynamic force, lbs.\n\nC,=coeflicient of aerodynamic force\n\n,iay;mic pressure, psf\n\n$\\begin{array}{l}{\\boldsymbol{\\mathit{T}}}\\\\ {\\boldsymbol{=}}\\frac{1}{2}{\\boldsymbol{\\mathit{0V}}}\\end{array}$\n\n- S=surface area, sq. ft.\nIn order to fully appreciate the importance of the aerodynamic force coe&cient, C,, the , above equation is rearranged to alternate forms :\n\n$$C_{\\theta}={\\frac{F}{q S}}$$\n \n$$C_{\\theta}={\\frac{F/S}{q}}$$\n\nIn this form, the aerodynamic force coefficient Js appreciared as the aerodynamic force per surface area and dynamic pressure. In other words, the force coefficient is a dimensionless ratio between the average aerodynamic pressure (aerodynamic force.per 'area) and the airstream dynamic pressure. All the aerodynamic forces of lift and drag are studied on this basisthe common denominator in each case being surface area and dynamic pressure. By such a definition, a \"lift coefficient\" would .be the ratio between lift pressure and dynamic pressure; a \"drag coefficient\" would be the ratio between drag pressure and.:d.ynamic pressure. The use of the coefficient form of an aerodynamic force is necessary since the force coellicient is:\n\n(1) An index 04 the aerodynamic force independent of area, density, and velocity.\n\nIt is derived from the relative pressure and velocity distribution.\n\n(2) Influenced only by the shape of the surface and angle of attack since these factors determine the pressure distribution.\n\n(3) An index which allows evaluation of the effects of compressibility and viscosity. Since the effects of area, density, and velocity are obviated by the coefficient form, compressibility and viscosity effects can be separated for study.\n\nTHE BASIC LIFT EQUATION. Lift has been dehned as the net force developed perpendicular to the relative wind. The aerodynamic force of lift on an airplane results from the generation of a pressure distribution on the wing. This lift force is described by the following equation:\n\n$$L{=}C_{a}A{\\Im}$$\n\nwhere\n\nL=lift, lbs. C, = lift coefficient. q= dy;:mic pressure, psf +p S= wing surface area, sq. ft.\n\nThe lift coefhcient used in this equation is the ratio of the lift pressure and dynamic pressure and is a function of the shape of the wing and angle of attack. If the lift coefficient of a conventional airplane wing planfoi-m were plotted versus angle of attack, the result would be typical of the graph of figure 1.11. Since the effects of speed, density, area, weight, altitude, etc., are eliminated by the coefficient form, an indication of the true lift capability is obtained. Each angle of attack produces a particular lift coefficient since the angle of attack is the controlling factor in the pressure distribution. Lift coeflicient increases with angle of attack up to the maximum lift coefficient, c L,,,~., and, as angle of attack is increased beyond the maximum lift angle, the airflow is unable to adhere to the upper surface. The airflow then separates from the upper surface and stall occurs.\n\nJNTERPRETATION OF THE LIFT EQUA-TION. Several important relationships are", - "page_start": 40, - "page_end": 40, - "source_file": "00-80T-80.pdf" - }, - { - "text": "This relationship has great application in aerodynamics and is quite fundamental and necessary in certain parts of airplane performance.\n\nVISCOSITY. The viscosity of the air is important in scale and friction effects. The coefficient of absolute viscosity is the proportion between the shearing stress and velocity gradient for a fluid flow. The viscosity of gases is unusual in that the viscosity is generally a function of temperature alone and an increase in temperature increases the viscosity. The coefficient of absolute viscosity is assigned the shorthand notation I, (mu). Since many parts of aerodynamics involve consideration of viscosity and density, a more usual form of viscosity measure is the proportion of the coefficient of absolute viscosity and density. This combination is termed the \"kinematic viscosity\" and is noted by Y (nu).\n\nkinematic viscosity\n\ncoefficient of absolute viscosity density \n \n\n$$\\nu=\\mu/\\rho$$\n\nThe kinematic viscosity of air at standard sea level conditions is 0.0001576 square feet per second. At an altitude of 40,000 feet the kinematic viscosity is increased to 0.0005059 square foot per second.\n\nIn order to provide a common denominator for comparison of various aircraft, a standard atmosphere has been adopted. The standard atmosphere actually represents the mean or average properties of the atmosphere. Figure 1.1 illustrates the variation of the most important properties of the air throughout the standard atmosphere. Notice that the lapse rate is constant in the troposphere and the stratosphere begins with the isothermal region.\n\nSince all aircraft performance is compared and,evaluated in the environment of the standard atmosphere, all of the aircraft instrumentation is calibrated for the standard atmosphere.\n\nThus, certain corrections must apply to the instrumentation as well as the aircraft performance if the operating conditions do not fit the standard atmosphere. In order to properly account for the nonstandard atmosphere certain terms must be defined. Pressure .&itudc is the altitude in the standard atmosphere corresponditrg to a particular pressure. The aircraft altimeter is essentially a sensitive barometer calibrated to indicate altitude in the staotlard atmosphere. If the altimeter is set for 29.92 in. Hg the altitude indicated is the pressure altitude-the altitude in the standard atmosphere corresponding to the sensed pressure. Of course, this indicated pressure altitude may not be the actual height above sea level due to variations in remperature, lapse rate; atniospheric pressure, and possible errors in the sensed pressure.\n\nThe more appropriate term for correlating aerodynamic performance in the nonstandard atmosphere is density &it&-the altitude in the standard atmosphere corresponding to a particular value of air density. The computation of density altitude must certainly involve consideration of pressure (pressure altitude) and temperature. Figure 1.6 illustrates the manner in which pressure altitude and temperature combine to produce a certain density altitude. This chart is quite standard in use and is usually included in the performance section of the flight handbook. Many subject areas of aerodynamics and aircraft performance will emphasize density altitude and temperature as the most important factors requiring consideration.\n\n# BERNOULLI'S PRINCIPLE AND SUBSONIC AIRFLOW\n\nAll of the external aerodynamic forces on a surface are the result of air pressure or air friction. Friction effects are generally confined to a thin layer of air in the immediate vicinity of the surface and friction forces are not the predominating aerodynamic forces. Therefore,", - "page_start": 21, - "page_end": 21, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the phenomenon associated with the production of lift by an airfoil ?", - "target_page": 34, - "target_passage": "An important phenomenon associated with the production of lift by an airfoil is the “circulation” parted to the airstream. ", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "#### NAVWEPS 00-801-80 BASIC AERODYNAMICS\n\nrotation will be quite a \"curve ball artist\" the golfer that cannot control the lateral motion of the club face striking the golf ball will impart an uncontrollable spin and have trouble with a \"hook\" or \"slice.\"\n\nWhile a rotating cylinder can produce a net lift from the circulatory flow, the method is relatively inefficient and only serves to point out the relationship between lift and circula-, tion. An airfoil is capable of producing lift with relatively high efficiency and the process is illustrated in figure 1.8. If a symmetrical airfoil is placed at zero angle of attack to the airstream, the streamline pattern and pressure distribution give evidence of zero lift. HOWever, if the airfoil is given a positive angle of attack, changes occur in the streamline pattern and pressure distribution similar to changes caused by the addition of circulation to the cylinder. The positive angle of attack causes increased velocity on the upper surface with an increase in upper surface suction while the decreased velocity on the lower surface causes a decrease in lower surface suction. Also, upwash is generated ahead of the airfoil, the forward stagnation point moves under the leading edge, and a downwash is evident aft of the airfoil. The pressure distribution 0\" the airfoil now provides a net force perpendicular to the airstream-lift.\n\nThe generation of lift by an airfoil is dependent upon the airfoil being able to create circulation in the airstream and develop the lifting, pressure distribution on the surface. In all cases, the generated lift will be the net force caused by the distribution of pressure over the upper and lower surfaces of the airfoil. At low angles of attack, suction pressures usually will exist on both upper and lower surfaces. but the upper surface suction must be greater for positive lift. At high angles of attack near that for maximum lift, a positive pressure will exist on the lower surface but this will account for approximately one-third the net lift.\n\nThe effect of free stream density and velocity is a necessary consideration when studying the development of the various aerodynamic forces. Suppose that a particular shape of airfoil is fixed at a particular angle to the airstream. The relative velocity and pressure distribution will be determined by the shape of the airfoil and the angle to the airstream. The effect of varying the airfoil size, air density and airspeed is shown in figure 1.9. If the same airfoil shape is placed at the same angle to an airstream with twice as great a dynamic pressure the magnitude of the pressure distribution will be twice as great but the r&rive shape of the pressure distribution will be the same. With twice as great a pressure existing over the surface, all aerodynamic forces and moments will ~double. If a half-size airfoil ib placed at the same angle to the original airstream, the magnitude of the pressure distribution is the same as the origina! airfoi! and again the relative shape of the pressure distribution is identical. The same pressure acting on the half-size surface would reduce all aerodynamic forces to one-half that of the original. This similarity of flow patterns means that the stagnation point occurs at the same place, the peak suction pressure occurs at the same place, and the actual magnitude of the aerodynamic forces and moments depends upon the airstream dynamic pressure and the surface area. This concept is extremely important when attempting to separate and analyze the most important factors affecting the development of aerodynamic forces.\n\nAIRFOIL TERMINOLOGY. Since the shape of an airfoil and the inclination to the airstream are so important in determining the pressure distribution, it is necessary to properly define the airfoil terminology. Figure 1.10 shows a typical airfoil and illustrates the various items of airfoil terminology\n\n(1) The chord line is a straight line connecting the leading and trailing edges of the airfoil.", - "page_start": 37, - "page_end": 37, - "source_file": "00-80T-80.pdf" - }, - { - "text": "and high power, the dynamic pressure in the shaded area can be much greater than the free stream and this causes considerably greater lift than at zero thrust. At high power conditions the induced flow also causes an effect similar to boundary layer control and increases the maximum lift angle of attack. The typical four-engine propeller driven airplane may have 60 to 80 percent of the wing area affected by the induced flow and power effects on stall speeds may be considerable. Also, the lift of the airplane at a given angle of attack and airspeed will be greatly affected. Suppose the airplane shown is in the process of landing flare from a power-on approach. If there is a sharp, sudden reduction of power, the airplane may drop suddenly because of the reduced lift.\n\nThe typical jet aircraft does not experience the induced flow velocities encountered in propeller driven airplanes, thus the only significant factor is the vertical component of thrust. Since this vertical component contributes to supporting the airplane, less aerodynamic lift is required to hold the airplane in flight. If the thrust is small and the thrust inclination is slight at maximum lift angle, only negligible changes in stall speed will result. On the other hand, if the thrust is very great and is given a large inclination at maximum lift angle, the effect on stall speed can be very large. One important relationship remains-since there is very little induced flow from the jet, the angle of attack at stall is essentially the same power-on or power-off.\n\n#### DEVELOPMENT OF AERODYNAMIC PITCHING MOMENTS\n\nThe distribution of pressure over a surface is the ,source of the aerodynamic moments as well as the aerodynamic forces. A typical example of this fact is the pressure distribution acting on the cambered airfoil of figure 1.21. The upper surface has pressures distributed which produce the upper surface lift; the lower surface has pressures distributed which produce the lower surface lift. Of course, the\n\nnet lift produced by the airfoil is difference between the lifts on the upper and lower surfaces. The point along the chord where the distributed lift is effectively concentrated is termed the \"center of pressure, c.p.\" The center of pressure is essentially the \"center of gravity\" of the distributed lift pressure and the location of the c.p. is a function of camber and section lift coe&cient\n\nAnother aerodynamic reference point is the \"aerodynamic center, d.e.\" The aerodynamic center is defmed as the point along the chord where all changes in lift effectively take place. To visualize the existence of such a point, notice the change in pressure distribution with angle of attack for the symmetrical airfoil of figure 1.21. When at zero lift, the upper and lower surface lifts are equal and located at the same point. With an increase in angle of attack, the upper surface lift increases while the lower surface lift decreases. The change ,of lift has taken place with no change in the center of pressure-a characteristic of symmetrical airfoils.\n\nNext, consider the cambered airfoil of figure 1.21 at zero lift. To produce zero lift, the upper and lower surface lifts must be equal. One difference noted from the symmetrical airfoil is that the upper and lower surface lifts are not opposite one another. While no net lift exists on the airfoil, the couple produced by the upper and lower surface lifts creates a nose down moment. As the angle of attack is increased, the upper surface lift increases while the lower surface lift decreases. While a change in lift has taken place, no change in moment takes place about the point where the lift change occurs. Since the moment about the aerodynamic center is the product of a force (lift at the c.P.) and a lever arm (distance from c.9. to a.~.), an increase in lift moves the center of pressure toward the aerodynamic center.\n\nIt should be noted that the symmetrical airfoil at zero lift has no pitching moment about the aerodynamic center because the upper and", - "page_start": 64, - "page_end": 64, - "source_file": "00-80T-80.pdf" - }, - { - "text": "(DATA FROM NACA REPORT NO. 824)\n\nFigure 1.12. Lift Characteristics of lypicol Airfoil Sections", - "page_start": 45, - "page_end": 45, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS 00-8OT-80 BASIC AERODYNAMICS\n\nvortex filaments which consist of the tip or trailing vortices coupled with the bound or line vortex. The tip vortices are coupled with the bound vortex when circulation is induced with lift. The effect of this vortex system is to create certain vertical velocity components in the vicinity of the wing. The illustration of these vertical velocities shows that ahead of the wing the bound vortex induces an upwash. Behind the wing, the coupled action of the bound vortex and the tip vortices induces a downwash. With the action of tip and bound vortices coupled, a final vertical velocity (220) is imparted to the airstream by the wing producing lift. This result is an inevitable consequence of a finite wing producing lift. The wing Producing lift applies the equal and opposite force to the airstream and deflects it downward. One of the important factors in this system is that a downward velocity is created at the aerodynamic center (w) which is one half the final downward velocity imparted to the airstream (2~).\n\nThe effect of the vertical velocities in the vicinity of the wing is best appreciated when they are added vectorially to the airstream velocity. The remote free stream well ahead of the wing is unaffected and its direction is opposite the flight path of the airplane. 'Aft of the wing, the vertical velocity (2~) adds to the airstream velocity to produce the downwash angle e (epsilon). At the aerodynamic center of the wing, the vertical,velocity (w) adds to the airstream velocity to produce a downward deflection of the airstream one-half that of the downwash angle. In other words, the wing producing lift by the deflection of an airstream incurs a downward slant co the wind in the immediate vicinity of the wing. Hence, the JeCtionJ of the wing operate in an average relative wind which is inclined downward one-half the final dowraw& angle. This is one important feature which distinguishes the aerodynamic properties of a wing from the aerodynamic properties of an airfoil section.\n\nThe induced velocities existing at the aerodynamic center of a finite wing create an aver-\n\nage relative wind which is different from the remote free stream wind. Since the aerodynamic forces created by the airfoil sections of a wing depend upon the immediate airstream in which they operate, consideration must be given to the effect of the inclined average relative wind.\n\nTo create a certain lift coefficient with the airfoil section, a certain angle must exist between the airfoil chord line and the avcragc relative wind. This angle of attack is a,,, the section angle of attack. However, as this lift is developed on the wing, downwash is incurred and the average relative wind is inclined. Thus, the wing must be given some angle attack greater than the required section angle of attack to account for the inclination of the average relative wind. Since the wing must be given this additional angle of attack because of the induced flow, the angle between the average reiative wind arid tlie remote fiCC stream is termed the induced angle of attack, ai. From this influence, the wing angle of attack is the sum of the section and induced angles of attack.\n\n| | a=ul)+a; |\n| --- | --- |\n| where | a= wing angle of attack |\n| | OLD= section angle of attack |\n| | OI;= induced angle of attack |\n\n#### INDUCED DRAG\n\nAnother important influence of the induced flow is the orientation of the actual lift on a wing. Figure 1.30 illustrates the fact that the lift produced by the wing sections is perpendicular to the average relative wind. Since the average relative wind is inclined downward, the section lift is inclined aft, by the same amount-the induced angle of attack, ai. The lift and drag of a wing must continue to be referred perpendicular and parallel to the remote free stream ahead of the wing. In this respect, the lift on the wing has a component of force parallel to the remote free stream. This component of lift in the drag direction is the undesirable-but unavoidable-conse-", - "page_start": 83, - "page_end": 83, - "source_file": "00-80T-80.pdf" - }, - { - "text": "distribution produces an inclined lift with drag due to lift which is in addition to the wave drag at zero lift. Part (g) of figure 3.8 shows the wave pattern for a circular arc airfoil. After the airflow traverses the oblique shock wave at the leading edge, the airflow undergoes a gradual but continual expansion until the trailing edge shock wave is encountered. Part (h) of figure 3.8 illustrates the wave pattern on a conventional blunt nose airfoil in supersonic flow. When the nose is blunt the wave must detach and become a normal shock wave immediately ahead of the leading edge. Of course, this wave form produces an area of subsonic airflow at the leading edge with very high pressure and density behind the detached wave.\n\nThe drawings of figure 3.8 illustrate the typical patterns of supersonic flow and point out these facts concerning aerodynamic surfaces in two dimensional supersonic flow:\n\n(1) All changes in velocity, pressure, density and flow direction will take place quite suddenly through the various. wave forms. The shape of the object and the required flow ,direction change dictate the type and strength of the wave formed.\n\n(2) As always, lift results from the distribution of pressure on a surface and is the net force perpendicular to the free stream direction. Any component of the lift in a direction parallel to the windstream will be drag due to lift.\n\n(3) In supersonic flight, the zero lift drag of an airfoil of some finite thickness will include a \"wave drag.\" The thickness of the airfoil will have an extremely powerful effect on this wave drag since the wave drag varies as the square of the thickness ratioif the thickness is reduced 50 percent, the wave drag is reduced 73 percent. The leading edges of supersonic shapes must be sharp or the wave formed at the leading edge will be a strong detached shock wave.\n\n(4) Once the flow on the airfoil is supersonic, the aerodynamic center of the surface will be located approximately at the SO percent chord position. As this contrasts with the subsonic location for the aerodynamic center of the 23 percent chord position, significant changes in aerodynamic trim and stability may be encountered in transonic flight.\n\n# CONFIGURATION EFFECTS\n\n# TRANSONIC AND SUPERSONIC PLIGHT\n\nAny object in subsonic flight which has some finite thickness or is producing lift will have local velocities on the surface which are greater than the free stream velocity. Hence, compressibility effects can be expected to occur at flight speeds less than the speed of sound. The transonic regime of flight provides the opportunity for mixed subsonic and supersonic flow and. accounts for the first 1 significant effects of compressibility.\n\nConsider a conventional airfoil shape as shown in figure 3.9. If this airfoil is at a flight Mach number of 0.50 and a slight positive angle of attack, the maximum local velocity on the surface will be greater than the flight speed but most likely less than sonic speed. Assume that an increase in flight Mach number to 0.72 would produce lfrst cvidmc of local son@ flow. This condition of flight would be the highest flight speed possible without supersonic flow and would be termed the \"critical Mach number.\" Thus, critical Mach number is the bouodary between subsonic and transonic flight and is an important ~point of reference for all compressi- 1 bility effects encountered in transonic flight. By delinition, critical Mach number is the \"free stream Mach number which produces 6rst evidence of local sonic flow.\" Therefore, shock waves, buffet, airflow separation, etc., take place above critical Mach number.\n\nAs critical Mach number is exceeded an area of ~uprrronic airflow is created and a normal", - "page_start": 232, - "page_end": 232, - "source_file": "00-80T-80.pdf" - }, - { - "text": "#### NAVWEPS OO-BOT-80 BASIC AERODYNAMICS\n\nforward stagnation point the local velocity is zero and the maximum positive pressure results. As the flow proceeds from the forward stagnation point the velocity increases as shown by the change in streamlines. The local velocities reach a maximum at the upper and lower extremities and a peak suction pressure is produced at these points on the cylinder. (NOTE: Positive pressures are pressures above atmospheric and negative or .ruction pressures are less than atmospheric.) As the flow continues aft from the peak suction pressure, the diverging streamlines indicate decreasing local velocities and increasing local pressures. If friction and compressibility effects are not considered, the velocity would decrease to zero at the aft stagnation point and the full stagnation pressure would be recovered. The pressure distribution for the cylinder in perfect fluid flow would be symmetrical and no net force (lift or dragj wvuid rcsuit. Of course, thr relationship between static pressure and ~elocity along the surface is defined by Bernoulli's equation.\n\nThe flow pattern for the cylinder in an actual fluid demonstrates the effect of friction or viscosity. The viscosity of air produces a thin layer of retarded flow immediately adjacent to the surface. The energy expended in this \"boundary layer\" can alter the pressure distribution and destroy the symmetry of the pattern. The force unbalance caused by the change in pressure distribution creates a drag force which is in addition to the drag due to skin friction.\n\nThe streamline pattern for the symmetrical airfoil of figure 1.7 again provides the basis for the velocity and pressure distribution. At the leading edge the streamlines are widely diverged in the vicinity of the positive pressures. The maximum local velocities and suction (or negative) pressures exist where the streamlines are the closest together, One notable difference between the flow on the cylinder and the airfoil is that the maximum velocity and minimum pressure points on the airfoil do not ,necessarily occtir at the point of maximum thickness. However, a similarity does exist in that the minimum pressure points correspond to the points where the streamlines are closest together and this condition exists when the streamlines are forced to the greatest curvature.\n\nGENERATION OF LIFT. An important phenomenon associated with the production of lift by an airfoil is the \"circulation\" imparted to the airstream. The best practical illustration of this phenomenon is shown in figure 1.8 by the streamlines and pressure distributions existing on cylinders in an airstream. The cylinder without circulation has a symmetrical streamline pattern and a pressure distribution which creates n-0 n_et lift. If the cylinder is given a clockwise rotation and induces a rotational or circulatory flow, a distinct change takes place in the streamline pattern and p'ess.~re &str~'\"u~~oii, The vriocitirs due to the vortex of circulatory flow cause increased 104 velocity on the upper surface of the cylinder and decreased local velocity on the lower surface of the cylinder. Also, the circulatory flow produces an upwash immediately ahead and downwash immediately behind the cylinder and both fore and aft stagnation points are lowered.\n\nThe effect of the addition of circulatory flow is appreciated by the change in the pressure distribution on the cylinder. The increased local velocity on the upper surface causes an increase in upper surface suction while the decreased local velocity on the lower surface causes a decrease in lower surface suction. As a result, the cylinder with circulation will produce a net lift. This mechanically induced circulation-called Magnus effect-illustrates the relationship between circulation and lift and is important to golfers, baseball and tennis players as well as pilots and aerodynamicists. The curvature of the flight path of a golf ball or baseball rcluites an unbalance df force which is created by rotation of the ball. The pitcher that can accurately control a .powerful", - "page_start": 33, - "page_end": 33, - "source_file": "00-80T-80.pdf" - }, - { - "text": "EFFECT OF FLAPS\n\nFigure 1.15. Flight at High Lift Conditions", - "page_start": 53, - "page_end": 53, - "source_file": "00-80T-80.pdf" - }, - { - "text": "# TABLE OF CONTENTS\n\n| PREFACE.. | ,., | . | iii |\n| --- | --- | --- | --- |\n| CHAPTER I: | BASIC AERODYNAMICS | | |\n| WING AND | AIRFOIL FORCES | | |\n| PROPERTIES | OF THE ATMOSPHERE. | | 1 |\n| Static pressure | | | |\n| Temperature | | | |\n| Density | | | |\n| Viscosity | | | |\n| Standard atmosphere | | | |\n| Pressure altitude | | | |\n| Density altitude | | | |\n| BERNOULLI'S | PRINCIPLE AND SUBSONIC | AIRFLOW.. | 4 |\n| Bernoulli's | equation, | | 6 |\n| Incompressible | tlow | | |\n| of static pressure and velocity | Variation | | |\n| Kinetic and porcntial energy of flow | | | |\n| Static and dynamic prcssurc, 4 | | | |\n| Factors affecting dynamic pressure | | | |\n| Airspeed measurement.. | | . . | 9 |\n| Stagnation prcssurc | | | |\n| Measurement of dynamic pressure | | | |\n| Pitot and static sources | | | |\n| Indicated airspeed | | | |\n| DEVELOPMENT | OF AERODYNAMIC FORCES.. | | 14 |\n| Streamline pattern and pressure distribution. | | | 14 |\n| Generatioaoflift | | | 16 |\n| Circulation | | | |\n| Pressure distribution | | | |\n| Airfoil | terminology. | | ',: |\n| Aerodynamic | force coefficient . . | | |\n| Basic lift equation | | | 2 3 |\n| Lift coefficient | | | |\n| Dynamic prcssurc and surface area | | | |", - "page_start": 6, - "page_end": 6, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Figure 1.14. Drag Characteristics of Typical Airfoil Sections", - "page_start": 51, - "page_end": 51, - "source_file": "00-80T-80.pdf" - }, - { - "text": "lower surface lifts act along the same vertical line. An increase in.lift on the symmetrical airfoil produces no change in this situation and the center of pressure remains fixed at the aerodynamic center.\n\nThe location of the aerodynamic center of an airfoil is not affected by camber, thickness, and angle of attack. In fact, two-dimensional incompressible airfoil theory will predict the aerodynamic center at the 25 percent chord point for any airfoil regardless of camber, thickness, and angle of attack. Actual airfoils, which are subject to real fluid flow, may not have the lift due to angle of .attack concentrated at the exact 25 percent chord point. However, the actual location of the aerodynamic center for various sections is rarely forward of 23 percent or aft of 27 percent chord point.\n\nThe moment about the aerodynamic center has its source in the relative pressure distribution and requires application of the coefficient form of expression for proper evaluation. The moment about the aerodynamic center is expressed by the following equation :\n\n$$M_{a.e.}=C_{M_{a.e.}}\\;q S c$$\n\nwhere\n\n- A&, = moment about the aerodynamic center, a.c., ft.-lbs.\nCMa.c,=coefbcient of moment about the a.c.\n\n- q= dynamic pressure, psf S=wing area, sq ft. c=chord, ft.\nThe moment coefficient used in this equation is the dimensionless ratio of the moment pressure to dynamic pressure moment and is a function\n\n$$C_{M_{a.e.}}={\\frac{M a.c.}{q S c}}$$\n\nof. the shape of the airfoil mean camber line. Figure 1.22 shows the moment coefficient,\n\nC%C. versus lift coefficient for several repre-. sentative sections. The sign convention applied to moment coefficients is that the nose-up moment is positive.\n\nThe NACA Ooog airfoil is a symmettical section of 9 percent maximum thickness. Since the mean line of this airfoil has no camber, the coefhcient of moment about the aerodynamic center is zero, i.e., the c.p. is at the ac. The departure from zero cno.+ occurs only as the airfoil approaches maximum lift and the stall produces a moment change in the negative (nose-down) direction. The NACA 4412 and 63,-412 sections have noticeable positive camber which cause relatively large moments about the aerodynamic center. Notice that for each sectionshowninfrgure 1.22, the c,,,.... isconstant for all lift coefficients less than cl,-.\n\nThe NACA 23012 airfoil is a very efficient conventional section which has been used on many airplanes. One of the features of the ~section is a relatively high c& with only a small c,,,,,,; The pitching moment coefficients 1 for this section are shown on figure 1.22 along with the effect of various type flaps added to the basic section. Large amounts of camber applied well aft on the chord cause large negative moment coefficients. This fact is illustrated by the large negative moment coeflicients produced by the 30\" deflection of a 25 percent chord flap.\n\nme kc. is a quantity determined by the shape of the mean-camber line. Symmetrical airfoils have zero c,,,,. and the c.p. remains at the a.~. in unstalled flight. The airfoil with positive camber will have a negative c,,,~,~, which means the c.p. is behind the a.~. Since the c5.c. is constant in unstalled flight a certain relationship between lift coefficient and center of pressure can be evolved. An example of this relationship is shown in figure 1.22 for the NACA 63i-412 airfoil by a plot of c.p. versus c,. Note that at low lift coefficients the center of pressure is well aft-even past the trailing edge-and an increase in C~ moves the c.p, forward toward the a.~. The c.9. approaches the", - "page_start": 66, - "page_end": 66, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What are the recyclable waste ?", - "target_page": 3, - "target_passage": "All types of paper and cardboard, Metal packaging, even the smallest ones, Plastic bottles and flasks, All other packaging", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## **INSTRUCTIONS**\n\n### in the Pays de Lauzun district\n\n#### **RECYCLABLE WASTE**\n\n### **ORGANIC WASTE**", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n#### **What is compost?**\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil – it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n#### **What materials (\"feedstocks\") are used to make compost?**\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n#### **How do I know I'm getting safe, quality compost?**\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n#### **What about weed seeds, plant diseases or pesticide residues?**\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n# Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\nl The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n\n- l Please keep yard debris free of :\n\t- x Garbage x Plastic of any sort\n- Plastic plant pots\n- Plastic plant tabs\n- Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n\t- x Rock, brick, or masonry x Glass or metal x Pet waste.\n\t-\n\t-\n\n* Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "#### **HOW DOES IT WORK?**\n\n**When to put my garbage container outside?** The evening before the waste collection day.\n\n**Who is responsible for the maintenance of the containers?** You will have to keep them in a clean working state (periodical washing).\n\n**Container stolen: What to do?** In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n**Out container = full container** Put your rubbish container out only when full.\n\n**Attention !** Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n### **HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get tips for good composting practice.** Only during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department). 30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops**. Registration and information with the service.\n\n| Compost kit | Plastic | Wood |\n| --- | --- | --- |\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n* Only payment by cheque made payable to the 'Tresor Public' are accepted\n\n**Specific condition of acquisition apply according to your municipality of residence\n\n| Town | Black container | Yellow container |\n| --- | --- | --- |\n| AGNAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| ALLEMANS-DU-DROPT | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ARMILLAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| BOURGOUGNAGUE | WEDNESDAY | FRIDAY |\n| | green weeks | white weeks |\n| CAMBES | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| LACHAPELLE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| LAPERCHE | TUESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| LA-SAUVETAT-DU-DROPT | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| LAUZUN | MONDAY | FRIDAY |\n| | green weeks | white weeks |\n| LAVERGNE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MIRAMONT-DE-GUYENNE | TUESDAY | THURSDAY |\n| | green weeks | white weeks |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| MONTIGNAC-TOUPINERIE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MOUSTIER | WEDNESDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| PEYRIÈRE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| PUYSSERAMPION | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ROUMAGNE | MONDAY | THURSDAY |\n| | white weeks | green weeks |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| SAINT-PARDOUX-ISAAC | MONDAY | FRIDAY |\n| | white weeks | green weeks |\n| SEGALAS | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n\n#### **MORE QUESTIONS ?**\n\nWebsite: **www.ccpl47.fr** / Section En Pratique > Environnement > Gestion des déchets\n\n**Environnement Service**:\n\n12 rue du Renfort 47410 LAUZUN\n\n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr Composting** : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\n**Recycling centre access, registration or modification** : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## Resources\n\n#### **Compost Organizations**\n\n**Washington Organic Recycling Council** Find a compost producer in your area www.compostwashington.org\n\n**US Composting Council** Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n#### **Restoring the Soil to Protect our Waterways**\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n#### **Natural Lawn & Garden Care, Soils, and Home Composting**\n\n**City of Seattle** www.seattle.gov/util/services/yard\n\n> **King County** www.kingcounty.gov/soils\n\n**Washington State University** www.puyallup.wsu.edu/soilmgmt/\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "*Transfer and Disposal Services.* We own or operate 96 transfer stations. We deposit waste at these stations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport to disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had approximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of approximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based on engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully. Some of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated soils. See \"\"Ì Properties.''\n\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently permitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and evaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices, market needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand, we are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be made that all future expansions will be permitted as designed.\n\n*Other Services.* We have 35 materials recovery facilities and other recycling operations, which are generally required to fulÑll our obligations under long-term municipal contracts for residential collection services. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable materials are internally collected by our residential collection operations. In some areas, we receive commercial and industrial solid waste that is sorted at our facilities into recyclable materials and nonrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the nonrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our exposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby minimizing our recycling investment.\n\nWe provide remediation and other heavy construction services primarily through our subsidiary located in Missouri.\n\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is processed, packaged and sold as various products.\n\n### **Sales and Marketing**\n\nWe seek to provide quality services that will enable our company to maintain high levels of customer satisfaction. We derive our business from a broad customer base which we believe will enable our company to experience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing customers, as well as attracting new customers.\n\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to provide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our customers at competitive prices. We target potential customers of all sizes, from small quantity generators to large \"\"Fortune 500'' companies and municipalities.\n\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts program in response to our customers' needs.\n\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not operate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the acquired companies' local tradenames as used in each geographic market in which we operate.\n\n### **Customers**\n\nWe provide services to commercial, industrial, municipal and residential customers. No one customer has individually accounted for more than 10% of our consolidated revenue or of our reportable segment revenue in any of the last three years.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\n**Special thanks:** the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n- \n# **original artwork provided by:**\n\n## Tips to Remember:\n\n- *• Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.*\n- *• When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.*\n- *• Ask your compost supplier which compost product is best for your intended use.*\n- *• Use compost at the recommended application rate.*\n- *• To maintain healthy soil, reapply compost or mulch every 1-2 years.*\n- *• Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.*\n- *• Compost can also reduce your lawn and garden's summer irrigation needs.*\n- *• Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.*", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "# **Social Contribution Activities**\n\n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\n# **SMFG and its Group companies participate in neighborhood cleanup programs**\n\nIn fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the SMFG Group participated in beach cleanup SMFG Group participated in beach cleanup activities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures on \"SMFG Clean-up Day.\" This initiative is on \"SMFG Clean-up Day.\" This initiative is not simply a matter of picking up garbage. It not simply a matter of picking up garbage. It also involves inspections and analysis of also involves inspections and analysis of garbage to identify pointers for providing garbage to identify pointers for providing solutions for environmental issues in the solutions for environmental issues in the future. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in Chiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC Friend Securities, Group companies of Friend Securities, Group companies of Cedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing, the Japan Research Institute and SMBC the Japan Research Institute and SMBC Nikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup and other activities in the areas around their and other activities in the areas around their offices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking Corporation also engage in cleanup activities Corporation also engage in cleanup activities around Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to protect the regional environment. protect the regional environment.\n\n# **Supporting education in developing countries, together with our customers and employees**\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo Mitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution initiative by participating in the Books To initiative by participating in the Books To The People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF CORP. This project aims to provide CORP. This project aims to provide environ environments in which children can read books in ments in which children can read books in purpose-built facilities, through donations to purpose-built facilities, through donations to Room to Read, a non-governmental organi Room to Read, a non-governmental organization that supports education in developing zation that supports education in developing countries. These NGO donations are pegged countries. These NGO donations are pegged to total numbers of used books and other to total numbers of used books and other items purchased by cardholders. Through items purchased by cardholders. Through the Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online shopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders are encouraged to buy used books through are encouraged to buy used books through BOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate used books from their homes and companies. used books from their homes and companies.\n\nCollection box for used books and other items\n\nBuilding libraries in developing countries through the NGO Room to Read\n\ninstalled in an employee canteen Supporting education in developing countries\n\n# **Donations through \"The World Bank Green Fund\"**\n\nSMBC and SMBC Nikko Securities donate a SMBC and SMBC Nikko Securities donate a portion of the profits from marketing of the portion of the profits from marketing of the SMBC Nikko World Bank Bond Fund SMBC Nikko World Bank Bond Fund ( \"The World Bank Green Fund World Bank Green Fund\" ) to the Japanese ) to the Japanese Red Cross Society and the Japan Committee Red Cross Society and the Japan Committee for UNICEF. for UNICEF.\n\nThis investment trust is the world This investment trust is the world's first s first fund developed in cooperation with the fund developed in cooperation with the World Bank that invests in World Bank green World Bank that invests in World Bank green bonds, according to research by Nikko bonds, according to research by Nikko Asset Management Co., Ltd. Funds from Asset Management Co., Ltd. Funds from the World Bank green bonds support only the World Bank green bonds support only World Bank-funded projects in developing World Bank-funded projects in developing countries to mitigate global warming. countries to mitigate global warming.\n\n*Research by Nikko Asset Management Co., Ltd.\n\nDonating to the Japanese Red Cross\n\n# **SMBC Nikko Securities' \"Green Week\"**\n\nIn the fall of 2010, SMBC Nikko Securities In the fall of 2010, SMBC Nikko Securities established its \"Green Week\" for strength established its \"Green Week\" for strengthening environmental protection and social ening environmental protection and social contribution activities, with the aim of contribution activities, with the aim of promoting communication within regional promoting communication within regional society and among participating employees society and among participating employees and their families, while deepening under and their families, while deepening understanding of environmental protection through standing of environmental protection through participation in social contribution activities. participation in social contribution activities. Between November 13 and December 5, Between November 13 and December 5, 2010, environmental protection programs 2010, environmental protection programs were rolled out by cross-organizational were rolled out by cross-organizational \"Green Committees\" in four locations in \"Green Committees\" in four locations in Japan, with the participation of 280 employ Japan, with the participation of 280 employees and their families. In addition, regional ees and their families. In addition, regional contribution activities were carried out by contribution activities were carried out by\n\nRegional contribution activities at the branch level\n\nCollection of PET bottle caps Donating to Japan Committee for UNICEF for international contribution purposes\n\nbranches at their own initiative. A wide variety branches at their own initiative. A wide variety of social contribution activities, such as the of social contribution activities, such as the collection of used stamps and PET bottle collection of used stamps and PET bottle caps, were carried out for global causes. caps, were carried out for global causes. SMBC Nikko Securities will continue activi SMBC Nikko Securities will continue activities that contribute to society and prioritize ties that contribute to society and prioritize communication between employees. communication between employees.\n\nEmployees and their families pitch in to clean up the bed of the Ara River in Tokyo\n\n| Environmental protection activities |\n| --- |\n| Forestry management volunteering experience in Osaka |\n| (Izumi no Mori) |\n| 117 participants |\n| Volunteers at the Shonan Erosion Control Forest project |\n| 62 participants |\n| Helping clean up Senju Shinbashi bridge that spans Ara River |\n| 64 participants |\n| Helping clean up Nishi Araibashi bridge that spans Ara River |\n| 37 participants |\n| Social contribution collection activities |\n| Support for overseas causes through used-stamp collection |\n| 11.4 kg of stamps were collected |\n| Presentation of stationery to children in developing countries |\n| 788 ballpoint pens and pencils |\n| Vaccine donation from the collection of PET bottle caps |\n| 168.9 kg (enough to vaccinate 84.45 people against polio) |\n| Activities organized by branches |\n| Sendai Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Matsudo Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Shizuoka Branch |\n\nAbekawa River driftwood-clearing festival", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "less environmentally critical processes (see for example, the principles of 'green engineering', like prevention instead of treatment of waste288).\n\n**Chemical technologies have ousted traditional materials and processes.** The United Nations' (UNEP) 'Global Chemical Outlook' 289 documents a strong growth of chemical production between 1970 and 2010. The value of the global chemical production grew from US$171 billion in 1970, to approximately US$ 5.7 trillion in 2019, roughly 33 times more.290 The EU had a share of $1.3 trillion or about 20% of the global value. In less than two decades between 2000 and 2017, the capacity doubled and grew from 1,186 million tons to 2,276 million tons.291,292\n\nThe reasons for this strong growth are: a) the **replacement of traditional materials** (wood, stone, iron and other metals, paper, natural fibres) by chemically based products (foremost plastics and multimaterial products); b) **the replacement of traditional technologies by chemical processes** (e.g. gluing instead of screwing of connections in metal, two-component paints); c) the development of **new products** (e.g. electronic devices, new types of batteries, nano); and d) **new applications** (e.g. specific fertilisers and pesticides).\n\nApproximately 300 million tons of synthetic chemicals were consumed in the EU in 2019, 223 million tons, or 74%, were regarded as hazardous to health.\n\n| HAZARD (Labels) | 2021 |\n| --- | --- |\n| Hazardous to health | 214.3 |\n| Carcinogenic, mutagenic and reprotoxic (CMR) health hazard | 39.9 |\n| Chronic toxic health hazard | 25.4 |\n| Very toxic health hazard | 59.2 |\n| Toxic health hazard | 35.5 |\n| Harmful health hazard | 54.5 |\n| All labels referring to: Hazardous to the environment | 169.6 |\n| Hazardous and non-hazardous - Total | 278.9 |\n\n#### **Table 29: Production and consumption of chemicals by hazard class in the EU in 2019 – Eurostat293**\n\nAccording to the detailed register data of the Swedish Chemicals Agency, 10 million tonnes of synthetic chemicals were used in Sweden in 2019 that were classified as hazardous to health and the environment (not counting petrol). That equals approximately 1 ton per citizen of such chemicals.294\n\nThe ESENER 2019 survey provides information about **sectors that reported a particularly high prevalence of dangerous substances**. The percentage of enterprises reporting handling or exposure to chemicals are: 50% in 'Manufacturing', 49% in 'Construction, waste management, and water and electricity supply', and 47% in 'Human health and social work activities'.295\n\nThe prevention of risks from the use of chemicals at workplaces is done according to extensive regulatory frameworks. The most relevant pieces of legislation at the EU level are the OSH Framework Directive, the Chemical Agents Directive, and the Carcinogens and Mutagens Directive. Legislation in other policy areas contributes to the reduction of risks from dangerous substances in workplaces, such as EU legislation on chemical substances and mixtures (CLP, the regulation on classification, labelling and packaging of chemicals, its predecessor directive was already issued in 1967; REACH the regulation on Registration, Evaluation, Authorisation and Restriction of Chemicals from 2007; and also specific EU and international legislation on specific aspects such as chemicals in waste, storage and transport, in specific products like batteries and cars, in specific sectors like agriculture, in natural environments like in water and soil, and in consumer products like food, detergents and cosmetics).", - "page_start": 106, - "page_end": 106, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## Specific Examples of CSR Activities\n\n# **Together with Our Customers**\n\n**We believe it is important to contribute to maintenance and protection of the natural environment and the sustainable development of regional society through our core business, hand in hand with the customer.**\n\n# **social contribution and donation type-card \"Chikyuni Yasashii Card\"**\n\nFiscal 2011 is the 20th anniversary of the Fiscal 2011 is the 20th anniversary of the \"Chikyuni Yasashii Card,\" a social contribution \"Chikyuni Yasashii Card,\" a social contribution and donation-type credit card launched by and donation-type credit card launched by Cedyna in 1991. Donations made through Cedyna in 1991. Donations made through the card totaled over ¥500 million by 2006, the card totaled over ¥500 million by 2006, and are expected to surpass ¥600 million and are expected to surpass ¥600 million in the coming fiscal year—a tribute to the in the coming fiscal year—a tribute to the generosity of cardholders. generosity of cardholders.\n\n\"Chikyuni Yasashii Cards\" fall into 14 \"Chikyuni Yasashii Cards\" fall into 14 categories, based on a global environmental categories, based on a global environmental protection theme. These range from major protection theme. These range from major issues affecting the entire planet, such as issues affecting the entire planet, such as global warming and ozone layer protection, global warming and ozone layer protection, to specific campaigns for designated to specific campaigns for designated environments and ecosystems (turtle and environments and ecosystems (turtle and dragonfly sanctuary protection programs). dragonfly sanctuary protection programs). Cardholders choose categories of interest Cardholders choose categories of interest\n\n> to them when t o t h em wh e n they subscribe. they subscribe. Merely by using Merely by using this card for t h i s c a r d f o r activities like a c t i v i t i e s l i k e daily shopping daily shopping and dining out, and dining out,\n\nChoosing causes to support, Choosing causes to support, such as protecting turtles such as protecting turtles\n\n> cardholders can contribute to a range of cardholders can contribute to a range of environment preservation organizations environment preservation organizations through The Defense of Green Earth through The Defense of Green Earth Foundation, in a program under which they Foundation, in a program under which they donate 0.5% of sums spent using the card. donate 0.5% of sums spent using the card.\n\n# **Cedyna issues other social contribution and donation-type credit cards**\n\nIn alliance with Tezuka Productions, we In alliance with Tezuka Productions, we issue the ATOM Card, under programs issue the ATOM Card, under programs titled \"Realizing children titled \"Realizing children's dreams\" and s dreams\" and \"Seeking ways to build a brighter future for \"Seeking ways to build a brighter future for children.\" Usage terms are similar to those children.\" Usage terms are similar to those of the ATOM Card. Donations are made to of the ATOM Card. Donations are made to organizations that endorse these causes. organizations that endorse these causes.\n\nContributions have been made, through the Contributions have been made, through the Japan National Council of Protective Care Japan National Council of Protective Care Homes for Children, to Homes for Children, to children in orphanages children in orphanages in disaster-hit areas (beneficiaries are not in disaster-hit areas (beneficiaries are not only children affected by the Great East only children affected by the Great East Japan Earthquake). Japan Earthquake).\n\nIn another aspect of our environmental In another aspect of our environmental commitment, we issue the \"Cedyna Card commitment, we issue the \"Cedyna Card\n\n**Social contribution and donation type-cards** \n\nAXU,\" a new kind of premium credit card AXU,\" a new kind of premium credit card that opens the door to a higher-quality, that opens the door to a higher-quality, more natural lifestyle. Holders of the more natural lifestyle. Holders of the \"Cedyna Card AXU,\" the name of sounds \"Cedyna Card AXU,\" the name of sounds like the Japanese for \"shake hands,\" and like the Japanese for \"shake hands,\" and refers to the links among people, between refers to the links among people, between people and society and between people people and society and between people and our planet Earth, get eco-resort and and our planet Earth, get eco-resort and environmental product updates. They can environmental product updates. They can contribute to environmental protection by contribute to environmental protection by donating to environmental protection groups donating to environmental protection groups through Cedyna, based on sums spent. through Cedyna, based on sums spent. Cedyna is helping build a more humanistic Cedyna is helping build a more humanistic and affluent global society. and affluent global society.\n\n**Harnessing the Bank of Japan's \"Fund-Provisioning Measure to Support Strengthening the Foundations** \n\n#### Kansai Genki Fund:\n\n#### A helping hand for the regional economy\n\nKansai Urban Banking Corporation has Kansai Urban Banking Corporation has launched a support initiative to boot up launched a support initiative to boot up next-generation industries. Marketing teams next-generation industries. Marketing teams with specialists in fields such as medical and with specialists in fields such as medical and nursing care, and environment and energy nursing care, and environment and energy businesses have been assigned to the head businesses have been assigned to the head office. office.\n\nTo strengthen these measures, it set up the To strengthen these measures, it set up the Kansai Genki Fund in September 2010, tapping Kansai Genki Fund in September 2010, tapping the Bank of Japan the Bank of Japan's \"Fund-supply measure to s \"Fund-supply measure to support strengthening the foundations for support strengthening the foundations for economic growth\" loan program. The bank economic growth\" loan program. The bank responds proactively to funding demand responds proactively to funding demand from local companies wishing to expand local companies wishing to expand into areas such as medical and nursing care, areas such as medical and nursing care, environment and energy environment and energy technologies, and technologies, and Asia-related businesses, on a priority basis. Asia-related businesses, on a priority basis. As of June 30, 2011, loans totaling ¥8.8 billion As of June 30, 2011, loans totaling ¥8.8 billion had been made from the Kansai Genki Fund had been made from the Kansai Genki Fund for 38 projects, of which 76.3% fell into the for 38 projects, of which 76.3% fell into the above three priority categories. The Kansai above three priority categories. The Kansai\n\nWe provide financing support We provide financing support to local care businesses to local care businesses\n\n| Others: | |\n| --- | --- |\n| 23.7% | |\n| | 34.2% |\n| | Kansai Genki |\n| | Fund |\n| | Financing |\n| Investment and business | by sector |\n| expansion | (June 30, 2011) |\n| in Asia, etc.: | |\n| 10.5% | |\n\nMedical, nursing and healthcare businesses: 31.6%\n\nGenki Fund is used to help customers develop Genki Fund is used to help customers develop a wide range of businesses. The bank will a wide range of businesses. The bank will continue to play its role as a regional financial continue to play its role as a regional financial institution dedicated to supporting customers institution dedicated to supporting customers that show originality and energy in helping that show originality and energy in helping develop the Kansai economy. develop the Kansai economy.\n\n**Outline** Support for companies creating Support for companies creating growth platforms in fields such growth platforms in fields such as medical and nursing care, as medical and nursing care, environmental and energy tech environmental and energy technologies, and businesses in Asia nologies, and businesses in Asia\n\n#### Promoting environmentally-aware management and supporting business ventures in China through the fund\n\nIn the past, SMBC also worked to provide In the past, SMBC also worked to provide funding to the support creation of platforms funding to the support creation of platforms for growth in Japan. Now, working through for growth in Japan. Now, working through the Bank of Japan's \"Fund-supply measure the Bank of Japan's \"Fund-supply measure to support strengthening the foundations to support strengthening the foundations for economic growth\" loan program, it for economic growth\" loan program, it has established the Environmentally has established the Environmentally Responsible Company Support Fund and Responsible Company Support Fund and the Environmental Facilities Support the Environmental Facilities Support Fund, in support of companies with Fund, in support of companies with environmentally-conscious managements, environmentally-conscious managements, and which invest in environmental facilities. and which invest in environmental facilities. Given the wave of Japanese companies Given the wave of Japanese companies setting up operations in China setting up operations in China's fast-growing s fast-growing market, the bank has also established a China market, the bank has also established a China Business Support Fund to meet the funding Business Support Fund to meet the funding needs of companies that plan to make new needs of companies that plan to make new investments in subsidiaries in China. investments in subsidiaries in China.\n\n# **Financial education through teaching of investment skills**\n\nSMBC Friend Securities runs an online SMBC Friend Securities runs an online education program, \"You education program, \"You・You Toshi\" You Toshi\" (Self-composed Investment), for (Self-composed Investment), for inexperi inexperienced investors. enced investors.\n\nThe service is free and includes a training The service is free and includes a training program that can be used as a tool for program that can be used as a tool for lifelong study of investment skills. lifelong study of investment skills.\n\n\"You・You Toshi\" website You Toshi\" website (SMBC Friend Securities) (SMBC Friend Securities)", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n#### Ask Your Compost Supplier\n\n**Whether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:**\n\n- **• What ingredients go into your compost?**\n- **• What compost products or blends do you sell?**\n- **• Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)**\n\t- **• Which product is best for my intended use?**\n\t- **• What application rate do you recommend?**\n\t\t- **• How much do I need for my area? (Or see pages 4-6.)**\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\n**Compost** is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\n**Mulch** is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\n**Peat Moss** is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\n**Fertilizers** are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\n**Topsoil** that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\nCompost improves soil structure and plant growth by\n\n- Replenishing soil organic matter, and storing nutrients in plant-available forms\n- Supporting beneficial soil life\n- Reducing erosion and water run-off\n- Loosening clay soils for better root development (increasing soil pore space)\n- Retaining moisture in sandy soils so plants need less watering.", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What is the day of the black container in Lachapelle ?", - "target_page": 4, - "target_passage": "LACHAPELLE MONDAY green weeks", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### **HOW DOES IT WORK?**\n\n**When to put my garbage container outside?** The evening before the waste collection day.\n\n**Who is responsible for the maintenance of the containers?** You will have to keep them in a clean working state (periodical washing).\n\n**Container stolen: What to do?** In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n**Out container = full container** Put your rubbish container out only when full.\n\n**Attention !** Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n### **HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get tips for good composting practice.** Only during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department). 30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops**. Registration and information with the service.\n\n| Compost kit | Plastic | Wood |\n| --- | --- | --- |\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n* Only payment by cheque made payable to the 'Tresor Public' are accepted\n\n**Specific condition of acquisition apply according to your municipality of residence\n\n| Town | Black container | Yellow container |\n| --- | --- | --- |\n| AGNAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| ALLEMANS-DU-DROPT | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ARMILLAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| BOURGOUGNAGUE | WEDNESDAY | FRIDAY |\n| | green weeks | white weeks |\n| CAMBES | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| LACHAPELLE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| LAPERCHE | TUESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| LA-SAUVETAT-DU-DROPT | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| LAUZUN | MONDAY | FRIDAY |\n| | green weeks | white weeks |\n| LAVERGNE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MIRAMONT-DE-GUYENNE | TUESDAY | THURSDAY |\n| | green weeks | white weeks |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| MONTIGNAC-TOUPINERIE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MOUSTIER | WEDNESDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| PEYRIÈRE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| PUYSSERAMPION | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ROUMAGNE | MONDAY | THURSDAY |\n| | white weeks | green weeks |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| SAINT-PARDOUX-ISAAC | MONDAY | FRIDAY |\n| | white weeks | green weeks |\n| SEGALAS | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n\n#### **MORE QUESTIONS ?**\n\nWebsite: **www.ccpl47.fr** / Section En Pratique > Environnement > Gestion des déchets\n\n**Environnement Service**:\n\n12 rue du Renfort 47410 LAUZUN\n\n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr Composting** : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\n**Recycling centre access, registration or modification** : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "# **YOUR COLLECTION CALENDAR** 2024\n\nIn the pays de Lauzun district, **BETTER SORTING, LESS THROWING !**\n\nConception : Adékoi - www.adekoi.com - 11.2023 Crédits photo : AdobeStock - Freepik", - "page_start": 0, - "page_end": 0, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "F S S\n\nM\n\nW T T\n\nF S S\n\nM\n\nW T T\n\nF S S\n\nM\n\nW T T\n\nF S S\n\nM W T T\n\nT\n\n**= CONTAINER COUNTED**\n\n**FULL CONTAINER OR HALF FILLED CONTAINER IT'S THE SAME PRICE!**\n\n**I PUT MY RUBBISH CONTAINER OUT ONLY WHEN FULL**\n\n## 2024 **OUT BLACK CONTAINER**\n\n| JANUARY |\n| --- |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n\n| FEBRUARY | MARCH | APRIL | MAY | JUNE |\n| --- | --- | --- | --- | --- |\n| | F | M | W | S |\n| | S | T | T | S |\n| | S | W | F | M |\n| | M | T | S | T |\n| | T | F | S | W |\n| | W | S | M | T |\n| | T | S | T | F |\n| | F | M | W | S |\n| | S | T | T | S |\n| | S | W | F | M |\n| | M | T | S | T |\n| | T | F | S | W |\n| | W | S | M | T |\n| | T | S | T | F |\n| | F | M | W | S |\n| | S | T | T | S |\n| | S | W | F | M |\n| | M | T | S | T |\n| | T | F | S | W |\n| | W | S | M | T |\n| | T | S | T | F |\n| | F | M | W | S |\n| | S | T | T | S |\n| | S | W | F | M |\n| | M | T | S | T |\n| | T | F | S | W |\n| | W | S | M | T |\n| | T | S | T | F |\n| | F | M | W | S |\n| | S | T | T | S |\n| | S | | F | |\n| JULY AUGUST | SEPTEMBER | OCTOBER | NOVEMBER | DECEMBER |\n| | S | T | F | S |\n| | M | W | S | M |\n| | T | T | S | T |\n| | W | F | M | W |\n| | T | S | T | T |\n| | F | S | W | F |\n| | S | M | T | S |\n| | S | T | F | S |\n| | M | W | S | M |\n| | T | T | S | T |\n| | W | F | M | W |\n| | T | S | T | T |\n| | F | S | W | F |\n| | S | M | T | S |\n| | S | T | F | S |\n| | M | W | S | M |\n| | T | T | S | T |\n| | W | F | M | W |\n| | T | S | T | T |\n| | F | S | W | F |\n| | S | M | T | S |\n| | S | T | F | S |\n\n| W |\n| --- |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n\n| S |\n| --- |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n\n| JULY | | AUGUST | SEPTEMBER | OCTOBER | NOVEMBER | DECEMBER |\n| --- | --- | --- | --- | --- | --- | --- |\n| M | T | | S | T | F | S |\n| T | F | | M | W | S | M |\n| W | S | | T | T | S | T |\n| T | S | | W | F | M | W |\n| F | M | | T | S | T | T |\n| S | T | | F | S | W | F |\n| S | W | | S | M | T | S |\n| M | T | | S | T | F | S |\n| T | F | | M | W | S | M |\n| W | S | | T | T | S | T |\n| T | S | | W | F | M | W |\n| F | M | | T | S | T | T |\n| S | T | | F | S | W | F |\n| S | W | | S | M | T | S |\n| M | T | | S | T | F | S |\n| T | F | | M | W | S | M |\n| W | S | | T | T | S | T |\n| T | S | | W | F | M | W |\n| F | M | | T | S | T | T |\n| S | T | | F | S | W | F |\n| S | W | | S | M | T | S |\n| M | T | | S | T | F | S |\n| T | F | | M | W | S | M |\n| W | S | | T | T | S | T |\n| T | S | | W | F | M | W |\n| F | M | | T | S | T | T |\n| S | T | | F | S | W | F |\n| S | W | | S | M | T | S |\n| M | T | | S | T | F | S |\n| T | F | | M | W | S | M |\n| W | S | | | T | | T |\n\n**Collection on public holidays will take place, except May 1st and December 25th. The collection for Wednesday May 1st will be brought forward to Tuesday April 30th and the collection for Wednesday December 25th will be brought forward to Tuesday December 24th. The collection for Wednesday January 1st 2025 will be brought forward to Tuesday December 31st.**\n\n#### **MY BLACK GARBAGE COLLECTION'S DAY MY YELLOW GARBAGE COLLECTION'S DAY**", - "page_start": 1, - "page_end": 1, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "#### Higgs portal dark matter in the minimal gauged U(1) B − L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy, University of Alabama, Tuscaloosa, AL 35487, USA\n\n> Osamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n# Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U(1) B − L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:\n\n∗Electronic address: okadan@ua.edu\n\n†Electronic address: seto@phyics.umn.edu", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "### ASSIGNMENT\n\n- 1. Identify the verb in the following sentence:\nThe grey elephant drinks water from the largest lake in Africa.\n\n- 2. Identify the collective noun in the following sentence:\nThe board of directors voted in favour of the decision.\n\n- 3. Correct the punctuation in the following sentence:\nAnthea will you please buy bread milk and eggs when you go to the shop.\n\n- 4. Choose the correct word:\nCharles was accepted/excepted into the engineering studies course at Oxbridge Academy.\n\n- 5. Choose the correct word:\nIts/It's time to go home now.\n\n- 6. Choose the correct word:\nThey were late for work, because there/their train was delayed.\n\n7. Choose the correct word:\n\nYou're/Your going to write your exam next week.", - "page_start": 54, - "page_end": 54, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "ii- 2.18. Rhuiples of Ropellerr", - "page_start": 163, - "page_end": 163, - "source_file": "00-80T-80.pdf" - }, - { - "text": "### *Figure 62. Work on Inventories screen –Reject - Status = check*\n\n| Name | Submission year Creator | | Creation date | Status | Updater | Submission date Energy | | Industrial Proces S | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| UNFCCC 2013_6_Inventory | 2013 | | 2013-08-02 12:47-38.97 | check | UNFCCC PM | | P | P | UNFOCC NEW |\n| | 4 | | | | | | | ﺎ | |\n| General Properties | | | Sector | | 4 | Inventory Years | | = | |\n| Name | UNFCCC_2013_6_Invento | 1990 | Energy | D | | | | 2 | |\n| Submission year | 2013 | 1991 | Industrial Processes | | | | | | |\n| Crestor | UNFCCC MFP | 1955 | Solvent and other product use | 00 | | | | | |\n| Creation date | 2013-08-02 15:47:28 97 | 1990 | Agriculture | | | | | | |\n| Status | check | 1994 | LUCE | | | | | | |\n| Updater | UNFCCC_PM | 1366 | LULUCE | | | | | | |\n| Submission date | | 1996 | Waste | | | | | | |\n| | | 9/17 | Calle Hel | 0 | > | | | > 0 | |\n| | a) | | | | | | | | |\n| Cold Edit Tree Orid v9.2 | | | | | | | | | |\n| | | | | | | | | 0000000 | |\n| | | | | BBODG | | | | | |\n| Reject | | | | | | | | | b) |\n| Send for | | | | | | | | | |\n| Approval | | | | | | | | | |\n\n### *Figure 63. Work on Inventories screen – Propose Rejection - Status = awaiting_rejection_check*\n\n| Name | Submission year Creator | Creation date Status ater | Submission date Energy | Industrial Proces Solvent and of |\n| --- | --- | --- | --- | --- |\n| - UNFCCC_2013 | UNFCCC NFP | 2013-08-02 15:47:2 awaiting_rejection_check UNFCCC_PM | | D |", - "page_start": 38, - "page_end": 38, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### *Figure 54. View Inventories Progress screen*\n\n| Name | | Working Inventory Submission year Creator | | Creation date | Status | Updater | Submission date Energy = |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| - UNFCCC-Submission | | | UNFCCC NEP | 2013-05-29 10:35:32.757 | started | | |\n| UNFCCC_2013_1.1_Submission | 0 | 2013 | UNFCCC PM | 2013-08-01 17:57:55.527 | submitted | UNFCCC_PM | |\n| - UNFCCC_2013_10.1_Inventory | 0 | 2013 | UNFCCC_PM | 2013-08-02 16:03:51.85 | submitted | UNFCCC PM | |\n| UNFCCC_2013_10_Inventory | | 2013 | UNFCCC PM | 2013-08-02 16:00:28.547 | approved | UNFCCC NFF | |\n| - UNFCCC_2013_11_Inventory | a) | 2013 | UNFCCC PM | 2013-08-02 16:04:47.197 | rejected_check | UNFCCC PM | |\n| - UNFCCC_2013_12_Inventory | | 2013 | UNFCCC PM | 2013-08-02 16:21:14.377 | rejected_approval | UNFECC NEB | |\n| - UNFCCC_2013_13_Inventory | | | UNFCCC PM | 2013-08-05 09:59:04.13 | started | UNFCCC PM | |\n| - UNFCCC_2013_14_Inventory | | | UNFCCC NEP | 2013-08 | 6 363 created | UNFCCC MEP | |\n| - UNFCCC_2013_15_Inventory | 12 | | UNFCCCC PM | Mon Aug | created | UNFCCC_PM | |\n\n- 4. Click on \"Work on Inventories\" under \"Submission\" (figure 55).\n# *Figure 55. Work on Inventories sub menu*\n\n- 5. Click the appropriate Inventory year on \"Work on Inventories\" under \"Submission\" (figure 56, a).\n- 6. Press the \"Start Inventory\" button to start the inventory (figure 56, b). Once pressed, the status changes to \"started\" (figure 57).\n\n*** Once the \"Start Inventory\" button has been pressed by the NFP or PM, a notification email will be sent to all SE's with the information that a new inventory was created. SE's and PM's can start entering their data into the NAIIS software. More details on how to do the data entry please see section 4.1 above.\n\n### *Figure 56. Work on Inventories screen*\n\n| Name | Submission vear Creator | Creation date | Status | Undater | Submission date Enerov | | Industrial Proces Solve | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| LINFCCC_2013_15_Inventory | UNFCCC PM | | Mon Aug 05 23:27:0 created | UNFCCC_PM | | D | D | |\n| | a) | | | | | | | |\n| | R | | | | | | | ﮯ |\n| C, ExtJS EJS TreeGrid V9.2 | | | | | | | | |\n| General Properties | | Sector | | ▲ | Inventory Years | | | - |\n| Name | UNFCCC_2013_15_Invent | Energy | | | 1990 | | 2 | |\n| Submission year | | | Industrial Processes | | 1991 | | | |\n| Creator | UNFCCC PM | | Solvent and other product use | | 1992 | | | |\n| Creation date | Mon Aug 05 23:27:04 CES | Agriculture | | 000000000 | 1993 | | BBBBBB | |\n| Status | created | LUCF | | | 1994 | | | |\n| Updater | UNFCCC PM | LULUCE | | | 1995 | | | |\n| Submission date | | Waste Ail | | > | 1996 4007 | | ) © | 4 |\n| | | b) | | | | | | |\n| Start Inventory | | | | | | | | |\n\n### *Figure 57. Work on Inventories screen – Status = Started*\n\n| Name | Submiss Creator | Creation date Status / | Updater | Submission date Energy |\n| --- | --- | --- | --- | --- |\n| - UNFCCC_2013_15_Inventory | | JNFCCC_PM Mon Aug 05 23:27:04 CEST 2013 started | UNFCCC_PM | િ |", - "page_start": 35, - "page_end": 35, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "*Figure 14a. Example of Initial screen of View Inventories Progress* \n\n| Name | Working Inventory | | Submission year Creator | Creation date | Status | Updater | Submission date Energy | | Industrial |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| ZWE_2013_10_Submission | 0 | | zim-nfp | 2013-08-02 06:50:50.343 | check | zim-pm | | > | > |\n| ZWE_2013_11_Submission | 0 | 2013 | zim-pm | Sun Aug 04 09:11:00 CEST 2013 | created | zim-pm | | > | > |\n| ZWE_2013_12_Submission | 0 | 2013 | zim-pm | Sun Aug 04 09:16:21 CEST 2013 | created | zim-pm | | 2 | > |\n| ZWE_2013_13_Submission | છ | 2013 | zim-pm | Sun Aug 04 09:16:55 CEST 2013 | started | zim-pm | | > | V |\n| ZWE_2013_1_Submission | 0 | | zim-nfp | 2013-08-01 09:42:53.66 | created | zim-nfp | | > | D |\n| ZWE_2013_2_Submission ZWE_2013_3_Submission | 00 | | zim-nfp zim-nfp | 2013-08-01 09:43:20.363 2013-08-01 09:49:01.287 | created created | zim-nfp | | ത 0 | D |\n| | | | | | | | | | 00 |\n| ZWE_2013_4_Submission ZWE_2013_5.1_Submission | 000 | 2013 | zim-nfp zim-pm | 2013-08-01 09:49:14.867 2013-08-01 12:23:24.213 | created submitted | zim-pm | | 0 ಡಿ | D |\n| ZWE_2013_5.2_Submission | | 2013 | zim-pm | 2013-08-01 12:37:03.123 | submitted | zim-pm | | ത | 2 |\n| ZWE_2013_5_Submission | 0 | 2013 | zim-nfp | 2013-08-01 10:38:43.997 | approved | zim-nfp | | ത | D |\n| ZWE_2013_6_Submission | | | zim-nfp | 2013-08-01 10:39:07.187 | created | | | 0 | 0 |\n| ZWE_2013_7_Submission | 000 | | zim-nfp | 2013-08-01 10:45:08.47 | review | zim-pm | | D | > |\n| ZWE_2013_8_Submission | | | zim-nfp | 2013-08-01 13:35:55.62 | approved | zim-nfp | | D | > |\n| ZWE 2013 9 Submission | | | zim-nfp | 2013-08-02 06:50:39.64 | started | zim-pm | | > | > |\n| | V | | | | | | | | ▲ |\n| 2 + ExtJS EJS TreeGrid v9.2 | | | | | | | | | |\n\n*Figure 14b. Example of Initial screen of View Inventories Progress* \n\n| Name | Energy | | Industrial Proces Solvent and othe Agriculture | | LUCF | LULUCF | Waste | Other | 1990 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| - ZWE_2013_10_Submission | ১ | િ | 2 | > | | | | > | |\n| - ZWE_2013_11_Submission | િ | | િ | > | | | | | |\n| ZWE_2013_12_Submission | ਿ | | ি | > | | | | | |\n| ZWE_2013_13_Submission ZWE_2013_1_Submission | रा ख | | િ ি | ਹੈ। ਦੀ | | | តំប | 000 | |\n| ZWE_2013_2_Submission | | | ি | | | ારો | 00 0 | | |\n| ZWE_2013_3_Submission | | | | | 000000000000 | | | | |\n| ZWE_2013_4_Submission | BOODBER | 6888800888008 | | | | | | 0000000 | |\n| ZWE_2013_5.1_Submission | | | S | | | | | | |\n| ZWE_2013_5 2_Submission | | | তি | रो खिलि | | | | | |\n| ZWE_2013_5_Submission | | | ি | | | | | | |\n| ZWE_2013_6_Submission ZWE_2013_7_Submission | 00 | | 90 | 30 | | | | 00 | |\n| ZWE_2013_8_Submission | ાર) | | > | > | | ি | D | | |\n| ZWE_2013_9_Submission | > | (2) | (2) | 14 | | D | 5 | S | |\n| | | | Sectors | | | | | | |\n| | 1 | | | | | | | | ﻴ |\n| 3 + ExtJS EJS TreeGrid v9.2 | | | | | | | | | |\n\n*Figure 14c. Example of Initial screen of View Inventories Progress* \n\n| Name | 1990 | 1991 | 1992 | 1993 | 1994 | 1995 | 1996 | 1997 | 1 898 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| - ZWE_2013_10_Submission | > | | | > | > | | | | |\n| - ZWE_2013_11_Submission | | | | | | | | | |\n| ZWE_2013_12_Submission | | | | | | | | | |\n| ZWE_2013_13_Submission | | | | | | | | | |\n| - ZWE_2013_1_Submission | | | | | | | | | |\n| - ZWE_2013_2_Submission | | | | | | | | | |\n| ZWE_2013_3_Submission | | | | | | | | | |\n| - ZWE 2013 4_Submission | | | | | | | | | |\n| ZWE_2013_5.1_Submission | | | | | | | | | |\n| - ZWE_2013_5.2_Submission | | | | | | | | | |\n| - ZWE_2013_5_Submission | | | | | | | | | |\n| ZWE_2013_6_Submission | | | | | | | | | |\n| ZWE_2013_7_Submission | | | | | | | | | |\n| - ZWE_2013_8_Submission | | | | | | | | | |\n| - ZWE_2013_9_Submission | 1 | | | S | > | > | | | |\n| | | | | Years | | | | | |\n| | T | | | | | | | | |\n| C, + ExtJS EJS TreeGrid v9.2 | | | | | | | | | |", - "page_start": 11, - "page_end": 11, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "| Position | Color | Name | State | Meaning |\n| --- | --- | --- | --- | --- |\n| Right | Amber | Fault | On | The canister is in a service state, or in error, preventing |\n| | | | | the software from starting. |\n| | | | Flashing (2 Hz) | Canister is being identified. |\n| | | | Off | Node is either in candidate or active state. |\n\n# **13.1.2 Expansion canisters**\n\nAs Figure 13-2 shows, two 12 Gbps SAS ports are side by side on the canister of every enclosure. They are numbered 1 on the left and 2 on the right. Similar to the controller canisters, expansion canisters are also installed in the enclosure side by side in a vertical position.\n\n*Figure 13-2 Expansion canister status LEDs*\n\nThe interpretation of the SAS status LED indicators has the same meaning as the LED indicators of SAS ports in the control enclosure (Table 13-3 on page 676).\n\nTable 13-5 lists the LED status values of the expansion canister.\n\n| Position | Color | Name | State | Meaning |\n| --- | --- | --- | --- | --- |\n| Left | Green | Power | On | The canister is powered on. |\n| | | | Off | No power available to the canister. |\n| Middle | Green | Status | On | The canister is operating normally. |\n| | | | Flashing | There is an error with the vital product date |\n| | | | | (VPD). |\n| Right | Amber | Fault | On | There is an error logged against the canister |\n| | | | | or the system is not running. |\n| | | | Flashing | Canister is being identified. |\n| | | | Off | No fault, canister is operating normally. |\n\n*Table 13-5 Expansion canister LEDs statuses*", - "page_start": 698, - "page_end": 698, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What to do if my container is stolen ?", - "target_page": 4, - "target_passage": "Container stolen: What to do? In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### **HOW DOES IT WORK?**\n\n**When to put my garbage container outside?** The evening before the waste collection day.\n\n**Who is responsible for the maintenance of the containers?** You will have to keep them in a clean working state (periodical washing).\n\n**Container stolen: What to do?** In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n**Out container = full container** Put your rubbish container out only when full.\n\n**Attention !** Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n### **HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get tips for good composting practice.** Only during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department). 30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops**. Registration and information with the service.\n\n| Compost kit | Plastic | Wood |\n| --- | --- | --- |\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n* Only payment by cheque made payable to the 'Tresor Public' are accepted\n\n**Specific condition of acquisition apply according to your municipality of residence\n\n| Town | Black container | Yellow container |\n| --- | --- | --- |\n| AGNAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| ALLEMANS-DU-DROPT | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ARMILLAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| BOURGOUGNAGUE | WEDNESDAY | FRIDAY |\n| | green weeks | white weeks |\n| CAMBES | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| LACHAPELLE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| LAPERCHE | TUESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| LA-SAUVETAT-DU-DROPT | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| LAUZUN | MONDAY | FRIDAY |\n| | green weeks | white weeks |\n| LAVERGNE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MIRAMONT-DE-GUYENNE | TUESDAY | THURSDAY |\n| | green weeks | white weeks |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| MONTIGNAC-TOUPINERIE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MOUSTIER | WEDNESDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| PEYRIÈRE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| PUYSSERAMPION | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ROUMAGNE | MONDAY | THURSDAY |\n| | white weeks | green weeks |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| SAINT-PARDOUX-ISAAC | MONDAY | FRIDAY |\n| | white weeks | green weeks |\n| SEGALAS | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n\n#### **MORE QUESTIONS ?**\n\nWebsite: **www.ccpl47.fr** / Section En Pratique > Environnement > Gestion des déchets\n\n**Environnement Service**:\n\n12 rue du Renfort 47410 LAUZUN\n\n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr Composting** : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\n**Recycling centre access, registration or modification** : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "# **12.7 Recovering from a provider loss**\n\nIf both encryption key providers are enabled, and you lose one of them (by losing all copies of the encryption key kept on the USB flash drives or by losing all SKLM servers), you can recover from this situation by disabling the provider to which you lost the access. To disable the unavailable provider, you must have access to a valid master access key on the remaining provider.\n\nIf you have lost access to the encryption key server provider, issue the following command:\n\nchencryption -keyserver disable\n\nIf you have lost access to the USB flash drives provider, issue the following command:\n\nchencryption -usb disable\n\nIf you want to restore the configuration with both encryption key providers, follow the instructions that are described in 12.5, \"Configuring more providers\" on page 647.\n\n**Note:** If you lose access to all encryption key providers that are defined in the system, no method is available to recover access to the data protected by the master access key.\n\n# **12.8 Using encryption**\n\nThe design for encryption is based on the concept that a system is fully encrypted or not encrypted. Encryption implementation is intended to encourage solutions that contain only encrypted volumes or only unencrypted volumes. For example, after encryption is enabled on the system, all new objects (for example, pools) are by default created as encrypted.\n\nSome unsupported configurations are actively policed in code. For example, no support exists for creating unencrypted child pools from encrypted parent pools. However, exceptions exist:\n\n- - During the migration of volumes from unencrypted to encrypted volumes, a system might report both encrypted and unencrypted volumes.\n- - It is possible to create unencrypted arrays from CLI by manually overriding the default encryption setting.\n\n**Notes:** Encryption support for Distributed RAID is available in IBM Spectrum Virtualize code V7.7 and later.\n\nYou must decide whether to encrypt or not encrypt an object when it is created. You cannot change this setting later. To change the encryption state of stored data, you must migrate from an encrypted object (for example, pool) to an unencrypted one, or vice versa. Volume migration is the only way to encrypt any volumes that were created before enabling encryption on the system.", - "page_start": 677, - "page_end": 677, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Managing Tivoli Storage Manager storage**\n\nFor each automated library, Tivoli Storage Manager tracks in its volume inventory for the library whether a volume has scratch or private status:\n\n- - A *scratch volume* is a labeled volume that is empty or contains no valid data, and it can be used to satisfy any request to mount a scratch volume. To support Content Manager OnDemand, you define scratch volumes to Tivoli Storage Manager. Tivoli Storage Manager uses scratch volumes as needed, and returns the volumes to scratch when they become empty (for example, when all data on the volume expires).\n- - A *private volume* is a volume that is in use or owned by an application, and it might contain valid data. Volumes that you define to Tivoli Storage Manager are private volumes. A private volume is used to satisfy only a request to mount that volume by name. When Tivoli Storage Manager uses a scratch volume, it changes the volume's status to private. Tivoli Storage Manager tracks whether defined volumes were originally scratch volumes. Volumes that were originally scratch volumes return to scratch status when they become empty.\n\n# **Secondary storage of storage volumes**\n\nFor instructions that describe how to handle physical storage volumes and remove them from the library, see the documentation that is provided by the library manufacturer.\n\nFor instructions about documentation that you might need to complete when you remove storage volumes from a library and where to store them for safekeeping, see your organization's media storage guide.\n\n### **Protecting data with data retention protection**\n\nTo avoid the accidental erasure or overwriting of critical data, Content Manager OnDemand supports the Tivoli Storage Manager APIs that relate to data retention. *Data retention protection* prohibits the explicit deletion of documents until their specified retention criterion is met. Although documents can no longer be explicitly deleted, they can still expire.\n\n#### **Important notes**:\n\n- -Data retention protection is *permanent*. After it is turned on, it cannot be turned off.\n- - Content Manager OnDemand does not support deletion on hold data. This feature prevents held data from being deleted until the hold is released.\n\nTivoli Storage Manager supports two retention policies:\n\n- - In *creation-based retention*, the policy becomes active when the data is stored (created) on the Tivoli Storage Manager server. This policy is the default retention policy method and it is used with normal backup/archive clients.\n- - In *event-based retention*, the policy becomes active when the client sends a retention event to the Tivoli Storage Manager server. The retention event can be sent to the server any time after the data is stored on the server. Until the retention event is received, the data is indefinitely stored on the Tivoli Storage Manager server. For Content Manager OnDemand, the retention event is the call to delete the data. A load, unload, application group delete, or expiration of data triggers the retention event.\n\nIf you decide to use these policies in Tivoli Storage Manager, the Content Manager OnDemand scenarios that are described in the rest of this section are supported.", - "page_start": 257, - "page_end": 257, - "source_file": "sg246915.pdf" - }, - { - "text": "- 3. After the enclosure is logically removed from the system (set to *unmanaged* state), the IBM Storwize V7000 reminds you about steps necessary for physical removal, such as power off, uncabling, dismantling from the rack, and secure handling (see Figure 5-93).\n*Figure 5-93 Enclosure removed*\n\nAs part of the enclosure removal process, consult your company security policies about how to handle sensitive data on removed storage devices before they leave the secure data center. Most companies require data to be encrypted or logically shredded.\n\n# **5.11.3 Restarting the GUI Service**\n\nThe service that runs that GUI operates from the configuration node. Occasionally, you might need to restart this service if the GUI is not performing to your expectation (or you cannot connect). To do this, you log on to the service assistant and identify the configuration node, as shown in Figure 5-94.\n\n|\n| |\n\n*Figure 5-94 Identifying the configuration node on the service assistant*", - "page_start": 210, - "page_end": 210, - "source_file": "sg247938.pdf" - }, - { - "text": "# **12.9.2 Rekeying using USB flash drives**\n\nDuring the rekey process, new keys are generated and copied to the USB flash drives. These keys are then used instead of the current keys. The rekey operation fails if at least one of the USB flash drives does not contain the current key. To rekey the system, you need at least three USB flash drives to store the master access key copies.\n\nAfter the rekey operation is complete, update all other copies of the encryption key, including copies stored on other media. Take the same precautions to securely store all copies of the new encryption key as when you were enabling encryption for the first time.\n\nTo rekey the master access key on USB flash drives, complete the following steps:\n\n- 1. Click **Settings** → **Security** → **Encryption**. Click **USB Flash Drives** to expand the section, as shown in Figure 12-86.\n\n| Dashboard | | Remote Authentication | Encryption | | |\n| --- | --- | --- | --- | --- | --- |\n| Monitoring | | Encryption | State: | Enabled ▼ | |\n| | | | Encryption Keys: | ✔ Accessible | |\n| Pools | | Secure Communications | ► Key Servers | | |\n| Volumes | | | | | Not Configured |\n| J | | | 3 USB Flash Drives Detected | | Configured |\n| 들 Hosts | | | | | |\n| -1- | Copy Services | | | | |\n| Access | | | | | |\n| Settings | | Notifications | | | |\n| | | Network | | | |\n| | | Security | | | |\n| | | System | | | |\n| | | Support | | | |\n| | | GUI Preferences | | | |\n\n*Figure 12-86 Locate USB Flash Drive section in the Encryption view*", - "page_start": 689, - "page_end": 689, - "source_file": "sg247938.pdf" - }, - { - "text": "# **4.6.3 Viewing the local port mask**\n\nTo view the local port mask for the system, use the **lssystem** command, as shown in Example 4-2.\n\n*Example 4-2 Viewing the local port mask*\n\n```\nIBM_Storwize:ITSO:superuser>lssystem\nid 000001003D600126\nname ITSO\nlocation local\npartnership\n...\n...\nlocal_fc_port_mask 0000000000000000000000000000000000000000000000000000000000001111\npartner_fc_port_mask 1111111111111111111111111111111111111111111111111111111111111111\n...\n```\n# **4.7 Other administrative procedures**\n\nIn this section, we discuss other administrative procedures.\n\n# **4.7.1 Removing a control enclosure from a clustered system**\n\nRemoving a control enclosure from a system causes a loss of access to drives in this control enclosure and any expansions enclosures connected to this control enclosure. If not planned and executed carefully and correctly, this procedure can cause disruption in access to storage or data loss. Make sure that you have current and verified data backups before removing a control enclosure from a system. Follow carefully the enclosure removal procedure that is provided at this IBM Knowledge Center web page.\n\n# **4.7.2 Shutting down the system**\n\nYou can safely shut down an Storwize V7000 cluster by using the GUI or CLI.\n\nAfter you shut down the entire cluster, you need to power it on manually to start the system again. Make sure that someone is available with physical access to the IBM Spectrum Virtualize hardware who can start the system after it is shut down.\n\n**Note:** For systems with enabled encryption, ensure that the cluster can access at least one valid encryption key provider. Access to an encryption key provider (USB key or a key server) is required at start time to unlock encrypted data.\n\nAlso, never shut down your IBM Storwize V7000 system by powering off the PSUs, removing both PSUs, or removing both power cables from the enclosure. It can lead to data loss.\n\nBefore shutting down the cluster, make sure that all hosts that have volumes mapped from the system are prepared for the storage system shutdown. This can be achieved by several methods, as shown in the following examples:\n\n- -Shutting down the host. This is the safest option.", - "page_start": 145, - "page_end": 145, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Removing enclosure**\n\nThe enclosure removal procedure includes its logical detachment from the system by using GUI and physical unmount from the rack. The IBM Storwize V7000 guides you through this process. Complete the following steps:\n\n- 1. In the System pane that is available from the Monitoring menu, select **>** of the enclosure you want to remove. The Enclosure Details pane opens. You can then click **Enclosure Actions** and select **Remove**, as shown in Figure 5-91.\n\n| System - Enclosure Details | | | Enclosure Actions | Events |\n| --- | --- | --- | --- | --- |\n| C System - Overview > System - Enclosure Details | | | Modify ID Turn Identify Or | No Events |\n| Expansion Enclosure 1 | | | Remove | |\n| | | | Fraraware | |\n| Enclosure ID: 1 | MTM: 2077-24F | S/N: 781V861 | Drives Dependent Volumes | |\n| Front View | | | Properties | Component Details |\n| | | | | Select a component from the system to |\n| | | | | view more details. |\n| Drive | | | | |\n| Rear View | | | | |\n| e e | | 0 E | | |\n| . | . | . = | | |\n\n*Figure 5-91 Selecting enclosure for removal*\n\n- 2. The system asks if you want to remove the enclosure. All disk drives in the removed enclosure must be in the *Unused* state. Otherwise, the removal process fails (see Figure 5-92).\n*Figure 5-92 Confirm the removal*", - "page_start": 209, - "page_end": 209, - "source_file": "sg247938.pdf" - }, - { - "text": "- 8. Select whether the encryption feature was purchased for this system. In this example, it is assumed encryption was not purchased, as shown in Figure 4-14. Click **Next**.\n**Note:** If you purchased the encryption feature, you are prompted to activate your encryption license manually or automatically. For more information about how to activate your encryption license during the system setup wizard, see Chapter 12, \"Encryption\" on page 603.\n\n| System Setup | | × |\n| --- | --- | --- |\n| Welcome | Encryption | |\n| D License Agreement | | |\n| | | Was the encryption feature purchased for this system? |\n| D Change Password | No | |\n| D System Name | Yes | |\n| D Licensed Functions | | |\n| O Date and Time | | |\n| Encryption | | |\n| Call Home | | |\n| Storage Insights | | |\n| Support | | |\n| Assistance | | |\n| Summary | | |\n| ? Need Help | Cancel | Back Next > |\n\n*Figure 4-14 System setup: Encryption*", - "page_start": 121, - "page_end": 121, - "source_file": "sg247938.pdf" - }, - { - "text": "- - Unmounting all file systems that were created on IBM Spectrum Virtualize volumes (for file systems created directly on IBM Spectrum Virtualize volumes) or bringing offline all logical volume groups by using volumes that are presented by the IBM Spectrum Virtualize system.\n- - Accepting loss of access to storage for volumes that are mirrored at the operating system level.\n\nFor volumes that are mirrored at the operating system level, loss of one of the data copies triggers errors in the operating system and causes a loss of redundancy because the data copies go out of sync.\n\n**Note:** Some applications (for example, databases), can use a volume that is not mounted as a file system. Make sure that no volumes that are presented by the IBM Spectrum Virtualize are in use on a host if you want to shut down the storage system but not the host.\n\nBefore shutting down the system, ensure that you stopped all FlashCopy mappings, remote copy relationships, data migration operations, and forced deletions.\n\nStorwize V7000 control enclosures contain batteries that provide backup power to the system to protect against unforeseen loss of power. When AC power to the enclosure is interrupted for more than approximately 10 seconds, the system starts system state dump procedure, which includes saving cached data to an internal drive.\n\nWhen the process to save critical data starts, the system stops handling I/O requests from the host applications, and Metro Mirror and Global Mirror relationships go offline. The system powers off when the saving of the critical data completes. If AC power is restored after the system state dump starts, the dump continues to completion. The system then restarts.\n\n**Note:** Storwize V7000 expansion canisters do not cache volume data or store state information in volatile memory. Therefore, they do not require battery power. If AC power to both power supplies in an expansion enclosure fails, the enclosure powers off. When AC power is restored to at least one of the power supplies, the controller restarts without operator intervention.\n\nIn a fully redundant system with two batteries and two canisters, there is enough charge in the batteries to support saving critical data from both canisters to a local drive twice. In a system with a failed battery, there is enough charge in the remaining battery to support saving critical data from both canisters to a local drive once.\n\nIf both node canisters shut down without writing the cache and state data to the local drive, the system is unable to restart without an extended service action. The system configuration must be restored. If any cache write data is lost, volumes must be restored from a backup. Therefore, it is important not to remove the canisters or the power supply units from the control enclosures unless directed to do so by the service procedures. Removing either of these components might prevent the node canister from writing its cache and state data to the local drive.\n\nIn case of an imminent power loss, strive to shut down the system cleanly, without triggering the data dump procedure. This process preserves battery charges for actual emergencies.\n\nWhen the AC power is restored after a power outage that causes both canisters to save their critical data, the system restarts only when the batteries have sufficient charge to power both canisters for the duration of saving the critical data again.", - "page_start": 146, - "page_end": 146, - "source_file": "sg247938.pdf" - }, - { - "text": "# **7.8.23 Tracing a volume from a host back to its physical disks**\n\nIn some cases, you might need to verify exactly which physical disks are used to store data of a volume. This information is not directly available to the host; however, it might be obtained by using a sequence of queries.\n\nThe first step is to unequivocally map a logical device seen by the host to a volume that is presented by the storage system. The best volume characteristics for this purpose is the volume ID. This ID is available to the operating system in the Vendor Specified Identifier field of page 0x80 or 0x83 (vital product data, VPD), which the storage device sends in response to SCSI INQUIRY command from the host.\n\nIn practice, the ID can be obtained from the multipath driver in the operating system. After the volume ID is known, it can be used to identify physical location of data.\n\n**Note:** For sequential and image mode volumes, a volume copy is mapped to exactly one MDisk. This configuration often is not the case for stripped volumes, unless volume size is not greater than an extent size. Therefore, a single stripped volume uses multiple mDisks in a typical case.\n\nOn hosts that are running IBM System Storage Multipath Subsystem Device Driver, you can obtain the volume ID from the output of the **datapath query device** command. You see a long disk serial number for each vpath device, as shown in Example 7-37.\n\n*Example 7-37 The datapath query device command*\n\n| DEV#: 0 DEVICE NAME: Disk1 Part0 TYPE: 2145 POLICY: OPTIMIZED | | | |\n| --- | --- | --- | --- |\n| SERIAL: 60050768018301BF2800000000000005 | | | |\n| ============================================================================ | | | |\n| Path# Adapter/Hard Disk Select | State Mode | | Errors |\n| 0 Scsi Port2 Bus0/Disk1 Part0 20 | OPEN NORMAL | | 0 |\n| 1 Scsi Port3 Bus0/Disk1 Part0 2343 | OPEN NORMAL | | 0 |\n| DEV#: 1 DEVICE NAME: Disk2 Part0 TYPE: 2145 POLICY: OPTIMIZED | | | |\n| SERIAL: 60050768018301BF2800000000000004 | | | |\n| ============================================================================ | | | |\n| Path# Adapter/Hard Disk Select | State Mode | | Errors |\n| 0 Scsi Port2 Bus0/Disk2 Part0 2335 | OPEN NORMAL | | 0 |\n| 1 Scsi Port3 Bus0/Disk2 Part0 | OPEN NORMAL | 0 | 0 |\n| DEV#: 2 DEVICE NAME: Disk3 Part0 TYPE: 2145 POLICY: OPTIMIZED | | | |\n| SERIAL: 60050768018301BF2800000000000006 | | | |\n| ============================================================================ | | | |\n| Path# Adapter/Hard Disk Select | State Mode | | Errors |\n| 0 Scsi Port2 Bus0/Disk3 Part0 2331 | OPEN NORMAL | | 0 |\n| 1 Scsi Port3 Bus0/Disk3 Part0 0 | OPEN NORMAL | | 0 |\n\n**State:** In Example 7-38, the state of each path is OPEN. Sometimes, the state is CLOSED. This state does not necessarily indicate a problem because it might be a result of the path's processing stage.", - "page_start": 335, - "page_end": 335, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "How many people include the Dyspnea study ?", - "target_page": 1, - "target_passage": "This population-based study included 2,857 adults who were experiencing respiratory symptoms.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identified with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort.1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%.2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks.3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a significant burden on those with undiagnosed conditions. In a systematic review by Müller et al,4 the combined\n\n#### Study Design and Methods Recruitment of Undiagnosed Cases and Healthy Control Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case finding study. Approval for prevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily influenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants.5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identified potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits.7\n\nThe three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having significant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their influence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George's Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael's Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen's University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John's, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### Risk Factors Associated With Dyspnea\n\nPatient-related risk factors were considered first, and results of spirometry considered afterward. The spirometry risk factors chosen for the second stage analysis included the spirometry-based diagnosis of the patient (asthma, COPD, PRISm, or normal) and lung function results indicative of the severity of physiologic impairment. Severity was gauged by assessing three principal lung function measures: (1) post-BD FEV1 % predicted, (2) post-BD FEV1/FVC ratio, and (3) percentage reversal of FEV1 with BD.\n\n#### Dyspnea Impact and Health Care Use, Quality of Life, and Work Productivity\n\nThe impact of dyspnea and its associations with health care use, quality of life, and work productivity were examined. Health care utilization was assessed through selfreported data. Quality of life was assessed using the 36- Item Short Form Health Survey questionnaire, where higher scores indicate better health status. Work productivity was assessed using the Work Productivity and Activity Impairment questionnaire, where higher scores\n\n#### Results\n\nFigure 1 illustrates the results of the case finding approach, including the enrollment of the control group. Among 5,631 potentially eligible participants, 1,359\n\nindicate greater impairment in work productivity and daily activities.\n\n#### Statistical Analysis\n\nBox plots were used to compare distribution patterns of dyspnea impact assessments among the disease groups. Pairwise comparison tests were conducted to evaluate mean dyspnea differences between groups. Multiple linear regression analysis was used to measure contributions to variability of dyspnea by selected patient-specific risk factors, spirometry disease classification, and key lung function measures. The selected sets of risk factors were evaluated using successive regression analyses. Analysis of variance sums of squares from the successive regression analyses provided the cumulative percentage contributions to variability of dyspnea. Simple, multiple, and logistic regression analyses were used to study associations between dyspnea and health care utilization, quality of life, and work productivity outcomes. All statistical analyses were done using STATA 16 statistical software (StataCorp).\n\nparticipants (24%) did not meet the threshold of $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire and were thus excluded, leaving 4,272 individuals deemed eligible for spirometry.\n\nFigure 1 – Study flow diagram demonstrating the case finding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; COPD-DQ¼ COPD Diagnostic Questionnaire; CF ¼ cystic fibrosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "# Impact of Dyspnea on Adults With Respiratory Symptoms Without a Defined Diagnosis\n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; Louis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; Catherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; M. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; Gonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\n\n> BACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\n> RESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory symptoms?\n\n> STUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were experiencing respiratory symptoms. These individuals had not been previously diagnosed with any lung conditions and were recruited from 17 Canadian centers using random digit dialing. Each participant underwent spirometry testing both before and after using a bronchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved ratio impaired spirometry (PRISm), or if their spirometry results were normal. An agematched control group (n ¼ 231) was similarly recruited using random digit dialing. A dyspnea impact assessment score from 0 to 100 was produced using questions from the COPD Assessment Test and St. George's Respiratory questionnaire.\n\n> RESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, 63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; 95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and comorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the variation was explained by disease classification and another 1.7% by the severity of lung function impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\n> INTERPRETATION: Our findings showed that in community-based adults with undiagnosed respiratory symptoms, those identified with PRISm experienced the greatest impact of dyspnea. Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity. CHEST 2024; 166(6):1296-1308\n\nKEY WORDS: asthma; case finding; COPD; dyspnea\n\nFOR EDITORIAL COMMENT, SEE PAGE 1259", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a case finding strategy identified asthma in 26% of symptomatic individuals who had normal spirometry and no response to BD.27\n\nIndividuals with undiagnosed respiratory symptoms, determined to have asthma or COPD through spirometry, experience poor health status.28 Therefore, the implementation of known treatment approaches for asthma or COPD is important to improve their conditions.29 In contrast, those with normal spirometry or PRISm face unclear treatment approaches. Longacting BD therapy in symptomatic individuals with tobacco exposure with normal spirometry is not effective.30 Weight management programs may be useful for individuals who are obese with PRISm-related dyspnea; however, this awaits definitive clinical trials.31\n\nDyspnea was severe and prevalent within our study group; however, it remained undiagnosed. A study conducted by Stefan et al32 revealed that physicians underestimated their patients' dyspnea 37.9% of the time, whereas nurses underestimated it 3.5% of the time. Moreover, many patients limit their physical activities, which lead them to downplay the extent of their dyspnea.19 Patient underreporting of symptoms, coupled with inadequate physician-led investigations of symptoms, may explain why dyspnea often goes undiagnosed in the population.33\n\nIn conclusion, our study measured dyspnea impact in individuals with no preexisting diagnosis of lung disease who reported respiratory symptoms as part of a purposeful case finding strategy. Individuals with PRISm exhibited the greatest impact of dyspnea, even higher than those newly diagnosed with asthma or COPD. After adjusting for patient factors, comorbidities, pulmonary diseases, and severity of lung physiologic impairment, most of the variability in dyspnea remained unexplained. We also showed that dyspnea was associated with increased health care utilization, impaired quality of life, and work productivity.\n\n## Funding/Support\n\nThis study is supported by the Canadian Institutes of Health Research [FDN Grant 154322].\n\n# Financial/Nonfinancial Disclosures\n\nNone declared.\n\n# Acknowledgments\n\nAuthor contributions: S. D. A. and G. A. W. contributed to conception and design. J. B., E. G., G. A. W., K. L. V., and S. D. A. contributed to analysis and interpretation. J. B., E. G., G. A. W., K. L. V., S. D. A., C. B., C. L., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. M., I. M., M. B., P. H., M. D. L., M. A., C. J. L., T. A., N. E., G. G. A., and S. M. contributed to drafting the manuscript for important intellectual content. All authors had access to and participated in the interpretation of the data and provided input into the preparation and submission of the manuscript. The authors vouch for the accuracy and completeness of the data.\n\nRole of sponsors: The sponsor had no role in the design of the study, the collection and analysis of the data, or the preparation of the manuscript.\n\nOther contributions: We thank the following individuals from the Canadian study sites: Ottawa Hospital Research Institute, Ottawa, Ontario: Taylor Poulin; Susan Deveau, RRT; Victoria Thompson; Meredith McCleery; Angelina Tohme; Vicky Panteleakos, RRT; Geneviève Longtin, RRT; Joanne Cassidy, RRT; Amanda Bergeron, MSc; Jennifer Biggs, RN; Jessica Bergeron; and Elisabet White; Vancouver General Hospital, Vancouver, British Columbia: Shelley Abercromby, BSc; Jana Caine; David Savage; Natasha Verzosa; Ravneet Mahal; and Mary Justine Angeles; Queen Elizabeth II Health Sciences Centre, Halifax, NS: Scott Fulton, RRT; Hôpital du Sacré Coeur de Montréal, Montréal, QC: Simone Chaboillez, MT; and Meliza Benabdallah; St. Joseph's Hamilton, Hamilton, ON: Liz Johnson; St. Boniface Hospital, Winnipeg, MB: Cheryl Noble, RN; Institut Universitaire de Cardiologie et de Pneumologie de Québec-Université Laval, Québec, QC: Johane Lepage, BSc; Joanne Milot, RN; and Christiane Balizet, RN; University of Calgary, Calgary, AB: Lisette Machado, MD; and Curtis Dumonceaux, BSc; University of Alberta, Edmonton, AB: Miranda Bowen, RRT; Fay Hartt; Angie Hillaby, RRT; and Amy Haartsma, RRT; St. Michael's Hospital, Toronto, ON: Stephanie Segovia, PhD; and Carolyn Spiegel-Feld; Queen's University Kingston General Hospital, Kingston, ON: Ann Taite, BSc; Alison Morra, BScN; Emma Bullock, HBSc; and Taylar Wall, RRT; University of Saskatchewan Royal University Hospital, Saskatoon, SK: Nancy Zacher; Janet Baran, RN; and Yessica Lopez, BA; London Health Sciences Centre - Victoria Hospital, London, ON: Katie Maguire; Heba Almadhoun; and Robert Campbell-Pereira, BSc; St. Clare's Mercy Hospital, St John's, NL: Sarah Anthony, BNRN; and Tanya Nolan, BNRN; McGill University Health Centre, Montreal, QC: Francine Noel; Royal Victoria Regional Health Centre, Barrie, ON: Masoud Mahdavian; and Ashley Brown, RRT; and Michael Garron Hospital, Toronto, ON: Ian Fraser; Han Byul (Liz) Lee; and Yuna Lee, BA. We would also thank Dong Vo We (data manager, Ottawa Hospital Research Institute, Ottawa, ON). We also thank the thousands of study participants who gave their time and came in for the study visits. We also thank ASDE Survey Sampler, Inc (Gatineau, QC, Canada) for organizing the random digit dialing.\n\n# References\n\n- 1. Parshall MB, Schwarthzstein RM, Adams L, et al. An Official American Thoracic Society Statement: update on the mechanisms, assessment, and management of dyspnea. Am J Respir Crit Care Med. 2012;185:435-452.\n- 2. Ho SF, O'Mahony MS, Steward JA, et al. Dyspnoea and quality of life in older people at home. Age Ageing. 2001;30: 155-159.\n- 3. Laviolette L, Laveneziana P. Dyspnoea: a multidimensional and multidisciplinary approach. Eur Respir J. 2014;43: 1750-1762.\n- 4. Müller A, Mraz T, Wouters EFM, et al. Prevalence of dyspnea in general adult populations: a systematic review and meta-analysis. Respir Med. 2023;218: 107379.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "#### TABLE 2 ] Mean Responses to Individual Dyspnea Questions\n\n| | | Qu est ion s Ab out Dys pne a Fro m CA T an d SG RQ | Co ntr ol Gro up (n ¼ 23 1) | No rm a l Sp iro me try Gro up (n ¼ 2, 090 ) | Ast hm a Gro up (n ¼ 265 ) | CO PD Gro up (n ¼ 330 ) | PRI Sm Gro up (n ¼ 172 ) |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 1 ht Q (w eig | 0.5 14 ¼ ) | Wh I lk hil l ht f irs en wa up a or on e flig o sta bre at hle ss . Th e sc a le for th is es tio n ran s fro m 0 qu ge | I 0.9 0 1.0 am ( 4) , (w he n I wa lk | 2.8 5 1.4 6 ( ) | 3.0 3 1.3 ( 7) | 3.2 1 1.3 0 ( ) | 3.5 6 ( 1.3 7) |\n| | | hil l 1 ht f sta irs I t bre up a or flig o am no , (w he n I wa lk up a hil l or on e flig ht o f sta bre at hle ss ). | at hle to 5 ss ) irs I am ve ry , | | | | |\n| 2 ht Q (w eig | 0.4 36 ¼ ) | Ov the st 3 I ha ha d ho rtn er pa mo ve s es s , | f bre at h. 0.4 5 0.8 9 o ( ) | 2.5 0 1.3 0 ( ) | 2.7 1 1.1 8 ( ) | 2.8 3 1.2 ( 1) | 2.9 3 |\n| | | Th le for th fro e sc a is qu es tio n ran ge s m 0 | the (ov er pa st | | | | ( 1.1 8 ) |\n| | | 3 mo I ha ve ha d s ho rtn es s o f bre at h. no | t at a ll) to 4 | | | | |\n| | | , the st 3 I ha ha d ho rtn (ov er pa mo ve s es , | f s o | | | | |\n| | | bre h. da at mo st ys a we e k) . | | | | | |\n| Q 3: I fee l | bre at hle ss | the se da ys . | | | | | |\n| | | Sit tin or ly ing sti ll, % g | 3 | 16 | 23 | 14 | 19 |\n| | | Ge tti he d dre d, % ng wa s or ss e | 2 | 17 | 21 | 20 | 28 |\n| | | Wa lki d at ho % ng aro un me , | 2 | 20 | 21 | 23 | 27 |\n| | | Wa lki ng ou tsi de on the lev e l, % | 4 | 36 | 42 | 38 | 49 |\n| | | C lim bin a flig ht o f sta irs % g up , | 20 | 75 | 81 | 83 | 87 |\n| | | C lim bin hil ls, % g | 35 | 83 | 89 | 90 | 89 |\n| | | Pla ort % y ing sp s or ga me s, | 34 | 78 | 83 | 81 | 82 |\n| 3 Q ( tot a l) | ht 0.6 (w eig ¼ | 48 Th le for th fro 0 ) e sc a is qu es tio n ran ge s m to | ba d 1.0 0 1.2 7, se on ( 5 ) | 3.2 3 1.7 ( 2) | 3.5 3 5 ( 1.6 ) | 3.4 5 ( 1.6 1) | 3.7 6 |\n| | | the nu mb er o f sit ive an sw ers for the 7 po | ite ms . | | | | ( 1.7 5 ) |\n| Q 4 (w eig ht | 0.0 91 ) ¼ | I am bre at hle ss wh en I ta lk, % | 2 | 35 | 43 | 37 | 39 |\n| 5 ht Q (w eig | 0.0 95 ¼ ) | I bre at hle wh I be nd % am ss en ov er, | 5 | 37 | 45 | 37 | 56 |\n| ht Q 6 (w eig | ¼ 0.0 60 ) | fra id wh I ge t a or pa nic en I ca nn ot ge t my | bre at h, % 4 | 30 | 33 | 31 | 37 |\n| Be ca us e o f | my bre at hin | g. | | | | | |\n| Q 7 (w eig ht | ¼ 0.0 37 ) | I ta ke a lon tim e to t wa s he d or dre ss e g ge | d, % 1 | 8 | 9 | 10 | 17 |\n| 8 ht Q (w eig | 0.0 23 ¼ ) | I ot ta ke ba th ho I ta ke ca nn a or s we r, or a | lon tim % 0 g e, | 5 | 7 | 7 | 8 |\n| 9 ht Q (w eig | 0. 11 6 ¼ ) | I lk low tha ot he I ha wa s er n r pe op le, or ve | to sto for 5 p | 40 | 46 | 56 | 66 |\n| | | res ts, % | | | | | |\n| Q 10 (w eig ht | ¼ 0. 11 3 ) | Jo bs su c h as ho us ew or k ta ke a lon tim g e, | or I ha ve to 3 | 38 | 40 | 48 | 59 |\n| | | sto for % p res ts, | | | | | |\n| 11 ht Q (w eig | 12 ¼ 0. 4) | If lim b ht f ha I c up on e flig o sta irs I ve to , | low go s ly or 5 | 47 | 44 | 57 | 67 |\n| | | sto % p, | | | | | |\n| Q 12 (w eig | ht ¼ 0. 12 7) | If I hu or wa lk fas t, I ha ve to sto or s rry p | low do wn 10 | 59 | 62 | 70 | 80 |\n\n(Continued)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| | | | | | | | Control | Group | Normal | Spirometry | Asthma | Group | Group COPD | PRISm | Group |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | About Questions | From Dyspnea | and CAT | SGRQ | | (n | 231) ¼ | (n Group | 2,090) ¼ | (n | 265) ¼ | 330) ¼ (n | (n | 172) ¼ |\n| (weight Q13 | 0.132) ¼ | My | such up % breathing gardening climbing golfing, | difficult weeding, carrying it as makes hills, | stairs, things up do dancing, to things | as or light such bowling, | | 8 | | 54 | | 59 | 69 | | 74 |\n| (weight Q14 | 0.123) ¼ | snow, My | % heavy jogging, breathing swimming, carrying | digging difficult walking it loads, or makes | playing things garden do km/h, the to 5 at | or as shoveling tennis such or | | 13 | | 65 | | 71 | 78 | | 81 |\n| (weight Q15 | 0.108) ¼ | heavy or My | manual breathing playing | running, difficult it work, competitive makes | things cycling, do % to sports, | very fast, as such swimming | | 17 | | 74 | | 79 | 85 | | 88 |\n| presented are Data | (SD) mean as | and Q2, Q1, for | and (total), Q3 | Q15 to Q3 | to presented were | as participants | no or yes | questions, | where | of percentages | participants | answered who | shown. are yes | Question | weights |\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older and more likely to be male compared with all other study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight or obese ranges. The PRISm group was heaviest with an average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classification and presents question weights (PCA scoring coefficients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a significantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported significantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8- 15.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classifications.\n\nTable 4 presents the association of dyspnea with patient-specific risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work\n\n(principal component analysis scoring coefficients)\n\nQ ¼\n\nquestion; SGRQ\n\n¼ St. George's Respiratory\n\n used for calculating the dyspnea assessment\n\nQuestionnaire.\n\n are shown below individual questions. CAT\n\n¼ COPD Assessment\n\n Test; PRISm\n\n¼\n\npreserved ratio impaired spirometry;\n\nTABLE 2\n\n]\n\n(Continued)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "| Disease Group | Reversibility of FEV1, % | | Post-BD FEV1/FVC Ratio | | Post-BD FEV1 % predicted | Overall Value P |\n| --- | --- | --- | --- | --- | --- | --- |\n| Control | 0.163 (P ¼ .47) | | P 0.274 ( | [ .05) | 0.090 (P ¼ .17) | .096 |\n| Normal spirometry | 0.186 (P ¼ .16) | | 0.240 ( P | [ .005) | P < .001) 0.131 ( | < .001 |\n| Asthma | 0.545 ( P | [ .01) | 0.107 (P ¼ .58) | | 0.158 (P ¼ .08) | .009 |\n| COPD | P 0.392 ( | [ .002) | P 0.307 ( | [ .05) | 0.075 (P ¼ .37) | < .001 |\n| PRISm | 0.290 (P ¼ .39) | | 0.854 ( P | [ .002) | P [ .004) 0.650 ( | < .001 |\n\nTABLE 6 ] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry disease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio impaired spirometry.\n\nApproximately 65% of the variability in dyspnea remained unexplained by the factors examined in our study. Most individuals in our study showed normal spirometry results but still carried a substantial burden of dyspnea, an inconsistency that needs explanation. Several factors not included in our analysis may have contributed to the unexplained variation. Environmental factors (eg, air pollution, allergen exposure, seasonal variations in symptoms) are potential contributors to this unexplained variability.22 Genetic predispositions could also play a significant role, as suggested by a study that revealed that parents with dyspnea were 1.8 times more likely to have offspring with dyspnea.23 Additionally, fitness could be a contributing factor, especially in individuals with undiagnosed PRISm, asthma, or COPD who may restrict their activities to avoid dyspnea, and hence become deconditioned.6\n\nThere were significant but modest differences in mean dyspnea levels across the 17 study sites (data not shown), which are not explained by the risk factors we accounted for in our study. This finding is not surprising because some of the potential contributing factors previously mentioned and other site-specific factors\n\n(eg, climate, air quality/industrialization, socioeconomic status) of the catchment population tend to vary across study sites.\n\nDyspnea is a complex, subjective symptom that is modified by nonrespiratory factors including psychosocial, social, and environmental influences.5 Interindividual variability in the perception of dyspnea, influenced by these nonrespiratory factors, may play an important role. A study conducted by Ziegler et al24 assessed the perception of dyspnea in 42 healthy individuals using a standardized inspiratory resistive loading stimulus. The study used the modified Borg scale to measure dyspnea perception levels. Among the participants subjected to the same inspiratory resistive load, 31%, 45%, and 24% of participants classified their level of dyspnea as low, intermediate, and high, respectively. The study revealed that differences between individuals contribute considerable variability to the perception of dyspnea, even among healthy participants.\n\nThe affective dimension of dyspnea can be captured using additional questionnaires (eg, Multidimensional Dyspnea Profile, Dyspnea-12). Studies have explored the use of the Multidimensional Dyspnea Profile in\n\n| TABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea Coefficient (95% CI) | Value P | Dyspnea Coefficient (95% CI) | Value P |\n| Physical functioning | 0.693 (0.718 to 0.668) | < .001 | 0.655 (0.680 to 0.630) | < .001 |\n| Physical health limitations | 0.634 (0.666 to 0.603) | < .001 | 0.628 (0.661 to 0.595) | < .001 |\n| Emotional problems | 0.403 (0.438 to 0.369) | < .001 | 0.407 (0.443 to 0.370) | < .001 |\n| Energy/fatigue | 0.454 (0.479 to 0.428) | < .001 | 0.452 (0.479 to 0.425) | < .001 |\n| Emotional well-being | 0.230 (0.256 to 0.204) | < .001 | 0.239 (0.266 to 0.213) | < .001 |\n| Social functioning | 0.433 (0.466 to 0.399) | < .001 | 0.434 (0.469 to 0.399) | < .001 |\n| Pain | 0.410 (0.444 to 0.377) | < .001 | 0.387 (0.423 to 0.352) | < .001 |\n| General health | 0.390 (0.416 to 0.364) | < .001 | 0.382 (0.409 to 0.355) | < .001 |\n| Total score | 0.485 (0.504 to 0.467) | < .001 | 0.473 (0.493 to 0.454) | < .001 |\n\nAdjusted coefficients are adjusted for age, sex, and BMI. Regression coefficients are presented with 95% CIs and Pvalues.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "# TABLE 8 ] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | Value P | Dyspnea OR (95% CI) | Value P |\n| In the past 12 mo, did you visit your general | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing | | | | |\n| problems? | | | | |\n| In the past 12 mo, did you visit an emergency | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| department for any breathing problems? | | | | |\n| In the past 12 mo, were you hospitalized for any | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n| breathing problems or respiratory illness? | | | | |\n\nData are presented as OR (95% CI) with Pvalues. Adjusted values are adjusted for age, sex, and BMI.\n\noutpatients with cardiorespiratory disease25 and the Dyspnea-12 in patients with asthma26 and found that the affective aspect of dyspnea can significantly influence the impact of dyspnea on health status, irrespective of the intensity of breathlessness.\n\nIn those with PRISm, there was a strong, positive association between higher values for the FEV1/FVC ratio and dyspnea. For the PRISm group, a higher FEV1/FVC ratio may reflect diminished lung compliance due to interstitial lung disease and/or respiratory system restriction due to obesity, which could contribute to worse dyspnea. Conversely, the association of dyspnea with the FEV1/FVC ratio was in the opposite direction for those with asthma or COPD, and a lower FEV1/FVC ratio correlated with worse dyspnea, as expected.\n\nOur study complements the literature by focusing on adults with undiagnosed respiratory symptoms who were randomly selected and recruited through active case finding in the community. This increases the generalizability of our results to a broader population. Our dyspnea questions were derived from widely used and validated respiratory health questionnaires, and our dyspnea assessment measure is a weighted average of responses to these validated questions. Consequently, the measure has an immediate interpretation in terms of the lived day-to-day experience of individuals.\n\nOur study has limitations. We did not undertake reliability/reproducibility testing of our questionnaire. The dyspnea impact assessment score was statistically associated with increased health care utilization, lower quality of life, and reduced work productivity; therefore, by virtue of this analysis, our questionnaire has construct validity. However, further attempts at external validation of the questionnaire using an independent data set would be important. Health care utilization during the preceding 12 months was assessed on entry into the study, and there is potential for impaired recall of events. Our study may have missed asthma in some participants because bronchial challenge testing was not conducted on those who tested negative for airflow obstruction or BD responsiveness. A previous study showed that an additional diagnostic step incorporating\n\n| TABLE 9 ] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI) |\n| --- |\n\n| | Unadjusted | | Adjusted | |\n| --- | --- | --- | --- | --- |\n| Measure | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| Are you currently employed | 0.995 (0.992-0.998) | .002 | 0.993 (0.990-0.997) | < .001 |\n| (working for pay)? | | | | |\n| | Dyspnea Coefficient | | Dyspnea Coefficient | |\n| Measurea | (95% CI) | Value P | (95% CI) | Value P |\n| Absenteeism | 0.061 (0.040-0.083) | <.001 | 0.066 (0.044-0.089) | < .001 |\n| Presenteeism | 0.334 (0.293-0.375) | <.001 | 0.349 (0.306-0.392) | < .001 |\n| Work productivity loss | 0.368 (0.323-0.413) | <.001 | 0.383 (0.336-0.430) | < .001 |\n| Activity impairment | 0.503 (0.463-0.544) | <.001 | 0.501 (0.458-0.544) | < .001 |\n\nORs and regression coefficients are presented with 95% CIs and P values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI ¼ Work Productivity and Activity Impairment questionnaire.\n\na Measures calculated from WPAI questions.21", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "prerecorded message then inquired whether any household member was $ 18 years of age and had experienced respiratory symptoms (eg, shortness of breath, wheezing, increased mucus or sputum, prolonged cough) within the past 6 months. Households with affirmative responses were subsequently contacted by the local study coordinator for a follow-up call. The household member reporting respiratory symptoms was verbally consented and screened for eligibility to participate in the study over the telephone.8,9\n\nExclusion criteria included the following: (1) a history of diagnosis of lung or airway disease, (2) use of respiratory inhalers aside from as-needed salbutamol, (3) contraindications for spirometry (eg, occurrences of myocardial infarction, stroke, aortic or cerebral aneurysm, eye surgery, detached retina within the last 3 months), (4) inability or refusal to provide informed consent, (5) being in the third trimester of pregnancy, and (6) being < 18 years of age.\n\nEach participant completed the Asthma Screening Questionnaire (ASQ)10 via telephone. Individuals aged $ 60 years, and those aged < 60 years who scored < 6 points on the ASQ, also completed the COPD-Diagnostic Questionnaire.11,12 Participants scoring $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire were invited to the study site for pre- and postbronchodilator (BD) spirometry.\n\nA control group without respiratory symptoms was selected randomly using identical random digit dialing methods. Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ. Participants were recruited as control patients if they could be matched with an individual from the undiagnosed group based on age (- 5 years) and sex. This matching process aimed to have similar demographic profiles between the control group and the newly found cases. This matching was implemented solely to ensure demographic comparability across the study groups and not for pairing patients for statistical analysis purposes.\n\nAll participants filled out the COPD Assessment Test (CAT) questionnaire. Elevated CAT scores indicate a greater burden of respiratory symptoms impacting daily activities and health status.13 The St. George's Respiratory Questionnaire (SGRQ)14-16 was used to assess respiratory disease-related quality of life. Higher SGRQ scores indicate poorer health status. Both the CAT and SGRQ questionnaires were completed prior to spirometry to avoid influencing patients' perceptions of their dyspnea.\n\n### Classification of Undiagnosed Cases\n\nCertified study personnel administered spirometry tests before and after BD use. Participants showing an increase of at least 12% and 200 mL in their FEV1 after receiving 400 mg of salbutamol were classified as having spirometry indicative of asthma.17 Those whose post-BD ratio of FEV1/FVC fell below the lower 95% confidence limit (ie, FEV1/FVC < lower limit of normal) were classified as having spirometry indicative of COPD.18 Participants meeting the criteria for both conditions were labeled as having COPD. Those with a post-BD FEV1 < 80% of the predicted normal and a post-BD FEV1/FVC ratio > 0.70 were classified as having spirometry indicative of preserved ratio impaired spirometry (PRISm). PRISm was defined based on post-BD spirometry values for a more specific classification.19 Participants not meeting criteria for asthma, COPD, or PRISm were labeled as having normal spirometry.\n\nAssessment of the Impact of Participants' Dyspnea Although neither the CAT nor the SGRQ are dyspneaspecific tools, both are recommended by the Global Initiative for Chronic Obstructive Lung Disease to evaluate symptoms, including dyspnea,20 and both yield a richer assessment of dyspnea than the modified Medical Research Council breathlessness scale.20 Fifteen questions were taken from the CAT and SGRQ questionnaires that referred to individuals' experiences with dyspnea, and a composite measure of dyspnea impact using a weighted sum of the responses to the 15 questions was constructed. Questions were coded so that larger values indicate more impactful dyspnea. Weights used for question responses in calculating the dyspnea impact assessment measure were those of the first component of a principal component analysis (PCA) based on the covariance matrix of question responses. Questions with multiple responses and ordinal structure are individually more informative and thus were accorded higher weight than individual true-false questions. No additional PCA component was anticipated a priori to be material for our investigation, and an eigenvalue analysis of the PCA was conducted to verify this assumption.\n\nThe composite dyspnea impact measure was scaled so its minimum value was 0 if the response to each of the 15 questions was 0, and the maximum value was scaled to 100 if the individual responses for all 15 questions represented the most severe dyspnea response.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "- 5. Nishino T. Dyspnoea: underlying mechanisms and treatment. Br J Anaesth. 2011;106:463-474.\n- 6. Neder J, Berton D, Müller P, et al. Ventilatory inefficiency and exertional dyspnea in early chronic obstructive pulmonary disease. Ann Am Thorac Soc. 2017;14(suppl_1): S22-S29.\n- 7. Gruenberger JB, Vietri J, Keininger DL, Mahler DA. Greater dyspnea is associated with lower health- related quality of life among European patients with COPD. Int J Chron Obstruct Pulmon Dis. 2017;12: 937-944.\n- 8. Preteroti M, Whitmore GA, Vandemheen KL, et al. Population-based case-finding to identify subjects with undiagnosed asthma or COPD. Eur Respir J. 2020;55:2000024.\n- 9. Huynh C, Whitmore GA, Vandemheen KL, et al. Derivation and validation of the UCAP-Q case-finding questionnaire to detect undiagnosed asthma and COPD. Eur Respir J. 2022;60(3):2103243.\n- 10. Shin B, Cole SL, Park SJ, et al. A new symptom-based questionnaire for predicting the presence of asthma. J Investig Allergol Clin Immunol. 2010;20: 27-34.\n- 11. Price DB, Tinkelman DG, Nordyke RJ, et al. Scoring system and clinical application of COPD diagnostic questionnaires. Chest. 2006;129: 1531-1539.\n- 12. Price DB, Tinkelman DG, Halbert RJ, et al. Symptom-based questionnaire for identifying COPD in smokers. Respiration. 2006;73:285-295.\n- 13. Jones PW, Harding G, Berry P, et al. Development and first validation of the COPD Assessment Test. Eur Respir J. 2009;34:648-654.\n- 14. Jones PW. Quality of life measurement for patients with diseases of the airways. Thorax. 1991;46:676-682.\n- 15. Jones PW, Quirk FH, Baveystock CM. The St George's Respiratory Questionnaire. Respir Med. 1991;85:25-31.\n- 16. Jones PW. St George's Respiratory Questionnaire: MCID. J Chronic Obstr Pulm Dis. 2005;2:75-79.\n- 17. Global Initiative for Asthma. Global strategy for asthma management and prevention. Global Initiative for Asthma website. Accessed July 30, 2023. https:// ginasthma.org/wp-content/uploads/2023/ 07/GINA-2023-Full-report-23_07_06- WMS.pdf\n- 18. Global Initiative for Chronic Obstructive Lung Disease. Global strategy for the diagnosis, management, and prevention of chronic obstructive pulmonary disease. Global Initiative for Chronic Obstructive Lung Disease website. Accessed July 30, 2023. https://goldcopd.org/wp-content/ uploads/2023/03/GOLD-2023-ver-1.3-17 Feb2023_WMV.pdf\n- 19. Magner KMA, Cherian M, Whitmore GA, et al. Assessment of preserved ratio impaired spirometry (PRISm) using pre and post bronchodilator spirometry in a randomly-sampled symptomatic cohort. Am J Resp Crit Care Med. 2023;208(10): 1129-1131.\n- 20. Hanania NA, O'Donnell DE. Activityrelated dyspnea in chronic obstructive pulmonary disease: physical and psychological consequences, unmet needs, and future directions. Int J Chron Obstruct Pulmon Dis. 2019;14: 1127-1138.\n- 21. Reilly Associates. WPAI scoring. Reilly Associates website. Accessed May 1, 2024. http://www.reillyassociates.net/wpai_ scoring.html\n- 22. Carlsen HK, Haga SL, Olsson D, et al. Birch pollen, air pollution and their interactive effects on airway symptoms and peak expiratory flow in allergic asthma during pollen season – a panel study in Northern and Southern Sweden. Environ Health. 2022;21:63.\n- 23. Ekström M, Johannessen A, Abramson MJ, et al. Breathlessness across generations: results from the RHINESSA generation study. Thorax. 2022;77(2): 172-177.\n- 24. Ziegler B, Fernandes AK, Sanches PR, Konzen GL, Dalcin Pde T. Variability of dyspnea perception in healthy subjects\n\nassessed through inspiratory resistive loading. J Bras Pneumol. 2015;41(2): 143-150.\n\n- 25. Ekström M, Bornefalk H, Sköld M, et al. Validation of the Swedish Multidimensional Dyspnea Profile (MDP) in outpatients with cardiorespiratory disease. BMJ Open Respir Res. 2019;6: e000381.\n- 26. Yorke J, Russell AM, Swigris J, et al. Assessment of dyspnea in asthma: validation of The Dyspnea-12. J Asthma. 2011;48(6):602-608.\n- 27. Boulet LP, Boulay ME, Cote A, et al. Airway inflammation and hyperresponsiveness in subjects with respiratory symptoms and normal spirometry. Eur Respir J. 2023;61(3): 2201194.\n- 28. Gerstein E, Bierbrier J, Whitmore GA, et al. Impact of undiagnosed chronic obstructive pulmonary disease and asthma on symptoms, quality of life, healthcare use, and work productivity. Am J Respir Crit Care Med. 2023;208(12):1271-1282.\n- 29. Aaron SD, Vandemheen K, Whitmore GA, et al. Early diagnosis and treatment of COPD and asthma: a randomized, controlled trial. N Engl J Med. 2024;390(22):2061-2073.\n- 30. Han MK, Ye W, Wang D, et al. Bronchodilators in tobacco-exposed persons with symptoms and preserved lung function. N Engl J Med. 2022;387(13): 1173-1184.\n- 31. Marott JL, Ingebrigtsen TS, Çolak Y, et al. Impact of the metabolic syndrome on cardiopulmonary morbidity and mortality in individuals with lung function impairment: a prospective cohort study of the Danish general population. Lancet Reg Health Eur. 2023;35:100759.\n- 32. Stefan MS, Priya A, Martin B, et al. How well do patients and providers agree on the severity of dyspnea? J Hosp Med. 2016;11(10):701-707.\n- 33. Cherian M, Magner KMA, Whitmore GA, et al. Patient and physician factors associated with symptomatic undiagnosed asthma or COPD. Eur Respir J. 2023;61(2): 2201721.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Can I put my plants directly on my compost ?", - "target_page": 2, - "target_passage": "Don’t\tput\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t\t compost\tthoroughly\tinto\texisting\tsoil\tbefore\t\t\t planting.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## Compost Questions and Answers\n\n#### **What is compost?**\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil – it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n#### **What materials (\"feedstocks\") are used to make compost?**\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n#### **How do I know I'm getting safe, quality compost?**\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n#### **What about weed seeds, plant diseases or pesticide residues?**\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n# Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\nl The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n\n- l Please keep yard debris free of :\n\t- x Garbage x Plastic of any sort\n- Plastic plant pots\n- Plastic plant tabs\n- Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n\t- x Rock, brick, or masonry x Glass or metal x Pet waste.\n\t-\n\t-\n\n* Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n#### Ask Your Compost Supplier\n\n**Whether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:**\n\n- **• What ingredients go into your compost?**\n- **• What compost products or blends do you sell?**\n- **• Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)**\n\t- **• Which product is best for my intended use?**\n\t- **• What application rate do you recommend?**\n\t\t- **• How much do I need for my area? (Or see pages 4-6.)**\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\n**Compost** is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\n**Mulch** is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\n**Peat Moss** is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\n**Fertilizers** are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\n**Topsoil** that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\nCompost improves soil structure and plant growth by\n\n- Replenishing soil organic matter, and storing nutrients in plant-available forms\n- Supporting beneficial soil life\n- Reducing erosion and water run-off\n- Loosening clay soils for better root development (increasing soil pore space)\n- Retaining moisture in sandy soils so plants need less watering.", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n#### **Healthy Soil:**\n\n- l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n- l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n- l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\n#### **Soil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.**\n\n#### **Washington State Encourages the Use of Compost, to Protect Our Water Quality**\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at **www.SoilsforSalmon.org** or **www.BuildingSoil.org.**\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n#### **What to Look for in Compost**\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n- l with a dark, crumbly texture\n- l with a mild odor\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## **Quality Testing at Composting Facilities**\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the \"Seal of Testing Assurance\" (STA) testing program. See \"Resources\" on page 11 to learn more.\n\n#### **Remember:**\n\n**Your compost provider can help you pick the best compost mix for your needs.**", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\n**Special thanks:** the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n- \n# **original artwork provided by:**\n\n## Tips to Remember:\n\n- *• Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.*\n- *• When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.*\n- *• Ask your compost supplier which compost product is best for your intended use.*\n- *• Use compost at the recommended application rate.*\n- *• To maintain healthy soil, reapply compost or mulch every 1-2 years.*\n- *• Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.*\n- *• Compost can also reduce your lawn and garden's summer irrigation needs.*\n- *• Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.*", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## **1. Grinding Organic Materials:**\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n- Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n- Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## **2. Heating Up:**\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n#### **3. Finishing:**\n\nTypically \"finished\" compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n## Applications for Compost\n\n#### **Planting New Garden Beds or Lawns**\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n#### **Mulch (surface applications on landscape beds)**\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n#### **Top Dressing for Lawns**\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n#### **Blended (Manufactured) Topsoils**\n\nGood quality \"topsoil\" products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n#### **When to Use Compost?**\n\n- Any time you're preparing soil for planting\n- Mulching beds and gardens in spring, summer, or fall\n- Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "**Compost adds organic material and nutrients to the soil, increases water-holding capacity and biological activity, and improves plant growth and health.**", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## How Much Compost to Use\n\n- l Estimate the planting area (Math Hint: Square feet = length x width)\n- l Decide upon the appropriate application depth of the compost (page 4)\n- l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n- l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n\n## **Question:** *I have a plot about this big, how much compost do I buy?*\n\n| Plot Size | # of Sq Feet | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- | --- |\n| | | or Top-dressing | lawns or gardens |\n| 5' x 10' plot | 50 sq ft | 2.08 cu ft of compost | 8.33 cu ft of compost (0.31 cu yd) |\n| 10' x 10' plot | 100 sq ft | 4.17 cu ft of compost | 16.66 cu ft of compost (0.62 cu yd) |\n| 20 x 50' plot | 1000 sq ft | 41.7 cu ft of compost | 166.7 cu ft of compost (6.2 cu yd) |\n| 1 acre | 43,600 sq ft | 1,815 cu ft of compost (67 cu yd) | 7,257 cu ft of compost (268 cu yd) |\n\n## **Question:** *If I buy this much compost, how many square feet will it cover?*\n\n| Compost Quantity | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- |\n| | or Top-dressing | lawns or gardens |\n| 1 cu ft bag of compost | 24 sq foot area | 6 sq foot area |\n| 1.5 cu ft bag of compost | 36 sq foot area | 9 sq foot area |\n| 2.2 cu ft bag of compost | 53 sq foot area | 13 sq foot area |\n| 2.5 cu ft bag of compost | 60 sq foot area | 15 sq foot area |\n| 1 cubic yard of compost | 648 sq foot area | 162 sq foot area |\n\n*Compost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology, demonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at* **www.compostwashington.org.**", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Resources\n\n#### **Compost Organizations**\n\n**Washington Organic Recycling Council** Find a compost producer in your area www.compostwashington.org\n\n**US Composting Council** Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n#### **Restoring the Soil to Protect our Waterways**\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n#### **Natural Lawn & Garden Care, Soils, and Home Composting**\n\n**City of Seattle** www.seattle.gov/util/services/yard\n\n> **King County** www.kingcounty.gov/soils\n\n**Washington State University** www.puyallup.wsu.edu/soilmgmt/\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "#### **HOW DOES IT WORK?**\n\n**When to put my garbage container outside?** The evening before the waste collection day.\n\n**Who is responsible for the maintenance of the containers?** You will have to keep them in a clean working state (periodical washing).\n\n**Container stolen: What to do?** In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n**Out container = full container** Put your rubbish container out only when full.\n\n**Attention !** Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n### **HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get tips for good composting practice.** Only during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department). 30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops**. Registration and information with the service.\n\n| Compost kit | Plastic | Wood |\n| --- | --- | --- |\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n* Only payment by cheque made payable to the 'Tresor Public' are accepted\n\n**Specific condition of acquisition apply according to your municipality of residence\n\n| Town | Black container | Yellow container |\n| --- | --- | --- |\n| AGNAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| ALLEMANS-DU-DROPT | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ARMILLAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| BOURGOUGNAGUE | WEDNESDAY | FRIDAY |\n| | green weeks | white weeks |\n| CAMBES | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| LACHAPELLE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| LAPERCHE | TUESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| LA-SAUVETAT-DU-DROPT | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| LAUZUN | MONDAY | FRIDAY |\n| | green weeks | white weeks |\n| LAVERGNE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MIRAMONT-DE-GUYENNE | TUESDAY | THURSDAY |\n| | green weeks | white weeks |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| MONTIGNAC-TOUPINERIE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MOUSTIER | WEDNESDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| PEYRIÈRE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| PUYSSERAMPION | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ROUMAGNE | MONDAY | THURSDAY |\n| | white weeks | green weeks |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| SAINT-PARDOUX-ISAAC | MONDAY | FRIDAY |\n| | white weeks | green weeks |\n| SEGALAS | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n\n#### **MORE QUESTIONS ?**\n\nWebsite: **www.ccpl47.fr** / Section En Pratique > Environnement > Gestion des déchets\n\n**Environnement Service**:\n\n12 rue du Renfort 47410 LAUZUN\n\n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr Composting** : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\n**Recycling centre access, registration or modification** : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## **INSTRUCTIONS**\n\n### in the Pays de Lauzun district\n\n#### **RECYCLABLE WASTE**\n\n### **ORGANIC WASTE**", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "What are fertilizers ?", - "target_page": 4, - "target_passage": " Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Compost Questions and Answers\n\n#### **What is compost?**\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil – it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n#### **What materials (\"feedstocks\") are used to make compost?**\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n#### **How do I know I'm getting safe, quality compost?**\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n#### **What about weed seeds, plant diseases or pesticide residues?**\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n# Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\nl The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n\n- l Please keep yard debris free of :\n\t- x Garbage x Plastic of any sort\n- Plastic plant pots\n- Plastic plant tabs\n- Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n\t- x Rock, brick, or masonry x Glass or metal x Pet waste.\n\t-\n\t-\n\n* Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n#### **Healthy Soil:**\n\n- l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n- l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n- l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\n#### **Soil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.**\n\n#### **Washington State Encourages the Use of Compost, to Protect Our Water Quality**\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at **www.SoilsforSalmon.org** or **www.BuildingSoil.org.**\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n#### **What to Look for in Compost**\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n- l with a dark, crumbly texture\n- l with a mild odor\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## **Quality Testing at Composting Facilities**\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the \"Seal of Testing Assurance\" (STA) testing program. See \"Resources\" on page 11 to learn more.\n\n#### **Remember:**\n\n**Your compost provider can help you pick the best compost mix for your needs.**", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n#### Ask Your Compost Supplier\n\n**Whether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:**\n\n- **• What ingredients go into your compost?**\n- **• What compost products or blends do you sell?**\n- **• Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)**\n\t- **• Which product is best for my intended use?**\n\t- **• What application rate do you recommend?**\n\t\t- **• How much do I need for my area? (Or see pages 4-6.)**\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\n**Compost** is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\n**Mulch** is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\n**Peat Moss** is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\n**Fertilizers** are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\n**Topsoil** that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\nCompost improves soil structure and plant growth by\n\n- Replenishing soil organic matter, and storing nutrients in plant-available forms\n- Supporting beneficial soil life\n- Reducing erosion and water run-off\n- Loosening clay soils for better root development (increasing soil pore space)\n- Retaining moisture in sandy soils so plants need less watering.", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## **1. Grinding Organic Materials:**\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n- Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n- Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## **2. Heating Up:**\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n#### **3. Finishing:**\n\nTypically \"finished\" compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n## Applications for Compost\n\n#### **Planting New Garden Beds or Lawns**\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n#### **Mulch (surface applications on landscape beds)**\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n#### **Top Dressing for Lawns**\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n#### **Blended (Manufactured) Topsoils**\n\nGood quality \"topsoil\" products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n#### **When to Use Compost?**\n\n- Any time you're preparing soil for planting\n- Mulching beds and gardens in spring, summer, or fall\n- Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "**Compost adds organic material and nutrients to the soil, increases water-holding capacity and biological activity, and improves plant growth and health.**", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Resources\n\n#### **Compost Organizations**\n\n**Washington Organic Recycling Council** Find a compost producer in your area www.compostwashington.org\n\n**US Composting Council** Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n#### **Restoring the Soil to Protect our Waterways**\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n#### **Natural Lawn & Garden Care, Soils, and Home Composting**\n\n**City of Seattle** www.seattle.gov/util/services/yard\n\n> **King County** www.kingcounty.gov/soils\n\n**Washington State University** www.puyallup.wsu.edu/soilmgmt/\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\n**Special thanks:** the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n- \n# **original artwork provided by:**\n\n## Tips to Remember:\n\n- *• Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.*\n- *• When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.*\n- *• Ask your compost supplier which compost product is best for your intended use.*\n- *• Use compost at the recommended application rate.*\n- *• To maintain healthy soil, reapply compost or mulch every 1-2 years.*\n- *• Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.*\n- *• Compost can also reduce your lawn and garden's summer irrigation needs.*\n- *• Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.*", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## How Much Compost to Use\n\n- l Estimate the planting area (Math Hint: Square feet = length x width)\n- l Decide upon the appropriate application depth of the compost (page 4)\n- l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n- l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n\n## **Question:** *I have a plot about this big, how much compost do I buy?*\n\n| Plot Size | # of Sq Feet | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- | --- |\n| | | or Top-dressing | lawns or gardens |\n| 5' x 10' plot | 50 sq ft | 2.08 cu ft of compost | 8.33 cu ft of compost (0.31 cu yd) |\n| 10' x 10' plot | 100 sq ft | 4.17 cu ft of compost | 16.66 cu ft of compost (0.62 cu yd) |\n| 20 x 50' plot | 1000 sq ft | 41.7 cu ft of compost | 166.7 cu ft of compost (6.2 cu yd) |\n| 1 acre | 43,600 sq ft | 1,815 cu ft of compost (67 cu yd) | 7,257 cu ft of compost (268 cu yd) |\n\n## **Question:** *If I buy this much compost, how many square feet will it cover?*\n\n| Compost Quantity | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- |\n| | or Top-dressing | lawns or gardens |\n| 1 cu ft bag of compost | 24 sq foot area | 6 sq foot area |\n| 1.5 cu ft bag of compost | 36 sq foot area | 9 sq foot area |\n| 2.2 cu ft bag of compost | 53 sq foot area | 13 sq foot area |\n| 2.5 cu ft bag of compost | 60 sq foot area | 15 sq foot area |\n| 1 cubic yard of compost | 648 sq foot area | 162 sq foot area |\n\n*Compost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology, demonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at* **www.compostwashington.org.**", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "# **Glossary of terms and abbreviations**\n\nAD – Activity Data AWMS – Animal Waste Management System BOD – Biochemical Oxygen Demand C – Carbon C2F6 – Hexafluoroethane CF4 – Tetrafluoromethane CH4 – Methane CO – Carbon Monoxide CO2 – Carbon dioxide COD – Chemical Oxygen Demand dm – dry matter Gg – Gigagram ha – hectare HFC – Hydrofluorocarbon hl – hectolitre k – kilo kg – kilogram kha – kilo hectare kt – kilotonne LTO – Landing/Take Off LUCF – Land-Use Change and Forestry LULUCF – Land Use, Land-Use Change and Forestry m3 – cubic meter MCF – Methane Correction Factor Mg – Megagram Mha – Megahectare MSW – Municipal Solid Waste N – Nitrogen N2O – Nitrous Oxide NFP – National Focal Point NH3 – Ammonia NMVOC – Non-Methane Volatile Organic Compound NOX – Nitrogen Dioxide PFC – Perfluorocarbon RA - Reference Approach SE – Sectoral Expert SF6 – Sulphur Hexafluoride SO2 – Sulphur Dioxide SWDS – Solid Waste Disposal Site t – tonne Tg – Teragram TJ – Terajoules XML – Extensible Markup Language year t – inventory year", - "page_start": 43, - "page_end": 43, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### **3. Emission factors**\n\n- *a. Ozone precursors and SO2 from oil refining Crude oil throughput* NOx = 0.06 CO = 0.09 NMVOC = 0.62 SO2 = 0.93\n- *b. Ozone precursors and SO2 from oil refining Catalytic cracker throughput* NOx = 0.2 CO = 42.6 NMVOC = 0.6 SO2 = 1.5\n- *c. NMVOC emissions from storage and handling Crude oil throughput* Secondary seals = 0.2 Primary seals = 0.7 Fixed Roof = 4.9\n- *d. SO2 from Sulphur Recovery Plants* **139 kg/t**\n- **4. CKD correction factor** = 1.02\n- **5. Methane Correction Factor (MCF)** Managed — 1.0 Unmanaged – deep (>= 5m) — 0.8 Unmanaged – shallow (< 5m) — 0.4 Methane Correction Factor — 0.6\n- **6. Inventory time period** *(for Cropland remaining Cropland Carbon stock change Mineral soils)* = **20 years**", - "page_start": 49, - "page_end": 49, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Explain to me what is peat moss ?", - "target_page": 4, - "target_passage": "Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process. Their controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n#### Ask Your Compost Supplier\n\n**Whether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:**\n\n- **• What ingredients go into your compost?**\n- **• What compost products or blends do you sell?**\n- **• Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)**\n\t- **• Which product is best for my intended use?**\n\t- **• What application rate do you recommend?**\n\t\t- **• How much do I need for my area? (Or see pages 4-6.)**\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\n**Compost** is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\n**Mulch** is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\n**Peat Moss** is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\n**Fertilizers** are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\n**Topsoil** that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\nCompost improves soil structure and plant growth by\n\n- Replenishing soil organic matter, and storing nutrients in plant-available forms\n- Supporting beneficial soil life\n- Reducing erosion and water run-off\n- Loosening clay soils for better root development (increasing soil pore space)\n- Retaining moisture in sandy soils so plants need less watering.", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n#### **What is compost?**\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil – it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n#### **What materials (\"feedstocks\") are used to make compost?**\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n#### **How do I know I'm getting safe, quality compost?**\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n#### **What about weed seeds, plant diseases or pesticide residues?**\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n# Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\nl The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n\n- l Please keep yard debris free of :\n\t- x Garbage x Plastic of any sort\n- Plastic plant pots\n- Plastic plant tabs\n- Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n\t- x Rock, brick, or masonry x Glass or metal x Pet waste.\n\t-\n\t-\n\n* Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n#### **Healthy Soil:**\n\n- l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n- l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n- l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\n#### **Soil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.**\n\n#### **Washington State Encourages the Use of Compost, to Protect Our Water Quality**\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at **www.SoilsforSalmon.org** or **www.BuildingSoil.org.**\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n#### **What to Look for in Compost**\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n- l with a dark, crumbly texture\n- l with a mild odor\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## **Quality Testing at Composting Facilities**\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the \"Seal of Testing Assurance\" (STA) testing program. See \"Resources\" on page 11 to learn more.\n\n#### **Remember:**\n\n**Your compost provider can help you pick the best compost mix for your needs.**", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## **1. Grinding Organic Materials:**\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n- Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n- Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## **2. Heating Up:**\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n#### **3. Finishing:**\n\nTypically \"finished\" compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n## Applications for Compost\n\n#### **Planting New Garden Beds or Lawns**\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n#### **Mulch (surface applications on landscape beds)**\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n#### **Top Dressing for Lawns**\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n#### **Blended (Manufactured) Topsoils**\n\nGood quality \"topsoil\" products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n#### **When to Use Compost?**\n\n- Any time you're preparing soil for planting\n- Mulching beds and gardens in spring, summer, or fall\n- Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\n**Special thanks:** the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n- \n# **original artwork provided by:**\n\n## Tips to Remember:\n\n- *• Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.*\n- *• When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.*\n- *• Ask your compost supplier which compost product is best for your intended use.*\n- *• Use compost at the recommended application rate.*\n- *• To maintain healthy soil, reapply compost or mulch every 1-2 years.*\n- *• Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.*\n- *• Compost can also reduce your lawn and garden's summer irrigation needs.*\n- *• Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.*", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "#### **Moving to the on-premises Power Systems cloud**\n\nTo show the seamless movement, delete the pod in the public cloud and bring it up in the on-premises cloud (Power Systems cluster), as shown in Example C-3.\n\n*Example C-3 Deleting the pod in the public cloud and bringing it up in the Power Systems cloud*\n\n[root@ip-10-0-2-217 ~]# oc delete pod appmongo-ibm-mongodb-dev pod \"appmongo-ibm-mongodb-dev\" deleted [root@ip-10-0-2-217 ~]# oc get pod appmongo-ibm-mongodb-dev Error from server (NotFound): pods \"appmongo-ibm-mongodb-dev\" not found [root@ip-10-0-2-217 ~]# [root@dcocp01 ~]# oc apply -f mongo_pod.yaml pod/appmongo-ibm-mongodb-dev created [root@dcocp01 ~]# oc get pod appmongo-ibm-mongodb-dev NAME READY STATUS RESTARTS AGE appmongo-ibm-mongodb-dev 1/1 Running 0 9s [root@dcocp01 ~]#\n\nThe script checks again, validates that the pod is now running in the on-premises cloud, and points the tunnel to it, as shown in Figure C-3.\n\n*Figure C-3 Changing the tunnel to the on-premises cloud*", - "page_start": 260, - "page_end": 260, - "source_file": "sg248459.pdf" - }, - { - "text": "## Resources\n\n#### **Compost Organizations**\n\n**Washington Organic Recycling Council** Find a compost producer in your area www.compostwashington.org\n\n**US Composting Council** Seal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n#### **Restoring the Soil to Protect our Waterways**\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n#### **Natural Lawn & Garden Care, Soils, and Home Composting**\n\n**City of Seattle** www.seattle.gov/util/services/yard\n\n> **King County** www.kingcounty.gov/soils\n\n**Washington State University** www.puyallup.wsu.edu/soilmgmt/\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "To understand what is going on you first need to understand that each SPARQL query consists of two parts. The first part at the beginning consists of several namespace prefixes. These statements consist of the prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that these concepts were described in chapter 7. You may be wondering where all these prefixes came from since you didn't add them to your ontology. The answer is that every OWL ontology comes with a set of namespaces and prefixes that are required to define the ontology.\n\nAlso, to understand SPARQL you need to \"peak under the hood\" of OWL. So far, we have been discussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any language or database there is a lower level that describes how the concepts are mapped to actual data. In a relational database the fundamental construct to represent data is a table. In OWL the fundamental construct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF (Resource Description Framework) is a language to describe graphs (in the mathematical sense of the term). I.e., to describe nodes and links.\n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in what is called an undirected or network graph because objects can be subjects and vice versa. Whenever you define a property in OWL you are defining a predicate. An individual can be a subject or an object (or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example Customer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object.\n\nHowever, classes and properties themselves are also represented as triples. So for example, when you create the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to the ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add NamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:**s**ubClassOf Pizza.\n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities that are the subjects of triples where the predicate is rdfs:**s**ubClassOf and the object is any other entity. The *?* before a name indicates that the name is a wildcard that can match anything that fits with the rest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate or even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this case our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the name of a class while in others it is a class expression with an orange circle in front of it. This is because when defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL axioms.\n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query determines what to match in the query. If you want to display everything matched in the WHERE clause you can just use a * for the SELECT clause. The initial default query in this tab is set up with no knowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes regardless of the ontology. To get information about Pizzas the first thing we need to do is to add another prefix to the beginning of the query. In our case the Pizza ontology has been set up with a mapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab discussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement:\n\n#### PREFIX pizza: \n\nWe are almost ready to query the actual ontology. For our first query let's find all the Pizzas purchased by a Customer. The SPARQL code for this is:", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## How Much Compost to Use\n\n- l Estimate the planting area (Math Hint: Square feet = length x width)\n- l Decide upon the appropriate application depth of the compost (page 4)\n- l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n- l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n\n## **Question:** *I have a plot about this big, how much compost do I buy?*\n\n| Plot Size | # of Sq Feet | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- | --- |\n| | | or Top-dressing | lawns or gardens |\n| 5' x 10' plot | 50 sq ft | 2.08 cu ft of compost | 8.33 cu ft of compost (0.31 cu yd) |\n| 10' x 10' plot | 100 sq ft | 4.17 cu ft of compost | 16.66 cu ft of compost (0.62 cu yd) |\n| 20 x 50' plot | 1000 sq ft | 41.7 cu ft of compost | 166.7 cu ft of compost (6.2 cu yd) |\n| 1 acre | 43,600 sq ft | 1,815 cu ft of compost (67 cu yd) | 7,257 cu ft of compost (268 cu yd) |\n\n## **Question:** *If I buy this much compost, how many square feet will it cover?*\n\n| Compost Quantity | 1/2\" Deep - Mulching | 2\" Deep - Amending new |\n| --- | --- | --- |\n| | or Top-dressing | lawns or gardens |\n| 1 cu ft bag of compost | 24 sq foot area | 6 sq foot area |\n| 1.5 cu ft bag of compost | 36 sq foot area | 9 sq foot area |\n| 2.2 cu ft bag of compost | 53 sq foot area | 13 sq foot area |\n| 2.5 cu ft bag of compost | 60 sq foot area | 15 sq foot area |\n| 1 cubic yard of compost | 648 sq foot area | 162 sq foot area |\n\n*Compost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology, demonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at* **www.compostwashington.org.**", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "```\n[root@dcocp01 daniel]# oc apply -f nfspvc.yaml\npersistentvolumeclaim/appmongo-ibm-mongodb-dev-datavolume created\n[root@dcocp01 daniel]# oc apply -f secret.yaml\nsecret/appmongo-ibm-mongodb-dev created\n[root@dcocp01 daniel]# oc apply -f service.yaml\nservice/appmongo-ibm-mongodb-dev created\n[root@dcocp01 daniel]# oc apply -f mongo_pod.yaml\npod/appmongo-ibm-mongodb-dev created\n[root@dcocp01 daniel]#\n```\nExample 7-19 shows the MongoDB Pod running, and the service correctly listening to the expected port.\n\n*Example 7-19 MongoDB Pod running and port 32767 listening for connections*\n\n```\n[root@dcocp01 daniel]# oc get pod appmongo-ibm-mongodb-dev\nNAME READY STATUS RESTARTS AGE\nappmongo-ibm-mongodb-dev 1/1 Running 0 7m\n[root@dcocp01 daniel]# telnet localhost 32767\nTrying ::1...\nConnected to localhost.\nEscape character is '^]'.\n^]\ntelnet> quit\nConnection closed.\n[root@dcocp01 daniel]#\n```\nThe first time you run the MongoDB with a clean pv, it creates the stateful files on the container path /var/lib/mongodb/data.", - "page_start": 189, - "page_end": 189, - "source_file": "sg248459.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "How encourage temporally adjacent representations to be predictive of each other ?", - "target_page": 2, - "target_passage": "One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. ", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Figure 1. A schematic illustration of a hierarchical active inference model. This model links (exteroceptive, interoceptive, and proprioceptive) sensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger, at intermediate levels, and fnally with temporally extended, integrative models of the embodied self at the higher hierarchical level. In this schematic, following predictive coding (Rao and Ballard 1999, Friston 2005), black and red circles represent neural units that encode predictions and prediction errors, respectively. The levels are reciprocally connected, so predictions are propagated from the top-down (black edges) and prediction errors from the bottom-up (red edges). Finally, the pink triangles indicate a mechanism of precision gating (or gain control) of prediction error units, which determines their relative infuence on units encoding predictions. At a neurobiological level, prediction and prediction error units could be mapped to deep and superfcial pyramidal cells in cortical hierarchies, whereas expected precision could be linked to neuromodulatory input. The elements of the generative model shown do not need to map one-to-one to specifc brain areas or networks but are plausibly distributed across many of them. However, as a frst approximation, the lower and intermediate layers of the generative model could be linked to brain networks that process unimodal information (e.g. sensory cortices for exteroceptive information) and multimodal association areas, respectively. The highest level of the generative model could be linked to brain networks that process information about the self, such as the insular cortex, the anterior cingulate cortex, and the medial prefrontal cortex. See Parr et al. (2022) for details about hierarchical generative models supporting adaptive regulation and allostasis and Barrett and Simmons (2015) for their putative neuronal underpinnings. See online article for colored version of this fgure.\n\nare reciprocally linked through top-down connections that convey predictions (black edges) and bottom-up connections that convey prediction errors (red edges), within and across levels. This predictive coding architecture permits inferring (in the Bayesian sense) the most likely causes of sensations, across multiple modalities and multiple hierarchical levels, by minimizing prediction errors at all levels. The rationale is that predictions at all levels are continuously adjusted (and synaptic weights adjusted at a slower time scale) until they match with incoming multimodal stimuli suffciently well, and, consequently, the prediction errors across all levels are minimized. This process entails that even if a predictive coding agent starts with an incorrect prediction (e.g. about what object it is looking at) the prediction errors that measure a discrepancy between the predicted sensations and the actual sensations can help revise the initial predictions. See Parr et al. (2022) for a more detailed explanation of how to interpret these schematics.\n\nAnother critical aspect of Fig. 1 is that it illustrates two pathways in which prediction errors at the proprioceptive and interoceptive levels are used to steer physical actions (refex arcs) and autonomic actions (autonomic refexes). Endowing predictive coding with these refexes—hence realizing an \"active inference\" architecture—permits minimizing prediction errors by changing the state of the world (by physically acting) or the internal milieu (by engaging in autonomic actions) rather than only by changing predictions, as described later.\n\nEquipped with a generative model like the one shown in Fig. 1, an active inference agent can continuously infer (and act upon) the state of the world and of the body, including the internal milieu, at multiple time scales. Of particular interest, here are multimodal inferences that unite exteroceptive and interoceptive sources of evidence. One example of this is the perception of faces expressing emotions. Two studies reported that", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed1.pdf" - }, - { - "text": "# Revisiting Feature Prediction for Learning Visual Representations from Video\n\nAdrien Bardes1,2,3 , Quentin Garrido1,4 , Jean Ponce3,5,6 , Xinlei Chen1 , Michael Rabbat1 , Yann LeCun1,5,6 , Mahmoud Assran1,† , Nicolas Ballas1,†\n\n1FAIR at Meta, 2 Inria, 3École normale supérieure, CNRS, PSL Research University, 4Univ. Gustave Eiffel, CNRS, LIGM, 5Courant Institute, New York University, 6Center for Data Science, New York University † Joint last author\n\nThis paper explores feature prediction as a stand-alone objective for unsupervised learning from video and introduces V-JEPA, a collection of vision models trained solely using a feature prediction objective, without the use of pretrained image encoders, text, negative examples, reconstruction, or other sources of supervision. The models are trained on 2 million videos collected from public datasets and are evaluated on downstream image and video tasks. Our results show that learning by predicting video features leads to versatile visual representations that perform well on both motion and appearance-based tasks, without adaption of the model's parameters; e.g., using a frozen backbone. Our largest model, a ViT-H/16 trained only on videos, obtains 81.9% on Kinetics-400, 72.2% on Something-Something-v2, and 77.9% on ImageNet1K.\n\n### Date: April 15, 2024\n\nCorrespondence: {abardes, massran, ballasn}@meta.com Code: https://github.com/facebookresearch/jepa Blogpost: Click here\n\n# 1 Introduction\n\nHumans possess the remarkable ability to map low-level signals originating from the retina into a semantic spatiotemporal understanding of the world; synthesizing notions such as objects and global motion (Spelke et al., 1995). A long-standing goal of the machine learning community is to identify the principles or objectives that may guide such unsupervised learning in humans (Field, 1994; Berkes and Wiskott, 2005; Hinton, 1989). One related hypothesis is based on the predictive feature principle (Rao and Ballard, 1999), which posits that representations of temporally adjacent sensory stimuli should be predictive of each other.\n\nIn this work, we revisit feature prediction as a standalone objective for unsupervised learning of visual representations from video. Numerous advances in the field such as the standard use of transformer architectures in vision (Dosovitskiy et al., 2020), the maturing of masked autoencoding frameworks (Xie et al., 2021; Bao et al., 2021; He et al., 2021), query-based feature pooling (Chen et al., 2022), joint-embedding predictive architectures (JEPA) (LeCun, 2022; Assran et al., 2023; Baevski et al., 2022b), and larger datasets — form a unique arsenal of tools, which we integrate in a modern and conceptually simple method, the video joint-embedding predictive architecture or V-JEPA, which is based solely on feature prediction, without using pretrained image encoders, text, negative examples, human annotations, or pixel-\n\n### Frozen Evaluation\n\nFigure 1 V-JEPA models pretrained on video learn versatile visual representations. It performs well on motion-based tasks (Something-Something-v2) and appearance-based tasks (Kinetics 400) without adaptation of the model's parameters, i.e., using the same frozen backbone for both tasks.\n\nlevel reconstruction.\n\nWe seek to answer the simple question:\n\nHow effective is feature prediction as a standalone objective for unsupervised learning from video with modern tools?", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv3.pdf" - }, - { - "text": "Feature Prediction versus Pixel Reconstruction. Approaches that predict in pixel space must dedicate significant model capacity and compute to capture all the low-level detail in the visual input. By contrast, approaches that predict in latent space have the flexibility to eliminate irrelevant or unpredictable pixel-level details from the target representation (Vondrick et al., 2016). Predicting in representation space has been shown to lead to versatile representations that perform well across many downstream tasks through linear probing or lowshot adaptation (Assran et al., 2023; Oquab et al., 2023; Assran et al., 2022), while demonstrating an efficiency gain during pretraining compared to pixel level reconstruction (Assran et al., 2023; Baevski et al., 2022b,a). The works of Baevski et al. (2022a,b) additionally show that predicting in representation space results in competitive end-to-end fine-tuning performance in the image, audio and text domains. In this work, we extend these findings to the video modality.\n\n# 3 Methodology: Video-JEPA\n\nFigure 2 Joint-Embedding Predictive Architectures are trained to predict the representation of an input y from the representation of another input x. The additional variable z provides the predictor with information about the transformation that computes y from x.\n\nOur goal is to explore the effectiveness of feature prediction as a stand-alone objective for learning visual representations from video. To that end, we use a joint-embedding predictive architecture (JEPA) (LeCun, 2022); see Figure 2. The main idea behind a JEPA is to learn by predicting the representation of an input y from the representation of another input x. The basic architecture is made up of an encoder, Eθ(·), which computes the representation of the inputs, and a predictor, Pϕ(·), which predicts the representation of y from the representation of x, conditioned on a variable z indicating the transformation (or corruption) between x and y. Conditioning on z enables the generation of distinct predictions for various transformations of x.\n\n### 3.1 Training Objective\n\nWe train our visual encoder Eθ(·) to satisfy the constraint that representations computed from one part of the video, y, should be predictable from representations\n\ncomputed from another part of the video, x. The predictor network Pϕ(·), which maps the representation of x to the representation of y, is trained simultaneously with the encoder, and is provided specification of the spatio-temporal positions of y through the conditioning variable z ← ∆y.\n\nNaively implementing the objective using the regression\n\n$$\\begin{array}{r l}{{\\mathrm{minimize}_{\\theta,\\phi}}}&{{}\\|P_{\\phi}(E_{\\theta}(x),\\Delta_{y})-E_{\\theta}(y)\\|_{1},}\\end{array}$$\n\nwould admit a trivial solution, where the encoder outputs a constant representation, regardless of its input. In practice, we use the following modified objective to prevent representation collapse,\n\nminimize${}_{\\theta,\\phi}\\quad||P_{\\phi}(E_{\\theta}(x),\\Delta_{y})-\\mbox{sg}(\\overline{E}_{\\theta}(y))||_{1},$ (1)\n\nwhere sg(·) denotes a stop-gradient operation, which does not backpropagate through its argument, and Eθ(·) is an exponential moving average of the network Eθ(·). The use of an exponential-moving average feature extractor along with a stop-gradient and a predictor has been used as a collapse prevention strategy for image pretraining (Grill et al., 2020), and studied empirically (Xie et al., 2021) and theoretically (Tian et al., 2021). In fact, the objective in equation (1) is similar to the loss of Assran et al. (2023) used for image pretraining, but we modify it to use an ℓ1 regression, which we found to be more stable.\n\nTheoretical motivation. A theoretical motivation for the effectiveness of this collapse prevention strategy was proposed in Grill et al. (2020) for the BYOL method. We provide a simple adaptation of their analysis for our ℓ1 loss. For ease of exposition, we will disregard the effect of the conditioning variable z and consider one dimensional representations. Denote the representation Eθ(y) by a random variable Y . The optimal predictor under equation (1) is thus given by the following functional expression,\n\n$P^{\\star}(E_{\\theta}(x))=\\text{argmin}_{P}\\|P(E_{\\theta}(x))-Y\\|_{1}$ \n \n$=\\text{median}(Y|E_{\\theta}(x))$. \n \n\nSubstituting this expression for the optimal predictor into the loss function and evaluating the expected gradient of the encoder gives\n\n$$\\nabla_{\\theta}\\mathbb{E}\\|P^{\\star}(E_{\\theta}(x))-Y\\|_{1}=\\nabla_{\\theta}\\mathrm{MAD}(Y|E_{\\theta}(x)),$$\n\nwhere MAD(· |Eθ(x)) is the median absolute deviation of a random variable conditioned on Eθ(x). Thus, in the case where the predictor is optimal, the encoder must learn to capture as much information about the video as possible to minimize the deviation of the target. The hypothesis is that incorporating an exponential moving average to compute the representation of y ensures that the predictor evolves faster than the encoder and remains close to optimal, thereby preventing collapse.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "*Article*\n\n# **Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,† , Jonathan Ehrenreich Laursen 1,† , Conor Heins 2,3,* , Karl Friston 3,4 , Christoph Mathys 5 and Peter Thestrup Waade 5**\n\n- 1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; 202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n- 2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n- 3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n- 4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n- 5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); ptw@cas.au.dk (P.T.W.)\n- ***** Correspondence: cheins@ab.mpg.de\n- † These authors contributed equally to this work.\n\n**Abstract:** We introduce a new software package for the Julia programming language, the library ActiveInference.jl. To make active inference agents with Partially Observable Markov Decision Process (POMDP) generative models available to the growing research community using Julia, we re-implemented the pymdp library for Python. ActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive and behavioural modelling, as it is used in computational psychiatry, cognitive science and neuroscience. This means that POMDP active inference models can now be easily fit to empirically observed behaviour using sampling, as well as variational methods. In this article, we show how ActiveInference.jl makes building POMDP active inference models straightforward, and how it enables researchers to use them for simulation, as well as fitting them to data or performing a model comparison.\n\n**Keywords:** active inference; free energy principle; predictive processing; Markov decision process; cognitive modelling; Julia\n\n**PACS:** 87.15.Aa\n\n**MSC:** 91-08\n\n**JEL Classification:** C63\n\n## **1. Introduction**\n\nWe introduce a novel software library for Julia, ActiveInference, which lets users produce the simulated behaviour of agents and their internal belief states with active inference (AIF) models, as well as fit such models to empirically observed behaviour. AIF [1–3] is a generally applicable formal framework for understanding and simulating intelligent behaviour that is based in neurobiology and first principles from statistical physics [4–8]. AIF treats action and perception as unified under a joint imperative: to minimise the variational free energy (*VFE*), which quantifies how well the agent's internal generative model explains incoming sensory observations. It is an upper bound on the the surprise from sensory observations, making AIF formally related to prediction error\n\nAcademic Editor: Astero Provata\n\nReceived: 25 October 2024 Revised: 2 January 2025 Accepted: 7 January 2025 Published: 12 January 2025\n\n**Citation:** Nehrer, S.W.; Ehrenreich Laursen, J.; Heins, C.; Friston, K.; Mathys, C.; Thestrup Waade, P. Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models. *Entropy* **2025**, *27*, 62. https://doi.org/10.3390/e27010062\n\n**Copyright:** © 2025 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https://creativecommons.org/ licenses/by/4.0/).", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "To that end, we pretrain a family of V-JEPA models on a dataset of 2 million videos collected from publicly available datasets by combining a masked modeling prediction task with a joint-embedding predictive architecture (see Figure 2). We measure performance on several downstream image and video tasks, using both frozen evaluation and end-to-end fine-tuning. Our findings suggest that feature prediction can indeed serve as an effective stand-alone objective for unsupervised learning from video, while using significantly shorter training schedules than pixel prediction methods. Specifically:\n\n- Feature prediction leads to versatile visual representations that perform well across downstream image and video tasks without adaption of the model's weights; i.e., using a frozen backbone. V-JEPA achieves the best performance among methods we consider (+6% accuracy) on the SomethingSomething-v2 task, which requires finegrained temporal understanding. V-JEPA is also competitive on tasks like Kinetics400, where appearance-based features are sufficient and hence state-of-the-art image models such as DINOv2 excel (Figure 1 and Table 6).\n- Models trained with feature prediction are superior to pixel prediction approaches under a frozen evaluation protocol (attentive probing) and are competitive with pixel prediction under full fine-tuning, while using significantly shorter training schedules (Tables 5 and 6).\n- Models trained with feature prediction are more label-efficient than pixel prediction approaches. Decreasing the available number of labeled examples results in an increase in the performance gap between V-JEPA and pixel-reconstruction models (Table 7).\n\n# 2 Related Works\n\nSlow Features. One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. Early works targeting predictive features encouraged representations of individual video frames to be locally temporally invariant, while preventing representation collapse by using spectral methods, as in SFA (Wiskott and Sejnowski, 2002), SSA (Kayser et al., 2001), and Simulated Fixations (Zou et al., 2012). More recently, Goroshin et al. (2015); Wang et al. (2010) train a siamese convolutional network to map the representations of two subsequent frames to the same point, while encouraging distant frames to have diverse representations via a pairwise margin loss and a triplet loss, respectively. Other works (Oord et al., 2018; Surís et al., 2021; Feichtenhofer et al., 2021) implement temporal invariance using noisecontrastive estimation (Gutmann and Hyvärinen, 2012). Our exploration in this paper goes beyond temporal invariance and explores feature prediction using masked modeling.\n\nPredictive Features. Going beyond local invariance, a family of works trains a predictor network to map the representation of a frame or clip at one time-step to a distinct representation at another time-step. Srivastava et al. (2015); Vondrick et al. (2016); Wang et al. (2023b) train such a video feature predictor network on top of a frozen pretrained image or video encoder. Unfreezing the target feature extractor, several methods train the video encoder and the predictor network simultaneously, while preventing collapse by using a supervised action forecasting loss (Girdhar and Grauman, 2021), or by using the representations of distant clips as negative samples in a contrastive loss (Han et al., 2019, 2020; Tan et al., 2023), often focusing on small convolutional encoders (Han et al., 2019, 2020). The idea of learning a representation by predicting missing information in feature space is also core to the joint-embedding predictive architecture (JEPA) (LeCun, 2022), which combines a siamese encoder with a predictor network. JEPAs have been successfully instantiated in several modalities, such as with audio data (Baevski et al., 2022b) and image data (Zhou et al., 2021; Oquab et al., 2023; Assran et al., 2023). In this work, we extend this paradigm to video data by leveraging recent advances in self-supervised learning.\n\nAdvances in Self-Supervised Learning. The use of vision transformers (Dosovitskiy et al., 2020; Li et al., 2022) has become standard practice in self-supervised learning with joint-embedding architectures (Chen et al., 2021; Caron et al., 2021; Oquab et al., 2023; Zhou et al., 2021; Assran et al., 2022), and unlocked masked image modeling in pixel space by parameterizing the pixel decoder as a transformer with learnable mask tokens (Dosovitskiy et al., 2020; Xie et al., 2021; He et al., 2021; Bao et al., 2021), demonstrating a step-change in the representation quality of autoencoding methods (Vincent et al., 2010). This line of generative methods was subsequently extended to video data using spatio-temporal masking (Tong et al., 2022; Feichtenhofer et al., 2022; Wang et al., 2023a; Kalluri et al., 2023; Gupta et al., 2023). It was also recently shown that the representations of masked image autoencoders could be significantly improved by using learnable pooling mechanisms based on cross-attention (Chen et al., 2022). Finally, through careful selection of design choices, the non-contrastive collapse prevention strategy in BYOL (Grill et al., 2020) was recently made to work with image feature prediction methods (Baevski et al., 2022b; Assran et al., 2023), which demonstrated the ability to learn representations that can be leveraged for various downstream tasks without relying on invariance to hand-crafted image transformations.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv3.pdf" - }, - { - "text": "- 33. Kaplan, S. Cognitive maps in perception and thought. In *Image and Environment: Cognitive Mapping and Spatial Behavior*; Transaction Publishers: Piscataway, NJ, USA, 1973; pp. 63–78.\n- 34. 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[CrossRef]\n- 41. Guo, L.; Vu, H.T.; McCombs, M. An expanded perspective on agenda-setting effects: Exploring the third level of agenda setting. *Rev. De Comun.* **2012**, *11*, 51–68.\n- 42. Cheng, Y.; Chan, C.M. The third level of agenda setting in contemporary China: Tracking descriptions of moral and national education (MNE) in media coverage and people's minds. *Int. J. Commun.* **2015**, *9*, 18.\n- 43. Wettler, M.; Rapp, R. Computation of Word Associations Based on Co-occurrences of Words in Large Corpora. In Proceedings of the VLC@ACL 1993, Columbus, OH, USA, 22 June 1993.\n- 44. Collins, A.M.; Quillian, M.R. How to make a language user. In *Organization of Memory*; Academic Press: New York, NY, USA, 1972; p. 309.\n- 45. Danowski, J.A. Inferences from word networks in messages. In *The Content Analysis Reader*; SAGE: Thousand Oaks, CA, USA, 2009; pp. 421–429.\n- 46. Hamed, A.A.; Ayer, A.A.; Clark, E.M.; Irons, E.A.; Taylor, G.T.; Zia, A. Measuring climate change on Twitter using Google's algorithm: Perception and events. *Int. J. Web Inf. Syst.* **2015**, *11*, 527–544. [CrossRef]\n- 47. Haunschild, R.; Leydesdorff, L.; Bornmann, L.; Hellsten, I.; Marx, W. Does the public discuss other topics on climate change than researchers? A comparison of explorative networks based on author keywords and hashtags. *J. Inf.* **2019**, *13*, 695–707. [CrossRef]\n- 48. Veltri, G.A.; Atanasova, D. Climate change on Twitter: Content, media ecology and information sharing behaviour. *Public Underst. Sci.* **2017**, *26*, 721–737. [CrossRef]\n- 49. Abbar, S.; Zanouda, T.; Berti-Equille, L.; Borge-Holthoefer, J. Using twitter to understand public interest in climate change: The case of qatar. In Proceedings of the Tenth International AAAI Conference on Web and Social Media, Cologne, Germany, 17–20 May 2016.\n- 50. Olteanu, A.; Castillo, C.; Diakopoulos, N.; Aberer, K. Comparing events coverage in online news and social media: The case of climate change. In Proceedings of the Ninth International AAAI Conference on Web and Social Media, Oxford, UK, 26–29 May 2015.\n- 51. Hermida, A.; Fletcher, F.; Korell, D.; Logan, D. Share, like, recommend: Decoding the social media news consumer. *J. Stud.* **2012**, *13*, 815–824. [CrossRef]\n- 52. Small, T.A. What the hashtag? A content analysis of Canadian politics on Twitter. *Inf. Commun. Soc.* **2011**, *14*, 872–895. [CrossRef]\n- 53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. *J. Technol. Hum. Serv.* **2012**, *30*, 160–185. [CrossRef]\n- 54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. *Media Commun.* **2016**, *4*, 13.\n- 55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the 6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27 August 2011.\n- 56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hernández, A.; Morris, M.R. Is anyone out there?: Unpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in Computing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758.\n- 57. Tsur, O.; Rappoport, A. What's in a hashtag?: Content based prediction of the spread of ideas in microblogging communities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining, Seattle, WA, USA, 8–12 February 2012; pp. 643–652.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "ing the temporal dynamics of belief changes in experimental participants. Dynamic belief trajectories can then be related to other (for example, physiological) measures, as is usual in model-based neuroscience [65]. This method can also, in principle, be used for fitting models to other types of experimentally observable systems, like animals, organoids [66], and simulated or emergent systems [67]. The package can also be used for agent-based modelling in general, for repeating earlier analyses with sampling based model-fitting and for comparing POMDP-based AIF models directly to other types of models.\n\nSince they implement full approximate Bayesian inferences, AIF models are computationally more demanding than many approaches traditionally used in cognitive and agent-based modelling, in particular when the dimensionality of the generative model is large. This means that models with highly multidimensional or complex behaviour and large numbers of agents can be computationally infeasible to implement, especially given the additional computational demands introduced by fitting these models to empirical data. Avenues for addressing this implicit scaling problem were proposed in the context of machine learning applications [68,69], and with the use of simplifying assumptions—the use of which are ubiquitous in computational modelling—AIF has been used to model multi-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and fish school movements [12]. It remains to be explored how AIF models can be applied to highly complex natural phenomena, such as a concrete election, which underscores the need for efficient but flexible and accessible software tools in the field.\n\nThere are many ways in which ActiveInference can be improved. It would be useful to extend the set of dynamic belief states to include prediction errors since they are often used for model-based neuroscience. This would entail departing from discrete state-space (i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering or predictive coding (see below). An alternative would be to generate prediction errors from belief updating under discrete models, where prediction errors can be read as the (KL) divergence between posterior and prior beliefs (i.e., complexity or information gain). A simple interface could be added for creating custom parametrisations of the requisite parameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed to Dirichlet distributions. Parameter learning could be extended to all generative model parameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or temperature of the parameters that are learned); similarly for the precision over expected free energies *γ*. Preference priors should also be implementable for environmental states, in addition to observations, and **A** can be made action dependent.\n\nA library of pre-made canonical POMDP models could be created so that users can easily implement them directly. Alternatives to the fixed-point iteration method for updating posteriors over environmental states could be included, like the marginal message passing algorithm. There are various ways in which the package can be made more computationally efficient, and it could be compared with other software implementations. There are plenty of utility and plotting functions that could be added to the package to make it easier to use and to facilitate integration with the model-fitting packages it relies on; for example, to allow for combining the models with linear regressions to compare parameters values of different populations in a single model. More complex types of POMDP models can also be added, like hierarchical and temporally deep POMDPs. Model structure learning could be considered, where different model structures are compared and chosen between by evaluating their free energies. Sophisticated inference, where predictions are also made about changes in one's own beliefs—depending on expected action-dependent observations in the future—could also be implemented [58]. Finally, the package could be extended to other types of generative models than POMDPs, including other universal models, like generalised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Li Fei-Fei. Imagenet large scale visual recognition challenge. International Journal of Computer Vision, 115(3): 211–252, 2015.\n\n- Chaitanya Ryali, Yuan-Ting Hu, Daniel Bolya, Chen Wei, Haoqi Fan, Po-Yao Huang, Vaibhav Aggarwal, Arkabandhu Chowdhury, Omid Poursaeed, Judy Hoffman, et al. 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Coca: Contrastive captioners are image-text foundation models. arXiv preprint arXiv:2205.01917, 2022.", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv3.pdf" - }, - { - "text": "| RSW | | | RMF | | | RCLS | | RLLM |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Orig. | | Conf. | Orig. | Conf. | Orig. | Conf. | Orig. | Conf. |\n| LLM pair 2 | | | | | | | | |\n| MT-Bench | 8.5 | 8.3 ± 0.0 | 8.4 | 8.3 ± 0.1 | 8.4 | 8.4 ± 0.1 | 8.4 | 8.3 ± 0.1 |\n| MMLU | 55 | 64 ± 1 | 63 | 64 ± 0 | 58 | 66 ± 1 | 62 | 66 ± 0 |\n| GSM8K | 46 | 64 ± 1 | 51 | 67 ± 1 | 49 | 63 ± 1 | 38 | 63 ± 2 |\n| LLM pair 3 | | | | | | | | |\n| MT-Bench | 8.4 | 8.3 ± 0.0 | 8.1 | 8.3 ± 0.1 | 8.3 | 8.4 ± 0.1 | 8.1 | 8.2 ± 0.1 |\n| MMLU | 51 | 64 ± 1 | 57 | 63 ± 1 | 52 | 66 ± 1 | 59 | 66 ± 1 |\n| GSM8K | 40 | 64 ± 1 | 44 | 67 ± 1 | 45 | 63 ± 1 | 37 | 64 ± 1 |\n\nTable 4: Average benchmark-specific scores of responses to the original and confounded queries with Mistral-7B-Instructv0.3 (LLM pair 2) or Llama-2-7B-chat-hf (LLM pair 3) as the weak model, in the white-box setting. Results further emphasize that the rerouting attack improves quality of responses when there is a significant gap between the weak and strong LLMs.\n\n| Surrogate | | RˆSW | | | RˆMF | | RˆCLS | | | RˆLLM | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Target | RMF | RCLS | RLLM | RSW | RCLS | RLLM | RSW | SFM | RLLM | RSW | RMF | RCLS |\n| MT-Bench | 99 ± 1 | 88 ± 5 | 45 ± 5 | 100 ± 0 | 96 ± 2 | 39 ± 3 | 100 ± 0 | 79 ± 9 | 51 ± 5 | 100 ± 0 | 83 ± 5 | 85 ± 7 |\n| MMLU | 66 ± 5 | 44 ± 11 | 81 ± 3 | 82 ± 4 | 56 ± 7 | 74 ± 2 | 64 ± 6 | 16 ± 7 | 80 ± 5 | 53 ± 4 | 20 ± 5 | 46 ± 11 |\n| GSM8K | 99 ± 1 | 72 ± 11 | 63 ± 4 | 92 ± 2 | 88 ± 3 | 62 ± 4 | 76 ± 6 | 60 ± 9 | 65 ± 8 | 60 ± 8 | 70 ± 7 | 73 ± 10 |\n\nTable 5: Average upgrade rates for our attack in the black-box setting. This is the average percentage of queries rerouted from the weak to strong model under the target router due to a confounder gadget generated using the surrogate. The average downgrade rate (i.e., strong-to-weak rerouting) is 1.2% across all routers. Upgrade rates are lower than in the white-box setting but still high, indicating that the attack transfers.\n\nabnormal about the query. Intuitively, this reflects the fact that while LLMs are built to be robust to noisy inputs, the router itself is not.\n\nIn summary, the attack is highly successful at rerouting queries from the weak to the strong model. Overall, quality improves if there is a significant gap between the strong and weak LLMs used by the router. Either way, confounding has no negative impact on the quality of responses.\n\nBlack-box attack results. Next, we consider the black-box attack, where the attacker does not know the algorithm used by the target router. We assume that the attacker has access to another, surrogate router that it can use to generate confounder gadgets. In effect, we evaluate transferability of the attack from a known, white-box router to unknown, black-box routers.\n\nTable 5 shows the results for all combinations of surrogate (denoted by Rˆ) and target routers. For conciseness we focus on the upgrade and downgrade rates for the remainder of this work. Upgrade rates are lower than in the white-box setting but still high, indicating that the attack transfers. The LLM-based routing algorithm RLLM has the lowest rates, perhaps because it is the most complex of the four. The downgrade rate is 0 in most cases and is 1.2% on average.\n\nTable 6 shows that the black-box attack does not increase the average perplexity of responses as generated by LLM pair 1. Table 7 shows that the attack does not decrease benchmark-specific scores, other than some small decrease in some cases for the MMLU benchmark. For GSM8K, similar to the behaviour observed in the white-box setting, we see an improvement with our attack due to the performance difference between the strong and weak models for this task. This indicates that confounding affects only the routing, not the quality of responses. When the weak model is significantly weaker than the strong model, i.e., LLM pairs 2 and 3, the attack can improve the quality of responses significantly.\n\nQuery-specific gadgets. By default, our gadget generation method is query-independent and the same gadget can be used to reroute any query. An adversary with more resources may instead generate a dedicated gadget for each query (using the same algorithm).\n\nTable 8 and Table 9 show the results for the white-box and black-box settings, respectively. (Here, percentage numbers are not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly perfect; the black-box results are often better but sometimes somewhat worse than those for query-independent gadgets. We conjecture that this is due to some level of overfitting.", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "participants processed faces expressing fear (but not neutral faces or faces expressing other emotions) when their heart rate was high—hence congruent with the fearful expression (Pezzulo et al. 2018, Yu et al. 2021). The generative model shown in Fig. 1 could support this kind of inference by using interoceptive information from the heart (i.e. high heart rate) as evidence that \"there might be something fearful out there\" (Pezzulo 2013). Another more complex example regards emotional awareness and self-awareness—which signifcantly engage the brain regions involved in interoception and the representation of physiological processes (Garfnkel et al. 2013). The generative model shown in Fig. 1 might support processes of emotional awareness in a way that is neither purely bottom-up (i.e. as if interoceptive signals cause emotional awareness) nor top-down (i.e. as if emotional awareness causes interoceptive signals), but rather through a circular causality between central predictions about bodily state that engage autonomic refexes—and interoceptive streams—that update the predictions (Seth and Friston 2016). In this perspective, any representation that induces interoceptive predictions could be associated with emotional or affective content; crucially, this is also the case with some aspects of self-awareness (e.g. recognizing one's own face) that require integrating interoceptive streams with concurrent exteroceptive (e.g. visual) and proprioceptive cues. These examples illustrate that the generative model of Fig. 1 natively implements both the multisensory integration required to unite (for example) interoceptive and exteroceptive streams and the active aspects that are supposed to support emotional and self-processing—and the construction of an \"embodied self\" (i.e. the circular causality between engaging autonomic refexes and capturing the ensuing interoceptive signals).\n\nIn general, the accuracy of the inference of hidden bodily states, the \"embodied self,\" or other aspects of the model depends on the signal-to-noise ratio of the sensations and on the quality of the model. For example, it is diffcult to self-localize in a city if it is dark (low signal-to-noise ratio) or if one does not know the city well (poor model). The inference of hidden bodily and emotional states might function in an analogous manner. If the quality of the afferent interoceptive (e.g. cardiac) signals is low, or if one has a poor model of how one's body functions, then it would estimate one's bodily states such as fatigue incorrectly (which in turn would also impair its adaptive regulation of the same bodily states). Interoceptive signals could be \"too noisy\" for various reasons, which might be related to physiology, infammation, or stress. The body model can be poor in various ways, too. For example, it could poorly characterize the statistical relations between interoceptive sensations and hidden bodily states (e.g. systematically mischaracterize high heart rate as caused by hunger but not fatigue or joy).\n\nFinally, there is a third essential element that determines the accuracy of the inference: precision control. In predictive coding, the infuence of prediction errors on inference is weighted by their precision, i.e. inverse variance (pink triangles in Fig. 1). This weighting would ensure that very reliable sensations have more impact on inference than unreliable sensations. However, precision (like all other variables) needs to be estimated, but this might be incorrect. An incorrect setting of precisions has been associated with various psychopathological conditions, such as psychosis (Adams et al. 2013), eating disorders (Barca and Pezzulo 2020), panic disorders (Maisto et al. 2021), symptom perception (Pezzulo et al. 2019), depression (Barrett et al. 2016), and many others (Khalsa et al. 2018, Paulus et al. 2019). Intuitively, assigning excessively high weight to noisy sensations yields an incorrect inference that tracks the noise rather than the correct state of the estimated variable system (i.e. overftting), whereas assigning excessively low weight to sensations (or excessively high weight to prior knowledge) makes the system poorly responsive to incoming observations that might signal a change in the state of the system—and both are examples of aberrant inference (Friston et al. 2014).\n\nFigure 2 provides a formal illustration of the above by plotting some examples of Bayesian inference using generative models under various levels of precision of the model components. For simplicity, we focus on a simplifed example of inference of an interoceptive variable: one's heart rate. Heart rate is a \"hidden variable\" in Bayesian parlance since it is not directly observable but needs to be inferred through two sources of information: prior knowledge about the most likely heart rate and sensory (heartbeat) observations. The top panel of Fig. 2 shows a series of (noisy) heartbeat observations. In the beginning, they are in the normal range for an adult (time steps 1–10), then they increase signifcantly, simulating tachycardia (time steps 11–20), then they go back to the normal range (time steps 21–30), then they decrease signifcantly, simulating bradycardia (time steps 31–40), and fnally, they go back to the normal range (time steps 41–50).\n\nThe second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The former component is the prior, which encodes the person's a priori probabilistic belief (i.e. probability distribution) about her \"normal\" heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likelihood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals. The results shown in the second panel of Fig. 2 show that Shannon surprise increases dramatically during episodes of tachycardia and bradycardia, which are far from the normal range. The pattern of results is the same across all levels of likelihood precision. However, the inference with a very high precision (a precision of 10) tracks more closely the noise sensory signals and can therefore lead to more extreme results.\n\nThe third panel shows the Bayesian surprise (or the Kullback-Leibler divergence between posterior and prior probability distributions) over time. This is a measure of how much dissimilar the posterior and the prior are, and it always decreases as a result of inference, but note that it decreases much more rapidly when the precision of the likelihood is 10, which is another indication that the posterior is \"overftting,\" meaning that the inference result is excessively biased by the likelihood distribution.\n\nFinally, the two bottom series of panels are organized in two (left and right) columns, which show the frst fve time steps of inference for the two cases with high precision (of 10) and low precision (of 0.1) of the likelihood, respectively. In these plots, the prior distributions are in blue, the posterior distributions are in green, and the likelihoods are in red. It is possible to note that in the left (high precision) panels, the posterior inference closely follows the likelihood (it \"overfts\") after fve time steps and the inferred heart rate is slightly biased (i.e. it is 79). Differently, in the right (low precision) panels, the inference converges much slower to a high precision posterior, but without overftting.\n\nThese simple examples of Bayesian inference illustrate two things. First, sensory observations that are unpredictable given", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What does mean the JEPA acronym ?", - "target_page": 3, - "target_passage": " joint-embedding predictive architecture (JEPA)", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Acronym | Description |\n| --- | --- |\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |\n\n*Table 1-2: Abbreviations and Acronyms*", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "#### Table 8 pretraining hyper-parameters for V-JEPA.\n\n| Hyper-parameter | ViT-L/16224 | ViT-H/16224 | ViT-H/16384 |\n| --- | --- | --- | --- |\n| data | | | |\n| datasets | | VideoMix2M VideoMix2M VideoMix2M | |\n| resolution | 224 | 224 | 384 |\n| num_frames | 16 | 16 | 16 |\n| temporal_stride | 4 | 4 | 4 |\n| horizontal_flip | true | true | true |\n| random_resize_scale | (0.3, 1.0) | (0.3, 1.0) | (0.3, 1.0) |\n| random_resize_aspect_ratio | (0.75, 1.35) | (0.75, 1.35) | (0.75, 1.35) |\n| masking | | | |\n| block_aspect_ratio | (0.75, 1.5) | (0.75, 1.5) | (0.75, 1.5) |\n| shortrange_mask_num_blocks | 8 | 8 | 8 |\n| shortrange_mask_spatial_scale | 0.15 | 0.15 | 0.15 |\n| longrange_mask_num_blocks | 2 | 2 | 2 |\n| longrange_mask_spatial_scale | 0.7 | 0.7 | 0.7 |\n| optimization | | | |\n| batch_size | 3072 | 3072 | 2400 |\n| total_number_of_iterations | 90000 | 90000 | 90000 |\n| warmup_iterations | 12000 | 12000 | 12000 |\n| lr | 6.25e-4 | 6.25×10−4 | 6.25×10−4 |\n| start_lr | 2×10−4 | 2×10−4 | 2×10−4 |\n| final_lr | 1×10−6 | 1×10−6 | 1×10−6 |\n| start_momentum | 0.998 | 0.998 | 0.998 |\n| final_momentum | 1.0 | 1.0 | 1.0 |\n| start_weight_decay | 0.04 | 0.04 | 0.04 |\n| final_weight_decay | 0.4 | 0.4 | 0.4 |\n| scheduler_scale_factor | 1.25 | 1.25 | 1.25 |\n| architecture | | | |\n| patch_size | 16 | 16 | 16 |\n| tubelet_size | 2 | 2 | 2 |\n| pred_depth | 12 | 12 | 12 |\n| pred_embed_dim | 384 | 384 | 384 |\n| hardware | | | |\n| dtype | bfloat16 | bfloat16 | bfloat16 |\n| accelerator | A100 80G | A100 80G | A100 80G |\n\nMulti-Mask Prediction. To increase the efficiency of V-JEPA, we use a multi-masking strategy (Caron et al., 2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in Section 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward propagate the x-encoder and predictor separately for each mask, we only need to compute the y-representation once.\n\n# C Pretraining details\n\nIn section, we report V-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during pretraining.\n\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for the x-encoder and y-encoder. We train three V-JEPA encoders: a ViT-L/16224, a ViT-H/16224 and a ViT-H/16384. All three encoders take as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts, 224 and 384, indicate the spatial resolution of the video clip. V-JEPA flattens the video clip into a sequence of non-overlapping spatio-temporal patches of size 16 × 16 × 2 (see Figure 7). For all three models, the predictor is designed as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For simplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the context-encoder/target-encoder. V-JEPA is pretrained without using a [cls] token.\n\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize the x-encoder and predictor weights. The ViT-L/16224 and ViT-H/16224 models use a batch size of 3072 while the ViT-H/16384 uses a batch size of 2400. Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from 2 × 10−4 to 6.25 × 10−4 during the first 12, 000 iterations of pretraining, and decayed to 10−6 following a cosine schedule.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "# B Extended Description of V-JEPA\n\nIn this section, we provide an in-depth description of our approach V-JEPA that is illustrated in Figure 3.\n\nInput. Unless stated otherwise, during during pretraining, we always randomly sample a clip of 16 frames from each input video with a temporal stride of 4 between sampled frames. An input video clip therefore covers 64 frames in total, or roughly 2 seconds of a given video running at 30 frames per second. We then resize the video's spatial dimensions to 224 × 224, resulting in an overall shape of 16 × 224 × 224 × 3 for the entire clip. Since ViT networks process a 1D sequence of tokens, we must convert an input video clip into a 1D token sequence. To do so, we apply a 3D convolution comprising d filters of size 2 × 16 × 16 with a temporal stride of 2 and a spatial stride of 16, resulting in a tensor of shape 8 × 14 × 14 × d. Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape 1568 × d. This process is demonstrated in Figure 7.\n\nFigure 7 V-JEPA training operates on a video clip flattened into a sequence of tokens. To convert a video clip of size 16 × 224 × 224 × 3 into a 1D token sequence, we apply a 3D convolution comprising d filters of size 2 × 16 × 16 with a temporal stride of 2 and a spatial stride of 16, resulting in a tensor of shape 8 × 14 × 14 × d. Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape 1568 × d.\n\nV-JEPA. We sample both a video clip, and a video mask in each iteration. We denote a video clip represented as a 1D token sequence of length L = 1568 by xL = (x1, . . . , xL). Similarly, given a mask of M < L patches, leaving N = L − M patches unmasked, we denote the indices of masked patches by (i1, . . . , iM) and its complement (the indices of unmasked patches) by (j1, . . . , jN ).\n\nComputing the x-representations. To compute the V-JEPA loss, we first produce the x-representations by masking the video clip and feeding it into the x-encoder; we denote the masked video by xN = (xj1 , . . . , xjN ). Applying the xencoder Eθ(·) to the masked clip gives a sequence of patch representations, denoted as zN = Eθ(xN ) = (zj1 , . . . , zjN ).\n\nPredicting the target. Next, the V-JEPA predictor network Pϕ(·, ·) takes as input the tokens produced by the x-encoder and predicts the missing regions in the video clip, which are specified by a set of learnable mask tokens. Specifically, the mask tokens are parameterized as the sum of a shared learnable vector and an absolute 3D sin-cos positional embedding, denoted by mM = (mi1 , . . . , miM ). The output of the predictor is thus given by, sˆM = Pϕ(zN , mM) = (ˆsi1 , . . . , sˆiM ), corresponding to a d-dimensional output for each of the M masked patches.\n\nComputing the y-representations. Finally to compute the prediction targets, the entire unmasked video clip is processed by the y-encoder to obtain a set of target representations, denoted by sL = Eθ(xL) = (s1, . . . , sL). The V-JEPA loss is now computed as\n\n$$\\text{Loss}=\\frac{1}{M}\\sum_{k\\in(i_{1},...,i_{M})}\\|\\hat{s}_{k}-s_{k}\\|_{1},\\tag{2}$$\n\nwhich is simply the average L1 distance between the output of the predictor and the y-encoder. We then compute a gradient update with respect to the parameters of the x-encoder, θ, and the predictor, ϕ, and subsequently update the parameters of the y-encoder as an exponential moving average of the context encoder weights (Polyak average).", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report the mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than other models; specifically, decreasing the available number of labeled examples from each class increases the performance gap between V-JEPA and the baselines.\n\n| | | | | Frozen Evaluation | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | K400 | | SSv2 | | |\n| | | | (16×8×3) | | (16×2×3) | | |\n| | | 5% | 10% | 50% | 5% | 10% | 50% |\n| Method | Arch. | (∼29 samples per class) | (∼58 samples per class) | (∼287 samples per class) | (∼48 samples per class) | (∼96 samples per class) | (∼440 samples per class) |\n| MVD | ViT-L/16 | 62.6 ± 0.2 | 68.3 ± 0.2 | 77.2 ± 0.3 | 42.9 ± 0.8 | 49.5 ± 0.6 | 61.0 ± 0.2 |\n| VideoMAE | ViT-H/16 | 62.3 ± 0.3 | 68.5 ± 0.2 | 78.2 ± 0.1 | 41.4 ± 0.8 | 48.1 ± 0.2 | 60.5 ± 0.4 |\n| VideoMAEv2 | ViT-g/14 | 37.0 ± 0.3 | 48.8 ± 0.4 | 67.8 ± 0.1 | 28.0 ± 1.0 | 37.3 ± 0.3 | 54.0 ± 0.3 |\n| V-JEPA | ViT-H/16 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| | ViT-H/16384 | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\nlayer attentive probe, which can be further improved to 77.9% using a two-layer attentive probe. More generally, we hypothesize that the datasets used to train V-JEPA and other video models are too constrained and lack the visual diversity of the internet-scale pretraining data used by the images models; as such, there is value in focusing future work on building diverse publicly available video datasets.\n\n# 5.3 Label-efficiency\n\nWe examine the label-efficiency of V-JEPA compared to other self-supervised video models by measuring the ability of the pretrained backbones to adapt to downstream tasks with few labels. Specifically, we investigate the performance of the frozen models on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several lowshot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. Table 7 reports the mean performances and standard deviation using the K400 and SSv2 validation sets.\n\nWe find V-JEPA to be more label-efficient than other self-supervised video models: decreasing the available number of labeled examples for training the attentive probe results in an increase in the performance gap between V-JEPA and the other models. In particular, the performance of the largest V-JEPA model on K400 drops by 12% to 68.2% top-1 when we reduce the number of labeled examples by a factor of 10× (from roughly 287 examples per class to 29 examples per class). By contrast, VideoMAEv2 drops by 30% to 37.0% top-1, VideoMAE drops by 15.9% to 62.3% top-1, and MVD drops by 14.6% to 62.6% top-1.\n\nSimilar observations hold on SSv2. The performance of the largest V-JEPA model on SSv2 drops by 13.9%\n\nto 54.0% top-1 when we reduce the number of labeled examples by a factor of 10× (from roughly 440 examples per class to 48 examples per class). By contrast, Video-MAEv2 drops by 26% to 28.0% top-1, VideoMAE drops by 19.1% to 41.4% top-1, and MVD drops by 18.1% to 42.9% top-1.\n\n# 6 Evaluating the Predictor\n\nNext, we seek to qualitatively inspect the V-JEPA models. Recall that the predictor network in V-JEPA predicts the representations of a masked spatio-temporal region y from a visible region x, given the positional information of the masked regions (see Section 3). To qualitatively investigate the grounding of the feature-space predictions, we freeze the pretrained encoder and predictor networks and train a conditional diffusion decoder to map the V-JEPA predictions to interpretable pixels. Notably, the decoder is only fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions of the video (see Figure 6a).\n\nGiven a masked video, we use the V-JEPA pretrained models to predict the representations of the missing regions, and then use the decoder to project the representations to pixel space. Figure 6b shows decoder outputs for various random seeds. Qualities that are common across samples represent information that is contained in the predictor representation.\n\nFigure 6b shows that the V-JEPA feature predictions are indeed grounded, and exhibit spatio-temporal consistency with the unmasked regions of the video. Specifically, the samples in Figure 6b show that the V-JEPA predictor correctly captures positional uncertainty and produces a variety of visual objects at various locations with consistent motion. Some of the samples also demonstrate an understanding of object-permanence, as the visual objects remain consistent after partial occlusion.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-MAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\n\n| | | | | | | | Frozen Evaluation w/ Att. Pooling | | | Fine-Tuning | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | #Samples | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 | K400-ft | SSv2-ft |\n| Method | Arch. | Seen | Iter. | (16×8×3) | (16×2×3) | | | | | (16×5×3) | (16×2×3) |\n| | Methods pretrained using pixel prediction | | | | | | | | | | |\n| OmniMAE | ViT-L/16 | 2400M | 1170K | 65.6 | 60.6 | 14.4 | 75.1 | 59.8 | 66.1 | 84.0 | 74.2 |\n| VideoMAE | ViT-L/16 | 410M | 400K | 77.8 | 65.5 | 21.6 | 71.1 | 59.3 | 64.6 | 85.4 | 74.3 |\n| Hiera | Hiera-L | 770M | 1500K | 75.5 | 64.2 | 15.8 | 68.9 | 58.5 | 56.9 | 87.3 | 75.1 |\n| V-JEPA | ViT-L/16 | 270M | 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and 384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.\n\n| | | | | | Video Tasks | | | Image Tasks | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 |\n| Method | Arch. | Params. | Data | (16×8×3) | (16×2×3) | | | | |\n| Methods pretrained on Images | | | | | | | | | |\n| I-JEPA | ViT-H/16512 | 630M | IN22K | 79.7 | 50.0 | 19.8 | 84.4 | 66.5 | 85.7 |\n| OpenCLIP | ViT-G/14 | 1800M | LAION | 81.8 | 34.8 | 23.2 | 85.3 | 70.2 | 83.6 |\n| DINOv2 | ViT-g/14 | 1100M | LVD-142M | 83.4 | 50.6 | 24.3 | 86.2 | 68.4 | 88.8 |\n| Methods pretrained on Videos | | | | | | | | | |\n| MVD | ViT-L/16 | 200M | IN1K+K400 | 79.4 | 66.5 | 19.7 | 73.3 | 59.4 | 65.7 |\n| OmniMAE | ViT-H/16 | 630M | IN1K+SSv2 | 71.4 | 65.4 | 16.0 | 76.3 | 60.6 | 72.4 |\n| VideoMAE | ViT-H/16 | 630M | K400 | 79.8 | 66.2 | 20.7 | 72.3 | 59.1 | 65.5 |\n| VideoMAEv2 | ViT-g/14 | 1100M | Un.Hybrid | 71.2 | 61.2 | 12.9 | 71.4 | 60.6 | 68.3 |\n| Hiera | Hiera-H | 670M | K400 | 77.0 | 64.7 | 17.5 | 71.4 | 59.5 | 61.7 |\n| | ViT-L/16 | 200M | | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| V-JEPA | ViT-H/16 | 630M | VideoMix2M | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | ViT-H/16384 | 630M | | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |\n\n# 5 Comparison with Prior Work\n\nIn Section 5.1, we investigate the impact of feature prediction by comparing V-JEPA with video approaches that rely on pixel prediction, while using a similar architecture for all baselines. Subsequently, in Section 5.2, we remove the architectural constraint and report the best performance across architectures for self-supervised video and image pretraining approaches. Finally, we explore the label-efficiency of V-JEPA relative to other selfsupervised video pretraining approaches in Section 5.3. We further detail the evaluation setup in Appendix D.\n\n### 5.1 Comparison with Pixel Prediction\n\nTo investigate the effectiveness of feature prediction pretraining, we first compare V-JEPA to video masked modeling models relying on a pixel prediction loss. We control\n\nfor the possible confounding factor of model architecture by evaluating all models using either a ViT-L/16 encoder, or a Hiera-L encoder, which has a similar number of parameters. For the pixel prediction baselines we consider VideoMAE (Tong et al., 2022; Wang et al., 2023a), which trains vision transformer autoencoders exclusively on video, Hiera (Ryali et al., 2023), which trains a hierarchical transformer autoencoder on video, and OmniMAE (Girdhar et al., 2023), which trains a vision transformer autoencoder on static images and video simultaneously.\n\nTable 5 examines both frozen evaluation with an attentive probe on downstream video and image tasks, as well as end-to-end fine-tuning. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where we achieve 74.8% compared to 75.1% of an OmniMAE model trained directly on Im-", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "| Active ontology | Entities × | Classes x Object properties × | Data properties × | Individuals by class | |\n| --- | --- | --- | --- | --- | --- |\n| Class hierarchy | Class hierarchy (inferred) | | Annotations Usage | | |\n| Class hierarchy (inferred): SpicyP [[]日回図 | | | Annotations: SpicyPizza | | ? 이름 이전 |\n| owl:Thing | | | Annotations | | |\n| Pizza | | | | | |\n| CheesyPizza | | | | | |\n| NamedPizza | | | | | |\n| SpicyPizza | | | Description: SpicyPizza | | 201308 |\n| AmericanaHotPizza | | | | | |\n| VegetarianPizza | | | Equivalent To | | |\n| PizzaBase | | | | | |\n| PizzaTopping | | | Pizza | | |\n| CheeseTopping | | | and has Topping some (has Spiciness value Hot) | | |\n| MeatTopping | | | | | |\n| SeafoodTopping | | | | | |\n| Vegetable Topping | | | | | |\n| CaperTopping | | | | | |\n| MushroomTopping | | | | | |\n| Olive Topping | | | | | |\n| PepperTopping | | | General class axioms | | |\n| | GreenPepperTopping | | | | |\n| | JalapenoPepperTopping | | SubClass Of (Anonymous Ancestor) | | |\n| | RedPepperTopping | | Base some PizzaBase | | |\n| TomatoTopping | | | | | |\n| Spiciness | | | | | |\n| | | | | Reasoner active Show Inferences | = |\n\nFigure 4.25 AmericanHotPizza classified as SpicyPizza\n\n#### **Exercise 26: Create an InterestingPizza that has at least three toppings**\n\n1. Create a subclass of Pizza called InterestingPizza.\n\n2. Click on the Add icon (+) next to the SubClass Of field. Use the Class expression editor tab and enter hasTopping min 3 PizzaTopping and click on OK.\n\n_____________________________________________________________________________________\n\n3. Make sure InterestingPizza is still selected and use the Edit>Convert to defined class option to turn InterestingPizza into a defined class.\n\n4. Run the reasoner.\n\nGo to the Class hierarchy (inferred) tab in the Classes tab and click on InterestingPizza. You should see that there are three Pizza classes that are classified as interesting: AmericanaHotPizza, AmericanaPizza, and SohoPizza.\n\n_____________________________________________________________________________________", - "page_start": 47, - "page_end": 47, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "(4) In this regulation—\n\n\"authorised person\" means—\n\n- (a) a constable,\n- (b) the Civil Aviation Authority,\n- (c) the Secretary of State, or\n- (d) a person authorised by the Civil Aviation Authority or the Secretary of State under the Air Navigation Order 2016(**a**);\n\n\"operator\" has the meaning given in article 4 of the Air Navigation Order 2016;\n\n\"pilot in command\" and \"private aircraft\" have the meanings given in the Air Navigation Order 2016 (see Schedule 1 to that Order);\n\n\"relevant transport service\", in relation to an operator, means a transport service provided by or on behalf of that operator;\n\n\"transport service\" means—\n\n- (a) a relevant service,\n- (b) a shuttle service,\n- (c) a service (other than a relevant service) which—\n\t- (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n\t- (ii) is provided by means of an aircraft (other than a private aircraft), or\n- (d) a flight which—\n\t- (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n\t- (ii) is provided by means of a private aircraft.\n\n# PART 5\n\n### Offences, proceedings and information\n\n#### **Offences and penalties**\n\n**19.**—(1) A person (\"P\") commits an offence where—\n\n- (a) without reasonable excuse P contravenes a requirement in regulation 3 (requirement to provide information);\n- (b) without reasonable excuse P contravenes a requirement in regulation 4 (requirement to possess notification of negative test result);\n- (c) without reasonable excuse P contravenes a requirement in regulation 6 (requirement to book and undertake tests);\n- (d) without reasonable excuse P contravenes a requirement in regulation 7 (requirement to undertake workforce tests);\n- (e) without reasonable excuse P contravenes a requirement in regulation 8 (requirement for offshore installation workers to take tests);\n- (f) P contravenes a requirement in regulation 9 (requirement to self-isolate);\n- (g) without reasonable excuse P contravenes a requirement in or imposed under regulation 11 (enforcement of requirement to self-isolate) apart from paragraph (2) of that regulation;\n\n(<b>a) S.I. 2016/765.", - "page_start": 22, - "page_end": 22, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**Frozen**\n\n(a) Visualization Methodology. We train a conditional diffusion model to decode the V-JEPA feature-space predictions to interpretable pixels; the pretrained V-JEPA encoder and predictor networks are kept frozen in this process. The decoder is only fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions of the video.\n\n(b) Visualizations. First Row: Masked videos used as input to the V-JEPA models (a pretrained ViT-H/16 encoder and its corresponding predictor network). Other rows: Bounding boxes contain various samples from the decoder overlayed on the original video. V-JEPA is not a generative model and the decoder does not have access to the context (first row), so we do not expect samples to exactly match the input. This experiment qualitatively illustrates what information is encoded and predicted by V-JEPA. In particular, characteristics that are common across samples represent information that is encoded in the V-JEPA predictions. V-JEPA generates predictions that are spatially and temporally coherent with unmask region of the video. The predictions also capture consistent motion through time.\n\nFigure 6 Qualitative Analysis. Offline visualizations of the V-JEPA feature-space predictions.\n\n# 7 Conclusion\n\nIn this work, we explored the effectiveness of feature prediction as a stand-alone objective for unsupervised learning from video and introduced V-JEPA, a collection of vision models trained solely using a self-supervised feature prediction objective. The V-JEPA models demonstrate the ability to solve various downstream image and video tasks without adaption of the model parameters, and outperform previous video representation learning approaches in frozen evaluation on action recognition, spatio-temporal action detection, and image classification tasks. Additionally, we show that pretraining V-JEPA on videos is particularly effective for solving downstream tasks requiring fine-grained motion understanding, while large-scale image models trained on internet scale datasets fall short on such tasks. Finally, we empirically observed that V-JEPA models are label-efficient learners, and exhibit good performance on downstream tasks, even when only few labeled examples are available.\n\n# References\n\n- Hassan Akbari, Liangzhe Yuan, Rui Qian, Wei-Hong Chuang, Shih-Fu Chang, Yin Cui, and Boqing Gong. Vatt: Transformers for multimodal self-supervised learning from raw video, audio and text. Advances in Neural Information Processing Systems, 34:24206–24221, 2021.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv3.pdf" - }, - { - "text": "- (d) \"nuclear site licence\" has the meaning given in section 1 of the Nuclear Installations Act 1965(**a**).\n**25.** An inspector from the Organisation for the Prohibition of Chemical Weapons, within the meaning given to \"inspector\" by section 24(e) of the Chemical Weapons Act 1996(**b**), who has travelled to the United Kingdom for the purposes of an inspection.\n\n**26.**—(1) A person who is—\n\n- (a) carrying out a critical function at a space site or spacecraft controller who is responsible for command and control of a launch vehicle or spacecraft for nominal operations, collision avoidance or anomalies; or\n- (b) employed by, or contracted to provide services to, a person who operates or maintains space situational awareness capabilities,\n\nwhere they have travelled to the United Kingdom in the course of their work.\n\n(2) For the purposes of sub-paragraph (1)—\n\n- (a) \"space site\" has the meaning given in paragraph 5(3) of Schedule 4 to the Space Industry Act 2018(**c**);\n- (b) \"space situational awareness capabilities\" means the sensors, systems and analytical services needed to provide time-sensitive warnings of space weather events, orbital collisions, orbital fragmentations or the re-entry of man-made objects from orbit;\n- (c) \"spacecraft\" has the meaning given in section 2(6) of the Space Industry Act 2018;\n- (d) \"spacecraft controller\" means a person competent, authorised and responsible for maintaining safe and secure operation of spacecraft through monitoring the status of a spacecraft, issuing manoeuvre commands or controlling other aspects of the spacecraft that influence its behaviour including its motion in space.\n\n**27.**—(1) A specialist aerospace engineer, or a specialist aerospace worker, where they have travelled to the United Kingdom in the course of their work.\n\n(2) For the purposes of sub-paragraph (1)—\n\n- (a) \"specialist aerospace engineer\" means a person who is employed or otherwise engaged to provide engineering services for the purpose of ensuring the continued operation of aviation activities (including but not limited to the provision of maintenance and repair services for production lines, aviation components, grounded aircraft and new aircraft);\n- (b) \"specialist aerospace worker\" means a person who is employed or otherwise engaged to provide services for the purpose of ensuring safety management and quality assurance as required by relevant standards, guidance and publications on aviation safety produced by the Civil Aviation Authority or the European Union Aviation Safety Agency(**d**).\n\n**28.**—(1) A person engaged in operational, maintenance or safety activities of a downstream oil facility that has a capacity in excess of 20,000 tonnes, where—\n\n- (a) the downstream oil facility is engaged in a specified activity carried on in the United Kingdom in the course of a business, and contributes (directly or indirectly) to the supply\n(<b>a) 1965 c. 57. Section 1 was substituted by paragraph 17 of Schedule 2 to the Energy Act 2013 (c. 32); by virtue of section 1(2), a licence described in section 1(1) is referred to as a \"nuclear site licence\".\n\n(<b>b) 1996 c. 6.\n\n(<b>c) 2018 c. 5.\n\n(<b>d) The Civil Aviation Authority was established under section 1(1) of the Civil Aviation Act 1971 (c. 75). That Act was replaced by a consolidating statute, the Civil Aviation Act 1982 (c. 16), section 2(1) of which provides for the continued existence of the Civil Aviation Authority. There are amendments to section 2 but none is relevant. The European Union Aviation Safety Agency was established by Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018 on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005, (EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91.", - "page_start": 41, - "page_end": 41, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "### **Tip**\n\nAn IAM role is identical in function to an IAM user, with the important distinction that it is not uniquely associated with one entity, but assumable by many entities. Typically, IAM roles correspond to a job function.\n\nA loose analogy for IAM roles are that of professional uniforms: a surgeon's scrubs, a firefighter's hardhat, or a startup CTO's favorite hoodie. Many people can *assume the role* of a surgeon, firefighter, and startup CTO, which identifies them with a certain job function.\n\nOne of the most useful things about IAM roles is they can be associated not only with human entities, but also with AWS services. These types of roles are known as *service roles*. This means you can assign an IAM role directly to a service. With an IAM role assigned to the service instance, you can then associate specific IAM policies with the instance role, so that the service instance itself can access other AWS services. This is extremely useful for automation.\n\n### **Authorization - PARC**\n\nSo far we've been talking about principals. Principals represent the **authentication** component. For authorization, you will attach JSON documents called *IAM policies* to principals.\n\n#### **Principals**\n\nAs mentioned, *principals* are the entities that are allowed or denied access.\n\n#### **Actions**\n\n*Actions* are the type of access that is allowed or denied. Actions are commonly AWS service API calls that represent create, read, describe, list, update, and delete semantics.\n\n#### **Resources**\n\n*Resources* are the AWS resources the action will act upon.\n\nAll AWS resources are identified by an Amazon Resource Name (ARN) . Because AWS services are deployed all over the world, ARNs function like an addressing system to precisely locate a specific component. ARNs have hierarchical structures:\n\narn:partition:service:region:account-id:resource-id", - "page_start": 43, - "page_end": 43, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What is the average performance of the ViT-L/16 architecture on the K710 dataset with 700k samples ?", - "target_page": 5, - "target_passage": "70.9", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-MAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74.8% compared to 75.1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\n\n| | | | | | | | Frozen Evaluation w/ Att. Pooling | | | Fine-Tuning | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | #Samples | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 | K400-ft | SSv2-ft |\n| Method | Arch. | Seen | Iter. | (16×8×3) | (16×2×3) | | | | | (16×5×3) | (16×2×3) |\n| | Methods pretrained using pixel prediction | | | | | | | | | | |\n| OmniMAE | ViT-L/16 | 2400M | 1170K | 65.6 | 60.6 | 14.4 | 75.1 | 59.8 | 66.1 | 84.0 | 74.2 |\n| VideoMAE | ViT-L/16 | 410M | 400K | 77.8 | 65.5 | 21.6 | 71.1 | 59.3 | 64.6 | 85.4 | 74.3 |\n| Hiera | Hiera-L | 770M | 1500K | 75.5 | 64.2 | 15.8 | 68.9 | 58.5 | 56.9 | 87.3 | 75.1 |\n| V-JEPA | ViT-L/16 | 270M | 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |\n\nTable 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution 512 and 384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.\n\n| | | | | | Video Tasks | | | Image Tasks | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | K400 | SSv2 | AVA | IN1K | Places205 | iNat21 |\n| Method | Arch. | Params. | Data | (16×8×3) | (16×2×3) | | | | |\n| Methods pretrained on Images | | | | | | | | | |\n| I-JEPA | ViT-H/16512 | 630M | IN22K | 79.7 | 50.0 | 19.8 | 84.4 | 66.5 | 85.7 |\n| OpenCLIP | ViT-G/14 | 1800M | LAION | 81.8 | 34.8 | 23.2 | 85.3 | 70.2 | 83.6 |\n| DINOv2 | ViT-g/14 | 1100M | LVD-142M | 83.4 | 50.6 | 24.3 | 86.2 | 68.4 | 88.8 |\n| Methods pretrained on Videos | | | | | | | | | |\n| MVD | ViT-L/16 | 200M | IN1K+K400 | 79.4 | 66.5 | 19.7 | 73.3 | 59.4 | 65.7 |\n| OmniMAE | ViT-H/16 | 630M | IN1K+SSv2 | 71.4 | 65.4 | 16.0 | 76.3 | 60.6 | 72.4 |\n| VideoMAE | ViT-H/16 | 630M | K400 | 79.8 | 66.2 | 20.7 | 72.3 | 59.1 | 65.5 |\n| VideoMAEv2 | ViT-g/14 | 1100M | Un.Hybrid | 71.2 | 61.2 | 12.9 | 71.4 | 60.6 | 68.3 |\n| Hiera | Hiera-H | 670M | K400 | 77.0 | 64.7 | 17.5 | 71.4 | 59.5 | 61.7 |\n| | ViT-L/16 | 200M | | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 |\n| V-JEPA | ViT-H/16 | 630M | VideoMix2M | 82.0 | 71.4 | 25.8 | 75.9 | 61.7 | 67.9 |\n| | ViT-H/16384 | 630M | | 81.9 | 72.2 | 25.0 | 77.4 | 62.8 | 72.6 |\n\n# 5 Comparison with Prior Work\n\nIn Section 5.1, we investigate the impact of feature prediction by comparing V-JEPA with video approaches that rely on pixel prediction, while using a similar architecture for all baselines. Subsequently, in Section 5.2, we remove the architectural constraint and report the best performance across architectures for self-supervised video and image pretraining approaches. Finally, we explore the label-efficiency of V-JEPA relative to other selfsupervised video pretraining approaches in Section 5.3. We further detail the evaluation setup in Appendix D.\n\n### 5.1 Comparison with Pixel Prediction\n\nTo investigate the effectiveness of feature prediction pretraining, we first compare V-JEPA to video masked modeling models relying on a pixel prediction loss. We control\n\nfor the possible confounding factor of model architecture by evaluating all models using either a ViT-L/16 encoder, or a Hiera-L encoder, which has a similar number of parameters. For the pixel prediction baselines we consider VideoMAE (Tong et al., 2022; Wang et al., 2023a), which trains vision transformer autoencoders exclusively on video, Hiera (Ryali et al., 2023), which trains a hierarchical transformer autoencoder on video, and OmniMAE (Girdhar et al., 2023), which trains a vision transformer autoencoder on static images and video simultaneously.\n\nTable 5 examines both frozen evaluation with an attentive probe on downstream video and image tasks, as well as end-to-end fine-tuning. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where we achieve 74.8% compared to 75.1% of an OmniMAE model trained directly on Im-", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 16 Sample efficiency. We compare the sample efficiency of pretraining various state-of-the-art image and video models. The #Samples Seen entry corresponds to the number of samples (image or video clips) processed by the network during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. The V-JEPA results in this paper are obtained while processing an order of magnitude fewer samples than previous methods.\n\n| Method | Arch. | Data | #Samples Seen |\n| --- | --- | --- | --- |\n| OpenCLIP | ViT-G/14 | LAION-2B | 39000M |\n| DINOv2 | ViT-g/14 | LVD 142M | 1900M |\n| VideoMAEv2 | ViT-g/14 | UnlabeledHybrid | 1600M |\n| V-JEPA | ViT-H/16384 | VideoMix2M | 210M |\n\nFigure 8 Masking Strategy Ablation. Evaluating a linear probe on a ViT-B/16 pretrained with V-JEPA on K400 under various 3D Multi-Block masking settings. We examine the impact of (a) sampling several masks per video, (b) varying the number of blocks in a mask, and (c) varying the average spatial and temporal masking ratio. A temporal masking ratio of 100% extends the spatial mask across all the frames in the clip. We find it important to maintain a high spatial and temporal masking ratio during pretraining.\n\n(c) Num. Blocks: 2, Spatial Block Size: 160 × 160\n\nFigure 9 Illustration of mask with number of blocks and block size. Each mask is constructed by sampling several (possibly overlapping) blocks and taking their union.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 14 Temporal Coverage on Kinetics-400. We evaluate the effect of temporal coverage on K400. We train an attentive probe on K400 using either 1 clip (≈ 2 seconds of a video) or 8 clips (≈ 16 seconds of a video). To sample N clips, we first divide a video in N equal-length temporal segments and sample one clip at random per segment. The video encoder processes each clip in parallel and all the encoder output tokens are concatenated at the input of the attentive probe. Increasing the temporal coverage from 1 clip per video to 8 clips significantly improves the performance for both our VideoMAE baseline and V-JEPA.\n\n| Method | Arch. | 1 Clip | 8 Clips |\n| --- | --- | --- | --- |\n| VideoMAE | ViT-L/16 | 69.4 | 77.8 |\n| V-JEPA | ViT-L/16 | 73.7 | 80.9 |\n\nTable 15 Finetuning results. We evaluate a V-JEPA model with the finetuning protocol on the K400 and SSv2 datasets using 16 frames per clip and multi-view fusion (5×3 or 2×3) for inference. The #Samples Seen entry corresponds to the number of video clips processed during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. We compare V-JEPA with different video self-supervised learning approaches. We report the VideoMAEv2 results without instruction-turning for consistency with the other approaches. V-JEPA obtains competitive performance using the finetuning protocol.\n\n| Method | Arch. | Pretraining Data | #Samples Seen | K400 | SSv2 |\n| --- | --- | --- | --- | --- | --- |\n| | | | | (16×5×3) | (16×2×3) |\n| VideoMAEv1 | ViT-L/16 | K400 SSv2 | 380M 410M | 85.4 | 74.3 |\n| | ViT-H/16 | K400 SSv2 | 380M 410M | 86.6 | 74.8 |\n| VideoMAEv2 | ViT-H/16 | Un.Hybrid | 1600M | 86.9 | 76.8 |\n| MVD | ViT-L/16 | K400+IN1K | 2400M | 86.4 | 76.7 |\n| | ViT-H/16 | K400+IN1K | 2400M | 87.2 | 77.3 |\n| V-JEPA | ViT-L/16 | VideoMix2M | 270M | 85.6 | 75.1 |\n| | ViT-H/16 | VideoMix2M | 270M | 86.6 | 77.0 |\n\nexamine our multi-masking strategy and find that sampling two masks for each clip (long-range and short-range) to be more effective than sampling just a single mask for each clip.\n\nIn Figure 8c, we explore different average spatial and temporal masking ratio, i.e. the spatial/temporal ratio of the area that is covered by a mask on average for a clip. Recall that each mask is constructed by sampling several (possibly overlapping) blocks and taking their union. We change the average spatial or temporal masking ratio by changing a block spatial or temporal size, as well as the overall number of blocks. We found that low spatial or temporal coverage results in a trivial prediction task, which degrades downstream performance. Based on those results, we sample masks that remove roughly 90% of the frame and extend along the entire temporal dimension of the clip by default.\n\nIn Figure 8b , we explore different block size given an effective spatial masking ratio of 90% and temporal ratio of 100%. We keep the masking ratio approximately constant by changing the block size and the number of block at the same time. We find that sampling several blocks to perform better than sampling a single large block. Figure 9 visually illustrates the effect of sampling several smaller blocks to construct a mask.\n\nIn Figure 8a, we explore the effect of sampling various number of masks per samples. We find that sampling two masks for each clip, with different spatial block sizes for each, to be more effective than sampling just a single mask. We hypothesize that this masking strategy induces complementary tasks. In our experiment, we use this as our default masks sampling.", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report the mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than other models; specifically, decreasing the available number of labeled examples from each class increases the performance gap between V-JEPA and the baselines.\n\n| | | | | Frozen Evaluation | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | K400 | | SSv2 | | |\n| | | | (16×8×3) | | (16×2×3) | | |\n| | | 5% | 10% | 50% | 5% | 10% | 50% |\n| Method | Arch. | (∼29 samples per class) | (∼58 samples per class) | (∼287 samples per class) | (∼48 samples per class) | (∼96 samples per class) | (∼440 samples per class) |\n| MVD | ViT-L/16 | 62.6 ± 0.2 | 68.3 ± 0.2 | 77.2 ± 0.3 | 42.9 ± 0.8 | 49.5 ± 0.6 | 61.0 ± 0.2 |\n| VideoMAE | ViT-H/16 | 62.3 ± 0.3 | 68.5 ± 0.2 | 78.2 ± 0.1 | 41.4 ± 0.8 | 48.1 ± 0.2 | 60.5 ± 0.4 |\n| VideoMAEv2 | ViT-g/14 | 37.0 ± 0.3 | 48.8 ± 0.4 | 67.8 ± 0.1 | 28.0 ± 1.0 | 37.3 ± 0.3 | 54.0 ± 0.3 |\n| V-JEPA | ViT-H/16 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| | ViT-H/16384 | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\nlayer attentive probe, which can be further improved to 77.9% using a two-layer attentive probe. More generally, we hypothesize that the datasets used to train V-JEPA and other video models are too constrained and lack the visual diversity of the internet-scale pretraining data used by the images models; as such, there is value in focusing future work on building diverse publicly available video datasets.\n\n# 5.3 Label-efficiency\n\nWe examine the label-efficiency of V-JEPA compared to other self-supervised video models by measuring the ability of the pretrained backbones to adapt to downstream tasks with few labels. Specifically, we investigate the performance of the frozen models on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several lowshot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. Table 7 reports the mean performances and standard deviation using the K400 and SSv2 validation sets.\n\nWe find V-JEPA to be more label-efficient than other self-supervised video models: decreasing the available number of labeled examples for training the attentive probe results in an increase in the performance gap between V-JEPA and the other models. In particular, the performance of the largest V-JEPA model on K400 drops by 12% to 68.2% top-1 when we reduce the number of labeled examples by a factor of 10× (from roughly 287 examples per class to 29 examples per class). By contrast, VideoMAEv2 drops by 30% to 37.0% top-1, VideoMAE drops by 15.9% to 62.3% top-1, and MVD drops by 14.6% to 62.6% top-1.\n\nSimilar observations hold on SSv2. The performance of the largest V-JEPA model on SSv2 drops by 13.9%\n\nto 54.0% top-1 when we reduce the number of labeled examples by a factor of 10× (from roughly 440 examples per class to 48 examples per class). By contrast, Video-MAEv2 drops by 26% to 28.0% top-1, VideoMAE drops by 19.1% to 41.4% top-1, and MVD drops by 18.1% to 42.9% top-1.\n\n# 6 Evaluating the Predictor\n\nNext, we seek to qualitatively inspect the V-JEPA models. Recall that the predictor network in V-JEPA predicts the representations of a masked spatio-temporal region y from a visible region x, given the positional information of the masked regions (see Section 3). To qualitatively investigate the grounding of the feature-space predictions, we freeze the pretrained encoder and predictor networks and train a conditional diffusion decoder to map the V-JEPA predictions to interpretable pixels. Notably, the decoder is only fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions of the video (see Figure 6a).\n\nGiven a masked video, we use the V-JEPA pretrained models to predict the representations of the missing regions, and then use the decoder to project the representations to pixel space. Figure 6b shows decoder outputs for various random seeds. Qualities that are common across samples represent information that is contained in the predictor representation.\n\nFigure 6b shows that the V-JEPA feature predictions are indeed grounded, and exhibit spatio-temporal consistency with the unmasked regions of the video. Specifically, the samples in Figure 6b show that the V-JEPA predictor correctly captures positional uncertainty and produces a variety of visual objects at various locations with consistent motion. Some of the samples also demonstrate an understanding of object-permanence, as the visual objects remain consistent after partial occlusion.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.\n\n| | | | Frozen Evaluation | | Fine-Tuning |\n| --- | --- | --- | --- | --- | --- |\n| | | K400 | SSv2 | IN1K | K400-ft |\n| Target | Arch. | (16×1×1) | (16×1×1) | | (16×5×3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\nTable 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | | | Frozen Evaluation SSv2 | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Arch. | Data | #Samples | K400 (16×1×1) | (16×1×1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics-400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n# 4 What Matters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction\n\nversus pixel prediction objective, b) the construction of the pretraining data distribution, c) the feature pooling strategy for leveraging the model's representations in downstream tasks, and d) the masking strategy, towards identifying: what to predict from what?\n\n### 4.1 Predicting Representations versus Pixels\n\nWe first ablate the effect of computing the prediction loss in representation space. We train a pair of ViT-L/16 models using either a V-JEPA feature prediction loss, or a mean-squared error loss with the normalized pixel values, as in masked autoencoders (He et al., 2021), and perform a sweep over the learning rate and weight decay schedules for both approaches. All models are pretrained on VideoMix2M for 90K iterations with a batch size of 3072 using multi-block masking. We examine performance on Kinetics-400 (K400), Something-Something-v2 (SSv2), and ImageNet-1K (IN1K), using a frozen backbone with an attentive probe, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on Kinetics-400.\n\nResults of this comparison are reported in Table 1 and indicate that predicting in feature space provides a consistent performance improvement over pixel space prediction in both frozen evaluation of the video backbone, as well as end-to-end fine-tuning.\n\n### 4.2 Pretraining Data Distribution\n\nNext we study the impact of the pretraining data distribution in Table 2. Leveraging large scale datasets", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "#### Table 8 pretraining hyper-parameters for V-JEPA.\n\n| Hyper-parameter | ViT-L/16224 | ViT-H/16224 | ViT-H/16384 |\n| --- | --- | --- | --- |\n| data | | | |\n| datasets | | VideoMix2M VideoMix2M VideoMix2M | |\n| resolution | 224 | 224 | 384 |\n| num_frames | 16 | 16 | 16 |\n| temporal_stride | 4 | 4 | 4 |\n| horizontal_flip | true | true | true |\n| random_resize_scale | (0.3, 1.0) | (0.3, 1.0) | (0.3, 1.0) |\n| random_resize_aspect_ratio | (0.75, 1.35) | (0.75, 1.35) | (0.75, 1.35) |\n| masking | | | |\n| block_aspect_ratio | (0.75, 1.5) | (0.75, 1.5) | (0.75, 1.5) |\n| shortrange_mask_num_blocks | 8 | 8 | 8 |\n| shortrange_mask_spatial_scale | 0.15 | 0.15 | 0.15 |\n| longrange_mask_num_blocks | 2 | 2 | 2 |\n| longrange_mask_spatial_scale | 0.7 | 0.7 | 0.7 |\n| optimization | | | |\n| batch_size | 3072 | 3072 | 2400 |\n| total_number_of_iterations | 90000 | 90000 | 90000 |\n| warmup_iterations | 12000 | 12000 | 12000 |\n| lr | 6.25e-4 | 6.25×10−4 | 6.25×10−4 |\n| start_lr | 2×10−4 | 2×10−4 | 2×10−4 |\n| final_lr | 1×10−6 | 1×10−6 | 1×10−6 |\n| start_momentum | 0.998 | 0.998 | 0.998 |\n| final_momentum | 1.0 | 1.0 | 1.0 |\n| start_weight_decay | 0.04 | 0.04 | 0.04 |\n| final_weight_decay | 0.4 | 0.4 | 0.4 |\n| scheduler_scale_factor | 1.25 | 1.25 | 1.25 |\n| architecture | | | |\n| patch_size | 16 | 16 | 16 |\n| tubelet_size | 2 | 2 | 2 |\n| pred_depth | 12 | 12 | 12 |\n| pred_embed_dim | 384 | 384 | 384 |\n| hardware | | | |\n| dtype | bfloat16 | bfloat16 | bfloat16 |\n| accelerator | A100 80G | A100 80G | A100 80G |\n\nMulti-Mask Prediction. To increase the efficiency of V-JEPA, we use a multi-masking strategy (Caron et al., 2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in Section 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward propagate the x-encoder and predictor separately for each mask, we only need to compute the y-representation once.\n\n# C Pretraining details\n\nIn section, we report V-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during pretraining.\n\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for the x-encoder and y-encoder. We train three V-JEPA encoders: a ViT-L/16224, a ViT-H/16224 and a ViT-H/16384. All three encoders take as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts, 224 and 384, indicate the spatial resolution of the video clip. V-JEPA flattens the video clip into a sequence of non-overlapping spatio-temporal patches of size 16 × 16 × 2 (see Figure 7). For all three models, the predictor is designed as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For simplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the context-encoder/target-encoder. V-JEPA is pretrained without using a [cls] token.\n\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize the x-encoder and predictor weights. The ViT-L/16224 and ViT-H/16224 models use a batch size of 3072 while the ViT-H/16384 uses a batch size of 2400. Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from 2 × 10−4 to 6.25 × 10−4 during the first 12, 000 iterations of pretraining, and decayed to 10−6 following a cosine schedule.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "**SOTA fine-tuned task-specific model on SSv2 (MVD)**\n\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen. We report SSv2 fine-tuning for V-JEPA and pixel-reconstruction baselines using a ViT-L/16 or Hiera-L architecture. V-JEPA outperforms all pixel-reconstruction methods using a ViT-L/16 and matches the Hiera-L performance while seeing significantly less samples during pretraining.\n\nageNet; hence, V-JEPA achieves comparable ImageNet performance despite only pretraining on video.\n\nUnder the fine-tuning protocol, V-JEPA also achieves the best performance of any model trained with a ViT-L/16, and matches the performance of the Hiera-L on SSv2, which benefits from a hierachical prior (Ryali et al., 2023). The V-JEPA models achieve this result while processing significantly fewer samples during pretraining (Figure 4), demonstrating the efficiency of feature prediction as a learning principle.\n\n### 5.2 Comparison with State-of-the-Art\n\nNext, in Table 6, we inspect how the V-JEPA models pretrained on video stack up next to the largest stateof-the-art self-supervised image and video models when freezing the backbone encoder and training an attentive probe on top. Our image pretrained baselines include OpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al., 2023), and I-JEPA (Assran et al., 2023). The Open-CLIP model is trained with a contrastive image-text alignment objective, DINOv2 and I-JEPA are trained with self-supervision. These models are known to excel in their frozen-evaluation performance (Oquab et al., 2023); i.e., their ability to produce visual features that can be applied to many downstream tasks simultaneously, without end-to-end fine-tuning, and thus provide highly competitive baselines. Our video pretrained baselines include VideoMAE (Tong et al., 2022), Omni-MAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023), VideoMAEv2 (Wang et al., 2023a), and MVD (Wang et al., 2023b). The OpenCLIP, DINOv2 and Video-MAEv2 models are parameterized as Giant/Gigantic vision transformer architectures containing over 1B parameters trained on large-scale image or video datasets.\n\nComparison with video models. Compared to large-scale video baselines, the V-JEPA models outperform all previous models on every downstream video\n\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining Time. Wallclock times for all methods are measured on a single GPU with a batch size of 10 clips, using the official codebases for VideoMAE and VideoMAEv2, and linearly extrapolated assuming a global batch size of 2400 samples. However, note that the SSv2 accuracies of video pixel prediction methods are actually obtained with small batch sizes and significantly longer training schedules. V-JEPA outperforms pixel-reconstruction methods while training significantly faster.\n\nand image task with notable margin (see Table 6). Our H/16 model outperforms the largest publicly available VideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera models by at least +5 points in motion understanding (Something-Something-v2), +2 points in action recognition (Kinetics-400), +5 points on action detection (AVA), +1 point on object recognition (ImageNet-1K), +2 points in scene recognition (Places205), and +0.2 points on finegrained recognition (iNaturalist). Moreover, when comparing pretraining wallclock time in Figure 5, we see that V-JEPA achieves this performance with a roughly 2× speedup compared to the large pixel prediction models.\n\nComparison with image models. On tasks that require a fine-grained understanding of motion (Something-Something-v2), the V-JEPA models provide a major improvement (over +21 points) compared to large-scale image baselines, such as DINOv2, OpenCLIP, and I-JEPA. Self-supervised pretraining from videos allows to model dynamic concepts that are not easily learned from static image datasets. Similarly, we observe that the V-JEPA models outperform image-based pretraining on action localization.\n\nOn Kinetics-400, we find image models to perform well; e.g., while DINOv2 (Oquab et al., 2023) previously reported 78.4% on K400 with a linear probe, we improve the frozen evaluation of the g/14 model to 83.4% by using an attentive probe. In this case, our H/16 model achieves 82.0% top-1 accuracy. It is worth noting that the label for many Kinetics videos can be inferred using appearance-based cues, without requiring an understanding of motion (Sevilla-Lara et al., 2021).\n\nThe V-JEPA models narrow the gap with image models on image classification tasks. In particular, V-JEPA achieves a score of 77.4% on ImageNet using a one-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "### Table 10 Frozen Detection hyper-parameters.\n\n| Hyper-parameter | ViT-L/16 | ViT-H/16 |\n| --- | --- | --- |\n| out_layers | [18, 20, 22, 24] [26, 28, 30, 32] | |\n| batch_size | 64 | 64 |\n| epochs | 30 | 30 |\n| opt | AdamW | AdamW |\n| opt_eps | 0.00000001 | 0.00000001 |\n| momentum | 0.9 | 0.9 |\n| weight_decay | 0.05 | 0.05 |\n| lr | 0.0001 | 0.0001 |\n| warmup_lr | 0.000001 | 0.000001 |\n| min_lr | 0.000001 | 0.000001 |\n| warmup_epochs | 2 | 2 |\n| warmup_steps | 1 | 1 |\n\nSpecifically, we first divide a video in 8 (or 2) equal-length temporal segments, and sample 1 clip at random per segment. The video encoder Eθ processes each clip separately and produces a clip-level feature map. The feature maps for each clip are then concatenated together and fed to the attentive probe. At test time, we average the prediction of 3 spatial views following standard practice in video classification.\n\nApplication of video models to images. To evaluate the video models on image tasks, we simply duplicate input images to generate still video clips of 16 frames. We perform this duplication operation simply for convenience in evaluation of the video models, however we find this step to be unnecessary in general. Given a video tokenizer implemented as a 3D-conv with a temporal stride of 2, it is sufficient to simply duplicate the image into a 2 frame video clip. This would result in the same number of input tokens as that produced by a static image model with a 2D-conv tokenizer.\n\nApplication of image models to videos. To evaluate image models such as DINOv2 and OpenCLIP on video tasks, we simply process each frame independently with the image encoder to produce a frame-level feature map. The feature maps for each frame are then concatenated and fed to the attentive probe, just as we do with the clip-level feature maps when evaluating video models.\n\n### D.2 Frozen detection\n\nWe evaluate our model on the AVA (Gu et al., 2018) spatio-temporal localization of human actions dataset, containing 211k training and 57k validation video segments. We follow the experimental protocol of (Feichtenhofer et al., 2021), and use precomputed masks from a pretrained Faster-RCNN adapted to videos, which uses a ResNeXt-101-FPN backbone and is pretrained on ImageNet and COCO. We train a linear classifier on top of the frozen V-JEPA features to classify the extracted regions of interest and report mean Average Precision (mAP) on the 60 most common classes. Hyper-parameters are provided in Table 10. Our frozen features are obtained by concatenating the last layer of the transformer encoder with three intermediate layers. We use a batch size of 64 and pretrain for 30 epochs with AdamW using a learning rate of 0.0001 with 2 epochs of warmup and a weight decay of 0.05.\n\n### D.3 Finetuning\n\nFollowing Tong et al. (2022), we finetune a linear layer on top of our model, using a layer decay schema and mixup as the data augmentation pipeline. We provide all hyper-parameters for both K400 and SSv2 in Table 11.\n\n# E Extra Results\n\n### E.1 Frozen Evaluation.\n\nLinear vs. Attentive probe Table 12 shows that V-JEPA and VideoMAE benefit from using a non-linear attentive probe and multiple clips on the K400 and SSv2 downstream tasks. Additionally, Table 13 shows that attentive probing leads to better performance on average for DINOv2 and OpenCLIP models. Since attentive probing and multiclips eval improves the performance of all models, we use it as our default protocol in frozen evaluation.", - "page_start": 18, - "page_end": 18, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE. We evaluate the effect of linear (Lin.) and attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2 (16 × 2 × 2) tasks. V-JEPA and VideoMAE benefit from using a non-linear attentive probe.\n\n| | | | K400 | | SSv2 |\n| --- | --- | --- | --- | --- | --- |\n| Method | Arch. | Lin. | Att. | Lin. | Att. |\n| VideoMAE | ViT-L/16 | 52.5 | 77.8 | 41.3 | 61.2 |\n| V-JEPA | ViT-L/16 | 56.7 | 80.8 | 50.1 | 69.5 |\n\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP. We evaluate the effect of linear (Lin.) and attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing strategy. Results shown in gray are reported from the linear probe evaluation in Oquab et al. (2023).\n\n| | | | K400 | | SSv2 | | IN1K | | Place205 | | iNat21 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Method | Arch. | Lin. | Att. | Lin. | Att. | Lin. | Att. | Lin. | Att. | Lin. | Att. |\n| DINOv2 | ViT-g/14 | 78.4 | 83.4 | 38.3 | 50.0 | 86.5 | 86.2 | 67.5 | 68.4 | 85.7 | 88.8 |\n| OpenCLIP | ViT-G/14 | 78.3 | 81.8 | 35.8 | 34.8 | 86.2 | 85.3 | 69.8 | 70.2 | 76.0 | 83.6 |\n\nOne Clip vs Multiple clips. We examine the impact of changing the temporal coverage of a model during downstream evaluation on K400 action classification. In Table 14, we evaluate VideoMAE and V-JEPA models using an attentive probe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature map of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8 equal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to ≈ 2 seconds of a video on average, while 8 clips correspond to ≈ 16 seconds. The video encoders processes each clip separately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe.\n\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of both V-JEPA and VideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default evaluation pipeline.\n\n### E.2 Finetuning\n\nIn Table 15, we evaluate V-JEPA using finetuning (separately) on K400 and SSv2. We compare V-JEPA with VideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16 or a ViT-H/16 architecture. V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16 architecture, V-JEPA outperforms by 1.2% VideoMAE and +0.3% VideoMAEv2 on the SSv2 dataset, while obtaining comparable performance on K400. V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The MVD model achieves the best performance across models on the K400 dataset, and is trained using the image dataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD requires the processing of significantly more samples during pretraining due to the cost of training the teacher encoder networks in a pre-pre-training step.\n\n# E.3 Sample Efficiency of pretraining\n\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we look at the number of samples (image or video clips) processed by the network during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. Notably, our results with V-JEPA are obtained while processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude fewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data distribution could lead to substantial gains in downstream image and video tasks.\n\n### E.4 Masking Strategy\n\nAn important component of the V-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we detail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained on K400. Figure 8 presents a summary of those results.\n\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of sampled blocks used to construct the masks given a fixed effective masking ratio of 90%. Finally, in Figure 8a we", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 3 Average Pooling vs. Adaptive Pooling. We pool the feature map output by the frozen V-JEPA encoder using an attentive probe, which is then fed into a linear classifier for downstream supervised tasks (K400 and SSv2). We evaluate two pooling strategies: 1) average pooling (Avg.), and attentive pooling (Att.). Results are reported using a single center view. Using adaptive pooling with a crossattention layer leads to improvements of +17.3 points on K400 and +16.1 points on SSv2.\n\n| | | | Frozen Evaluation | | |\n| --- | --- | --- | --- | --- | --- |\n| | | K400 | | SSv2 | |\n| | | (16×1×1) | | (16×1×1) | |\n| Method | Arch. | Avg. | Att. | Avg. | Att. |\n| V-JEPA | ViT-L/16 | 56.7 | 73.7 | 50.1 | 66.2 |\n\nhas been critical for enabling the surge of advancements in other modalities, such as text and images (Kaplan et al., 2020; Cherti et al., 2023). We investigate whether a similar trend holds for video data. To control for the possible confounding variable of compute budget, we pretrain all models in Table 2 for 90K iterations using a batch-size of 3072. We report downstream results on K400, SSv2, and IN1K using a frozen backbone with an attentive probe, and report top-1 accuracy using a single center view.\n\nTable 2 shows that average performance across tasks monotonically increases as we increase the size of the pretraining dataset, but the best task-specific performance is obtained by independently selecting the pretraining data for each specific downstream task. For instance, the L/16 obtains its best SSv2 performance when pretrained on K710+SSv2, its best K400 performance when pretrained only on K710, and its best IN1K performance when pretrained only on K710+HT. The best average performance across all tasks is achieved by pretraining VideoMix2M, which combines all the data sources. Similarly, the H/16 pretrained on K710+SSv2 achieves a greater K400 score than the H/16 pretrained on VideoMix2M, however, the top performing H/16 on average is pretrained on VideoMix2M.\n\n### 4.3 Evaluation: Attentive Probing\n\nNext we explore the feature pooling strategy for applying the model's representations in downstream tasks. Since the prediction objective in equation (1) is unnormalized, there is no a priori reason for the encoder to yield a linearly separable subspace (Chen et al., 2020). Thus, rather than using a linear operation (averaging) to pool the features output of the frozen backbone, we explore a learnable non-linear pooling strategy. Specifically, when evaluating the frozen pretrained backbone on downstream tasks, we learn a cross-attention layer with a learnable query token. The output of the crossattention layer is then added back to the query token (residual connection), and then fed into two-layer MLP\n\nTable 4 Ablating Prediction Task. Models are ViT-L/16 networks pretrained on K710 and SSv2 and evaluated with an attentive probe using a single center view. The region x is sampled by masking spatio-temporal regions in the video; y is the mask complement. 1) random-tube[r]: x is obtained by masking a fraction r of tubes (spatial patches extended across the entire temporal duration) from the video, 2) causal multi-block[p]: x is restricted to the first p frames of the 16-frame video, which are then masked with a random set of spatio-temporal blocks, 3) multi-block: x is obtained by masking a random set of spatio-temporal blocks from the entire video. Best performance obtained by using multiblock masking.\n\n| | | Frozen Evaluation | |\n| --- | --- | --- | --- |\n| | K400 | SSv2 | IN1K |\n| Masking | (16×1×1) | (16×1×1) | |\n| random-tube[0.9] | 51.5 | 46.4 | 55.6 |\n| causal multi-block[6] | 61.3 | 49.8 | 66.9 |\n| causal multi-block[12] | 71.9 | 63.6 | 72.2 |\n| multi-block | 72.9 | 67.4 | 72.8 |\n\nwith a single GeLU activation, followed by a LayerNorm, and finally a linear classifier.\n\nIn Table 3 we see that using adaptive pooling with a learnable cross-attention layer leads to a significant improvement of +17 points on K400 and +16.1 points on SSv2. Using an attentive-probe is also beneficial for other baseline models as reported in Appendix E.\n\n### 4.4 Prediction Task: Predicting y from x\n\nWe conduct an ablation on the masking strategy used in V-JEPA pretraining. We examine the following masking strategies: random-tube[r] in which x is obtained by removing a random fraction r of tubes (spatial patches extended across the entire temporal duration) from the video, causal multi-block[p] in which x is restricted to the first p frames of the 16-frame video, which are then masked with a random set of spatio-temporal blocks, and multi-block in which x obtained by masking a random set of spatio-temporal blocks from the entire video. Spatio-temporal blocks are sampled using the parameters described in Section 3.2; an ablation on the size and quantity of masked spatio-temporal blocks is provided in Appendix E.4.\n\nTable 4 indicates that the best results are obtained by sampling x using a multi-block strategy, wherein the network is forced to make predictions after removing large continuous blocks in the video. When x is only sampled from the first few frames of the video, as in the causal multi-block strategy, we observe a decrease in downstream performances. Finally, the random-tube strategy, wherein 90% of the tubes in the video are randomly masked, leads to features of low-semantic quality when combined with our feature prediction objective.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv3.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What is appropriate authority ?", - "target_page": 1, - "target_passage": "APPROPRIATE AUTHORITY.—The term ‘appropriate authority’ means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "communication be to the public generally or to any person or class of persons) and freedom from interference with his or her correspondence.\n\n(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) that is reasonably required in the interests of defence, public safety, public order, public morality or public health; or\n- (b) that is reasonably required for the purpose of protecting the reputations, rights and freedoms of other persons or the private lives of persons concerned in legal proceedings, preventing the disclosure of information received in confidence, maintaining the authority and independence of the courts, regulating educational institutions in the interests of persons receiving instruction therein, or regulating the technical administration or the technical operation of telephony, telegraphy, posts, wireless, broadcasting or television; or\n- (c) that imposes restrictions upon public officers, employees of local government bodies, or teachers,\n\nand except so far as that provision or, as the case may be, the thing done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n## **13. Protection of freedom of assembly and association**\n\n(1) Except with his or her own consent, no person shall be hindered in the enjoyment of his or her freedom of assembly and association, that is to say, his or her right to assemble freely and associate with other persons and in particular to form or belong to trade unions or other associations for the protection of his or her interests.\n\n(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) that is reasonably required in the interests of defence, public safety, public order, public morality or public health;\n- (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons;\n- (c) that imposes restrictions upon public officers, employees of local government bodies, or teachers; or\n- (d) for the registration of trade unions and associations of trade unions in a register established by or under any law, and for imposing reasonable conditions relating to the requirements for entry on such a register (including conditions as to the minimum number of persons necessary to constitute a trade union qualified for registration, or of members necessary to constitute an association of trade unions qualified for registration) and conditions whereby registration may be refused on the grounds that any other trade union already registered, or association of trade unions already registered, as the case may be, is sufficiently representative of the whole or of a substantial proportion of the interests in respect of which registration of a trade union or association of trade unions is sought,\n\nand except so far as that provision or, as the case may be, the thing done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n## **14. Protection of freedom of movement**\n\n(1) No person shall be deprived of his or her freedom of movement, and for the purposes of this section the said freedom means the right to move freely throughout Botswana, the right to reside in any part of Botswana, the right to enter Botswana and immunity from expulsion from Botswana.\n\n(2) Any restriction on a person's freedom of movement that is involved in his or", - "page_start": 11, - "page_end": 11, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Figure 3-22 Completion window\n\n# **3.2 User and group administration**\n\nWhen you design a Content Manager OnDemand system, you must determine the best way to implement the many authority structures that are available for users and administrators of your system. The span of control for the administration of the system must be considered with the level of user access to the data that is stored in the system. How many different administrators are required? Will all administrators have system administrator authority or will different administrators have different levels of authority? What is the most effective way to restrict a user's access to only the data that is necessary to do that user's job?\n\nThe answers to these questions depend on the size of the system, the degree of centralization to be exercised over system administration, and the nature of the data and the business needs of the users.\n\n# **Centralized or decentralized**\n\nIn a system design that exercises centralized control, one or a few administrators are granted system administrator authority. A centralized system typically is used when the number of reports and users to be added to the system is small. Centralized administration is also appropriate where resources are limited and only one person might have the skills and knowledge to perform the system administration tasks, or where one user group performs all of the administration tasks.\n\nIn a system design with decentralized control, different users are granted different levels of administrative authority. For example, you might have users that have the authority to create users and groups. Other users might have the authority to create application groups and folders, and others might be given full system administration authority.", - "page_start": 89, - "page_end": 89, - "source_file": "sg246915.pdf" - }, - { - "text": "regulation or rule, or to give any direction or instruction, the power shall be construed as including the power, exercisable in like manner to amend or revoke any such Act, order, regulation, rule, direction or instruction.\n\n(12) Any reference in this Constitution to a law made before 30th September, 1966 shall be construed as a reference to that law as it had effect on 29th September, 1966.\n\n(13) The Interpretation Act, 1889 shall apply, with the necessary adaptations, for the purpose of interpreting this Constitution and otherwise in relation thereto as it applies for the purpose of interpreting and in relation to Acts of the Parliament of the United Kingdom.\n\n### **FIRST SCHEDULE TO THE CONSTITUTION** (Section 58(2)(b)) **ELECTION OF SPECIALLY ELECTED MEMBERS OF THE NATIONAL ASSEMBLY**\n\n**1.** (1) In this Schedule-\n\n**\"by-election\"** means an election to fill a vacancy among the Specially Elected Members occurring otherwise than upon a dissolution of Parliament;\n\n**\"general election\"** means an election to fill the vacancies among the Specially Elected Members occurring upon a dissolution of Parliament;\n\n**\"the Speaker\"** means the Speaker of the National Assembly; and\n\n**\"prescribed\"** means prescribed by rules made under paragraph 2 of this Schedule.\n\n(2) At any time when the office of Speaker is vacant or the holder of that office is unable by reason of absence or illness to exercise the functions vested in him or her by this Schedule those functions may be exercised by the Deputy Speaker of the National Assembly or, if there is no Deputy Speaker or the Deputy Speaker is unable by reason of absence or illness to exercise those functions, by such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that purpose.\n\n**2.** Subject to the provisions of this Schedule the National Assembly may make rules for the election of its Specially Elected Members.\n\n**3.** Elections of Specially Elected Members shall be conducted by the Speaker and, subject to the provisions of this Schedule and of any rules made under paragraph 2 thereof, shall be conducted in such manner as he or she may direct.\n\n**4.** (1) The President shall nominate four candidates for election in the case of a general election and he or she shall nominate one candidate for election in the case of a by-election.\n\n(2) The names of the four candidates or, as the case may be, the name of the one candidate nominated for election by the President under the foregoing subparagraph shall be presented to the National Assembly in such manner as may be prescribed, and any Elected Member of the Assembly (other than the President if he or she is an Elected Member) shall thereupon be entitled to nominate four candidates for election in the case of a general election and one candidate for election in the case of a by-election.\n\n(3) A list of the candidates nominated for election by the President and the Elected Members of the National Assembly under the foregoing provisions of this paragraph shall be prepared, and each Elected Member of the Assembly shall be entitled to vote-\n\n(a) in the case of a general election, for four candidates; and\n\n(b) in the case of a by-election, for one candidate,\n\non the list so constituted.\n\n(4) The vote of every Elected Member of the National Assembly shall be given by ballot in such a manner as not to disclose how he or she has voted.\n\n(5) An Elected Member of the National Assembly shall not cast more than one vote for any one candidate.\n\n**5.** (1) The Speaker shall cause elections of Specially Elected Members to be held-\n\n- (a) in the case of a general election, as soon as practicable after the holding of a general election of the Elected Members of the National Assembly and before the Assembly first meets after that general election; and", - "page_start": 55, - "page_end": 55, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision-\n\n- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community;\n- (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons;\n- (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or\n- (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order,\n\nand except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society.\n\n# **10. Provisions to secure protection of law**\n\n(1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law.\n\n(2) Every person who is charged with a criminal offence-\n\n- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty;\n- (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged;\n- (c) shall be given adequate time and facilities for the preparation of his or her defence;\n- (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice;\n- (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and\n- (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge,\n\nand except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence.\n\n(3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "person or authority.\n\n(3) Nothing in this section shall prevent Parliament from conferring functions on persons or authorities other than the President.\n\n# **48. Command of armed forces**\n\n(1) The supreme command of the armed forces of the Republic shall vest in the President and he or she shall hold the office of Commander in Chief.\n\n(2) The powers conferred on the President by subsection (1) of this section shall include-\n\n- (a) the power to determine the operational use of the armed forces;\n- (b) the power to appoint members of the armed forces, to make appointments on promotion to any office in the armed forces and to dismiss any member of the armed forces.\n\n(3) The President may, by directions in writing and subject to such conditions as he or she may think fit, delegate to any member of the armed forces any of the powers mentioned in subsection (2) of this section.\n\n(4) Parliament may regulate the exercise of the powers conferred by or under this section.\n\n# **49. Functions of Vice-President**\n\nThe Vice-President shall be the principal assistant of the President in the discharge of his or her executive functions and shall be responsible, under the directions of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n# **50. Functions of Cabinet Ministers and Assistant Ministers**\n\n(1) The Cabinet shall be responsible for advising the President with respect to the policy of the Government and with respect to such other matters as may be referred to it by the President and shall, subject to the provisions of this Constitution, be responsible to the National Assembly for all things done by or under the authority of the President, Vice-President or any Minister in the execution of his or her office.\n\n(2) The President shall, so far as practicable and subject to the provisions of this Constitution, consult the Cabinet on matters of policy and the exercise of his or her functions.\n\n(3) The obligation of the President to consult his or her Cabinet and for the Cabinet to accept responsibility under this section shall not apply to the exercise by the President of his or her powers in relation to the appointment or removal of the Vice- President, Ministers and Assistant Ministers, the dissolution of Parliament, the Prerogative of Mercy, the assignment of responsibility to the Vice-President or any Minister and the specification of the functions of an Assistant Minister.\n\n(4) A Minister shall be responsible, under the direction of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her.\n\n(5) An Assistant Minister shall-\n\n- (a) assist the President or the Vice-President in the discharge of such of the functions of the office of President or Vice-President as the President may specify; or\n- (b) assist such Minister in the discharge of the functions assigned to him or her under subsection (4) of this section as the President may specify.\n\n# **51. Attorney-General**\n\n(1) There shall be an Attorney-General appointed by the President whose office shall be a public office.\n\n(2) A person shall not be qualified to be appointed to the Office of Attorney-", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(11) For the purposes of this regulation, \"authorised person\" means—\n\n- (a) a constable;\n- (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or\n- (c) a person designated by the Secretary of State for the purposes of this regulation.\n\n#### **Power of entry**\n\n**12.**—(1) A constable may enter premises in order—\n\n- (a) to search for a person who is suspected of committing an offence of contravening the requirement in paragraph 10 (duty to self-isolate) of Schedule 11;\n- (b) to remove a person of the description in sub-paragraph (a) to accommodation designated by the Secretary of State for the purposes of Schedule 11.\n\n(2) The power in paragraph (1) is exercisable if the constable—\n\n- (a) has reasonable grounds to believe that a person of the description in paragraph (1)(a) is in or on the premises; and\n- (b) has a reasonable belief that it is necessary and proportionate to enter the premises for the purposes specified in paragraph (1)(b).\n\n(3) A constable exercising the power in paragraph (1)—\n\n- (a) may use reasonable force if necessary; and\n- (b) may be accompanied by a police community support officer.\n\n(4) A constable exercising the power in paragraph (1)—\n\n- (a) if asked by a person on the premises, must show evidence of the constable's identity and outline the purpose for which the power is being exercised; and\n- (b) if the premises are unoccupied or the occupier is temporarily absent, must leave the premises as effectively secured against unauthorised entry as when the constable found them.\n- (5) In this regulation, \"premises\" includes any building or structure and any land.\n\n### PART 4\n\n### Requirements on operators\n\n#### **Passenger information requirement**\n\n**13.**—(1) Subject to the following provisions of this regulation, an operator must ensure that a passenger who arrives at a port in England on a relevant service is provided with the information required by regulation 14 (\"the passenger information requirement\") and in the manner required by that regulation at each of the times specified in paragraph (2).\n\n(2) The times are—\n\n- (a) where prior to departure a booking was made for the passenger to travel on the relevant service, before the booking was made (\"the pre-booking information requirement\");\n- (b) where, at least 48 hours prior to the scheduled departure time of the relevant service, a booking was made for the passenger to travel on it, between 24 and 48 hours prior to the scheduled departure time of that service (\"the pre-departure information requirement\");\n- (c) where prior to departure the passenger was checked in to travel on the relevant service, at the time of check-in (\"the check-in information requirement\"); and\n- (d) while the passenger was on board the vessel, aircraft or train (\"the on-board information requirement\").", - "page_start": 18, - "page_end": 18, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "#### **Approve/Approve of**\n\nTo \"approve\" something is to give consent. E.g. The director approved the budget.\n\nTo \"approve of\" something is to express a favourable opinion about it. E.g. The mother did not approve of the way her daughter was dressed for the school dance.\n\n#### **Borrow/Lend**\n\nTo \"borrow\" something is to take it with the intention of giving it back. E.g. He borrowed the book from his colleague.\n\nTo \"lend\" something is to give it to someone with the expectation that they will give it back.\n\nE.g. She is lending the car to him so that he can drive to work today.\n\n#### **Compliment/Complement**\n\nYou \"compliment\" someone when you make a favourable comment about them.\n\nE.g. He complimented her by telling her that she was a good writer.\n\nYou \"complement\" something (or someone) when you add something else to it that suits or fits it well. E.g. That scarf complements her dress.", - "page_start": 16, - "page_end": 16, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "#### **12 ASX CORPORATE GOVERNANCE COUNCIL BEST PRACTICE RECOMMENDATIONS**\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 35\n\nP\n\n| | ASX Principle | Reference | Compliance |\n| --- | --- | --- | --- |\n| Principle 1: | Lay solid foundations for management and oversight | | |\n| 1.1 | Formalise and disclose the functions reserved to the Board | 2.1 | Comply |\n| | and those delegated to management. | | |\n| Principle 2: | Structure to the board to add value | | |\n| 2.1 | A majority of the Board should be independent Directors. | 2.3 | Comply |\n| 2.2 | The chairperson should be an independent Director. | 2.3 | Comply |\n| 2.3 | The roles of chairperson and chief executive officer should | 2.3 | Comply |\n| | not be exercised by the same individual. | | |\n| 2.4 | The Board should establish a Nomination Committee. | 2.2; 2.4 | Comply |\n| 2.5 | Provide the information indicated in guide to reporting on Principle 2. | 2.3; 2.4; 4; 5; 7; Details of Board | Comply |\n| | | Member's Experience page 41; | |\n| | | Details of Directors' Meetings, | |\n| | | Item 1 of the Directors' Statutory | |\n| | | Report page 47. | |\n| Principle 3: | Promote ethical and responsible decision-making | | |\n| 3.1 | Establish a code of conduct to guide the Directors, | 9 | Comply |\n| | the chief executive officer (or equivalent), | | |\n| | the chief financial officer (or equivalent) | | |\n| | and any other key executives as to: | | |\n| | 3.1.1 the practices necessary to maintain confidence | | |\n| | in the Company's integrity; and | | |\n| | 3.1.2 the responsibility and accountability of individuals | | |\n| | for reporting and investigating reports of unethical practices. | | |\n| 3.2 | Disclose the policy concerning trading in Company securities | 10 | Comply |\n| | by Directors, officers and employees. | | |\n| 3.3 | Provide the information indicated in Guide to reporting on Principle 3. | 9, 10 | Comply |\n| Principle 4: | Safeguard integrity in financial reporting | | |\n| 4.1 | Require the chief executive officer (or equivalent) and the | 6.2 | Comply |\n| | chief financial officer (or equivalent) to state in writing | | |\n| | to the Board that the Company's financial reports present | | |\n| | a true and fair view, in all material respects, of the Company's | | |\n| | financial condition and operational results and are in accordance | | |\n| | with relevant accounting standards. | | |\n| 4.2 | The Board should establish an Audit Committee. | 6 | Comply |\n| 4.3 | Structure the Audit Committee so that it consists of: | 6.1 | Comply |\n| | • only non-executive Directors; | | |\n| | • a majority of independent Directors; | | |\n| | • an independent chairperson, who is not chairperson | | |\n| | of the Board; and | | |\n| | • at least three members. | | |\n| 4.4 | The Audit Committee should have a formal charter. | 6.3 | Comply |\n| 4.5 | Provide the information indicated in Guide to reporting on Principle 4. | 6.1; Annual Report pages 31 to 32 | Comply |\n| | | and 41; Item 1 of the Directors' Statutory | |\n| | | Report page 47; Directors' Declaration page 88. | |", - "page_start": 36, - "page_end": 36, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "(4) In this regulation—\n\n\"authorised person\" means—\n\n- (a) a constable,\n- (b) the Civil Aviation Authority,\n- (c) the Secretary of State, or\n- (d) a person authorised by the Civil Aviation Authority or the Secretary of State under the Air Navigation Order 2016(**a**);\n\n\"operator\" has the meaning given in article 4 of the Air Navigation Order 2016;\n\n\"pilot in command\" and \"private aircraft\" have the meanings given in the Air Navigation Order 2016 (see Schedule 1 to that Order);\n\n\"relevant transport service\", in relation to an operator, means a transport service provided by or on behalf of that operator;\n\n\"transport service\" means—\n\n- (a) a relevant service,\n- (b) a shuttle service,\n- (c) a service (other than a relevant service) which—\n\t- (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n\t- (ii) is provided by means of an aircraft (other than a private aircraft), or\n- (d) a flight which—\n\t- (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n\t- (ii) is provided by means of a private aircraft.\n\n# PART 5\n\n### Offences, proceedings and information\n\n#### **Offences and penalties**\n\n**19.**—(1) A person (\"P\") commits an offence where—\n\n- (a) without reasonable excuse P contravenes a requirement in regulation 3 (requirement to provide information);\n- (b) without reasonable excuse P contravenes a requirement in regulation 4 (requirement to possess notification of negative test result);\n- (c) without reasonable excuse P contravenes a requirement in regulation 6 (requirement to book and undertake tests);\n- (d) without reasonable excuse P contravenes a requirement in regulation 7 (requirement to undertake workforce tests);\n- (e) without reasonable excuse P contravenes a requirement in regulation 8 (requirement for offshore installation workers to take tests);\n- (f) P contravenes a requirement in regulation 9 (requirement to self-isolate);\n- (g) without reasonable excuse P contravenes a requirement in or imposed under regulation 11 (enforcement of requirement to self-isolate) apart from paragraph (2) of that regulation;\n\n(<b>a) S.I. 2016/765.", - "page_start": 22, - "page_end": 22, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "The skill level of the users might be a determining factor in the degree of authority that is granted. It takes a more skilled user to define indexes and report parameters than to set up users and groups. A decentralized system is typically used when data from different sources is stored on the same Content Manager OnDemand system but must be maintained independently of other data. Decentralization also makes sense when report loading and processing needs are limited to a specific group of users for security purposes or when administrators that add users and groups must be prevented from accessing report data.\n\nThe decision about whether to use a centralized or a decentralized administration model is best made *before* any data is set up in the system. Even though the type of administration that is chosen can be changed later, the amount of work that is involved in that change is greater than the amount of work that is necessary to study the requirements of the system and implement the appropriate administration policies from the beginning.\n\nIn this section, we describe different types of users, followed by a description of a decentralized administrative plan. We also introduce a new administrative tool, Content Manager OnDemand XML Batch Administration, which is a command-line program that is run on the Content Manager OnDemand server.\n\n# **3.2.1 User types, authorities, and functions**\n\nFour types of users are available in a Content Manager OnDemand system. Each type has a different level of access, authority, and responsibility in the system:\n\n- -User: Logs in and queries the system to retrieve documents and reports for viewing.\n- -User administrator: Adds users or other user administrators to the system.\n- - Report administrator: Defines the application groups, applications, folders, and cabinets to be part of the system. The report administrator is responsible for understanding the report and document data and for defining the indexes to be extracted from the data and stored. A report administrator is also responsible for designing the user interface to the reports through the folder definition process and for controlling access authority to the reports that the report administrator designs, indexes, and loads.\n- - System administrator: Has the highest level of authority in a Content Manager OnDemand system. The system administrator has authority for all system functions and can grant other users the authority to perform various tasks. The system administrator is the only level of authority that can create storage sets and define system printers.\n\nWhen the administrative tasks and levels of authorities are understood, you must decide the span of control in the system. Is it better to have one user control all access and functions in the Content Manager OnDemand system, or is it better to spread the administrative tasks among several users to smooth the workload based on system requirements? The answer to this question depends on whether your environment uses centralized or decentralized administrative control.\n\nA centralized administrative plan is best suited for a Content Manager OnDemand system with a few users and relatively few reports to define. In the next section, we focus on the decentralized system and describe the different aspects of a decentralized administrative plan.", - "page_start": 90, - "page_end": 90, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What criteria must a lactation room meet?", - "target_page": 1, - "target_passage": "LACTATION ROOM.—The term ‘lactation room’ means a hygienic place, other than a bathroom, that— ‘‘(A) is shielded from view; ‘‘(B) is free from intrusion; and ‘‘(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Public Law 116–30 116th Congress\n\n## An Act\n\nJuly 25, 2019 [H.R. 866]\n\nTo provide a lactation room in public buildings.\n\n*Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,* \n\nFairness For Breastfeeding Mothers Act of 2019. 40 USC 101 note.\n\n#### **SECTION 1. SHORT TITLE.**\n\nThis Act may be cited as the ''Fairness For Breastfeeding Mothers Act of 2019''.\n\n#### **SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.**\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of title 40, United States Code, is amended by adding at the end the following new section:\n\n40 USC 3318.\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\n### **''§ 3318. Lactation room in public buildings**\n\n''(a) DEFINITIONS.—In this section:\n\n''(1) APPROPRIATE AUTHORITY.—The term 'appropriate authority' means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building.\n\n''(2) COVERED PUBLIC BUILDING.—The term 'covered public building' means a public building (as defined in section 3301) that is open to the public and contains a public restroom, and includes a building listed in section 6301 or 5101.\n\n''(3) LACTATION ROOM.—The term 'lactation room' means a hygienic place, other than a bathroom, that—\n\n''(A) is shielded from view;\n\n''(B) is free from intrusion; and\n\n''(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet.\n\n''(b) LACTATION ROOM REQUIRED.—Except as provided in subsection (c), the appropriate authority of a covered public building shall ensure that the building contains a lactation room that is made available for use by members of the public to express breast milk.\n\n''(c) EXCEPTIONS.—A covered public building may be excluded from the requirement in subsection (b) at the discretion of the appropriate authority if—\n\n''(1) the public building—\n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030\n\n''(A) does not contain a lactation room for employees who work in the building; and\n\n''(B) does not have a room that could be repurposed as a lactation room or a space that could be made private using portable materials, at a reasonable cost; or", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "''(2) new construction would be required to create a lactation room in the public building and the cost of such construction is unfeasible.\n\n''(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall be construed to authorize an individual to enter a public building or portion thereof that the individual is not otherwise authorized to enter.''.\n\n(b) CLERICAL AMENDMENT.—The table of sections at the beginning of chapter 33 of title 40, United States Code, is amended by inserting after the item related to section 3316 the following new item:\n\n40 USC 3301 prec.\n\n''3318. Lactation room in public buildings.''.\n\n(c) EFFECTIVE DATE.—The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. 40 USC 3318 note.\n\nApproved July 25, 2019.\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030\n\nLEGISLATIVE HISTORY—H.R. 866 (S. 528): CONGRESSIONAL RECORD, Vol. 165 (2019): Feb. 6, considered and passed House. June 26, considered and passed Senate.", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "### **Test providers**\n\n**3.**—(1) A test provider complies with this paragraph where—\n\n- (a) they provide appropriate tests in a single end-to-end testing service (whether or not they arrange with another person (\"X\") for X to provide one or more elements of the service on their behalf);\n- (b) they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19 testing.dhsc.gov.uk/PrivateSectorSelfDeclaration;\n- (c) in relation to a test which requires laboratory processing—\n\t- (i) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025, in respect of the taking of samples, and\n\t- (ii) the laboratory used by the test provider for the processing of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025, in respect of the processing of samples;\n- (d) in relation to a point of care test, they meet the relevant requirements for accreditation to ISO standard 15189 and ISO standard 22870(**a**);\n- (e) a registered medical practitioner has oversight and approval of medical practices undertaken by the test provider, and responsibility for reporting medical issues;\n- (f) they have an effective system of clinical governance in place which includes appropriate standard operating procedures in relation to the carrying out of appropriate tests;\n- (g) a registered clinical scientist has oversight of clinical practices undertaken by the test provider, and responsibility for reporting clinical issues;\n- (h) they have systems in place to identify any adverse incidents or quality control issues in relation to appropriate tests and be able to report them as soon as reasonably practicable to the Secretary of State;\n- (i) they administer or provide an appropriate test to P, on or after the fifth day after the day on which P arrived in England having received the information required by paragraph 4(b) and (c) (as appropriate); and\n- (j) if they arrange with another person (\"X\") for X to carry out any element of the single end-to-end testing service on their behalf, the test provider ensures that X complies with any of paragraphs (c) to (i) and 5(2), (3) and (5) as is relevant to the carrying out of that element.\n- (2) For the purposes of sub-paragraph (1)—\n\n- (a) \"point of care test\" means a test processed outside a laboratory environment;\n- (b) \"registered clinical scientist\" means a person registered as a clinical scientist with the Health and Care Professions Council pursuant to article 5 of the Health Professions Order 2001(**b**);\n- (c) \"single end-to-end testing service\" means a service which comprises accepting the booking from the person to be tested, collecting and processing the sample to be tested, carrying out genomic sequencing and providing the test result to P.\n\n(3) For the purposes of sub-paragraph (1)(c) and (d), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where that person, or in the case of a laboratory where the person who is the operator of the laboratory—\n\n- (a) has made a valid application for accreditation to UKAS (\"stage one\"); and\n(<b>a) ISO 22870 Point-of-care testing (POCT) requirements for quality and competence was published in November 2016. (**b**) S.I. 2002/254.", - "page_start": 69, - "page_end": 69, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "#### **Test requirements: offshore installation workers**\n\n**8.**—(1) This regulation applies to a person (\"P\") to whom regulation 5(4) applies.\n\n(2) P must undertake a day 2 test after arriving in England but before P departs to the offshore installation.\n\n(3) If P intends to depart to the offshore installation before P has received the result of the day 2 test undertaken pursuant to paragraph (2), P must also take a workforce test before P departs to the offshore installation.\n\n(4) If a workforce test undertaken pursuant to paragraph (3) generates a positive result P must self-isolate in accordance with regulation 2 of the Self-Isolation Regulations until P has received the result of the day 2 test undertaken pursuant to paragraph (2).\n\n(5) If the day 2 test undertaken pursuant to paragraph (2) generates a positive result P must selfisolate in accordance with regulation 2 of the Self-Isolation Regulations until the end of the 10th day after P undertook that test.\n\n(6) If the day 2 test undertaken pursuant to paragraph (2) generates a negative result, from the time that P is notified of that result, P is no longer subject to any requirement to self-isolate by virtue of paragraph (4).\n\n(7) Subject to paragraph (8), while P is on an offshore installation, P must undertake a workforce test before the end of the third day following the day P arrives on the installation and then within each successive 3 day period within 3 days of the test most recently taken.\n\n(8) P is not required to undertake any workforce test after the 10th day after the day P arrived in England.\n\n(9) If a workforce test undertaken pursuant to paragraph (7) generates a positive result, P must—\n\n- (a) undertake a day 2 test as soon as reasonably practicable; and\n- (b) self-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the earlier of—\n\t- (i) the time P is notified of the result of the day 2 test undertaken pursuant to subparagraph (a), or\n\t- (ii) the end of the 10th day after the day P arrived in England.\n\n(10) If a day 2 test undertaken pursuant to paragraph (9)(a) generates a positive result, P must self-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the 10th day after the day P undertook that test.\n\n(11) If a day 2 test undertaken pursuant to paragraph (9)(a) generates a negative result, from the time that P is notified of that result P is no longer subject to any requirement to self-isolate by virtue of paragraph (9)(b).\n\n(12) If P returns to England from the offshore installation on or before the 8th day after the day P arrived in England, P must undertake a day 8 test on, or as soon as reasonably practicable after, the 8th day after P the day arrived in England.\n\n(13) If the day 8 test undertaken pursuant to paragraph (12) generates a positive result, P must self-isolate in accordance with regulation 2 of the Self-Isolation Regulations until the end of the 10th day after P undertook that test.\n\n(14) In this regulation—\n\n\"day 2 test\" has the same meaning as in regulation 6(12)(a);\n\n\"day 8 test\" has the same meaning as in regulation 6(12)(b);\n\n\"offshore installation\" has the same meaning as in paragraph 29 of Schedule 4;\n\n\"workforce test\" has the same meaning as in regulation 7(6)(b).", - "page_start": 11, - "page_end": 11, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "#### **Day 2 tests: private provider requirements**\n\n**7.**—(1) For the purposes of paragraph 6(1)(b)(iii), a private provider complies with this paragraph where—\n\n- (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 2 test;\n- (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;\n- (c) they have provided the Department of Health and Social Care with a list of all organisations that they work with (whether by sub-contract or otherwise) to carry out the testing service or to carry out genomic sequencing, indicating the nature of the service that each organisation is providing, and kept that list updated as appropriate;\n- (d) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the taking of samples;\n- (e) the laboratory used by the test provider for the processing of samples meets the relevant requirements for ISO standard 15189 or ISO/IEC standard 17025 in respect of the evaluation of the established molecular detection method and the genomic sequencing of samples;\n- (f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if they administer the test to P, they do so no later than the end of the second day after the day on which P arrived in England;\n- (g) each day, they notify the Secretary of State in writing of—\n\t- (i) the number of tests they sold on that day, and\n\t- (ii) in relation to each test sold on that day—\n\t\t- (aa) the date of the arrival in England of the person in respect of whom the test was sold, and\n\t\t- (bb) whether the person in respect of whom the test was sold is a category 1 arrival or not;\n- (h) they sequence each sample with a cycle threshold less than 30 (equivalent to ~1,000 viral genome copies per millilitre);\n- (i) in respect of the sequencing of samples, they must secure a reference genome coverage breadth of at least 50% and at least 30 times coverage;\n- (j) on a request by the Secretary of State or the COVID-19 Genomics UK Consortium, they make samples available for the purpose of dual sequencing;\n- (k) they preserve and transport samples in a manner that enables genome sequencing;\n- (l) they have in place a process to remove human reads from any data submitted in a notification to Public Health England pursuant to the Health Protection (Notification) Regulations 2010; and\n- (m) if they arrange with another person (\"X\") for X to carry out any element of the single end-to-end testing service on their behalf, the test provider ensures that X complies with the following so far as relevant to the carrying out of that element—\n\t- (i) paragraph 3(1)(e) to (h) of Schedule 10 as applied by paragraph (a) of this subparagraph,\n\t- (ii) paragraph (c) to (l) of this sub-paragraph,\n\t- (iii) paragraph 11(2), (3) and (4).\n\n(2) For the purposes of sub-paragraph (1)(m), \"single end-to-end testing service\" has the meaning given in paragraph 3(2)(c) of Schedule 10.", - "page_start": 61, - "page_end": 61, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (c) they have provided the Department of Health and Social Care with a list of all organisations that they work with (whether by sub-contract or otherwise) to carry out the testing service or to carry out genomic sequencing, indicating the nature of the service that each organisation is providing and kept that list updated as appropriate;\n- (d) in relation to a test which requires laboratory processing—\n\t- (i) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the taking of samples, and\n\t- (ii) the laboratory used by the test provider for the processing of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the processing of samples;\n- (e) in relation to a point of care test, they meet the relevant requirements for accreditation to ISO Standard 15189 and ISO standard 22870;\n- (f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if they administer the test to P, they do so no earlier than the end of the seventh day after the day on which P arrived in England;\n- (g) each day, they notify the Secretary of State in writing of—\n\t- (i) the number of tests they sold on that day, and\n\t- (ii) in relation to each test sold on that day—\n\t\t- (aa) the date of arrival in England of the person in respect of whom the test was sold, and\n\t\t- (bb) whether the person in respect of whom the test was sold is a category 1 arrival or not;\n- (h) if they arrange with another person (\"X\") for X to carry out any element of the single end-to-end testing service on their behalf, the test provider ensures that X complies with the following so far as relevant to the carrying out of that element—\n\t- (i) paragraph 3(1)(e) to (i) of Schedule 10 as applied by paragraph (a) of this subparagraph,\n\t- (ii) paragraph (b) to (g) of this sub-paragraph,\n\t- (iii) paragraph 11(2), (3) and (4).\n\n(2) For the purposes of sub-paragraph (1)(h), \"single end-to-end testing service\" has the meaning given in paragraph 3(2)(c) of Schedule 10.\n\n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where the person who is the operator of the laboratory complies with the requirements of regulation 6 of the Health Protection (Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if—\n\n- (a) a reference to an applicable test were a reference to a day 8 test;\n- (b) a reference to a test provider were a reference to a private provider.\n\n### **Required circumstances for undertaking a day 2 test or a day 8 test**\n\n**10.**—(1) The circumstances mentioned in regulation 6(12)(a) and (b) are as follows.\n\n- (2) In relation to—\n\t- (a) a day 2 test, P undertakes the test no later than the end of the second day after the day on which P arrived in England;\n\t- (b) a day 8 test, P undertakes the test no earlier than the end of the seventh day after the day on which P arrived in England.\n\n(3) Subject to sub-paragraph (4), at the time the test is booked P notifies the test provider that P is to undertake the test under these Regulations, and provides the test provider with—\n\n- (a) the information set out in paragraph 4(b)(i) to (v) and (vii) to (xiii) of Schedule 10; and", - "page_start": 63, - "page_end": 63, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Policy information about availability of data\n\nAll manuscripts must include a data availability statement. This statement should provide the following information, where applicable:\n\n- Accession codes, unique identifiers, or web links for publicly available datasets\n- A description of any restrictions on data availability\n- For clinical datasets or third party data, please ensure that the statement adheres to our policy\n\nThe dataset consists of 26 MRI scans (T1w, T2w, and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The data is publicly available on https://openneuro.org/datasets/ds005299.\n\n# Research involving human participants, their data, or biological material\n\nPolicy information about studies with human participants or human data. See also policy information about sex, gender (identity/presentation), and sexual orientation and race, ethnicity and racism.\n\n| Reporting on sex and gender | Our study focused on a single female participant to explore how pregnancy shapes the human brain. |\n| --- | --- |\n| Reporting on race, ethnicity, or | The subject was white. |\n| other socially relevant | |\n| groupings | |\n| Population characteristics | This was a precision imaging study of one 38-year old primiparous woman. |\n| Recruitment | Our participant (corresponding author E.R.C.) was a healthy primiparous woman who underwent in-vitro fertilization (IVF) to |\n| | achieve pregnancy. The project was conceived by E.R.C. and she wished to use herself as the participant, as has been done in |\n| | previous \"dense-sampling\" studies (cf. Poldrack et al., 2015; Pritschet et al., 2020). |\n| Ethics oversight | The participant gave written informed consent and the study was approved by the University of California, Irvine Human |\n| | Subjects Committee. |\n\nNote that full information on the approval of the study protocol must also be provided in the manuscript.\n\n# Field-specific reporting\n\nPlease select the one below that is the best fit for your research. If you are not sure, read the appropriate sections before making your selection.\n\n|\n| |\n\nFor a reference copy of the document with all sections, see nature.com/documents/nr-reporting-summary-flat.pdf\n\n# Life sciences study design\n\nAll studies must disclose on these points even when the disclosure is negative.\n\n| Sample size | We used precision imaging to deeply-phenotype, densely-sample an individual over the gestational window. As this study was the first of it's |\n| --- | --- |\n| | kind, our sample size was an N=1 design. Although this limits the generalizability of our findings, this project serves as a proof-of-concept, |\n| | showcasing the value and feasibility of studying a woman's brain during the transition to motherhood. |\n| Data exclusions | no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking |\n| Replication | This is the first study of it's kind; therefore, there are no study replications as of yet. However, to reproduce our results internally across |\n| | software packages, we also ran the T1w data through the longitudinal FreeSurfer cortical thickness pipeline (Dale et al., 1999), which |\n| | corroborated our finding that gray matter volume declines throughout gestation (e.g., successful internal replication). This pattern of results |\n| | not only held across software packages, but also brain parcellations (e.g., Schaefer 400-cortical atlas and Desikan-Killiany cortical atlas). |\n| Randomization | This was an observational study design, and therefore not randomized. |\n| Blinding | For medial temporal lobe segmentation, scans were randomized and segmentation was performed in a random order, blind to pregnancy |\n| | stage. No other blinding was applicable, given the observational study of brain changes in response to advancing gestational week. |\n\n# Reporting for specific materials, systems and methods\n\nWe require information from authors about some types of materials, experimental systems and methods used in many studies. Here, indicate whether each material, system or method listed is relevant to your study. If you are not sure if a list item applies to your research, read the appropriate section before selecting a response.", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed4.pdf" - }, - { - "text": "- **33.**—(1) Any of the following—\n\t- (a) a person (\"P\") who—\n\t\t- (i) before travelling to the United Kingdom has made arrangements with a provider in the United Kingdom to receive healthcare (or, where P is a child, on whose behalf such arrangements have been made),\n\t\t- (ii) is in possession of written confirmation of the arrangements from the provider,\n\t\t- (iii) has travelled to the United Kingdom to receive that healthcare, and\n\t\t- (iv) is attending a place to receive that healthcare or is travelling directly between that place and the place where they are self-isolating;\n\t- (b) a person who—\n\t\t- (i) is accompanying P for the purpose of providing necessary care or support to P in the circumstances referred to in sub-paragraph (1)(a)(iv), or\n\t\t- (ii) is travelling, for the purpose of so accompanying P, directly between the place where they are self-isolating and either of the places referred to in sub-paragraph (1)(a)(iv),\n\nwhere that person has travelled to the United Kingdom for that purpose and is in possession of the confirmation referred to in sub-paragraph (1)(a)(ii) or a copy of it;\n\n- (c) an accompanying child who is accompanying P or, where P is a child, is accompanying a person referred to in sub-paragraph (1)(b);\n- (d) a live donor who is attending a place for the purpose referred to in the definition of \"live donor\" or is travelling directly between that place and the place where they are selfisolating.\n- (2) For the purposes of this paragraph—\n\t- (a) \"accompanying child\", in relation to P, means a child who has arrived in England with P and for whom P has responsibility, or where P is a child, a child who has arrived in England with the person referred to in sub-paragraph (1)(b) and for whom that person has responsibility;\n\t- (b) \"healthcare\" means all forms of healthcare provided for individuals, whether relating to mental or physical health, including healthcare in connection with giving birth;\n\t- (c) \"live donor\" means a person who—\n\t\t- (i) has travelled to the United Kingdom for the purpose of donation of material which consists of or includes their human cells pursuant to arrangements made with a provider in the United Kingdom before travelling to the United Kingdom, and which are to be used by the provider for the purpose of providing healthcare, and\n\t\t- (ii) is in possession of written confirmation of the arrangements from the provider;\n\t- (d) \"provider\" means a provider of healthcare;\n\t- (e) references to a place where a person is self-isolating are to a place where they are required to self-isolate, or permitted to be at, by virtue of regulation 9.\n\n**34.**—(1) A person who has travelled to the United Kingdom for the purpose of transporting material which consists of, or includes, human cells or blood and which is to be used for the provision of healthcare by a provider.\n\n(2) For the purposes of sub-paragraph (1)—\n\n- (a) \"blood\" includes blood components;\n- (b) \"healthcare\" and \"provider\" have the meanings given in paragraph 33(2).\n\n**35.** A person who is an \"inspector\" within the meaning given in regulation 8(1) of the Human Medicines Regulations 2012(**a**), or who has been appointed as an inspector under regulation 33 of\n\n(<b>a) S.I. 2012/1916.", - "page_start": 43, - "page_end": 43, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where the person who is the operator of the laboratory complies with the requirements of regulation 6 of the Health Protection (Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if—\n\n- (a) a reference to an applicable test were a reference to a day 2 test;\n- (b) a reference to a test provider were a reference to a private provider.\n\n#### **Day 8 tests: general test requirements**\n\n**8.**—(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph where—\n\n- (a) it is a test provided by a public provider; or\n- (b) it is a test provided by a private provider—\n\t- (i) in respect of—\n\t\t- (aa) a non-Schedule 11 passenger, on or after 1st March 2021;\n\t\t- (bb) a Schedule 11 passenger, on 1st or 2nd March 2021,\n\t- (ii) where the test complies with sub-paragraph (2), and\n\t- (iii) where the private provider complies with paragraph 9.\n- (2) A test complies with this sub-paragraph where—\n\t- (a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of two distinguishable SARS-CoV-2 genes other than the S gene and performance reference controls;\n\t- (b) it is, in relation to a Schedule 11 passenger—\n\t\t- (i) a test which requires laboratory processing, and\n\t\t- (ii) a test which can be self-administered;\n\t- (c) the manufacturer of any device used for the purposes of the test states that the device—\n\t\t- (i) uses an extracted molecular method,\n\t\t- (ii) has a specificity and a sensitivity greater than 95% (with a 95% two-sided confidence interval entirely above 90%), and\n\t\t- (iii) has a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre; and\n\t- (d) any device used for the purposes of the test—\n\t\t- (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations, and\n\t\t- (ii) has been validated no more than 18 months before the test is administered or provided to P.\n\n(3) For the purposes of sub-paragraph (2) \"validated\", in relation to a device, has the meaning given by paragraph 2(2) of Schedule 10.\n\n#### **Day 8 tests: private provider requirements**\n\n**9.**—(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this paragraph where—\n\n- (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 8 test;\n- (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (d) to visit a person (\"D\") whom P reasonably believes is dying, and where P is a member of D's household or a close family member or friend of D;\n- (e) to attend the funeral of a member of P's household or a close family member;\n- (f) in other exceptional circumstances such as—\n\t- (i) to seek medical assistance where this is required urgently or on the advice of a registered medical practitioner including to access services from dentists, opticians, audiologists, chiropodists, chiropractors, osteopaths and other medical and health practitioners, including services relating to mental health,\n\t- (ii) to access critical public services including social services or services provided to victims (such as victims of crime),\n\t- (iii) to avoid injury or illness or to escape risk of harm,\n\t- (iv) to access veterinary services where this is required urgently or on the advice of a veterinary surgeon.\n\n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the grounds mentioned in sub-paragraph (1)(c), (d) or (e)—\n\n- (a) if P has been given prior permission by a person authorised by the Secretary of State for this purpose;\n- (b) if P complies with any reasonable requirements imposed by the person so authorised in relation to the exercise, the visit to the person or attendance at the funeral.\n\n#### **Meaning of \"place\"**\n\n**14.** For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room in the designated accommodation where P is staying and, if connected to the room where P is staying, the room of any person referred to in paragraph 11(a) (travelling companion), including any balcony, and does not include the communal areas or any garden, yard, passage, stair, garage, outhouse or appurtenance of the accommodation in which the place is situated.\n\n#### **Designations**\n\n**15.** The Secretary of State must designate for the purposes of this Schedule—\n\n- (a) accommodation;\n- (b) transportation to the designated accommodation,\n\nand must publish details of the designations in such manner as appears to the Secretary of State to be appropriate.\n\n#### **Duties where P is a child**\n\n**16.** If P is a child—\n\n- (a) any person who has custody or charge of P when P is travelling to England must ensure, so far as is reasonably practicable, that P complies with the obligations in paragraphs 5 and 6;\n- (b) any person who has custody or charge of P during P's period of self-isolation must ensure, so far as is reasonably practicable, that P self-isolates in accordance with this Schedule.\n\n#### **Person caring for P**\n\n**17.** A person may reside in the place where P is residing pursuant to this Schedule to provide assistance P reasonably requires by reason of—\n\n- (a) P being a child; or\n- (b) any disability of P's,", - "page_start": 77, - "page_end": 77, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "When take effect the Fairness For Breastfeeding Mothers Act ?", - "target_page": 2, - "target_passage": "The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Public Law 116–30 116th Congress\n\n## An Act\n\nJuly 25, 2019 [H.R. 866]\n\nTo provide a lactation room in public buildings.\n\n*Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,* \n\nFairness For Breastfeeding Mothers Act of 2019. 40 USC 101 note.\n\n#### **SECTION 1. SHORT TITLE.**\n\nThis Act may be cited as the ''Fairness For Breastfeeding Mothers Act of 2019''.\n\n#### **SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.**\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of title 40, United States Code, is amended by adding at the end the following new section:\n\n40 USC 3318.\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\n### **''§ 3318. Lactation room in public buildings**\n\n''(a) DEFINITIONS.—In this section:\n\n''(1) APPROPRIATE AUTHORITY.—The term 'appropriate authority' means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building.\n\n''(2) COVERED PUBLIC BUILDING.—The term 'covered public building' means a public building (as defined in section 3301) that is open to the public and contains a public restroom, and includes a building listed in section 6301 or 5101.\n\n''(3) LACTATION ROOM.—The term 'lactation room' means a hygienic place, other than a bathroom, that—\n\n''(A) is shielded from view;\n\n''(B) is free from intrusion; and\n\n''(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet.\n\n''(b) LACTATION ROOM REQUIRED.—Except as provided in subsection (c), the appropriate authority of a covered public building shall ensure that the building contains a lactation room that is made available for use by members of the public to express breast milk.\n\n''(c) EXCEPTIONS.—A covered public building may be excluded from the requirement in subsection (b) at the discretion of the appropriate authority if—\n\n''(1) the public building—\n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030\n\n''(A) does not contain a lactation room for employees who work in the building; and\n\n''(B) does not have a room that could be repurposed as a lactation room or a space that could be made private using portable materials, at a reasonable cost; or", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "''(2) new construction would be required to create a lactation room in the public building and the cost of such construction is unfeasible.\n\n''(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall be construed to authorize an individual to enter a public building or portion thereof that the individual is not otherwise authorized to enter.''.\n\n(b) CLERICAL AMENDMENT.—The table of sections at the beginning of chapter 33 of title 40, United States Code, is amended by inserting after the item related to section 3316 the following new item:\n\n40 USC 3301 prec.\n\n''3318. Lactation room in public buildings.''.\n\n(c) EFFECTIVE DATE.—The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. 40 USC 3318 note.\n\nApproved July 25, 2019.\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030\n\nLEGISLATIVE HISTORY—H.R. 866 (S. 528): CONGRESSIONAL RECORD, Vol. 165 (2019): Feb. 6, considered and passed House. June 26, considered and passed Senate.", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90\n\nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "## **116. Power of Commissions in relation to pensions, etc.**\n\n- (1) Where under any law any person or authority has a discretion-\n- (a) to decide whether or not any pensions benefits shall be granted; or\n- (b) to withhold, reduce in amount or suspend any such benefits that have been granted,\n\nthose benefits shall be granted and may not be withheld, reduced in amount or suspended unless the appropriate Commission concurs in the refusal to grant the benefits or, as the case may be, in the decision to withhold them, reduce them in amount or suspend them.\n\n(2) Where the amount of any pensions benefits that may be granted to any person is not fixed by law, the amount of the benefits to be granted to him or her shall be the greatest amount for which he or she is eligible unless the appropriate Commission concurs in his or her being granted benefits of a smaller amount.\n\n(3) The appropriate Commission shall not concur under subsection (1) or subsection (2) of this section in action taken on the ground that any person who holds or has held the office of a judge of the Court of Appeal or of the High Court or the Auditor- General or Director of Prosecutions has been guilty of misbehaviour unless he or she has been removed from office by reason of such misbehaviour.\n\n(4) In this section \"the appropriate Commission\" means-\n\n- (a) in the case of benefits for which any person may be eligible in respect of the service in the public service of a person who, immediately before he or she ceased to be a public officer, was subject to the disciplinary control of the Judicial Service Commission or that have been granted in respect of such service, the Judicial Service Commission;\n- (b) in any other case, the Public Service Commission.\n\n(5) In this section \"pensions benefits\" means any pensions, compensation, gratuities or other like allowances for persons in respect of their service as public officers (including service as public officers of the former Protectorate of Bechuanaland) or for the widows, children, dependants or personal representatives of such persons in respect of such service.\n\n## **CHAPTER VIII Finance (ss 117-124)**\n\n# **117. Consolidated Fund**\n\nAll revenues or other moneys raised or received for the purposes of the Government of Botswana (not being revenues or other moneys that are payable by or under any law into some other fund established for a specific purpose or that may by or under any law be retained by the department of Government that received them for the purposes of defraying the expenses of that department) shall be paid into and form one Consolidated Fund.\n\n# **118. Withdrawals from Consolidated Fund or other public funds**\n\n(1) No moneys shall be withdrawn from the Consolidated Fund except-\n\n- (a) to meet expenditure that is charged upon the Fund by this Constitution or by any Act of Parliament;\n- (b) where the issue of those moneys has been authorized by an Appropriation Act, by a supplementary estimate approved by resolution of the National Assembly or by a law enacted in pursuance of section 120 of this Constitution.\n\n(2) No moneys shall be withdrawn from any public fund of Botswana other than the Consolidated Fund unless the issue of those moneys has been authorized by or under a law.\n\n(3) No moneys shall be withdrawn from the Consolidated Fund except in the manner prescribed by Parliament.", - "page_start": 50, - "page_end": 50, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "#### *Consumer Laws and Regulations*\n\nWe are also subject to certain consumer laws and regulations that are designed to protect consumers in transactions with banks. While the following list is not exhaustive, these laws and regulations include the Truth in Lending Act, the Truth in Savings Act, the Electronic Funds Transfer Act, the Expedited Funds Availability Act, the Equal Credit Opportunity Act, and the Fair Housing Act, among others. These laws and regulations among other things prohibit discrimination on the basis of race, gender or other designated characteristics and mandate various disclosure requirements and regulate the manner in which financial institutions must deal with customers when taking deposits or making loans to such customers. These and other laws also limit finance charges or other fees or charges earned in our activities. We must comply with the applicable provisions of these consumer protection laws and regulations as part of our ongoing customer relations.\n\n#### *Technology Risk Management and Consumer Privacy*\n\nState and federal banking regulators have issued various policy statements emphasizing the importance of technology risk management and supervision in evaluating the safety and soundness of depository institutions with respect to banks that contract with outside vendors to provide data processing and core banking functions. The use of technology-related products, services, delivery channels and processes expose a bank to various risks, particularly operational, privacy, security, strategic, reputation and compliance risk. Banks are generally expected to prudently manage technology-related risks as part of their comprehensive risk management policies by identifying, measuring, monitoring and controlling risks associated with the use of technology.\n\nUnder Section 501 of the Gramm-Leach-Bliley Act, the federal banking agencies have established appropriate standards for financial institutions regarding the implementation of safeguards to ensure the security and confidentiality of customer records and information, protection against any anticipated threats or hazards to the security or integrity of such records and protection against unauthorized access to or use of such records or information in a way that could result in substantial harm or inconvenience to a customer. Among other matters, the rules require each bank to implement a comprehensive written information security program that includes administrative, technical and physical safeguards relating to customer information.\n\nUnder the Gramm-Leach-Bliley Act, a financial institution must also provide its customers with a notice of privacy policies and practices. Section 502 prohibits a financial institution from disclosing nonpublic personal information about a consumer to nonaffiliated third parties unless the institution satisfies various notice and opt-out requirements and the customer has not elected to opt out of the disclosure. Under Section 504, the agencies are authorized to issue regulations as necessary to implement notice requirements and restrictions on a financial institution's ability to disclose nonpublic personal information about consumers to nonaffiliated third parties. Under the final rule the regulators adopted, all banks must develop initial and annual privacy notices which describe in general terms the bank's information sharing practices. Banks that share nonpublic personal information about customers with nonaffiliated third parties must also provide customers with an opt-out notice and a reasonable period of time for the customer to opt out of any such disclosure (with certain exceptions). Limitations are placed on the extent to which a bank can disclose an account number or access code for credit card, deposit, or transaction accounts to any nonaffiliated third party for use in marketing.\n\n#### *Monetary Policy*\n\nBanks are affected by the credit policies of other monetary authorities, including the Federal Reserve Board, that affect the national supply of credit. The Federal Reserve Board regulates the supply of credit in order to influence general economic conditions, primarily through open market operations in United States government obligations, varying the discount rate on financial institution borrowings, varying reserve requirements against financial institution deposits, and restricting certain borrowings by financial institutions and their subsidiaries. The monetary policies of the Federal Reserve Board have had a significant effect on the operating results of banks in the past and are expected to continue to do so in the future.", - "page_start": 37, - "page_end": 37, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "### **Modification of application of this Schedule where P is taking up employment as an NHS nurse**\n\n**19.**—(1) This paragraph applies where—\n\n- (a) on P's arrival in England, P is entitled to enter the United Kingdom pursuant to a skilled worker visa granted in accordance with Appendix Skilled Worker to the immigration rules(**a**);\n- (b) P is eligible for the visa by virtue of being sponsored—\n\t- (i) for a job within the entry for occupation code 2231 (nurses) in Table 2 of Appendix Skilled Occupations to the immigration rules, and\n\t- (ii) by an NHS trust or an NHS foundation trust (\"P's sponsor\"); and\n- (c) prior to P's arrival in England, P's sponsor has confirmed in writing that this paragraph applies in relation to P and has not withdrawn that confirmation.\n- (2) Where this paragraph applies, this Schedule applies in relation to P as if—\n\t- (a) for paragraph 6 there were substituted—\n\n\"**6.** P must, on arrival in England, travel directly to the accommodation specified in P's managed self-isolation package, using the means of transport facilitated as part of that package.\";\n\n- (b) for paragraph 8 there were substituted—\n\"**8.** In this Schedule a \"managed self-isolation package\" means—\n\n- (a) written confirmation from P's sponsor of the details of—\n- (i) a place in accommodation provided by the sponsor for the purposes of this Schedule;\n- (ii) transport facilitated by the sponsor to the accommodation referred to in paragraph (i); and\n\t- (b) a testing package required by regulation 6.\";\n\t- (c) in paragraph 9, \"accommodation, transport and\" were omitted;\n\t- (d) in paragraph 10, for \"designated\" were substituted \"specified\";\n\t- (e) in paragraph 14, \"designated\" were omitted.\n\t- (3) In this paragraph—\n\n- (a) \"NHS foundation trust\" has the meaning given in section 30 of the National Health Service Act 2006(**b**);\n- (b) \"NHS trust\" means an NHS trust established under section 25 of the National Health Service Act 2006.\n\n(<b>a) Laid before Parliament on 23rd May 1994 (HC 395), as amended. Appendix Skilled Worker and Appendix Skilled Occupations were laid before Parliament on 22nd October 2020 as part of a command paper that amended the immigration rules entitled \"Statement of Changes in Immigration Rules\" (HC 813). Appendix Skilled Worker and Appendix Skilled Occupations were amended by the statement of changes in immigration rules presented to Parliament on 4th March 2021 (HC 1248).\n\n(<b>b) 2006 c. 41. Section 30 was amended by section 159 of the Health and Social Care Act 2012 (c. 7).", - "page_start": 80, - "page_end": 80, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "regulation or rule, or to give any direction or instruction, the power shall be construed as including the power, exercisable in like manner to amend or revoke any such Act, order, regulation, rule, direction or instruction.\n\n(12) Any reference in this Constitution to a law made before 30th September, 1966 shall be construed as a reference to that law as it had effect on 29th September, 1966.\n\n(13) The Interpretation Act, 1889 shall apply, with the necessary adaptations, for the purpose of interpreting this Constitution and otherwise in relation thereto as it applies for the purpose of interpreting and in relation to Acts of the Parliament of the United Kingdom.\n\n### **FIRST SCHEDULE TO THE CONSTITUTION** (Section 58(2)(b)) **ELECTION OF SPECIALLY ELECTED MEMBERS OF THE NATIONAL ASSEMBLY**\n\n**1.** (1) In this Schedule-\n\n**\"by-election\"** means an election to fill a vacancy among the Specially Elected Members occurring otherwise than upon a dissolution of Parliament;\n\n**\"general election\"** means an election to fill the vacancies among the Specially Elected Members occurring upon a dissolution of Parliament;\n\n**\"the Speaker\"** means the Speaker of the National Assembly; and\n\n**\"prescribed\"** means prescribed by rules made under paragraph 2 of this Schedule.\n\n(2) At any time when the office of Speaker is vacant or the holder of that office is unable by reason of absence or illness to exercise the functions vested in him or her by this Schedule those functions may be exercised by the Deputy Speaker of the National Assembly or, if there is no Deputy Speaker or the Deputy Speaker is unable by reason of absence or illness to exercise those functions, by such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that purpose.\n\n**2.** Subject to the provisions of this Schedule the National Assembly may make rules for the election of its Specially Elected Members.\n\n**3.** Elections of Specially Elected Members shall be conducted by the Speaker and, subject to the provisions of this Schedule and of any rules made under paragraph 2 thereof, shall be conducted in such manner as he or she may direct.\n\n**4.** (1) The President shall nominate four candidates for election in the case of a general election and he or she shall nominate one candidate for election in the case of a by-election.\n\n(2) The names of the four candidates or, as the case may be, the name of the one candidate nominated for election by the President under the foregoing subparagraph shall be presented to the National Assembly in such manner as may be prescribed, and any Elected Member of the Assembly (other than the President if he or she is an Elected Member) shall thereupon be entitled to nominate four candidates for election in the case of a general election and one candidate for election in the case of a by-election.\n\n(3) A list of the candidates nominated for election by the President and the Elected Members of the National Assembly under the foregoing provisions of this paragraph shall be prepared, and each Elected Member of the Assembly shall be entitled to vote-\n\n(a) in the case of a general election, for four candidates; and\n\n(b) in the case of a by-election, for one candidate,\n\non the list so constituted.\n\n(4) The vote of every Elected Member of the National Assembly shall be given by ballot in such a manner as not to disclose how he or she has voted.\n\n(5) An Elected Member of the National Assembly shall not cast more than one vote for any one candidate.\n\n**5.** (1) The Speaker shall cause elections of Specially Elected Members to be held-\n\n- (a) in the case of a general election, as soon as practicable after the holding of a general election of the Elected Members of the National Assembly and before the Assembly first meets after that general election; and", - "page_start": 55, - "page_end": 55, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2020/471\n\nUK202004291001 05/2020 19585\n\n£6.90", - "page_start": 7, - "page_end": 7, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "investigated then-\n\n- (a) the Assembly shall, by resolution, appoint a tribunal which shall consist of a Chairman and not less than two other members, who hold or have held high judicial office;\n- (b) the tribunal shall enquire into the matter and report on the facts thereof to the Assembly;\n- (c) the Assembly shall consider the report of the tribunal at the first convenient sitting of the Assembly after it is received and may, upon such consideration, by resolution, remove the Auditor-General from office.\n\n(4) If the question of removing a person holding the office of Auditor-General from office has been referred to a tribunal under this section, the National Assembly may, by resolution, suspend that person from performing the functions of his or her office, and any such suspension may at any time be revoked by the Assembly by resolution and shall in any case cease to have effect if, upon consideration of the report of the tribunal in accordance with the provisions of this section, the Assembly does not remove the Auditor-General from office.\n\n# **115. Pensions laws and protection of pensions rights**\n\n(1) The law to be applied with respect to any pensions benefits that were granted to any person before the coming into operation of this Constitution shall be the law that was in force at the date on which those benefits were granted or any law in force at a later date that is not less favourable to that person.\n\n(2) The law to be applied with respect to any pensions benefits (not being benefits to which subsection (1) of this section applies) shall-\n\n- (a) in so far as those benefits are wholly in respect of a period of service as a public officer that commenced before the date on which this Constitution comes into operation, be the law that was in force immediately before that date; and\n- (b) in so far as those benefits are wholly or partly in respect of a period of service as a public officer that commenced after the date on which this Constitution comes into operation, be the law in force on the date on which that period of service commenced,\n\nor any law in force at a later date that is not less favourable to that person.\n\n(3) Where a person is entitled to exercise an option as to which of two or more laws shall apply in his or her case, the law for which he or she opts shall, for the purposes of this section, be deemed to be more favourable to him or her than the other law or laws.\n\n(4) All pensions benefits shall (except to the extent to which under any law providing for the funding of pensions benefits they are a charge on a fund established by that law and have been duly paid out of that fund to the person or authority to whom payment is due) be a charge on the Consolidated Fund.\n\n(5) In this section \"pensions benefits\" means any pensions, compensation, gratuities or other like allowances for persons in respect of their service as public officers or as members of the armed forces or for the widows, children, dependants or personal representatives of such persons in respect of such service.\n\n(6) References in this section to the law with respect to pensions benefits include (without prejudice to their generality) references to the law regulating the circumstances in which such benefits may be granted or in which the grant of such benefits may be refused, the law regulating the circumstances in which any such benefits that have been granted may be withheld, reduced in amount or suspended and the law regulating the amount of any such benefits.\n\n(7) In this section references to service as a public officer include references to service as a public officer of the former Protectorate of Bechuanaland.", - "page_start": 49, - "page_end": 49, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When is it not necessary to review an EHC plan ?", - "target_page": 3, - "target_passage": " It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**10.** In regulation 13(3) (timescales for EHC plans), for \"(d)\" substitute \"(e)\".\n\n**11.** After regulation 18 (circumstances in which a local authority must review an EHC plan) insert—\n\n## \"**Circumstances in which it is not necessary to review an EHC plan**\n\n**18A.**—(1) It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\n\n(2) Where paragraph (1) applies, a local authority must instead conduct such reviews as soon as reasonably practicable.\".\n\n**12.** In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert—\n\n\"(6) The local authority need not comply with the time limit referred to in paragraphs (3) and (4) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**13.** In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**14.** In regulation 45 (unopposed appeals), after paragraph (7) insert—\n\n\"(8) The local authority need not comply with the time limits specified in paragraph (3A) if it is impractical to do so because the circumstances referred to in regulation 10(4)(e) apply.\".\n\n### **Amendment of the Special Educational Needs (Personal Budgets) Regulations 2014**\n\n**15.** The Special Educational Needs (Personal Budgets) Regulations 2014(**a**) are amended as follows.\n\n**16.** In regulation 2 (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n**17.** After regulation 2 (interpretation) insert—\n\n\".\n\n#### \"**Relaxation of time period due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, the requirement for the local authority to review the making and use of direct payments within the first three months of them being made in regulation 11(2)(a) (monitoring and review of direct payments) is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(<b>a) S.I. 2014/1652, to which there are amendments not relevant to these Regulations.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**25.** In regulation 13(3) (timescales for EHC plans), for \"(c)\" substitute \"(d)\".\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n- (a) after paragraph (6) insert—\n\"(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.\".\n\n- (b) in paragraph (7)(c) after \"10(4)(a)\" insert \"or (d)\".\n**27.** In regulation 30(7)(c) (unopposed appeals), after \"10(4)(a)\" insert \"or (d)\".\n\n## **Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017(**a**) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n- **30.** After regulation 2 (interpretation) insert—\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 6(3) and (6) (responding to health care recommendations); and\n- (b) regulation 7(1) and (4) (responding to social care recommendations).\".\n\n*Vicky Ford* Parliamentary Under Secretary of State 28th April 2020 Department for Education\n\n#### (**a**) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "**21**. Singleton JM, Sanchez LD, Masser BA, Reich B. Efficiency of electronic signout for ED-to-inpatient admission at a non-teaching hospital. Intern Emerg Med. 2018;13(7):1105-1110. doi:10.1007/s11739-018-1816-z\n\n**22**. Downing NL, Bates DW, Longhurst CA. Physician burnout in the electronic health record era: are we ignoring the real cause? Ann Intern Med. 2018;169(1):50-51. doi:10.7326/M18-0139\n\n**23**. Pivovarov R, Elhadad N. Automated methods for the summarization of electronic health records. J Am Med Inform Assoc. 2015;22(5):938-947. doi:10.1093/jamia/ocv032\n\n**24**. Hartman VC, Bapat SS, Weiner MG, Navi BB, Sholle ET, Campion TR Jr. A method to automate the discharge summary hospital course for neurology patients.J Am Med Inform Assoc. 2023;30(12):1995-2003. doi:10.1093/ jamia/ocad177\n\n**25**. Zhang Y, Merck D, Tsai EB, Manning CD, Langlotz CP. Optimizing the factual correctness of a summary: a study of summarizing radiology reports. arXiv. Preprint posted online November 6, 2019. doi:10.48550/arXiv.1911.02541\n\n**26**. Mukherjee S, Gamble P, Ausin MS, et al. Polaris: a safety-focused LLM constellation architecture for healthcare. arXiv. Preprint posted online March 20, 2024. doi:10.48550/arXiv.2403.13313\n\n**27**. Hegselmann S, Shen SZ, Gierse F, Agrawal M, Sontag D, Jiang X. A data-centric approach to generate faithful and high quality patient summaries with large language models. arXiv. Preprint posted online February 23, 2024. doi:10.48550/arXiv.2402.15422\n\n**28**. Krishna K, Khosla S, Bigham JP, Lipton ZC. Generating SOAP Notes from Doctor-Patient Conversations Using Modular Summarization Techniques. In: Proceedings of the 59th Annual Meeting of the Association for Computational Linguistics and the 11th International Joint Conference on Natural Language Processing (Volume 1: Long Papers); 2021. Accessed October 23, 2024. https://aclanthology.org/2021.acl-long.0/\n\n**29**. Ayers JW, Poliak A, Dredze M, et al. Comparing physician and artificial intelligence chatbot responses to patient questions posted to a public social media forum.JAMA Intern Med. 2023;183(6):589-596. doi:10.1001/ jamainternmed.2023.1838\n\n**30**. Williams CY, Bains J, Tang T, et al. Evaluating large language models for drafting emergency department discharge summaries. medRxiv. Preprint posted online April 4, 2024. doi:10.1101/2024.04.03.24305088\n\n**31**. Cao Z, Wei F, Li W, Li S. Faithful to the original: fact aware neural abstractive summarization. In: Proceedings of the AAAI Conference on Artificial Intelligence April 26, 2018; New Orleans, LA. Accessed October 23, 2024. https:// aaai.org/proceeding/01-thirty-second-aaai-conference-on-artificial-intelligence-2018/\n\n**32**. Singhal K, Tu T, Gottweis J, et al. Towards expert-level medical question answering with large language models. arXiv. Preprint posted online May 16, 2023. doi:10.48550/arXiv.2305.09617\n\n**33**. Wang G, Yang G, Du Z, Fan L, Li X. ClinicalGPT: large language models finetuned with diverse medical data and comprehensive evaluation. arXiv. Preprint posted online June 16, 2023. doi:10.48550/arXiv.2306.09968\n\n**34**. Shing HC, Shivade C, Pourdamghani N, et al. Towards clinical encounter summarization: learning to compose discharge summaries from prior notes. arXiv. Preprint posted online April 27, 2021. doi:10.48550/arXiv. 2104.13498\n\n**35**. Van Veen D, Van Uden C, Blankemeier L, et al. Adapted large language models can outperform medical experts in clinical text summarization. Nat Med. 2024;30(4):1134-1142. doi:10.1038/s41591-024-02855-5\n\n**36**. Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit Med. 2023;6(1):158. doi:10.1038/s41746-023-00896-7\n\n**37**. Goswami J, Prajapati KK, Saha A, Saha AK. Parameter-efficient fine-tuning large language model approach for hospital discharge paper summarization. Appl Soft Comput. 2024;157:111531. doi:10.1016/j.asoc.2024.111531\n\n**38**. Huang KT, Mehta NH, Gupta S, See AP, Arnaout O. Evaluation of the safety, accuracy, and helpfulness of the GPT-4.0 large language model in neurosurgery.J Clin Neurosci. 2024;123:151-156. doi:10.1016/j.jocn.2024.03.021\n\n**39**. Giuffrè M, Kresevic S, You K, et al. Systematic review: the use of large language models as medical chatbots in digestive diseases. Aliment Pharmacol Ther. 2024;60(2):144-166. doi:10.1111/apt.18058\n\n**40**. Tailor PD, Dalvin LA, Chen JJ, et al. A comparative study of responses to retina questions from either experts, expert-edited large language models or large language models alone. Ophthalmol Sci. 2024;4(4):100485. doi:10. 1016/j.xops.2024.100485\n\n**41**. Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge summaries to patient-friendly language and format.JAMA Netw Open. 2024;7(3):e240357. doi:10.1001/ jamanetworkopen.2024.0357\n\n**42**. Zhou C, Liu P, Xu P, et al. Lima: less is more for alignment. arXiv. Preprint posted online May 18, 2023. doi:10. 48550/arXiv.2305.11206\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 11/12", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed8.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n- (b) regulation 16(2) and (3) (change of responsible commissioning body);\n- (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n- (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n- (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n- (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n- (g) regulation 33 (requirement to consider mediation);\n- (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n- (i) regulation 35(2), (3) and (4) (mediation health care issues);\n- (j) regulation 36(2) (mediation no health care issues);\n- (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n- (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n- (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n- (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n- (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n- (p) regulation 56(3) (publication of comments on the local offer).\".\n\n**6.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\t- \"; or\n\t- (e) of a reason relating to the incidence or transmission of coronavirus\".\n- **8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\t- (a) at the end of sub-paragraph (b) omit \"or\"; and\n\t- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety.38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n# **Methods**\n\n### **Data Collection**\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n### **EM-to-IP Handoff Note Template**\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n### **Data Curation for Automated ED Note Generation**\n\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rulebased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail in eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in **Table 1**: EM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## **Discussion**\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user–developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\n| | | | Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| | | | Likert rating 1-5, No. (%)a | | | | | | Likert rating 1-5, No. (%)a | | | |\n| Criteria | Mean score (SD) | 1 | 2 | 3 | 4 | 5 | Mean score (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.00 (0.88) | 0 | 12 (8) | 31 (20.7) | 69 (46) | 38 (25.3) | 4.16 (0.84) | 0 | 3 (2) | 31 (20.7) | 48 (32) | 68 (45.3) |\n| Curation | 4.24 (0.58) | 0 | 1 (0.7) | 13 (8.7) | 85 (56.7) | 51 (34) | 4.76 (0.48) | 0 | 0 | 6 (4) | 39 (26) | 105 (70) |\n| Readability | 4.00 (0.64) | 0 | 8 (5.3) | 17 (11.3) | 87 (58) | 38 (25.3) | 4.64 (0.49) | 0 | 0 | 5 (3.3) | 38 (25.3) | 107 (71.3) |\n| Correctness | 4.52 (0.64) | 0 | 0 | 13 (8.7) | 39 (26) | 98 (65.3) | 4.90 (0.39) | 0 | 0 | 2 (1.3) | 12 (8) | 136 (90.7) |\n| Usefulness | 4.04 (0.86) | 0 | 12 (8) | 30 (20) | 59 (39.3) | 49 (32.7) | 4.36 (0.71) | 0 | 5 (3.3) | 13 (8.7) | 53 (35.3) | 79 (52.7) |\n\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results.\n\n#### Table 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written\n\n| | LLM-generated | | | | | | Physician-written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | Likert score 1-5, No. (%)a | | | | | | Likert score 1-5, No. (%)a | | | |\n| Criteria | Mean (SD) | 1 | 2 | 3 | 4 | 5 | Mean (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.20 (0.93) | 0 | 13 (8.7) | 19 (12.7) | 58 (38.7) | 60 (40) | 4.50 (0.65) | 0 | 0 | 17 (11.3) | 43 (28.7) | 90 (60) |\n| Curation | 4.82 (0.32) | 0 | 1 (0.7) | 3 (2) | 21 (14) | 125 (83.3) | 4.90 (0.31) | 0 | 0 | 3 (2) | 8 (5.3) | 139 (92.7) |\n| Readability | 4.74 (0.37) | 0 | 1 (0.7) | 6 (4) | 23 (15.3) | 120 (80) | 4.94 (0.14) | 0 | 0 | 0 | 10 (6.7) | 140 (93.3) |\n| Correctness: hallucination | 4.96 (0.14) | 0 | 0 | 0 | 5 (3.3) | 145 (96.7) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Correctness: knowledge gap | 4.88 (0.48) | 0 | 3 (2) | 2 (1.3) | 6 (4) | 139 (92.7) | 4.90 (0.42) | 0 | 1 (0.7) | 5 (3.3) | 3 (2) | 141 (94) |\n| Correctness: faulty logic | 4.60 (0.75) | 0 | 11 (7.3) | 12 (8) | 13 (8.7) | 114 (76) | 4.94 (0.24) | 0 | 0 | 2 (1.3) | 2 (1.3) | 146 (97.3) |\n| Correctness: bias | 5.00 | 0 | 0 | 0 | 0 | 150 (100) | 5.00 | 0 | 0 | 0 | 0 | 150 (100) |\n| Overall safety risk | 4.06 (0.86) | 0 | 11 (7.3) | 27 (18) | 60 (40) | 52 (34.7) | 4.50 (0.56) | 0 | 1 (0.7) | 16 (10.7) | 41 (27.3) | 92 (61.3) |\n| | | | | | a Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or AI summaries in the 150 evaluation results. | | | | | | | |\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 7/12", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement.52 Data were analyzed from October 2023 to March 2024.\n\n## **Results**\n\n#### **Automated Tasks**\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In **Table 2**, ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n### **Clinical Evaluation Tasks**\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in **Table 3** and **Table 4**. The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\n| | Table 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Summary type | R-1a | R-2a | R-La | BERT-p | BERT-r | SCALE |\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |\n\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; SCALE, source chunking approach for large-scale inconsistency evaluation.\n\na R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 6/12", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise.49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows.29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy.54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps),30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n### **Limitations**\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.\n\nWhile the dataset was smaller, we made significant efforts to reduce model variance and prevent overfitting by allocating more data to the training cohort and using k-fold cross validation. And while our ratio split choice implies the testing results will have slightly greater variance than expected, this is mitigated through the extensive manual clinical assessment that was performed. The study's multidimensional clinical evaluation was labor intensive, requiring more than 200 hours from expert informaticists and quality trained clinician experts to both curate the dataset of 1600\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 8/12", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "**Additional Contributions:** We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and Cornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in helping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey, MD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with physician recruitment. None of them were compensated for their contributions.\n\n#### **REFERENCES**\n\n**1**. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an extensive review. Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480\n\n**2**. Donaldson MS, Corrigan JM, Kohn LT. To err is human: building a safer health system. National Academy Press; 2000.\n\n**3**. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement and Patient Safety. Improving Handoffs in the Emergency Department. Ann Emerg Med. 2010;55(2):171-180. doi:10. 1016/j.annemergmed.2009.07.016\n\n**4**. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners' guide. Association of American Medical Colleges. 2017. Accessed October 23, 2024. https://www.aamc.org/media/ 20196/download\n\n**5**. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among hospitalized children following implementation of a resident handoff bundle.JAMA. 2013;310(21):2262-2270. doi: 10.1001/jama.2013.281961\n\n**6**. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after implementation of a handoff program. N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556\n\n**7**. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating across boundaries. Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009\n\n**8**. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs. ED Manag. 2015;27(11): 128-131.\n\n**9**. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic and community settings. Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026\n\n**10**. Hoff TJ. How work context shapes physician approach to safety and error. Qual Manag Health Care. 2008;17 (2):140-153. doi:10.1097/01.QMH.0000316992.94415.34\n\n**11**. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey data and development of algorithm. West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004\n\n**12**. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care Task Force. Handoff practices in emergency medicine: are we making progress? Acad Emerg Med. 2016;23(2): 197-201. doi:10.1111/acem.12867\n\n**13**. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine. Am J Med Qual. 2014;29(5):408-414. doi:10.1177/1062860613503364\n\n**14**. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department: a survey of emergency medicine residency and pediatric emergency medicine fellowship program directors. Acad Emerg Med. 2007;14(2):192-196.\n\n**15**. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of failures during the transition from emergency department to inpatient care. Ann Emerg Med. 2009;53(6): 701-10.e4. doi:10.1016/j.annemergmed.2008.05.007\n\n**16**. Smith CJ, Britigan DH, Lyden E, Anderson N, Welniak TJ, Wadman MC. Interunit handoffs from emergency department to inpatient care: a cross-sectional survey of physicians at a university medical center.J Hosp Med. 2015;10(11):711-717. doi:10.1002/jhm.2431\n\n**17**. Kessler C, Shakeel F, Hern HG, et al. An algorithm for transition of care in the emergency department. Acad Emerg Med. 2013;20(6):605-610. doi:10.1111/acem.12153\n\n**18**. Apker J, Mallak LA, Gibson SC. Communicating in the \"gray zone\": perceptions about emergency physician hospitalist handoffs and patient safety. Acad Emerg Med. 2007;14(10):884-894.\n\n**19**. Sanchez LD, Chiu DT, Nathanson L, et al. A model for electronic handoff between the emergency department and inpatient units.J Emerg Med. 2017;53(1):142-150. doi:10.1016/j.jemermed.2017.03.027\n\n**20**. Gonzalo JD, Yang JJ, Stuckey HL, Fischer CM, Sanchez LD, Herzig SJ. Patient care transitions from the emergency department to the medicine ward: evaluation of a standardized electronic signout tool. Int J Qual Health Care. 2014;26(4):337-347. doi:10.1093/intqhc/mzu040\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 10/12", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed8.pdf" - }, - { - "text": "records and perform manual comparative evaluations of 50 LLM-generated and 50 cliniciangenerated summary notes within the context of complex ED encounters. This approach is unlikely scalable, invoking complex postimplementation governance questions that remain unanswered in the medical literature and invoke the need for future research focused on the possibility of AI performing the clinical evaluations.56 Lastly, the relatively infrequent but potentially significant patient safety implications of model output incorrectness and incompleteness warrants further model refinement and repeat clinical evaluation, as described in the eAppendix 1 in Supplement 1 overview of our rigorous preimplementation model development and testing framework.\n\n## **Conclusions**\n\nThis study's results suggest promise for future thoughtful integration of LLM-generated EM-to-IP handoff notes into clinical admission workflows, as well as the associated potential downstream quality and efficiency gains. Our novel clinical evaluation framework demonstrates an effective preimplementation strategy to measure potential patient safety implications of incorrectness identified in LLM-generated clinical care summaries, which will guide future model refinement and implementation strategies. In the absence of a current written standard of care in EM, this innovation could represent a transformative advancement in the quality of EM-to-IP transitions of care.\n\n#### **ARTICLE INFORMATION**\n\n**Accepted for Publication:** October 7, 2024.\n\n**Published:** December 3, 2024. doi:10.1001/jamanetworkopen.2024.48723\n\n**Open Access:** This is an open access article distributed under the terms of the CC-BY License. © 2024 Hartman V et al.JAMA Network Open.\n\n**Corresponding Author:** Vince Hartman, MS, Abstractive Health, 333 E 56 St, Apt 7N, New York, NY 10022 (vince @abstractivehealth.com).\n\n**Author Affiliations:** Abstractive Health, New York, New York (Hartman, Zhang, Poddar); Department of Emergency Medicine, NewYork-Presbyterian/Weill Cornell Medicine, New York (McCarty, Fortenko, Sharma, Steel); Department of Population Health, NewYork-Presbyterian/Weill Cornell Medicine, New York (Sholle, Campion); Clinical and Translational Science Center, Weill Cornell Medicine, New York, New York (Campion).\n\n**Author Contributions:** Mr Hartman and Dr Zhang had full access to all of the data in the study and take responsibility for the integrity of the data and the accuracy of the data analysis.\n\nConcept and design: Hartman, Zhang, Poddar, McCarty, Fortenko, Campion, Steel.\n\nAcquisition, analysis, or interpretation of data: All authors.\n\nDrafting of the manuscript: Hartman, Zhang, Poddar, McCarty, Campion, Steel.\n\nCritical review of the manuscript for important intellectual content: All authors.\n\nStatistical analysis: Hartman, Zhang, Poddar, Sholle.\n\nObtained funding: Hartman, Campion.\n\nAdministrative, technical, or material support: Hartman, Zhang, Poddar, Sholle, Sharma, Campion, Steel.\n\nSupervision: Zhang, Poddar, McCarty, Sharma, Campion, Steel.\n\n**Conflict of Interest Disclosures:** Dr Hartman reported holding equity in Abstractive Health during the conduct of the study and holding a patent for automated summarization of a hospital stay using machine learning issued to Abstractive Health. No other disclosures were reported.\n\n**Funding/Support:** Our research received support from NewYork-Presbyterian and Weill Cornell Medicine, including the Joint Clinical Trials Office and Clinical and Translational Science Center (grant No. UL1TR002384).\n\n**Role of the Funder/Sponsor:** The funder had no role in the design and conduct of the study; collection, management, analysis, and interpretation of the data; preparation, review, or approval of the manuscript; and decision to submit the manuscript for publication.\n\n**Data Sharing Statement:** See Supplement 2.\n\nJAMA Network Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 9/12", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed8.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "Give me some info about the scroll bars in excel", - "target_page": 6, - "target_passage": "Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### **NAVIGATING IN A FILE**\n\n| Arrow | Move one cell to the right, left, up or down |\n| --- | --- |\n| Keys | |\n| Tab | Move once cell to the right |\n| Ctrl+Home | To beginning file |\n| Ctrl+End | To end of typed information |\n| Home | Beginning of a line |\n| End | End of a line |\n| Page Down | Down one screen |\n| Page Up | Up one screen |\n| F5 | To a specific page |\n| Scroll bars | Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move |\n| | through the document. |", - "page_start": 5, - "page_end": 5, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **SELECTING ROWS**\n\nIf you want to make changes to an *entire row*, such as bolding all of the headings in a row or changing the font of all the cell entries, you must first select the row. This is done by clicking on the row header to the left of the row. Remember that any changes you make will apply to every cell in the row all the way across to column XFD, so be careful!\n\n### **For Your Reference…**\n\nTo *select* an entire *row*:\n\n- 1. Click on the row header of the row that you want to select\nOR\n\n- 1. Click in any cell in the row and press +\n### **Handy to Know…**\n\n- When *every cell* in a row or column is selected, the corresponding row or column header is filled in dark blue. When only *some* of the cells are selected, the row or column header is filled in orange. These indicators help you locate the active cell(s) on the worksheet.", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **WRAPPING AND MERGING TEXT**\n\nMicrosoft Excel will allow long cell entries to spill across to other adjacent cells to the right as long as those cells are empty. If those cells contain data the spill-over will be chopped off. If you need to place long text entries in a cell you can arrange for Microsoft Excel to wrap the text within the cell and also merge that cell with others to accommodate the longer text entry.\n\n### **For Your Reference…**\n\n- To wrap text click in the cell to merge and click on the *Wrap Text* command in the *Alignment* group on the *Home* tab\n- To merge text click on the drop arrow for *Merge & Centre* in the *Alignment* group and select **Merge Cells**\n\n### **Handy to Know…**\n\n- In the example above, wrapping forced the text into one cell and Excel expanded the row height so that all of the text was accommodated. We then merged the text across several horizontal cells in the exercise above so that we could reduce the row height to a more acceptable level.", - "page_start": 25, - "page_end": 25, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING THE CHART LAYOUT**\n\nExcel has a gallery of *chart layouts* that can be applied to an existing and selected chart that is either in its own worksheet or embedded into the data worksheet. *Chart layouts* are the way\n\nelements of the chart are placed within the chart. Different layout options can therefore change the appearance of your chart and its readability.\n\n### **For Your Reference…**\n\n### To *change* the *chart layout*:\n\n- 1. Ensure the chart or chart sheet is selected\n- 2. Click on the *CHART TOOLS: DESIGN* tab, then click on *Quick Layout* in the *Chart Layouts* group\n- 3. Select the desired layout\n\n### **Handy to Know…**\n\n- *Chart layouts* are predefined themes created by Microsoft. Even if you choose one of these layouts you can still make your own modifications to the way the elements and objects are positioned and how they appear.", - "page_start": 53, - "page_end": 53, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **SELECTING COLUMNS**\n\nIf you want to make changes to an *entire column*, such as bolding all of the headings in a column or changing the font of all the cell entries, you must first select the column. This is done by\n\nclicking on the column header directly above the column. Remember that any changes you make will apply to every cell in the column all the way down to row 1,048,576!\n\n### **For Your Reference…**\n\n#### To *select* an entire *column*:\n\n- 1. Click on the column heading of the column that you want to select\nOR\n\n- 1. Click in any cell in the column and press +\n### **Handy to Know…**\n\n- Make sure that you check your worksheet carefully after you've made changes to entire columns. Remember that all of the cells in that column are affected – even those in rows below the visible area.", - "page_start": 18, - "page_end": 18, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING FONTS**\n\nThe appearance that you choose for your text is referred to as the *font* or *typeface*. Font traditionally refers to a combination of typeface, style and size in points (e.g. Arial Bold 12 pt).\n\nIn Excel 2007, *font* just refers to the typeface or shape of the letters. Typical classic fonts include Times New Roman, Arial, Century Gothic and **Copperplate**.\n\n| | Try This Yourself: | 1 |\n| --- | --- | --- |\n| | Continue using the previous | |\n| Same File | file with this exercise, or open the file E722 Font | |\n| | Formatting_1.xls... | |\n|  | Click in cell A1 to make the | |\n| | cell with the main heading the | |\n| | active cell | |\n|  | Click on the drop arrow next to | |\n| | the Font command in | |\n| | the Font group on the Home | 4 |\n| | tab to display a gallery of | |\n| | available fonts | |\n|  | Point to Arial Narrow, then Book Antiqua, Garamond and Gill | |\n| | Sans MT | |\n| | If you don't have these fonts, | |\n| | try different ones. As you point | |\n| | to each font, the preview will | |\n| | change... | |\n|  | Scroll to and click on Comics | |\n| | Sans MS, or another font of | |\n| | your choice if you don't have | |\n| | this one | |\n| | This time the font formatting | |\n| | has changed in the cell and is | |\n| | no longer just a preview – it | |\n| | won't change again unless you | |\n| | make another font selection. | |\n\n### **For Your Reference…**\n\nTo *apply font formatting*:\n\n- 1. Select the text\n- 2. Click on the drop arrow for *Font*\n- 3. Point to a font to preview it\n- 4. Click on the font to apply it\n\n### **Handy to Know…**\n\n- You can jump directly to a font. For example, if you want to preview Garamond, click on the name of the font in the *Font* command and press . Excel will jump to the fonts that start with *G* and *Live Preview* will display the text temporarily. Keep typing the name until you reach the required font.", - "page_start": 21, - "page_end": 21, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "| Type of content | Tags |\n| --- | --- |\n| Picture with Alt Text in Cell | |\n| | |\n| |
|\n| | Alt=alt text |\n| Hyperlink on Cell | |\n| | |\n| |

|\n| | |\n| | Link - OBJR |\n| | |\n| | text content |\n| Hyperlink on Object | |\n| | tag for object |\n| | |\n| | Link - OBJR |\n\n### **Artifacts**\n\nThe following types of content are marked as in the PDF Content Tree and have no PDF/UA tags:\n\n- Slicer scrollbar\n- Grid lines\n- Cell borders\n- Cell shading\n- Decorative graphical objects\n- Text in SmartArt objects\n\n## **Availability**\n\nThe information in this article is applicable to the following versions of Excel.\n\n- Excel for Windows Version 2408 and later.\n- Excel for Mac Version 16.89 and later.\n- Excel for iOS Version 2.89 and later.\n- Excel for Android Build 16.0.18025.XXXXX or later.", - "page_start": 47, - "page_end": 47, - "source_file": "office-pdf.pdf" - }, - { - "text": "### **QUICK FORMATTING**\n\nThe first tab in the *Quick Analysis* gallery is *FORMATTING*. This tab provides access to the conditional formatting tools of Excel. These are the tools that allow you to analyse data by\n\ncolouring it or presenting it in a slightly different way. In the *Quick Analysis* gallery you can apply data bars, colour high and low values, values over or below a value, and more.\n\n### **For Your Reference…**\n\n### To *apply Quick Formatting* in a *worksheet*:\n\n- 1. Select the range to be formatted, then click on the *Quick Analysis* button\n- 2. Choose the desired formatting from the *FORMATTING* tab\n\n### **Handy to Know…**\n\n- *Quick Formatting* applies conditional formatting, not the standard formatting.\n- The *Clear Format* option in the *Quick Analysis* gallery will clear any conditional formatting that has been applied.", - "page_start": 36, - "page_end": 36, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **FREEZING ROWS AND COLUMNS**\n\nWhen you lay out your data in rows and columns, it is most likely that your headings end up at the top or to the left of your data. If you have a large amount of data, you may find that when you\n\nscroll across or down to particular cells, the headings scroll out of view. This problem can be resolved by *freezing* the rows and/or columns that hold the headings.\n\n### **For Your Reference…**\n\n#### To *freeze panes* in a *worksheet*:\n\n- 1. Click in the cell below and to the right of the area you want to freeze/unfreeze\n- 2. Click on the *VIEW* tab\n- 3. Click on *Freeze Panes* in the *Window* group, then select **Freeze Panes**\n\n### **Handy to Know…**\n\n- If you want to freeze only the rows above the selected cell (leaving all columns unfrozen), select the cell in column *A* of that row – e.g. to freeze rows *1* to *6*, click in cell *A7*. The same applies to freezing only columns and leaving the rows unfrozen: select the cell in row *1*.", - "page_start": 15, - "page_end": 15, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING FONT SIZE**\n\nOne way that text can be emphasised is by changing the *size* of the font. For example, if your normal text is 11 pt, you may like to make the headings 13 pt or larger. Font size may also be changed for small detailed items, such as comments or a caption. Main headings in a worksheet usually appear in a slightly larger font size compared to the rest of the data.\n\n| | Try This Yourself: | 1 |\n| --- | --- | --- |\n| | Continue using the previous | |\n| Same File | file with this exercise, or open | |\n| | the file E722 Font | |\n| | Formatting_2.xlsx... | |\n| | Click in cell A1 to make the | |\n|  | cell with the main heading the | 2 |\n| | active cell | |\n| | Click on the drop arrow next to | |\n|  | the Font Size command | |\n| | in the Font group on | |\n| | the Home tab to display a | |\n| | gallery of available sizes | |\n| | Point to various sizes and | |\n|  | notice how Live Preview | |\n| | shows you how the heading | |\n| | will look | |\n|  | Click on 16 to change the | |\n| | heading to 16 pt | |\n| | You can also change the font | |\n| | size of parts of a document, | |\n| | and you can use the Mini | |\n| | toolbar... | 8 |\n|  | Click in cell A2 | |\n|  | Click with the right-mouse button to display the mini | |\n| | toolbar and the shortcut menu | |\n| | Click on the drop arrow next to | |\n|  | | |\n| | Font Size and | |\n| | click on 14 | |\n| | Click in cell A3 to hide the | |\n|  | toolbar | |\n\n### **For Your Reference…**\n\n#### To *change font size*:\n\n- 1. Select the cell or range that you want to change\n- 2. Click on the drop arrow of *Font Size*\n- 3. Click on the required font size\n\n#### **Handy to Know…**\n\n- You may have noticed that the text didn't change size when you used the mini toolbar until you actually clicked on a different font size. This is because *Live Preview* doesn't work with the mini toolbar.", - "page_start": 22, - "page_end": 22, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "How to rename a worksheet in Excel ?", - "target_page": 12, - "target_passage": "To rename a worksheet: 1. Double click on the current name on the worksheet tab 2. Type the new name and press ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### **RENAMING A WORKSHEET**\n\nBy default, Excel names worksheets as *Sheet1*, *Sheet2*, *Sheet3*, etc. These names are fine if you are not planning to share the workbook, but changing these to something more relevant\n\nmakes it much easier to understand the purpose of a worksheet. You can also adjust the horizontal scroll bar to make room for longer, more meaningful worksheet names.\n\n### **For Your Reference…**\n\n#### To *rename* a *worksheet*:\n\n- 1. Double click on the current name on the worksheet tab\n- 2. Type the new name and press\n\n#### **Handy to Know…**\n\n- You can rename a worksheet by right-clicking on the worksheet tab to display the shortcut menu and clicking on *Rename*.\n- A worksheet tab name can contain up to 31 characters including spaces, but it is better to keep it short and succinct.", - "page_start": 11, - "page_end": 11, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING WORKSHEET TAB COLOURS**\n\nTo make it easier for you to distinguish between worksheets, Excel enables you to change the colours of worksheet tabs. This allows you, for example, to quickly distinguish between different financial years, departments or months. The *active sheet* appears as underlined in a gradient version of the selected colour, while inactive tabs will display a solid colour background.\n\n### **For Your Reference…**\n\n#### To *change the colour* of a *worksheet tab*:\n\n- 1. Right-click on the worksheet tab to display the shortcut menu\n- 2. Point to *Tab colour* to display a palette of colour options\n- 3. Click on the desired colour\n\n### **Handy to Know…**\n\n- To apply the same colour to two or more sheets at once, select them first. Hold down to select consecutive worksheets or hold down to select non-consecutive worksheets.", - "page_start": 13, - "page_end": 13, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **COPYING A WORKSHEET**\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can *duplicate* worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n### **For Your Reference…**\n\n### To *copy* a *worksheet*:\n\n- 1. Right-click on the worksheet to copy, then select *Move or Copy*\n- 2. Click on *Create a copy* so it appears ticked\n- 3. Click on **[OK]**\n\n### **Handy to Know…**\n\n- You can copy the current worksheet using the *HOME* tab by clicking on *Format* in the *Cells* group, then clicking on *Move or Copy Sheet*.\n- The *Before sheet* options in the *Move or Copy* dialog box allow you to position the copied worksheet where you want.", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **GROUPING WORKSHEETS**\n\nWorksheet *grouping* enables you to make the same change at once to all selected worksheets. This feature is useful in situations where your worksheets have identical layouts or text. For\n\nexample, if you want to format the heading for multiple worksheets, you simply *group* the worksheets, make a change to one worksheet and the other worksheets will reflect the change also.\n\n### **For Your Reference…**\n\nTo *group worksheet tabs*:\n\n- 1. Click on the first worksheet tab\n- 2. Hold down , then click on the last worksheet tab\n\n### **Handy to Know…**\n\n- To deselect a group, either click on the tab of a worksheet that is not in the group, or rightclick on a tab and select **Ungroup Sheets**.\n- Most formatting and text changes done on a worksheet in a group will be applied to other sheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "- 3. Enter the new name that you want to assign to the Consistency Group and click **Rename**, as shown in Figure 11-54.\n**Note:** It is not possible to select multiple consistency groups to edit their names all at the same time.\n\n| | Rename FlashCopy Consistency Group | | |\n| --- | --- | --- | --- |\n| | *New Name | | |\n| ITSO-TST001 | ITSO-res01 | | |\n| Reset | | Cancel | Rename |\n\n*Figure 11-54 Renaming the selected consistency group*\n\n**Consistency Group name:** The name can consist of the letters A - Z and a - z, the numbers 0 - 9, the dash (-), and the underscore (_) character. The name can be 1 - 63 characters. However, the name cannot start with a number, a dash, or an underscore.\n\n# **11.2.14 Deleting FlashCopy mappings**\n\nTo delete one or multiple FlashCopy mappings, complete them following steps:\n\n- 1. Open the FlashCopy Consistency Groups, or FlashCopy Mappings window. Right-click the FlashCopy mappings that you want to delete and select **Delete Mapping**, as shown in Figure 11-55.\n\n| . |\n| --- |\n\n*Figure 11-55 Deleting FlashCopy mappings*", - "page_start": 513, - "page_end": 513, - "source_file": "sg247938.pdf" - }, - { - "text": "### **APPLYING GENERAL FORMATTING**\n\nThe *Number Format* command in the *Number* group on the *HOME* tab contains a drop arrow that provides a gallery of the more commonly used number formats. You can apply these\n\nformats easily and quickly to a selected cell or range of cells in the worksheet.\n\n| Try This Yourself: | | | | |\n| --- | --- | --- | --- | --- |\n| Before starting this exercise | Open | File | you MUST open the file E1315 | |\n| Number Formatting_1.xlsx… | | | | |\n|  | | | | |\n| Click in cell D4, hold down | , then click in cell D13 to | | | |\n| select the range containing | dates | | | |\n|  | | | | |\n| Click on the HOME tab, then | click on the drop arrow for | | | |\n| Number Format in the | Number group to see a gallery | | | |\n| of number formats |  | Click on Long Date to make | | |\n| the short dates in the selected | range appear as long dates | | | |\n|  | | | | |\n| Click in cell E4, hold down | , then click in cell E13 to | 2 | | |\n| select the range containing | units of measure | | | |\n|  | | | | |\n| Click on the drop arrow for | Number Format, then select | | | |\n| Number to display these as | numbers with 2 decimal places | | | |\n|  | | | | |\n| Repeat the above steps to | change G4:G13 to Currency | | | |\n|  | | | | |\n| Repeat the above steps and | change the following ranges | | | |\n| as shown: | H4:H14 | Percentage | | |\n| I4:I4 | Accounting | G15:I15 | Currency | |\n| 7 | | | | |\n| For Your Reference… | Handy to Know… | To apply general formatting to numbers: |  | Excel may appear to round values up or |\n| down as necessary – however, the value in | 1. Select the range to format | | | |\n\n- 2. Click on the *HOME* tab, then click on the drop arrow for *Number Format* in the *Number* group\n- 3. Click on the desired number format\n- the cell does not change. Sometimes you'll see minor rounding discrepancies.\n- The *Currency* format shows the currency format and symbol appropriate to the country your computer is configured for.", - "page_start": 20, - "page_end": 20, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **MOVING OR COPYING A SHEET TO ANOTHER WORKBOOK**\n\nYou can *copy* worksheets to other workbooks as required. For example, you might need to keep records for six different divisions – rather than send each division the entire set of records, you\n\ncan copy their worksheet to another workbook and send them their data only. If worksheets exist in the other workbook, you will need to determine the order in which to place the copied worksheet.\n\n### **For Your Reference…**\n\n#### To *copy* a *sheet* to *another workbook*:\n\n- 1. Right click on the worksheet tab, then click on *Move or Copy*\n- 2. Select either *(new book)* or the name of another workbook in *To book*\n- 3. Tick *Create a copy*, then click on **[OK]**\n\n#### **Handy to Know…**\n\n- To copy a worksheet into an existing workbook, make sure that you open the destination workbook first to ensure that it is listed in *To book* in the *Move or Copy* dialog box.", - "page_start": 12, - "page_end": 12, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **INSERTING AND DELETING WORKSHEETS**\n\nOnce you've decided on a structure for your workbook, you may find that there are some worksheets that can be *deleted*. Alternatively, you may find that you need additional blank\n\nworksheets *inserted*. However, remember that deletion of worksheets is permanent and can't be undone using *Undo*, so always save your workbook before making these changes.\n\n### **For Your Reference…**\n\nTo *insert* a *new worksheet* into a *workbook*:\n\n- Click on the *New Sheet* icon to the right of the worksheet tabs\nTo *delete* a *worksheet* from a *workbook*:\n\n- Right click on the worksheet tab, then select **Delete**\n### **Handy to Know…**\n\n- To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on *Insert* to display the *Insert* dialog box. Select *Worksheet* and click on **[OK]**.", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **REPOSITIONING A CHART**\n\nIt's unlikely that a chart embedded in the worksheet by Excel will be exactly where you would like it to be. You can easily relocate a chart to a more appropriate position by clicking\n\non and dragging the border of the chart to the desired location. The chart obviously must be selected before it can be dragged to a new position.\n\n### **For Your Reference…**\n\n### To *move* a *chart*:\n\n- 1. Click on the chart to select it\n- 2. Move the mouse pointer to the border of the chart until the mouse pointer changes to a four-headed arrow\n- 3. Drag the chart to a new location\n\n### **Handy to Know…**\n\n- You can use the standard cut and paste commands to move a chart. Select the chart, click on the *HOME* tab, then click on *Cut* in the *Clipboard* group to copy it to the clipboard. Click in a new location and, on the *HOME* tab, click on *Paste* in the *Clipboard* group to paste the chart.", - "page_start": 49, - "page_end": 49, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **TYPING TEXT OR NUMBERS INTO A WORKSHEET**\n\nGenerally when you start a new spreadsheet project, the first task is to enter some headings into rows and columns. To type anything into a worksheet you need to make the cell into which you wish to enter the data active. This can be done in a number of ways but the most common is to click in it first before typing.\n\n#### **For Your Reference… For Your Reference…**\n\nTo *enter text*: To *save a new document*:\n\n- 1. Click the cell pointer on the desired cell and 1. Click on the *File Tab* and select **Save As**\n- type the required information 2. Press , an arrow key or to 2. Locate the storage folder in the *Navigation pane*\n- confirm the data entry and to move the cell pointer to another cell 3. Type a *File name* and click on **[Save]**\n\n#### **Handy to Know… Handy to Know…**\n\n- You don't have to use or to make adjacent cells active. You can simply use the mouse and click in the cells if you want or even press the arrow keys to move up, down, left, or right. In the exercise above we have named the workbook *Garden Department Sales* and filed it in *C:\\Course Files for Excel 2010*. Each time you start Excel it will most likely assume you want to file your workbooks in a folder called *Documents* which is associated with the user name you use on the computer.", - "page_start": 6, - "page_end": 6, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "I want to freeze a pane in my Excel worksheet ", - "target_page": 16, - "target_passage": "To freeze panes in a worksheet: 1. Click in the cell below and to the right of the area you want to freeze/unfreeze 2. Click on the VIEW tab 3. Click on Freeze Panes in the Window group, then select Freeze Panes ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "### **FREEZING ROWS AND COLUMNS**\n\nWhen you lay out your data in rows and columns, it is most likely that your headings end up at the top or to the left of your data. If you have a large amount of data, you may find that when you\n\nscroll across or down to particular cells, the headings scroll out of view. This problem can be resolved by *freezing* the rows and/or columns that hold the headings.\n\n### **For Your Reference…**\n\n#### To *freeze panes* in a *worksheet*:\n\n- 1. Click in the cell below and to the right of the area you want to freeze/unfreeze\n- 2. Click on the *VIEW* tab\n- 3. Click on *Freeze Panes* in the *Window* group, then select **Freeze Panes**\n\n### **Handy to Know…**\n\n- If you want to freeze only the rows above the selected cell (leaving all columns unfrozen), select the cell in column *A* of that row – e.g. to freeze rows *1* to *6*, click in cell *A7*. The same applies to freezing only columns and leaving the rows unfrozen: select the cell in row *1*.", - "page_start": 15, - "page_end": 15, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **REPOSITIONING A CHART**\n\nIt's unlikely that a chart embedded in the worksheet by Excel will be exactly where you would like it to be. You can easily relocate a chart to a more appropriate position by clicking\n\non and dragging the border of the chart to the desired location. The chart obviously must be selected before it can be dragged to a new position.\n\n### **For Your Reference…**\n\n### To *move* a *chart*:\n\n- 1. Click on the chart to select it\n- 2. Move the mouse pointer to the border of the chart until the mouse pointer changes to a four-headed arrow\n- 3. Drag the chart to a new location\n\n### **Handy to Know…**\n\n- You can use the standard cut and paste commands to move a chart. Select the chart, click on the *HOME* tab, then click on *Cut* in the *Clipboard* group to copy it to the clipboard. Click in a new location and, on the *HOME* tab, click on *Paste* in the *Clipboard* group to paste the chart.", - "page_start": 49, - "page_end": 49, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **INSERTING AND DELETING WORKSHEETS**\n\nOnce you've decided on a structure for your workbook, you may find that there are some worksheets that can be *deleted*. Alternatively, you may find that you need additional blank\n\nworksheets *inserted*. However, remember that deletion of worksheets is permanent and can't be undone using *Undo*, so always save your workbook before making these changes.\n\n### **For Your Reference…**\n\nTo *insert* a *new worksheet* into a *workbook*:\n\n- Click on the *New Sheet* icon to the right of the worksheet tabs\nTo *delete* a *worksheet* from a *workbook*:\n\n- Right click on the worksheet tab, then select **Delete**\n### **Handy to Know…**\n\n- To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on *Insert* to display the *Insert* dialog box. Select *Worksheet* and click on **[OK]**.", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **CHANGING WORKSHEET TAB COLOURS**\n\nTo make it easier for you to distinguish between worksheets, Excel enables you to change the colours of worksheet tabs. This allows you, for example, to quickly distinguish between different financial years, departments or months. The *active sheet* appears as underlined in a gradient version of the selected colour, while inactive tabs will display a solid colour background.\n\n### **For Your Reference…**\n\n#### To *change the colour* of a *worksheet tab*:\n\n- 1. Right-click on the worksheet tab to display the shortcut menu\n- 2. Point to *Tab colour* to display a palette of colour options\n- 3. Click on the desired colour\n\n### **Handy to Know…**\n\n- To apply the same colour to two or more sheets at once, select them first. Hold down to select consecutive worksheets or hold down to select non-consecutive worksheets.", - "page_start": 13, - "page_end": 13, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **COPYING A WORKSHEET**\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can *duplicate* worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n### **For Your Reference…**\n\n### To *copy* a *worksheet*:\n\n- 1. Right-click on the worksheet to copy, then select *Move or Copy*\n- 2. Click on *Create a copy* so it appears ticked\n- 3. Click on **[OK]**\n\n### **Handy to Know…**\n\n- You can copy the current worksheet using the *HOME* tab by clicking on *Format* in the *Cells* group, then clicking on *Move or Copy Sheet*.\n- The *Before sheet* options in the *Move or Copy* dialog box allow you to position the copied worksheet where you want.", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **DELETING A CHART**\n\nIf you no longer require a chart you can easily delete it. With embedded charts you must first select the chart in the worksheet and then press the key to delete the chart. With charts in\n\nchart sheets you can delete the sheet by right clicking on the chart sheet tab and choosing the deletion option.\n\n### **For Your Reference…**\n\n#### To *delete* a *chart*:\n\n- 1. Click on the worksheet to see the chart, then click on the chart to select it\n- 2. Press\n\n#### **Handy to Know…**\n\n- Because it is so easy to delete a chart object it is also easy to delete it by accident! Remember, you can use the *Undo* feature in Excel to restore accidental deletions.", - "page_start": 57, - "page_end": 57, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "After clicking on the \"Open Visualization\" button, the user should execute the following steps:\n\n#### **Step 1: Select a Sheet Name**\n\nThe Portal is parsing the XLS file and lists all available worksheets. Select one of the sheets contained in the XLS file.\n\n| Sheet Names: |\n| --- |\n| Notes |\n| Select a sheet |\n| Notes |\n| IDACI and IDAOPI |\n\n#### **Step 2: The Grid View**\n\nThe grid appears once the user has clicked on a file name (and a sheet name in case of an Excel file).\n\n| Sheet Names: | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| IDACI and IDAOPI | | | | | | | | | | | V |\n| Grid Graph | | 32482 record(s) | 1 રર | 100 | » | Q | Search data ... | | Go » | Filters | Fields |\n| LSOA | PRE 200 ... | PRE 200 ... | POST 2 ... | POST 2 ... | GOR CO ... | GOR NA ... | IDACI s ... | Rank of ... | IDAOPI ... | Rank of ... | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.04 | 28761 | 0.00 | 32456 | |\n| E01000 ... | 00AA | City of L ... | 00AA | City of L ... | H | London | 0.00 | 32415 | 0.03 | 32339 | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.19 | 13938 | 0.18 | 14932 | |\n| E01000 ... | 00AA | City of L ... | 00AA | City of L ... | H | London | 0.05 | 27689 | 0.07 | 29527 | |\n| E01000 ... | 00AA | City of L .. | 00AA | City of L ... | H | London | 0.29 | 8404 | 0.35 | 4973 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.21 | 12445 | 0.18 | 15003 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.46 | 3011 | 0.39 | 3309 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.64 | 463 | 0.41 | 2925 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.25 | 10525 | 0.41 | 6688Z | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.56 | 1217 | 0.38 | 3872 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.35 | 6267 | 0.39 | 3389 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.53 | 1601 | 0.29 | 7732 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.43 | 3853 | 0.33 | 5529 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.38 | 5189 | 0.33 | 5801 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.44 | 3645 | 0.32 | 5887 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.32 | 7495 | 0.29 | 7297 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.40 | 4560 | 0.37 | 3991 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.39 | 5031 | 0.28 | 7984 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.38 | 5273 | 0.31 | 6382 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.32 | 7482 | 0.36 | 4455 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.43 | 3949 | 0.36 | 4639 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.30 | 8175 | 0.35 | 4798 | |\n| E01000 ... | 00AB | Barking ... | 00AB | Barking ... | H | London | 0.49 | 2416 | 0.32 | 5962 | す |", - "page_start": 43, - "page_end": 43, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "### **GROUPING WORKSHEETS**\n\nWorksheet *grouping* enables you to make the same change at once to all selected worksheets. This feature is useful in situations where your worksheets have identical layouts or text. For\n\nexample, if you want to format the heading for multiple worksheets, you simply *group* the worksheets, make a change to one worksheet and the other worksheets will reflect the change also.\n\n### **For Your Reference…**\n\nTo *group worksheet tabs*:\n\n- 1. Click on the first worksheet tab\n- 2. Hold down , then click on the last worksheet tab\n\n### **Handy to Know…**\n\n- To deselect a group, either click on the tab of a worksheet that is not in the group, or rightclick on a tab and select **Ungroup Sheets**.\n- Most formatting and text changes done on a worksheet in a group will be applied to other sheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **TYPING TEXT OR NUMBERS INTO A WORKSHEET**\n\nGenerally when you start a new spreadsheet project, the first task is to enter some headings into rows and columns. To type anything into a worksheet you need to make the cell into which you wish to enter the data active. This can be done in a number of ways but the most common is to click in it first before typing.\n\n#### **For Your Reference… For Your Reference…**\n\nTo *enter text*: To *save a new document*:\n\n- 1. Click the cell pointer on the desired cell and 1. Click on the *File Tab* and select **Save As**\n- type the required information 2. Press , an arrow key or to 2. Locate the storage folder in the *Navigation pane*\n- confirm the data entry and to move the cell pointer to another cell 3. Type a *File name* and click on **[Save]**\n\n#### **Handy to Know… Handy to Know…**\n\n- You don't have to use or to make adjacent cells active. You can simply use the mouse and click in the cells if you want or even press the arrow keys to move up, down, left, or right. In the exercise above we have named the workbook *Garden Department Sales* and filed it in *C:\\Course Files for Excel 2010*. Each time you start Excel it will most likely assume you want to file your workbooks in a folder called *Documents* which is associated with the user name you use on the computer.", - "page_start": 6, - "page_end": 6, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "### **WRAPPING AND MERGING TEXT**\n\nMicrosoft Excel will allow long cell entries to spill across to other adjacent cells to the right as long as those cells are empty. If those cells contain data the spill-over will be chopped off. If you need to place long text entries in a cell you can arrange for Microsoft Excel to wrap the text within the cell and also merge that cell with others to accommodate the longer text entry.\n\n### **For Your Reference…**\n\n- To wrap text click in the cell to merge and click on the *Wrap Text* command in the *Alignment* group on the *Home* tab\n- To merge text click on the drop arrow for *Merge & Centre* in the *Alignment* group and select **Merge Cells**\n\n### **Handy to Know…**\n\n- In the example above, wrapping forced the text into one cell and Excel expanded the row height so that all of the text was accommodated. We then merged the text across several horizontal cells in the exercise above so that we could reduce the row height to a more acceptable level.", - "page_start": 25, - "page_end": 25, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What is the msodocexStructTypeArticle type value ?", - "target_page": 21, - "target_passage": "A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Type Value | Description |\n| --- | --- |\n| msodocexStructTypeParaRTLAttr | A block of text within an article with right-to-left |\n| | layout. |\n| msodocexStructTypeTableRTLAttr | A block of text forming a table with right-to-left |\n| | layout. |\n| msodocexStructTypeHeadingRTLAttr | A heading in the text with right-to-left layout. |\n| msodocexStructTypeListItemRTLAttr | A block of text forming a list item with right-to-left |\n| | layout. |\n| msodocexStructTypeParaUnannotatableAttr | A block of text within an article that is not |\n| | annotatable. |\n| msodocexStructTypeTHead | The header row area in a table. |\n| msodocexStructTypeTBody | The body area in a table, i.e. the portion between |\n| | the THead and TFoot. |\n| msodocexStructTypeLabel | A label. |\n| msodocexStructTypeEquation | An equation. |\n| msodocexStructTypeIntLinkNoteRef | A footnote or endnote reference mark link. |\n| msodocexStructTypeTFoot | The footer row area in a table. |\n\n**fContentNode** Specifies whether a **DocExComment_EndStructNode** structure marks the end of this structure node. If **fContentNode** is **true**, a\n\n**DocExComment_EndStructNode** structure closes off the content bounded by the node. If this **fContentNode** has a **false** value, then the node does not bound any content.\n\nThe **fContentNode** member affects the interpretation of the parent ID value of subsequent nodes. If **fContentNode**is **true**, nodes that are inserted between this **DocExComment_BeginStructNode** and a subsequent **DocExComment_EndStructNode**, and that have a parent ID of **-1**, are children of this node. However, if **fContentNode** is **true**, nodes inserted after this **DocExComment_BeginStructNode**, and that have a parent ID of **-1**, are not children of this node. They are children of the next-most-recently specified node that has **fContentNode** equal to **false**.\n\nYou can nest document structure nodes to arbitrary depth.\n\n**cwchAltText** Specifies the number of Unicode characters in the block of alternate text that follows the structure. This Unicode string specifies alternate text for the node (for example, alternate text for an image).", - "page_start": 22, - "page_end": 22, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Type Value | Description |\n| --- | --- |\n| msodocexStructTypeTOC | A table of contents. |\n| msodocexStructTypeTOCI | An item in a table of contents. |\n| msodocexStructTypeExtLink | A link to an external resource. |\n| msodocexStructTypeIntLink | A link to an internal resource. |\n| msodocexStructTypeFootnote | A footnote. |\n| msodocexStructTypeEndnote | An endnote. |\n| msodocexStructTypeTextbox | A text box. |\n| msodocexStructTypeHeader | A block of text forming a header. |\n| msodocexStructTypeFooter | A footer. |\n| msodocexStructInlineShape | An inline shape. |\n| msodocexStructAnnotation | An annotation. |\n| msodocexStructTypeSpanBlock | A block of text. |\n| msodocexStructTypeWorkbook | A workbook. |\n| msodocexStructTypeWorksheet | A worksheet. |\n| msodocexStructTypeMacrosheet | A macrosheet. |\n| msodocexStructTypeChartsheet | A chartsheet. |\n| msodocexStructTypeDialogsheet | A dialogsheet. |\n| msodocexStructTypeSlide | A slide. |\n| msodocexStructTypeChart | A chart. |\n| msodocexStructTypeDiagram | A SmartArt diagram. |\n| msodocexStructTypeBulletText | Buller text. |\n| msodocexStructTypeTextLine | A line of text. |\n| msodocexStructTypeDropCap | A drop cap. |\n| msodocexStructTypeSection | A section. |\n| msodocexStructTypeAnnotationBegin | The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd | The end of an annotation. |", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\ntypedef struct _MsoDocexStructNode\n{\n int idNode;\n MSODOCEXSTRUCTTYPE nodetype;\n WCHAR* pwchAltText;\n union\n {\n int iHeadingLevel;\n ULONG idPara;\n ULONG idDropCap;\n int iPage;\n WCHAR* pwchActualText;\n MSODOCEXLINEBREAKTYPE bt;\n int iListLevel;\n MSODOCEXLISTTYPE listType;\n ULONG idAtn;\n long cpLim;\n int shapeProperty;\n MsoDocexTableAttr tableAttr;\n WCHAR* idTableHeader;\n int iTargetParentId;\n };\n} MSODOCEXSTRUCTNODE;\n```\nThe **idNode** member specifies the ID of the node being passed in the call to **HrBeginStructNode**. This member may not have a value of **0**. A value of **-1** indicates that child nodes do not use the *idNodeParent* parameter to specify this node as their parent. Instead, this node can be a parent only by enclosing child nodes in the EMF. Multiple nodes can have an ID of **-1**. If the ID is not **-1**, the value is unique across the document.\n\nThe embedded union at the end of the MSODOCEXSTRUCTNODE is interpreted differently depending on the type of node:\n\n- **iHeadingLevel** is the heading level for an msodocexStructTypeHeading.\n- **idPara** is the paragraph id for a P, TOCI, or ListBody.\n- **idDropCap** is the id of an msodocexStructTypeDropCap.\n- **iPage** is the page number for an msodocexStructTypePage.\n- **bt** is the line break type for an msodocexStructTypeTextLine.\n- **iListLevel** is the list level for an msodocexStructTypeList or msodocexStructTypeListItem.\n- **listType** is the list type for an msodocexStructTypeListItem.\n- **idAtn** is the id of an msodocexStructTypeAnnotationBegin or msodocexStructTypeAnnotationEnd.\n- **cpLim** is used to determine the nesting order of tables within tables for an msodocexStructTypeTable, msodocexStructTypeTOC, or msodocexStructTypeListBody.", - "page_start": 8, - "page_end": 8, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nC++\nHRESULT HrAddDocumentMetadataDate(\n MSODOCEXMETADATA metadataType, \n const FILETIME* pftLocalTime\n);\n```\nThe *metadatatype* parameter specifies the type of metadata represented by the **FILETIME** structure. The *metadatatype* parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 9. Enumerated values of MSODOCEXMETADATA\n\n#### ノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexMetadataCreationDate | The creation date for the document. |\n| msodocexMetadataModDate | The last-modified date for the document. |\n\nThe *pftLocalTime* parameter specifies a pointer to a FILETIME structure that contains the date and time information for the metadata. The following code snippet demonstrates how to extract this information from the structure.\n\n```\nC++\n```\n\n```\nSYSTEMTIME st = { 0 };\nWCHAR s[100];\nFileTimeToSystemTime(pfiletime, &st);\nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);\n```\nHow the add-in incorporates the date and time metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n### **HrFinalize**\n\nPublisher calls the **HrFinalize** method at the end of the document-export process.\n\nC++", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "- **shapeProperty** is for a msodocexStructTypeFigure where the content is a shape, text box, or table cell and contains bit fields from the MSODOCEXSHAPEPROPERTY enumeration.\n- **tableAttr** is the table cell attributes for a msodocexStructTypeTH or msodocexStructTypeTD.\n- **idTableHeader** is the unique id for an msodocexStructTypeTH or msodocexStructTypeTD.\n- **iTargetParentId** is the id of the node to reparent an msodocexStructTypeDiagram to.\n\nTable 3. Enumerated values of MSODOCEXLINEBREAKTYPE\n\nノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexLineBreakTypeNormal | Normal line break. |\n| msodocexLineBreakTypeManual | Manual line break. |\n| msodocexLineBreakTypeEOP | End of paragraph. |\n\n#### Table 4. Enumerated values of MSODOCEXLISTTYPE\n\nノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexListTypeNone | No bullets or numbering. |\n| msodocexListTypeBulletDisc | Disc-shaped bullets. |\n| msodocexListTypeBulletCircle | Circle-shaped bullets. |\n| msodocexListTypeBulletSquare | Square-shaped bullets. |\n| msodocexListTypeBulletDecimal | Decimal numbering. |\n| msodocexListTypeUpperRoman | Uppercase Roman numeral numbering. |\n| msodocexListTypeLowerRoman | Lowercase Roman numberal numbering. |\n| msodocexListTypeUpperAlpha | Uppercase alphabetic numbering. |\n| msodocexListTypeLowerAlpha | Lowercase alphabetic numbering. |\n\nTable 5. Enumerated values of MSODOCEXSHAPEPROPERTY bit fields", - "page_start": 9, - "page_end": 9, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Value | Numeric Value | Description |\n| --- | --- | --- |\n| msodocexShape | 0x00000001 | The object is a shape or text box. |\n| msodocexShapeText | 0x00000002 | The object has non-whitespace text. |\n| msodocexShapePath | 0x00000004 | The object has a fill and/or outline. |\n| msodocexShapeAltText | 0x00000008 | The object has Alt Text. |\n| msodocexShapeEquation | 0x00000010 | The object has text that contains an equation. |\n| msodocexShapeTabelCell | 0x00000020 | The object is a cell in a table. |\n\n#### **MsoDocexTableAttr**\n\nThe **MsoDocexTableAttr** structure fits in 32 bits and includes the row and column span and header scope information for a table cell.\n\n```\nC++\nstruct MsoDocexTableAttr\n{\n static constexpr unsigned int MaxSpanBits = sizeof(unsigned int) * 8 / 2\n- 1;\n static constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1;\n unsigned int rowSpan : MaxSpanBits;\n unsigned int fRowScope : 1;\n unsigned int colSpan : MaxSpanBits;\n unsigned int fColScope : 1;\n};\n```\nThe members of **MsoDocexTableAttr** structure are as follows:\n\n- **MaxSpanBits** Specifies the number of bits available for the rowSpan and colSpan values, which is 15.\n- **MaxSpanValue** Specifies the maximum value that can be specified for the rowSpan and colSpan.\n- **rowSpan** Specifies the number of rows that a table cell spans.\n- **fRowScope** Specifies whether the header is Row/Both or Column.\n- **colSpan** Specifies the number of columns that a table cell spans.", - "page_start": 10, - "page_end": 10, - "source_file": "office-pdf.pdf" - }, - { - "text": "The *metadatatype* parameter specifies the type of metadata represented by the string. The *metadatatype* parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\nノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexMetadataTitle | The title of the document. |\n| msodocexMetadataAuthor | The author of the document |\n| msodocexMetadataSubject | String that describes the subject matter of the document (for |\n| | example, business or science). |\n| msodocexMetadataKeywords | Keyword relevant to the document content. |\n| msodocexMetadataCreator | The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer | The producer of the document, possibly distinct from the author |\n| | or creator. |\n| msodocexMetadataCategory | String that describes the type of document (for example, memo, |\n| | article, or book). |\n| msodocexMetadataStatus | Status of the document. This field can reflect where the |\n| | document is in the publication process (for example, draft or |\n| | final). |\n| msodocexMetadataComments | Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it. So, for example, if the document has multiple keywords, they are passed to the add-in as one concatenated string.\n\nThe *pwchValue* parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n### **HrAddDocumentMetadataDate**\n\nPublisher calls the **HrAddDocumentMetadataDate** method to specify document metadata in the form of a FILETIME structure.", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nstruct DocExComment_ExternalHyperlink\n{\n DWORD ident {};\n DWORD iComment {};\n union\n {\n RECT rcdvRegion;\n struct\n {\n float xLeft;\n float yTop;\n float dxWidth;\n float dyHeight;\n } rctfvRegion;\n };\n WCHAR wzLink[MAX_PATH];\n};\n```\nThe members of **DocExComment_ExternalHyperlink(Rctfv)** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentExternalHyperlink or msodocexcommentExternalHyperlinkRctfv.\n- **rcdvRegion** and **rctfvRegion** A union that specifies the region of the page that is the source location of the hyperlink. The region can be represented as a RECT type (rcdvRegion) that uses device pixels as the unit of measure, or as a structure that contains floating-point coordinates (rctfvRegion), in which case the unit of measure is points.\n\nIf the **iComment** member is equal to msodocexcommentExternalHyperlink, the add-in should use **rcdvRegion**. In this case, the add-in needs to apply the current EMF transformation matrix to **rcdvRegion** to convert it to the page space.\n\nIf the **iComment** member is equal to msodocexcommentExternalHyperlinkRctfv, the add-in should use **rctfvRegion**. In this case, **rctfvRegion** is already in the page space, so no transformation is needed.\n\n- **wzLink[MAX_PATH]** Specifies the destination URL for this hyperlink.\n### **DocExComment_InternalHyperlink(Rctfv)**\n\nThe **DocExComment_InternalHyperlink(Rctfv)** structure describes a hyperlink that links to a location within the document. Note that, although Publisher passes a separate EMF", - "page_start": 15, - "page_end": 15, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\n int idNode {};\n WCHAR rgwchNodeText[cwchMaxNodeText];\n int iDestPage {};\n float dytfvDestPage {};\n float dxtfvDestOffset {};\n float dytfvDestOffset {};\n} MSODOCEXOUTLINENODE;\n```\nThe members of the **MSODOCEXOUTLINENODE** are described as follows:\n\n- **idNode** The ID for the node. A value of **-1** indicates that this node cannot have child nodes in the outline. Otherwise, this member has a value that is unique across the document.\n- **rgwchNodeText** A Unicode string that represents the title text for each node. This text is not required to be unique across the outline.\n- **iDestPage** The page number of the page that contains the destination location within the document.\n- **dytfvDestPage** The height of the destination page in points. The offset specified by the **dytfvDestOffset** member is relative to the upper-left corner of the page. However, some fixed-format types use a coordinate system that is relative to the bottom-left corner of the page. For these types of documents, the page height is required to convert the offset.\n- **dxtfvDestOffset** The horizontal offset of the destination location on the destination page.\n- **dytfvDestOffset** The vertical offset of the destination location on the destination page.\n\n### **HrAddDocumentMetadataString**\n\nPublisher calls the **HrAddDocumentMetadataString** method to specify document metadata in the form of a Unicode string.\n\n```\nC++\nHRESULT HrAddDocumentMetadataString(\n MSODOCEXMETADATA metadataType, \n const WCHAR* pwchValue\n);\n```", - "page_start": 33, - "page_end": 33, - "source_file": "office-pdf.pdf" - }, - { - "text": "- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEndTextRun.\n### **DocExComment_UnicodeForNextTextOut**\n\nThe **DocExComment_UnicodeForNextTextOut** structure functions similarly to the **DocExComment_BeginTextRun** and **DocExComment_EndTextRun** structures. However, **DocExComment_UnicodeForNextTextOut** specifies Unicode code points for only the following EMF TextOut record, rather than for a block of EMF content bounded by begin and end structures.\n\n```\nC++\nstruct DocExComment_UnicodeForNextTextOut\n{\n DWORD ident {};\n DWORD iComment {};\n int cGlyphIndex {};\n int cwchActualText {};\n};\n```\nThe members of the **DocExComment_UnicodeForNextTextOut** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentUnicodeForNextTextOut.\n- **cGlyphIndex** Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph.\n- **cwchActualText** Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility.\n\n## **DocExComment_EPSColor**\n\nThe **DocExComment_EPSColor** structure specifies color information for an encapsulated PostScript (EPS) file embedded in the EMF. For more information about this structure,", - "page_start": 25, - "page_end": 25, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are vector colors ?", - "target_page": 29, - "target_passage": "Vector colors are any COLORREF values that the add-in receives from Publisher.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "same type that is used for RGB color. For information about the COLORREF structure, see COLORREF.\n\nTo resolve color IDs in the EMF back to the extend color space, the add-in calls back to Publisher through the **HrResolveColor** method of the **IMsoDocExporterSite** interface. The add-in passes Publisher an interface pointer to an **IDOCEXCOLOR** interface as one of the parameters to **HrResolveColor**. Publisher takes the color IDs, also specified in the call to **HrResolveColor**, converts them to extended color (RGB, CMYK, or spot color), and passes them back to the add-in through the methods in the **IDOCEXCOLOR** interface.\n\n#### **Vector Color and Recolored Images**\n\nVector colors are any **COLORREF** values that the add-in receives from Publisher. For example, text color, line stroke color, and color for metafile recolor. When color mapping is enabled, Publisher uses a color ID for **COLORREF** rather than a real RGB color value. If Publisher provides the add-in an **IMsoDocExporterSite** interface pointer by calling the **SetDocExporterSite** method of the **IMsoDocExporter** interface, the add-in should always call the **IMsoDocExporterSite::HrResolveColor** method to convert the **COLORREF** to an extended color, which the add-in receives through the methods in the **IDOCEXCOLOR** interface.\n\nTo support vector color mapping, the add-in needs to do the following:\n\n- Implement class support for an **IDOCEXCOLOR** interface. The methods in this interface enable Publisher to pass extended color back to the add-in.\n- Cache the following color state values from the semantic records in the EMF.\n- Set foreground color for recoloring. This is set through the **DocExComment_ColorInfo** structure.\n- Set background color for recoloring. This is set through the **DocExComment_ColorInfo** structure.\n- Determine when color mapping is enabled. This is set through the **DocExComment_ColorEnable** structure.\n- For a vector color, create an **IDOCEXCOLOR** interface with the color ID, so that **IDOCEXCOLOR::GetUnresolvedRGB** returns the color ID. The add-in should call the **IMsoDocExporterSite::HrResolveColor** method with the **IDOCEXCOLOR** interface and cached color states. Publisher calls the **IDOCEXCOLOR** interface methods with the final color, which can be RGB, CMYK, spot, or registration tint.", - "page_start": 28, - "page_end": 28, - "source_file": "office-pdf.pdf" - }, - { - "text": "- When either foreground color or background color for recoloring is specified from an EMF semantic record, the add-in should recolor images in the add-in (for example, metafiles or raster pictures).\n#### **Non-Recolored Images**\n\nEMF supports CMYK *images* using GDI+. Therefore, images in the EMF may be either RGB or CMYK. If the image is a CMYK image, the add-in needs to convert the image to the target color space.\n\nPublisher maintains a target color space for the document. The add-in can use this target color space by calling the **IMsoDocExporterSite::HrConvertImageColorSpace** method with the image's color space.\n\n### **Color from EPS Files**\n\nEncapsulated Postscript (EPS) is a metafile type that supports extended color spaces. User who embed EPS images in a Publisher document expect the color information to be used in the fixed-format output. Inside Publisher, the EPS is converted to an EMF with EPS-related semantic records. This EMF is then embedded in the page EMF file that the application passes to the add-in.\n\nTo support color in EPS files, the add-in needs to do the following:\n\n- Call the **IMsoDocExporterSite::SetEPSInfo** method for **DocExComment_EPSColor** records encountered in the EMF.\n- Extract the CMYK image from the **DocExComment_EPSColorCMYKJPEG** record in the EMF. This record contains a binary object that is the actual CMYK JPEG file stream. Use it to replace the RGB image specified in the subsequent call to the **StretchDIBits** function.\n- The **DocExComment_EPSColorSpotImage** record provides spot color information for the subsequent RGB image, which is always an index image. The add-in needs to convert the spot image to the target color space.\n- The add-in can optionally call the **IMsoDocExporterSite:: HrGetSpotRecolorInfo** method to obtain the document's target color from Publisher. Then the add-in can recolor the subsequent RGB image by mapping colors from the palette of the RGB image to **flTintMin** and **flTintMax** tints specified in the **DoxExComment_EPSColorSpotImage** record. The luminosity for each color of the palette is used for the mapping.", - "page_start": 29, - "page_end": 29, - "source_file": "office-pdf.pdf" - }, - { - "text": "The **DocExComment_EPSColorSpotImage** structure provides spot color information for the subsequent RGB image. For more information about this structure, see the section Extended Color Support.\n\n```\nC++\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n COLORREF cmykAlt { 0 };\n COLORREF rgbAlt { 0 };\n float flTintMin {};\n float flTintMax {};\n char szSpotName[1];\n} DocExComment_EPSColorSpotImage;\n```\nThe members of the **DocExComment_EPSColorSpotImage** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSSpotImage.\n- **cmykAlt** Specifies a CMYK color ID.\n- **rgbAlt** Specifies an RGB color ID.\n- **flTintMin** Specifies the minimum tint.\n- **flTintMax** Specifies the maximum tint.\n- **szSpotName[1]** Specifies a variable length, zero-terminated string that contains the spot name.\n\n### **Extended Color Support**\n\nTo support extended color spaces in Publisher, additional EMF semantic records and interfaces are needed because EMF only supports RGB (red-green-black) colors. Extended color spaces include CMYK (cyan-magenta-yellow-black) and spot color space, which are commonly used in commercial printing.\n\nPublisher uses color mapping to represent extended colors in the document EMF. Publisher builds a color table for all colors used in the document and replaces actual colors with color IDs in the EMF. The type for the color ID is **COLORREF**, which is the", - "page_start": 27, - "page_end": 27, - "source_file": "office-pdf.pdf" - }, - { - "text": "color ID represents a foreground color. If this member has a value of **false**, the color ID represents a background color.\n\n### **DocExComment_ColorEnable**\n\nThe **DocExComment_ColorEnable** structure specifies whether color mapping is enabled for subsequent content in the EMF. For more information about this structure, see the section Extended Color Support.\n\n```\nC++\nstruct DocExComment_ColorEnable\n{\n DWORD ident {};\n DWORD iComment {};\n BOOL fEnable {};\n};\n```\nThe members of the **DocExComment_ColorEnable** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentColorMapEnable.\n- **fEnable** Specifies whether color mapping is enabled for subsequent content. A value of **true** indicates that color mapping is enabled. A value of **false** indicates that color mapping is disabled.\n\n#### **DocExComment_BeginStructNode**\n\nThe **DocExComment_BeginStructNode** structure marks the start of a document structure node. Structure nodes serve one of two possible purposes:\n\n- Structure nodes can identify the type of content they contain and specify the hierarchical relationship between that content and other content in the document.\n- Structure nodes can specify alternate text for elements in the document.\n\nIf the **fContentNode** member has a **true** value, the **DocExComment_BeginStructNode** is followed later in the document by a **DocExComment_EndStructNode**. The **DocExComment_EndStructNode** marks the end of the content that is wrapped by the information in the **DocExComment_BeginStructNode**.", - "page_start": 18, - "page_end": 18, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\n\n```\nC++\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n BYTE colorInfo[];\n} DocExComment_EPSColor;\n```\nThe members of the **DocExComment_EPSColor** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSColor.\n- **colorInfo[]** Specifies the color information for the EPS file. The add-in should pass this information to Publisher using the **IMsoDocExporterSite::SetEPSInfo** method.\n\n#### **DocExComment_EPSColorCMYKJPEG**\n\nThe **DocExComment_EPSColorCMYKJPEG** structure specifies the start, in the EMF, of a binary object that is a CMYKJPEG file stream. For more information about this structure, see the section Extended Color Support.\n\n```\nC++\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n} DocExComment_EPSColorCMYKJPEG;\n```\nThe members of the **DocExComment_EPSColorCMYKJPEG** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSCMYKJPEG;\n\n### **DocExComment_EPSColorSpotImage**", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - }, - { - "text": "Figure 5.4. Signikance o\\ the V-n Diagram", - "page_start": 353, - "page_end": 353, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Figure 4.32. Spin Characteristics", - "page_start": 327, - "page_end": 327, - "source_file": "00-80T-80.pdf" - }, - { - "text": "**Figure 6.** Chain traces. Each color signifies an individual chain.\n\n**Figure 7.** Posterior estimates of the *α* parameter plotted against the prior for two synthetic subjects, one from each group.\n\n```\n✞ ☎\n # Sample from the model prior\n prior_chains = sample ( model , Prior (), 1000 )\n # Rename parameters from the prior chains to match the posterior chains\n renamed_prior_chains = rename_chains ( prior_chains , model )\n # Plot the posterior and prior for the first subject\n plot_parameters ( renamed_prior_chains [:,1:1,:], renamed_posterior_chains [:,1:1,:])\n # Visualize the true alpha value\n vline !([ data [1,: Alpha ]], line =: dash , color = : darkorange2 , label = \" Generative Alpha \")\n # Plot the posterior and prior for the last subject\n plot_parameters ( renamed_prior_chains [:,10:10,:], renamed_posterior_chains [:,10:10,:])\n # Visualize the true alpha value\n vline !([ data [ 3000 ,: Alpha ]], line =: dash , color = : darkorange2 , label = \" Generative Alpha \")\n✝ ✆\n```\nWe then, as is often the case in computational psychiatry, wanted to compare the distributions of parameter values between the two groups. We extracted the median of the estimated posteriors for each subject and plotted them against the value used to generate", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "| Type of content | Tags |\n| --- | --- |\n| Picture with Alt Text in Cell | |\n| | |\n| |

|\n| | Alt=alt text |\n| Hyperlink on Cell | |\n| | |\n| |

|\n| | |\n| | Link - OBJR |\n| | |\n| | text content |\n| Hyperlink on Object | |\n| | tag for object |\n| | |\n| | Link - OBJR |\n\n### **Artifacts**\n\nThe following types of content are marked as in the PDF Content Tree and have no PDF/UA tags:\n\n- Slicer scrollbar\n- Grid lines\n- Cell borders\n- Cell shading\n- Decorative graphical objects\n- Text in SmartArt objects\n\n## **Availability**\n\nThe information in this article is applicable to the following versions of Excel.\n\n- Excel for Windows Version 2408 and later.\n- Excel for Mac Version 16.89 and later.\n- Excel for iOS Version 2.89 and later.\n- Excel for Android Build 16.0.18025.XXXXX or later.", - "page_start": 47, - "page_end": 47, - "source_file": "office-pdf.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are msodocexMetadataComments ?", - "target_page": 35, - "target_passage": "Miscellaneous comments relevant to the document.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "```\nC++\nHRESULT HrAddDocumentMetadataDate(\n MSODOCEXMETADATA metadataType, \n const FILETIME* pftLocalTime\n);\n```\nThe *metadatatype* parameter specifies the type of metadata represented by the **FILETIME** structure. The *metadatatype* parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 9. Enumerated values of MSODOCEXMETADATA\n\n#### ノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexMetadataCreationDate | The creation date for the document. |\n| msodocexMetadataModDate | The last-modified date for the document. |\n\nThe *pftLocalTime* parameter specifies a pointer to a FILETIME structure that contains the date and time information for the metadata. The following code snippet demonstrates how to extract this information from the structure.\n\n```\nC++\n```\n\n```\nSYSTEMTIME st = { 0 };\nWCHAR s[100];\nFileTimeToSystemTime(pfiletime, &st);\nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);\n```\nHow the add-in incorporates the date and time metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n### **HrFinalize**\n\nPublisher calls the **HrFinalize** method at the end of the document-export process.\n\nC++", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "The *metadatatype* parameter specifies the type of metadata represented by the string. The *metadatatype* parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\nノ **Expand table**\n\n| Value | Description |\n| --- | --- |\n| msodocexMetadataTitle | The title of the document. |\n| msodocexMetadataAuthor | The author of the document |\n| msodocexMetadataSubject | String that describes the subject matter of the document (for |\n| | example, business or science). |\n| msodocexMetadataKeywords | Keyword relevant to the document content. |\n| msodocexMetadataCreator | The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer | The producer of the document, possibly distinct from the author |\n| | or creator. |\n| msodocexMetadataCategory | String that describes the type of document (for example, memo, |\n| | article, or book). |\n| msodocexMetadataStatus | Status of the document. This field can reflect where the |\n| | document is in the publication process (for example, draft or |\n| | final). |\n| msodocexMetadataComments | Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it. So, for example, if the document has multiple keywords, they are passed to the add-in as one concatenated string.\n\nThe *pwchValue* parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n### **HrAddDocumentMetadataDate**\n\nPublisher calls the **HrAddDocumentMetadataDate** method to specify document metadata in the form of a FILETIME structure.", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEndTextRun.\n### **DocExComment_UnicodeForNextTextOut**\n\nThe **DocExComment_UnicodeForNextTextOut** structure functions similarly to the **DocExComment_BeginTextRun** and **DocExComment_EndTextRun** structures. However, **DocExComment_UnicodeForNextTextOut** specifies Unicode code points for only the following EMF TextOut record, rather than for a block of EMF content bounded by begin and end structures.\n\n```\nC++\nstruct DocExComment_UnicodeForNextTextOut\n{\n DWORD ident {};\n DWORD iComment {};\n int cGlyphIndex {};\n int cwchActualText {};\n};\n```\nThe members of the **DocExComment_UnicodeForNextTextOut** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentUnicodeForNextTextOut.\n- **cGlyphIndex** Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph.\n- **cwchActualText** Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility.\n\n## **DocExComment_EPSColor**\n\nThe **DocExComment_EPSColor** structure specifies color information for an encapsulated PostScript (EPS) file embedded in the EMF. For more information about this structure,", - "page_start": 25, - "page_end": 25, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Type Value | Description |\n| --- | --- |\n| msodocexStructTypeParaRTLAttr | A block of text within an article with right-to-left |\n| | layout. |\n| msodocexStructTypeTableRTLAttr | A block of text forming a table with right-to-left |\n| | layout. |\n| msodocexStructTypeHeadingRTLAttr | A heading in the text with right-to-left layout. |\n| msodocexStructTypeListItemRTLAttr | A block of text forming a list item with right-to-left |\n| | layout. |\n| msodocexStructTypeParaUnannotatableAttr | A block of text within an article that is not |\n| | annotatable. |\n| msodocexStructTypeTHead | The header row area in a table. |\n| msodocexStructTypeTBody | The body area in a table, i.e. the portion between |\n| | the THead and TFoot. |\n| msodocexStructTypeLabel | A label. |\n| msodocexStructTypeEquation | An equation. |\n| msodocexStructTypeIntLinkNoteRef | A footnote or endnote reference mark link. |\n| msodocexStructTypeTFoot | The footer row area in a table. |\n\n**fContentNode** Specifies whether a **DocExComment_EndStructNode** structure marks the end of this structure node. If **fContentNode** is **true**, a\n\n**DocExComment_EndStructNode** structure closes off the content bounded by the node. If this **fContentNode** has a **false** value, then the node does not bound any content.\n\nThe **fContentNode** member affects the interpretation of the parent ID value of subsequent nodes. If **fContentNode**is **true**, nodes that are inserted between this **DocExComment_BeginStructNode** and a subsequent **DocExComment_EndStructNode**, and that have a parent ID of **-1**, are children of this node. However, if **fContentNode** is **true**, nodes inserted after this **DocExComment_BeginStructNode**, and that have a parent ID of **-1**, are not children of this node. They are children of the next-most-recently specified node that has **fContentNode** equal to **false**.\n\nYou can nest document structure nodes to arbitrary depth.\n\n**cwchAltText** Specifies the number of Unicode characters in the block of alternate text that follows the structure. This Unicode string specifies alternate text for the node (for example, alternate text for an image).", - "page_start": 22, - "page_end": 22, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Type Value | Description |\n| --- | --- |\n| msodocexStructTypeTOC | A table of contents. |\n| msodocexStructTypeTOCI | An item in a table of contents. |\n| msodocexStructTypeExtLink | A link to an external resource. |\n| msodocexStructTypeIntLink | A link to an internal resource. |\n| msodocexStructTypeFootnote | A footnote. |\n| msodocexStructTypeEndnote | An endnote. |\n| msodocexStructTypeTextbox | A text box. |\n| msodocexStructTypeHeader | A block of text forming a header. |\n| msodocexStructTypeFooter | A footer. |\n| msodocexStructInlineShape | An inline shape. |\n| msodocexStructAnnotation | An annotation. |\n| msodocexStructTypeSpanBlock | A block of text. |\n| msodocexStructTypeWorkbook | A workbook. |\n| msodocexStructTypeWorksheet | A worksheet. |\n| msodocexStructTypeMacrosheet | A macrosheet. |\n| msodocexStructTypeChartsheet | A chartsheet. |\n| msodocexStructTypeDialogsheet | A dialogsheet. |\n| msodocexStructTypeSlide | A slide. |\n| msodocexStructTypeChart | A chart. |\n| msodocexStructTypeDiagram | A SmartArt diagram. |\n| msodocexStructTypeBulletText | Buller text. |\n| msodocexStructTypeTextLine | A line of text. |\n| msodocexStructTypeDropCap | A drop cap. |\n| msodocexStructTypeSection | A section. |\n| msodocexStructTypeAnnotationBegin | The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd | The end of an annotation. |", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "### **3.6 Metadata Quality Assurance (MQA)**\n\nThe Metadata Quality Assurance is a component to monitor the quality of the metadata that is harvested from other portals or stored manually with the EDP metadata creation form. Currently quality measurement is based on metadata schema violation against DCAT-AP 1.1 and availability of the distributions of a dataset. The MQA is running checks on a weekly basis. Each check has a duration of a couple of days. This is due to the HTTP GET requests against each single distribution in the portal, checking their availability.\n\nIn addition to the navigation buttons in the dark blue bar at the top of the page, a drop down menu allows the downloading of a report file, in which all the data generated by the MQA is contained. The report is available in various formats. The PDF report includes the charts displayed.\n\n#### **3.6.1 The Global Dashboard View**\n\nThis is the landing page of the MQA. It gives an overview of the quality situation across all catalogues, datasets and distributions in the Portal. If the user wants to investigate the mentioned issues with datasets or distributions in detail, he/she can use the catalogue selection menue on top of the page to navigate to the selected catalogue details page.\n\nAn information icon in the upper right corner is indicating that the user can get explanation texts for all diagrams on the page. The introduction text shows the planned schedule for the next check to be performed by the MQA. The bottom of the page shows the date when the last check started. If the MQA is currently running a check, then a spinning wheel beside the last check date is indicating this.\n\n| 12 | What we do ▼ | Data ~ | Providing Data ▼ Using Data ▼ | | | | Resources ™ |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | Global Dashboard | Catalogues | Z DCAT-AP validation Download as report | | | | ▲ |\n| | Overview | | The Metadata Quality Assurance is intended to help data providers and data portals to check their data records against various criteria. Currently, four | | | | |\n| | Accessibility Machine Readability | | criteria are used for review. The accessibility of distributions, their machine- | | | | |\n| | DCAT-AP Compliance | | readability, the compliance of the metadata regarding the DCAT-AP specification and the use of a licence known to the European Data Portal. Each | | | | |\n| | Licence Usage | | catalog, all records and their associated distributions are checked. This page provides a general overview of all metadata available to the European Data | | | | |\n| | | | Portal. For a detailed view of individual catalogs, please use the Catalogues | | | | |\n| | | | menu item and select the desired catalogue. Further help and explanations can always be found via the 'i' on the diagrams. The MQA carries out a check | | | | |\n| | | | approximately every two weeks. | | | | |\n| | Top 12 Catalogues | | Top 20 | | | Top 12 | all Catalogues |\n| Country | | | Accessibility | Machine | DCAT AP | | Accessibility |\n| > | Name | | Access URL Known licences | Readability | Compliance | | Download URL |\n| | dataportaal-van-de- nderlandse-overheid (EU) | | n/a | n/a | n/a | NaN % | n/a |\n| | inspire.gv.at (at) | 76 % | 20 % | | | 0 % | |\n| | | | | | n/a | | n/a |\n| () | data.gv.at (at) | 68 % | 88 % | | 96 % | 0 % | n/a |\n| | opendataportal.at (at) | 64 % | 84 % | | n/a | 0 % | n/a |\n| | data.gov.be (be) | દેવે જ | 90 % | | 17 % | 1 % | રેર જ |\n| | Open Data Bulgaria (bg) | 2 % | 60 % | | | 0 % | 100 % |\n| | | | | | n/a | | |\n| | opendata.swiss (ch) | 94 % | 61 % ારે જેવ | | | 0 % | 90 % |", - "page_start": 49, - "page_end": 49, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Table 6. Semantic record types supported by fixed-format export\n\nノ **Expand table**\n\n| Comment Value | Structure Type |\n| --- | --- |\n| msodocexcommentExternalHyperlink | DocExComment_ExternalHyperlink |\n| msodocexcommentExternalHyperlinkRctfv | DocExComment_ExternalHyperlink |\n| msodocexcommentInternalHyperlink | DocExComment_InternalHyperlink |\n| msodocexcommentInternalHyperlinkRctfv | DocExComment_InternalHyperlink |\n| msodocexcommentColorInfo | DocExComment_ColorInfo |\n| msodocexcommentColorMapEnable | DocExComment_ColorEnable |\n| msodocexcommentBeginTextRun | DocExComment_BeginTextRun |\n| msodocexcommentBeginTextRunRTL | DocExComment_BeginTextRun |\n| msodocexcommentEndTextRun | DocExComment_EndTextRun |\n| msodocexcommentBeginStructNode | DocExComment_BeginStructNode |\n| msodocexcommentEndStructNode | DocExComment_EndStructNode |\n| msodocexcommentUnicodeForNextTextOut | DocExComment_UnicodeForNextTextOut |\n| msodocexcommentUnicodeForNextTextOutRTL | DocExComment_UnicodeForNextTextOut |\n| msodocexcommentEPSColor | DocExComment_EPSColor |\n| msodocexcommentEPSCMYKJPEG | DocExComment_EPSColorCMYKJPEG |\n| msodocexcommentEPSSpotImage | DocExComment_EPSColorSpotImage |\n| msodocexcommentEPSStart | DocExComment_EPSStart |\n| msodocexcommentPageName | DocExComment_PageName |\n| msodocexcommentTransparent | DocExComment_Transparent |\n\n#### **DocExComment_ExternalHyperlink(Rctfv)**\n\nThe **DocExComment_ExternalHyperlink(Rctfv)** structure describes a hyperlink that links to outside of the document, for example to a Web site on the Internet.", - "page_start": 14, - "page_end": 14, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\n int cwchActualText {};\n};\n```\nThe members of the **DocExComment_BeginTextRun** structure are as follows:\n\n- **Ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentBeginTextRun.\n- **lcid** Specifies the LCID for the text sequence.\n- **cGlyphIndex** Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph. The value can also be **0**, which means that this code point does not map to any glyph.\n- **cwchActualText** Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility. The value of this member can be **0**, which means that no Unicode text is provided.\n\n#### **DocExComment_EndTextRun**\n\nThe **DocExComment_EndTextRun** structure marks the end of a text sequence, the beginning of which was marked by a **DocExComment_BeginTextRun** structure.\n\n```\nC++\nstruct DocExComment_EndTextRun\n{\n DWORD ident {};\n DWORD iComment {};\n};\n```\nThe members of the **DocExComment_EndTextRun** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.", - "page_start": 24, - "page_end": 24, - "source_file": "office-pdf.pdf" - }, - { - "text": "#### **DocExComment_EndStructNode**\n\nThe **DocExComment_EndStructNode** structure marks the end of the content that is decorated by the information in the **DocExComment_BeginStructNode**.\n\n```\nC++\nstruct DocExComment_EndStructNode\n{\n DWORD ident {};\n DWORD iComment {};\n};\n```\nThe members of the **DocExComment_EndStructNode** structure are as follows:\n\n- **ident** Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n- **iComment** Specifies the MSODOCEXCOMMENT value, msodocexcommentEndStructNode.\n\n#### **DocExComment_BeginTextRun**\n\nThe **DocExComment_BeginTextRun** structure identifies the language of a sequence of text in the document and provides the Unicode code points for the text.\n\nAlthough some text-rendering EMF records use Unicode as the text representation, others use the glyphs that are drawn on the screen, rather than the original source text. A glyph is the index of a given shape in the font, which can be different from font to font.\n\nThere can be cases where several Unicode code points are combined into a single glyph or where a single Unicode code point is broken into multiple glyphs. Because the mapping from code points to glyphs is context-dependent, a user cannot text search or copy/paste in a document that contains only glyphs. Therefore, Publisher sometimes provides the Unicode text as well as the glyphs.\n\n```\nC++\nstruct DocExComment_BeginTextRun\n{\n DWORD ident {};\n DWORD iComment {};\n DWORD lcid {};\n int cGlyphIndex {};\n```", - "page_start": 23, - "page_end": 23, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Value | Numeric Value | Description |\n| --- | --- | --- |\n| msodocexShape | 0x00000001 | The object is a shape or text box. |\n| msodocexShapeText | 0x00000002 | The object has non-whitespace text. |\n| msodocexShapePath | 0x00000004 | The object has a fill and/or outline. |\n| msodocexShapeAltText | 0x00000008 | The object has Alt Text. |\n| msodocexShapeEquation | 0x00000010 | The object has text that contains an equation. |\n| msodocexShapeTabelCell | 0x00000020 | The object is a cell in a table. |\n\n#### **MsoDocexTableAttr**\n\nThe **MsoDocexTableAttr** structure fits in 32 bits and includes the row and column span and header scope information for a table cell.\n\n```\nC++\nstruct MsoDocexTableAttr\n{\n static constexpr unsigned int MaxSpanBits = sizeof(unsigned int) * 8 / 2\n- 1;\n static constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1;\n unsigned int rowSpan : MaxSpanBits;\n unsigned int fRowScope : 1;\n unsigned int colSpan : MaxSpanBits;\n unsigned int fColScope : 1;\n};\n```\nThe members of **MsoDocexTableAttr** structure are as follows:\n\n- **MaxSpanBits** Specifies the number of bits available for the rowSpan and colSpan values, which is 15.\n- **MaxSpanValue** Specifies the maximum value that can be specified for the rowSpan and colSpan.\n- **rowSpan** Specifies the number of rows that a table cell spans.\n- **fRowScope** Specifies whether the header is Row/Both or Column.\n- **colSpan** Specifies the number of columns that a table cell spans.", - "page_start": 10, - "page_end": 10, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What are the total operating expenses of Wikimedia foundation in 2024 ?", - "target_page": 6, - "target_passage": "178,471,109", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n#### **(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n#### **(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nFor example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n- For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n- Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## **(7) Operating Leases**\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | | Lease |\n| --- | --- | --- |\n| | | payments |\n| Year ending June 30: | | |\n| 2025 | | 419,791 |\n| | $ Total minimum lease payments | 419,791 |\n\n#### **(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\n#### **(1) Organization and Summary of Significant Accounting Policies**\n\n#### *(a) Organization and Purpose*\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n#### *(b) Risks and Uncertainties*\n\nThe Foundation's operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n#### *(c) Income Taxes*\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n#### *(d) Financial Statement Presentation*\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities*.\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nand free to everyone in the world, the Foundation's cost related to this collaborative arrangement is included within awards and grants in the statement of activities. The amount included within awards and grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively.\n\n#### *(p) Use of Estimates*\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and accompanying notes. Items subject to such estimates and assumptions include the investment valuations, useful lives of fixed assets, and the valuation of contributed services. Accordingly, actual results could differ from those estimates.\n\n#### *(q) Reclassifications*\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the 2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and losses on investments separately from investment income, net. This resulted in a reclassification of $3,547,510 from investment income, net to unrealized gains on investments within the statement of activities. The Foundation also had a change in accounting policy to no longer present the Wikimania event as special event expense, net in the statement of activities. Revenue from registration sales is now reported within other income, net, and expenses are reported within travel and conference expenses. This resulted in a reclassification of $698,141 from special event expenses to travel and conference expenses in the statement of activities.\n\n#### **(2) Contributions Receivable**\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents contributions receivable from two grants, as well as contributions receivable from payment processors.", - "page_start": 12, - "page_end": 12, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "KPMG LLP Suite 1400 55 Second Street San Francisco, CA 94105\n\n# **Independent Auditors' Report**\n\nThe Board of Trustees Wikimedia Foundation, Inc:\n\n## *Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the Foundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, and the related consolidated statements of activities, and cash flows for the years then ended, and the related notes to the consolidated financial statements.\n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the financial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash flows for the years then ended in accordance with U.S. generally accepted accounting principles.\n\n# *Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America (GAAS). Our responsibilities under those standards are further described in the Auditors' Responsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to be independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant ethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.\n\n# *Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with U.S. generally accepted accounting principles, and for the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.\n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are conditions or events, considered in the aggregate, that raise substantial doubt about the Foundation's ability to continue as a going concern for one year after the date that the consolidated financial statements are available to be issued.\n\n#### *Auditors' Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditors' report that includes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material misstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control. Misstatements are considered material if there is a substantial likelihood that, individually or in the aggregate, they would influence the judgment made by a reasonable user based on the consolidated financial statements.", - "page_start": 2, - "page_end": 2, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "# Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n# **(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| date, June 30, 2024 and 2023, are as follows: | | | |\n| --- | --- | --- | --- |\n| | | 2024 | 2023 |\n| Cash and cash equivalents | $ | 82,845,159 | 75,808,401 |\n| Current contributions receivable | | 856,657 | — |\n| Short-term investments | | 116,074,763 | 132,216,667 |\n| Total financial assets | | 199,776,579 | 208,025,068 |\n| Less: | | | |\n| Restricted by donors for programs | | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for | | | |\n| general expenditures within one year | $ | 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n# **(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\ndirect costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the programs benefited and supporting services for the years ended June 30, 2024 and 2023, as follows:\n\n| | | 2024 | | | |\n| --- | --- | --- | --- | --- | --- |\n| | | General and | | | |\n| | | Programs | administrative | Fundraising | Total |\n| Salaries and benefits | $ | 83,645,901 | 14,018,534 | 9,129,525 | 106,793,960 |\n| Awards and grants | | 26,820,080 | — | — | 26,820,080 |\n| Internet hosting | | 3,116,257 | 188 | — | 3,116,445 |\n| In-kind service expenses | | 228,338 | 35,138 | — | 263,476 |\n| Donation processing expenses | | — | — | 7,547,718 | 7,547,718 |\n| Professional service expenses | | 9,670,261 | 1,870,513 | 1,549,266 | 13,090,040 |\n| Other operating expenses | | 6,420,517 | 3,808,725 | 568,898 | 10,798,140 |\n| Travel and conferences | | 4,979,409 | 536,887 | 308,683 | 5,824,979 |\n| Depreciation and amortization | | 3,471,509 | 744,762 | — | 4,216,271 |\n| | $ | 138,352,272 | 21,014,747 | 19,104,090 | 178,471,109 |\n\n| | | 2023 | | | |\n| --- | --- | --- | --- | --- | --- |\n| | | General and | | | |\n| | | Programs | administrative | Fundraising | Total |\n| Salaries and wages | $ | 77,845,272 | 14,486,209 | 8,974,225 | 101,305,706 |\n| Awards and grants | | 24,426,682 | 7,000 | — | 24,433,682 |\n| Internet hosting | | 3,119,234 | 1,585 | — | 3,120,819 |\n| In-kind service expenses | | 998,857 | 41,596 | — | 1,040,453 |\n| Donation processing expenses | | — | — | 6,855,680 | 6,855,680 |\n| Professional service expenses | | 11,785,153 | 2,297,431 | 1,382,051 | 15,464,635 |\n| Other operating expenses | | 2,752,153 | 4,102,006 | 539,823 | 7,393,982 |\n| Travel and conferences | | 3,799,260 | 530,517 | 548,583 | 4,878,360 |\n| Depreciation and amortization | | 3,837,307 | 764,757 | — | 4,602,064 |\n| | $ | 128,563,918 | 22,231,101 | 18,300,362 | 169,095,381 |\n\nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and individuals in projects that further the mission of the Foundation. Chapters are independent organizations that share the goals of the Foundation and support the goals within a specified geographical region. In addition to this work, which is reflected above in the awards and grants line, an overwhelming majority of the Foundation's project activities are carried out by an international network of volunteers, whose activity is not reflected in the tables above.", - "page_start": 16, - "page_end": 16, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Consolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n| | | 2024 | 2023 |\n| --- | --- | --- | --- |\n| Net assets without donor restrictions: | | | |\n| Support and revenue: | | | |\n| Contributions of cash and other financial assets | $ | 168,212,977 | 164,121,185 |\n| Contributions of nonfinancial assets and services | | 263,476 | 1,040,453 |\n| Foreign currency losses | | (300,907) | (94,868) |\n| Other income, net | | 5,629,773 | 3,824,240 |\n| Investment income, net | | 5,096,842 | 3,002,929 |\n| Release of net assets with donor restrictions | | 6,481,350 | 4,732,654 |\n| Total support and revenue | | 185,383,511 | 176,626,593 |\n| Operating expenses: | | | |\n| Salaries and benefits | | 106,793,960 | 101,305,706 |\n| Awards and grants | | 26,820,080 | 24,433,682 |\n| Internet hosting | | 3,116,445 | 3,120,819 |\n| In-kind service expenses | | 263,476 | 1,040,453 |\n| Donation processing expenses | | 7,547,718 | 6,855,680 |\n| Professional service expenses | | 13,090,040 | 15,464,635 |\n| Other operating expenses | | 10,798,140 | 7,393,982 |\n| Travel and conferences | | 5,824,979 | 4,878,359 |\n| Depreciation and amortization | | 4,216,271 | 4,602,064 |\n| Total operating expenses | | 178,471,109 | 169,095,380 |\n| Change in net assets without donor restrictions | | | |\n| from operating activities | | 6,912,402 | 7,531,213 |\n| Nonoperating activities: | | | |\n| Unrealized gains on investments, net | | 9,858,001 | 3,547,510 |\n| Change in net assets without donor restrictions | | 16,770,403 | 11,078,723 |\n| Net assets with donor restrictions: | | | |\n| Contributions with donor restrictions | | 6,295,000 | 9,273,736 |\n| Net assets released from restrictions | | (6,481,350) | (4,732,654) |\n| Increase (decrease) in net assets with donor | | | |\n| restrictions | | (186,350) | 4,541,082 |\n| Increase in net assets | | 16,584,053 | 15,619,805 |\n| Net assets at beginning of year | | 254,971,337 | 239,351,532 |\n| Net assets at end of year | $ | 271,555,390 | 254,971,337 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "# Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\n#### **(4) Property and Equipment, Net**\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n| | | 2024 | 2023 |\n| --- | --- | --- | --- |\n| Furniture | $ | 72,042 | 737,143 |\n| Leasehold improvements | | — | 2,074,581 |\n| Computer equipment | | 22,821,120 | 21,941,684 |\n| Internal use software | | 2,507,701 | 5,198,574 |\n| Total | | 25,400,863 | 29,951,982 |\n| Less accumulated depreciation and amortization | | (13,574,727) | (15,906,843) |\n| Property and equipment, net | $ | 11,826,136 | 14,045,139 |\n\n#### **(5) Net Assets**\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n| | | 2024 | 2023 |\n| --- | --- | --- | --- |\n| Restricted to future periods: | $ | 50,000 | 100,000 |\n| Restricted by purpose: | | | |\n| Abstract Wikipedia | | 861,008 | 1,249,004 |\n| Artificial intelligence | | 239,878 | — |\n| Endowment support | | — | 1,297,620 |\n| Future Audiences | | 500,000 | — |\n| Knowledge equity | | 965,910 | 2,228,134 |\n| Machine learning | | 24,528 | 860,620 |\n| Media Wiki | | 1,500,000 | — |\n| Other | | 125,000 | 147,295 |\n| Restricted to future periods and by purpose: | | | |\n| Artificial intelligence | | 1,430,000 | — |\n| Net assets with donor restrictions | $ | 5,696,324 | 5,782,673 |\n\n#### **(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation's activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n#### *(l) Contributions of Nonfinancial Assets and Services*\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n#### *(m) Revenue Recognition – Contracts With Customers*\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What external events can affect Wikimedia Fundation in raising funds ?", - "target_page": 8, - "target_passage": "External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n#### **(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n#### **(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "KPMG LLP Suite 1400 55 Second Street San Francisco, CA 94105\n\n# **Independent Auditors' Report**\n\nThe Board of Trustees Wikimedia Foundation, Inc:\n\n## *Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the Foundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, and the related consolidated statements of activities, and cash flows for the years then ended, and the related notes to the consolidated financial statements.\n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the financial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash flows for the years then ended in accordance with U.S. generally accepted accounting principles.\n\n# *Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America (GAAS). Our responsibilities under those standards are further described in the Auditors' Responsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to be independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant ethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.\n\n# *Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with U.S. generally accepted accounting principles, and for the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.\n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are conditions or events, considered in the aggregate, that raise substantial doubt about the Foundation's ability to continue as a going concern for one year after the date that the consolidated financial statements are available to be issued.\n\n#### *Auditors' Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditors' report that includes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material misstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control. Misstatements are considered material if there is a substantial likelihood that, individually or in the aggregate, they would influence the judgment made by a reasonable user based on the consolidated financial statements.", - "page_start": 2, - "page_end": 2, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nFor example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n- For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n- Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## **(7) Operating Leases**\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | | Lease |\n| --- | --- | --- |\n| | | payments |\n| Year ending June 30: | | |\n| 2025 | | 419,791 |\n| | $ Total minimum lease payments | 419,791 |\n\n#### **(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\n#### **(1) Organization and Summary of Significant Accounting Policies**\n\n#### *(a) Organization and Purpose*\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n#### *(b) Risks and Uncertainties*\n\nThe Foundation's operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n#### *(c) Income Taxes*\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n#### *(d) Financial Statement Presentation*\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities*.\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "- 104. Walter, S.; De Silva-Schmidt, F.; Brüggemann, M. From \"knowledge brokers\" to opinion makers: How physical presence affected scientists' Twitter use during the COP21 climate change conference. *Int. J. Commun.* **2017**, *11*, 570–591.\n- 105. Peterson, T.C.; Connolley, W.M.; Fleck, J. The myth of the 1970s global cooling scientific consensus. *Bull. Am. Meteorol. Soc.* **2008**, *89*, 1325–1338. [CrossRef]\n- 106. Mazur, A. Global environmental change in the news: 1987–1990 vs. 1992–1996. *Int. Sociol.* **1998**, *13*, 457–472. [CrossRef]\n- 107. Statista. Reach of Selected Social Networks in the United States as of February 2017, by Age Group. Available online: https://www.statista.com/statistics/305245/us-social-network-penetration-age-group/ (accessed on 16 January 2020).\n- 108. O'Connor, B.; Balasubramanyan, R.; Routledge, B.R.; Smith, N.A. From tweets to polls: Linking text sentiment to public opinion time series. In Proceedings of the Fourth International AAAI Conference on Weblogs and Social Media, Washington, DC, USA, 23–26 May 2010.\n- 109. Zannettou, S.; Caulfield, T.; De Cristofaro, E.; Sirivianos, M.; Stringhini, G.; Blackburn, J. Disinformation warfare: Understanding state-sponsored trolls on Twitter and their influence on the web. In Proceedings of the Companion of The 2019 World Wide Web Conference, San Francisco, CA, USA, 13–17 May 2019; pp. 218–226.\n- 110. Shao, C.; Ciampaglia, G.L.; Varol, O.; Yang, K.C.; Flammini, A.; Menczer, F. The spread of low-credibility content by social bots. *Nat. Commun.* **2018**, *9*, 4787. [CrossRef]\n\n© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/).", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed10.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n# **(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| date, June 30, 2024 and 2023, are as follows: | | | |\n| --- | --- | --- | --- |\n| | | 2024 | 2023 |\n| Cash and cash equivalents | $ | 82,845,159 | 75,808,401 |\n| Current contributions receivable | | 856,657 | — |\n| Short-term investments | | 116,074,763 | 132,216,667 |\n| Total financial assets | | 199,776,579 | 208,025,068 |\n| Less: | | | |\n| Restricted by donors for programs | | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for | | | |\n| general expenditures within one year | $ | 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n# **(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "- 58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption? In Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012; pp. 261–270.\n- 59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring Information Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of Microposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12.\n- 60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy on twitter. In *Between the Public and Private in Mobile Communication*; Routledge: Abingdon, UK, 2017; pp. 303–323.\n- 61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. *Int. J. Press.* **2013**, *18*, 138–166.\n- 62. Papacharissi, Z.; de Fatima Oliveira, M. Affective news and networked publics: The rhythms of news storytelling on# Egypt. *J. Commun.* **2012**, *62*, 266–282.\n- 63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag sentiment classification approach. In Proceedings of the 20th ACM International Conference on Information and Knowledge Management, Scotland, UK, 24–28 October 2011; pp. 1031–1040.\n- 64. Laniado, D.; Mika, P. Making sense of twitter. In Proceedings of the International Semantic Web Conference 2010, Shanghai, China, 7–11 November 2010; pp. 470–485.\n- 65. González-Ibánez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings of the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies: Short Papers—Volume 2, Portland, OR, USA, 19–24 June 2011; pp. 581–586.\n- 66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on twitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona, Spain, 17–21 July 2011.\n- 67. Kitzie, V.; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter. In Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for the Community, St. Louis, MO, USA, 6–10 October; 2015; p. 41.\n- 68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In *Hashtag Publics. The Power and Politics of Discursive Networks*; Peter Lang: New York, NY, USA, 2015; pp. 61–76.\n- 69. Rushkoff, D. 17. Permanent revolution: Occupying democracy. In *The Playful Citizen*; Amsterdam University Press: Amsterdam, The Netherlands, 2013; p. 335.\n- 70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore hashtag. *IC Rev. Científica De Inf. Y Comun.* **2015**, *11*, 49–57.\n- 71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. *Commun. Politics Cult.* **2011**, *44*, 37–56.\n- 72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and conversations about the 2013 IPCC Working Group 1 report. *PLoS ONE* **2014**, *9*, e94785. [CrossRef]\n- 73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P.; Yan, H.; Li, X. Comparing twitter and traditional media using topic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18–21 April 2011; pp. 338–349.\n- 74. Doctor, V. Hashtag History: When and What Started It? Available online: https://www.hashtags.org/featured/ hashtag-history-when-and-what-started-it/ (accessed on 16 January 2020).\n- 75. Newman, T.P. Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the release of the Working Group I Summary for Policymakers. *Public Underst. Sci.* **2017**, *26*, 815–825. [CrossRef]\n- 76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore the ecologies of two climate change protests. *Commun. Rev.* **2011**, *14*, 197–215. [CrossRef]\n- 77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in Millions). 2019. Available online: https://www.statista.com/statistics/282087/number-of-monthly-activetwitter-users/ (accessed on 10 October 2019).\n- 78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin': Evolution of Twitter users and behavior. In Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI, USA, 1–4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n#### *(l) Contributions of Nonfinancial Assets and Services*\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n#### *(m) Revenue Recognition – Contracts With Customers*\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "#### **3.1.3 How to view / search for \"Open Data Events\"**\n\nThe Home Page displays the latest 4 Open Data events in the \"**Open Data Events in Europe**\" panel on the right hand side.\n\n- ‐ **Click on any of the 4 events to display the event article (here: item#1).**\n- ‐ **Or click on \"View calendar\" in order to find current and future events on the events calendar.**\n\n| Newsletter FAQ Search Contact Cookies Legal notice | | | | | | English (en) | 4 |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | Search site content ... ರ | |\n| European Data Portal > What we do > Open Data Events in Europe | | | | | | | |\n| Data - A | What we do - | | Providing Data . | | Using Data - | Resources - | |\n| Open Data Maturity | Our Activities | | Factsheets and Reports | Featured Highlights | | Calendar News | |\n| Open Data Events in Europe | | | | | | | |\n| Many events related directly or indirectly to Open Data take place across Europe and globally. Go through the calendar and see whether you would like to participate in any of these events | | | | | | | |\n| yourself. | | | | | | | |\n| | | | | | | Open Data Events in Europe | |\n| October 2019 | | | | | | Mon, 14 October to Wed, 16 October | |\n| | | | | | | European Big Data Value Forum | |\n| D 0 | Today | | | | | 9 Helsinki, Finland | |\n| Wed | Mon | Tue | Thu | Fri | | Wed, 16 October to Thu, 17 October | |\n| 30 4 | 1 | 2 | 3 | | | Predictive Analytics World (PAW) for | |\n| World Data Summit 2019 | | | | | | Business | |\n| Barcelona, Spain | | | | | | 9 London, UK | |\n| 7 11 European Week of Regions and Cities | 8 | 9 | 10 | | | Tue, 22 October to Thu, 24 October | |\n| Brussels, Belgium | | | | | | Inspire Helsinki | |\n| | | | | | | 9 Helsinki, Finland | |\n| 14 | 15 | 16 | 17 | 18 | | | |\n| European Big Data Value Forum | | | | | | Tue, 12 November | |\n| Helsinki, Finland | | | | | | EU DataViz (Euro) | |\n| Predictive Analytics World (PAW) for Business | | London, UK | | | | Q Luxembourq | |\n| 21 ટેટ | 22 | 23 | 24 | | | | View calendar |\n| Inspire Helsinki | | | | | | | |\n| Helsinki, Finland | | | | | | | |\n| 28 30 1 | ਡਰੇ | | 31 | | 2 | 3 | |\n| Do you know of an event related to Open Data or where Open Data aspects will be discussed? | | | | | | | |\n| Please contact us and send the name of the event, the location and its URL. Thank you. | | | | | | | |", - "page_start": 17, - "page_end": 17, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What include Wikimedia Fundation restricted cash ?", - "target_page": 9, - "target_passage": "Restricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and (2) one of the Foundation’s Employer of Record responsible for administering compensation and benefits for non-US personnel.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n#### **(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n#### **(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n#### *(l) Contributions of Nonfinancial Assets and Services*\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n#### *(m) Revenue Recognition – Contracts With Customers*\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "# Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n# **(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| date, June 30, 2024 and 2023, are as follows: | | | |\n| --- | --- | --- | --- |\n| | | 2024 | 2023 |\n| Cash and cash equivalents | $ | 82,845,159 | 75,808,401 |\n| Current contributions receivable | | 856,657 | — |\n| Short-term investments | | 116,074,763 | 132,216,667 |\n| Total financial assets | | 199,776,579 | 208,025,068 |\n| Less: | | | |\n| Restricted by donors for programs | | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for | | | |\n| general expenditures within one year | $ | 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n# **(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\n#### **(1) Organization and Summary of Significant Accounting Policies**\n\n#### *(a) Organization and Purpose*\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n#### *(b) Risks and Uncertainties*\n\nThe Foundation's operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n#### *(c) Income Taxes*\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n#### *(d) Financial Statement Presentation*\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities*.\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "KPMG LLP Suite 1400 55 Second Street San Francisco, CA 94105\n\n# **Independent Auditors' Report**\n\nThe Board of Trustees Wikimedia Foundation, Inc:\n\n## *Opinion*\n\nWe have audited the consolidated financial statements of Wikimedia Foundation, Inc and its subsidiary (the Foundation), which comprise the consolidated statements of financial position as of June 30, 2024 and 2023, and the related consolidated statements of activities, and cash flows for the years then ended, and the related notes to the consolidated financial statements.\n\nIn our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the financial position of the Foundation as of June 30, 2024 and 2023, and the results of its operations and its cash flows for the years then ended in accordance with U.S. generally accepted accounting principles.\n\n# *Basis for Opinion*\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America (GAAS). Our responsibilities under those standards are further described in the Auditors' Responsibilities for the Audit of the Consolidated Financial Statements section of our report. We are required to be independent of the Foundation and to meet our other ethical responsibilities, in accordance with the relevant ethical requirements relating to our audits. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.\n\n# *Responsibilities of Management for the Consolidated Financial Statements*\n\nManagement is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with U.S. generally accepted accounting principles, and for the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.\n\nIn preparing the consolidated financial statements, management is required to evaluate whether there are conditions or events, considered in the aggregate, that raise substantial doubt about the Foundation's ability to continue as a going concern for one year after the date that the consolidated financial statements are available to be issued.\n\n#### *Auditors' Responsibilities for the Audit of the Consolidated Financial Statements*\n\nOur objectives are to obtain reasonable assurance about whether the consolidated financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditors' report that includes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS will always detect a material misstatement when it exists. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control. Misstatements are considered material if there is a substantial likelihood that, individually or in the aggregate, they would influence the judgment made by a reasonable user based on the consolidated financial statements.", - "page_start": 2, - "page_end": 2, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nOnce such stipulations are satisfied, the associated net assets are released from net assets with donor restrictions and recognized as net assets without donor restrictions.\n\nContributions received are recorded as net assets without donor restriction or net assets with donor restrictions depending on the existence and/or nature of any donor restrictions.\n\n## *(e) Cash and Cash Equivalents*\n\nThe Foundation manages its cash through major financial institutions. At June 30, 2024 and 2023, the carrying amount of the Foundation's general ledger cash held primarily in nationally recognized financial institutions is $60.0 million and $63.9 million, respectively. Cash balances are insured by the Federal Deposit Insurance Corporation (FDIC) up to the applicable limits. Cash balances held in these financial institutions at June 30, 2024 and 2023 exceed the applicable FDIC insurance limits. The Foundation's current practice is to maintain at least four months of cash and cash equivalents to support a combination of operating cash and a current reserve fund. The Foundation considers all highly liquid investments with an original maturity of three months or less when purchased to be cash equivalents. Cash equivalents of $22.8 million and $12.0 million as of June 30, 2024 and 2023, respectively, are considered Level 1 under ASC Topic 820, *Fair Value Measurement*.\n\n#### *(f) Restricted Cash*\n\nRestricted cash includes standby letters of credit for (1) the Foundation's headquarters office lease and (2) one of the Foundation's Employer of Record responsible for administering compensation and benefits for non-US personnel. As of June 30, 2024, neither letter of credit has been used.\n\n#### *(g) Contributions Receivable*\n\nContributions receivable represent gift amounts due from various entities, which are occasionally directed at specific activities. Contributions receivable due more than one year from the contribution date are discounted to present value using a fair value rate based on the U.S. Treasury bond rate and reflect the risks inherent in these cash flows. Contributions receivable are subject to review and adjustment by management should amounts be deemed uncollectible.\n\n#### *(h) Investments*\n\nThe Foundation's policy regarding investments is to invest cash in short-term, intermediate-term, and long-term fixed income, and equity instruments without assuming material undue risk to principal. Preservation of principal and maintenance of liquidity are priorities over yield. Investments are reported at fair value with realized and unrealized gains and losses, and accrued interest included as a component of the change in net assets. Additionally, the Foundation holds no shares of donated stock as of June 30, 2024 or 2023, consistent with its policy to sell stock received through donations as soon as possible.\n\nThe Foundation presents its investment portfolios as short-term and long-term based on expectations of the holding period of the investment in line with the investment guidelines stipulated in the investment policy.\n\nASC Topic 820 establishes a fair value hierarchy that prioritizes observable inputs to valuation techniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted", - "page_start": 8, - "page_end": 8, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "#### 18. CASH FLOW INFORMATION:\n\nSupplemental information on cash flows and noncash transactions is as follows:\n\n| | | Year Ended December 31, | |\n| --- | --- | --- | --- |\n| | 2002 | 2001 | 2000 |\n| Supplemental cash flow information: | | | |\n| Interest paid | $25,704,950 | $46,243,602 | $48,123,200 |\n| Federal income taxes paid | 14,682,343 | 13,227,101 | 13,227,192 |\n| Schedule of noncash investing and financing activities: | | | |\n| Assets acquired through foreclosure | 553,840 | 628,797 | 285,195 |\n| Retirement of treasury stock | - | 4,240,119 | - |", - "page_start": 93, - "page_end": 93, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements June 30, 2024 and 2023\n\nFor example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n- For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n- Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## **(7) Operating Leases**\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | | Lease |\n| --- | --- | --- |\n| | | payments |\n| Year ending June 30: | | |\n| 2025 | | 419,791 |\n| | $ Total minimum lease payments | 419,791 |\n\n#### **(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Consolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n| | | 2024 | 2023 |\n| --- | --- | --- | --- |\n| Net assets without donor restrictions: | | | |\n| Support and revenue: | | | |\n| Contributions of cash and other financial assets | $ | 168,212,977 | 164,121,185 |\n| Contributions of nonfinancial assets and services | | 263,476 | 1,040,453 |\n| Foreign currency losses | | (300,907) | (94,868) |\n| Other income, net | | 5,629,773 | 3,824,240 |\n| Investment income, net | | 5,096,842 | 3,002,929 |\n| Release of net assets with donor restrictions | | 6,481,350 | 4,732,654 |\n| Total support and revenue | | 185,383,511 | 176,626,593 |\n| Operating expenses: | | | |\n| Salaries and benefits | | 106,793,960 | 101,305,706 |\n| Awards and grants | | 26,820,080 | 24,433,682 |\n| Internet hosting | | 3,116,445 | 3,120,819 |\n| In-kind service expenses | | 263,476 | 1,040,453 |\n| Donation processing expenses | | 7,547,718 | 6,855,680 |\n| Professional service expenses | | 13,090,040 | 15,464,635 |\n| Other operating expenses | | 10,798,140 | 7,393,982 |\n| Travel and conferences | | 5,824,979 | 4,878,359 |\n| Depreciation and amortization | | 4,216,271 | 4,602,064 |\n| Total operating expenses | | 178,471,109 | 169,095,380 |\n| Change in net assets without donor restrictions | | | |\n| from operating activities | | 6,912,402 | 7,531,213 |\n| Nonoperating activities: | | | |\n| Unrealized gains on investments, net | | 9,858,001 | 3,547,510 |\n| Change in net assets without donor restrictions | | 16,770,403 | 11,078,723 |\n| Net assets with donor restrictions: | | | |\n| Contributions with donor restrictions | | 6,295,000 | 9,273,736 |\n| Net assets released from restrictions | | (6,481,350) | (4,732,654) |\n| Increase (decrease) in net assets with donor | | | |\n| restrictions | | (186,350) | 4,541,082 |\n| Increase in net assets | | 16,584,053 | 15,619,805 |\n| Net assets at beginning of year | | 254,971,337 | 239,351,532 |\n| Net assets at end of year | $ | 271,555,390 | 254,971,337 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "3. The contracting authority may suspend the time limit for payment specified in point 2 in accordance with Article II.21.7. Once the suspension is lifted, the contracting authority shall give its approval and pay within the remainder of the time-limit indicated in point 2 unless it rejects partially or fully the submitted documents.\n\n# **I.6.4. Performance guarantee**\n\nPerformance guarantee is not applicable to this FWC.\n\n# **I.6.5. Retention money guarantee**\n\nRetention money guarantee is not applicable to this FWC.\n\n# **I.7. Bank account**\n\nPayments must be made to the contractor's (or leader's in the case of a joint tender) bank account denominated in euro, identified as follows:\n\nName of bank:\n\nFull address of branch:\n\nExact denomination of account holder:\n\nFull account number including bank codes:\n\n[IBAN1 code:]\n\n# **I.8. Communication details**\n\nFor the purpose of this FWC, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency Directorate and Unit D3, Risk Management I Telakkakatu 6 00150 Helsinki Finland E-mail: [insert functional mailbox]\n\nContractor (or leader in the case of a joint tender):\n\n[*Full name*] [*Function*] [*Company name*] [*Full official address*] E-mail: [*complete*]\n\nBy derogation from this Article, different contact details for the contracting authority or the contractor may be provided in specific contracts.\n\n1 BIC or SWIFT code for countries with no IBAN code", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "What is the price of the The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 8, - "target_passage": "£6.90", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## **2020 No. 471**\n\n## **EDUCATION, ENGLAND**\n\n# The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\n| Made - - | - | - 28th April 2020 |\n| --- | --- | --- |\n| Laid before Parliament | | 30th April 2020 |\n| Coming into force | - | - 1st May 2020 |\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the Education Act 1996(**b**).\n\n## **Citation and commencement**\n\n**1.** These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## **Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n\n(2) These Regulations cease to have effect on 25th September 2020.\n\n## **Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.** The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows.\n\n**4.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**5.** After regulation 2 (interpretation) insert—\n\n## \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of\n\n(<b>a) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16).\n\n(<b>b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and Framework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education (Wales) Measure 2009.\n\n(<b>c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational needs and disability in order to provide exceptions to time limits set out in that legislation where they cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review the effectiveness of the Regulations during the period in which they have effect. The Regulations cease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 ('the SEND Regulations 2014').\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain requirements in those Regulations for actions to be taken within specified time limits where it is not reasonably practicable for a person to meet those requirements for a reason relating to the incidence or transmission of coronavirus. Instead, any such requirement is to be read as a requirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 ('the Personal Budgets Regulations 2014').\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as regulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) Regulations 2015 ('the Detained Persons Regulations 2015').\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to the ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal Budgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax time limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 ('the First-tier Tribunal Regulations 2017').\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to those in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency measure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\n \n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.\".\n\n## **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are amended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**20.** After regulation 2 (interpretation) insert—\n\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(1) and (4) (needs assessments which are not completed);\n- (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n- (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n- (d) regulation 19 (requirement to consider mediation);\n- (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n- (f) regulation 21 (mediation);\n- (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n- (h) regulation 27(3) (steps to be taken by a home authority);\n- (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n- (j) regulation 30(3) and (6) (unopposed appeals).\".\n\n**21.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\", or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n(<b>a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "# PART 6\n\n### Final provisions\n\n### **Review of need for requirements**\n\n**24.** The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n#### **Expiry of Regulations**\n\n**25.** These Regulations expire at the end of 16th May 2022.\n\n### **Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked—\n\n- (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020(**a**);\n- (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\")(**b**); and\n- (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021(**c**).\n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n\n(3) Schedule 16 makes transitional provisions.\n\n(4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\n*Robert Courts* Parliamentary Under Secretary of State At 10.32 a.m. on 14th May 2021 Department for Transport\n\n(**a**) S.I. 2020/567.\n\n(<b>b) S.I. 2020/568.\n\n(<b>c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90\n\nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2020/471\n\nUK202004291001 05/2020 19585\n\n£6.90", - "page_start": 7, - "page_end": 7, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n- (b) regulation 16(2) and (3) (change of responsible commissioning body);\n- (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n- (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n- (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n- (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n- (g) regulation 33 (requirement to consider mediation);\n- (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n- (i) regulation 35(2), (3) and (4) (mediation health care issues);\n- (j) regulation 36(2) (mediation no health care issues);\n- (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n- (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n- (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n- (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n- (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n- (p) regulation 56(3) (publication of comments on the local offer).\".\n\n**6.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\t- \"; or\n\t- (e) of a reason relating to the incidence or transmission of coronavirus\".\n- **8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\t- (a) at the end of sub-paragraph (b) omit \"or\"; and\n\t- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n#### **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\"), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# **2021 No. 582**\n\n# **PUBLIC HEALTH, ENGLAND**\n\n# The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\n| Made - - | - | - | at 10.32 a.m. on 14th May 2021 |\n| --- | --- | --- | --- |\n| Laid before Parliament | | | at 2.30 p.m. on 14th May 2021 |\n| Coming into force | - | - | at 4.00 a.m. on 17th May 2021 |\n\n### CONTENTS\n\n### PART 1\n\n### Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n| --- | --- | --- |\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n\n### PART 2\n\n### Requirements on persons arriving in England\n\n| 3. | Requirement on passengers to provide information | 5 |\n| --- | --- | --- |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n\n### PART 3\n\n#### Enforcement\n\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| --- | --- | --- |\n| 12. | Power of entry | 19 |\n\n### PART 4\n\n### Requirements on operators\n\n| 13. | Passenger information requirement | 19 |\n| --- | --- | --- |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90\n\nUK202004201005 04/2020 19585\n\nhttp://www.legislation.gov.uk/id/uksi/2020/438", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200438_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When come into force the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 1, - "target_passage": "These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **2020 No. 471**\n\n## **EDUCATION, ENGLAND**\n\n# The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\n| Made - - | - | - 28th April 2020 |\n| --- | --- | --- |\n| Laid before Parliament | | 30th April 2020 |\n| Coming into force | - | - 1st May 2020 |\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014(**a**) and sections 29(3) and 569(4) of the Education Act 1996(**b**).\n\n## **Citation and commencement**\n\n**1.** These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## **Review and expiry**\n\n**2.**—(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n\n(2) These Regulations cease to have effect on 25th September 2020.\n\n## **Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.** The Special Educational Needs and Disability Regulations 2014(**c**) are amended as follows.\n\n**4.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**5.** After regulation 2 (interpretation) insert—\n\n## \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of\n\n(<b>a) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16).\n\n(<b>b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and Framework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education (Wales) Measure 2009.\n\n(<b>c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational needs and disability in order to provide exceptions to time limits set out in that legislation where they cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review the effectiveness of the Regulations during the period in which they have effect. The Regulations cease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 ('the SEND Regulations 2014').\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain requirements in those Regulations for actions to be taken within specified time limits where it is not reasonably practicable for a person to meet those requirements for a reason relating to the incidence or transmission of coronavirus. Instead, any such requirement is to be read as a requirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 ('the Personal Budgets Regulations 2014').\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as regulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) Regulations 2015 ('the Detained Persons Regulations 2015').\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to the ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal Budgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax time limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 ('the First-tier Tribunal Regulations 2017').\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to those in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency measure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\n \n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.\".\n\n## **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015(**a**) are amended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n**20.** After regulation 2 (interpretation) insert—\n\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(1) and (4) (needs assessments which are not completed);\n- (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n- (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n- (d) regulation 19 (requirement to consider mediation);\n- (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n- (f) regulation 21 (mediation);\n- (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n- (h) regulation 27(3) (steps to be taken by a home authority);\n- (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n- (j) regulation 30(3) and (6) (unopposed appeals).\".\n\n**21.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\", or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n(<b>a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "# PART 6\n\n### Final provisions\n\n### **Review of need for requirements**\n\n**24.** The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n#### **Expiry of Regulations**\n\n**25.** These Regulations expire at the end of 16th May 2022.\n\n### **Revocations, transitional provision consequential amendments and savings**\n\n**26.**—(1) The following Regulations are revoked—\n\n- (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020(**a**);\n- (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\")(**b**); and\n- (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021(**c**).\n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n\n(3) Schedule 16 makes transitional provisions.\n\n(4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\n*Robert Courts* Parliamentary Under Secretary of State At 10.32 a.m. on 14th May 2021 Department for Transport\n\n(**a**) S.I. 2020/567.\n\n(<b>b) S.I. 2020/568.\n\n(<b>c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n#### **EXPLANATORY NOTE**\n\n#### *(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the International Travel Regulations\"), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "# **2021 No. 582**\n\n# **PUBLIC HEALTH, ENGLAND**\n\n# The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\n| Made - - | - | - | at 10.32 a.m. on 14th May 2021 |\n| --- | --- | --- | --- |\n| Laid before Parliament | | | at 2.30 p.m. on 14th May 2021 |\n| Coming into force | - | - | at 4.00 a.m. on 17th May 2021 |\n\n### CONTENTS\n\n### PART 1\n\n### Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n| --- | --- | --- |\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n\n### PART 2\n\n### Requirements on persons arriving in England\n\n| 3. | Requirement on passengers to provide information | 5 |\n| --- | --- | --- |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n\n### PART 3\n\n#### Enforcement\n\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| --- | --- | --- |\n| 12. | Power of entry | 19 |\n\n### PART 4\n\n### Requirements on operators\n\n| 13. | Passenger information requirement | 19 |\n| --- | --- | --- |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n- (b) regulation 16(2) and (3) (change of responsible commissioning body);\n- (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n- (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n- (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n- (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n- (g) regulation 33 (requirement to consider mediation);\n- (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n- (i) regulation 35(2), (3) and (4) (mediation health care issues);\n- (j) regulation 36(2) (mediation no health care issues);\n- (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n- (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n- (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n- (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n- (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n- (p) regulation 56(3) (publication of comments on the local offer).\".\n\n**6.** In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert—\n\n> \"(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\".\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n- (a) at the end of sub-paragraph (c) omit \"or\"; and\n- (b) at the end of sub-paragraph (d) insert—\n\t- \"; or\n\t- (e) of a reason relating to the incidence or transmission of coronavirus\".\n- **8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\t- (a) at the end of sub-paragraph (b) omit \"or\"; and\n\t- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert—\n\n\"; or\n\n- (e) of a reason relating to the incidence or transmission of coronavirus\".\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n- (a) at the end of sub-paragraph (b) omit \"or\"; and\n- (b) at the end of sub-paragraph (c) insert—\n\n\"; or\n\n- (d) of a reason relating to the incidence or transmission of coronavirus\".\n**25.** In regulation 13(3) (timescales for EHC plans), for \"(c)\" substitute \"(d)\".\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n- (a) after paragraph (6) insert—\n\"(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.\".\n\n- (b) in paragraph (7)(c) after \"10(4)(a)\" insert \"or (d)\".\n**27.** In regulation 30(7)(c) (unopposed appeals), after \"10(4)(a)\" insert \"or (d)\".\n\n## **Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017(**a**) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n\"\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); \".\n\n- **30.** After regulation 2 (interpretation) insert—\n#### \"**Relaxation of time periods due to coronavirus exception**\n\n**2A.**—(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n- (a) regulation 6(3) and (6) (responding to health care recommendations); and\n- (b) regulation 7(1) and (4) (responding to social care recommendations).\".\n\n*Vicky Ford* Parliamentary Under Secretary of State 28th April 2020 Department for Education\n\n#### (**a**) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(**a**).\n\n## PART 1\n\n### Introductory\n\n#### **Citation, commencement, extent and application**\n\n**1.**—(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n\n(3) These Regulations extend to England and Wales and apply in relation to England only.\n\n#### **Interpretation and introduction of Schedules 1 to 4**\n\n**2.**—(1) In these Regulations—\n\n\"category 1 arrival\" means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n\"category 1 country or territory\" means a country or territory, or part of a country or territory, specified in Schedule 1(**b**);\n\n\"category 2 country or territory\" means a country or territory or part of a country or territory specified in Schedule 2(**c**);\n\n\"category 3 country or territory\" means a country or territory or part of a country or territory specified in Schedule 3(**d**);\n\n\"child\" means a person under the age of 18;\n\n\"the common travel area\" has the meaning given in section 1(3) of the Immigration Act 1971(**e**);\n\n\"coronavirus\" means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n\"coronavirus disease\" means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n\"designated port\" means a port designated for the purposes of Schedule 11;\n\n\"device\" means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002(**f**);\n\n\"disability\" has the meaning given in the Equality Act 2010(**g**) (see section 6 of, and Schedule 1 to, that Act);\n\n\"immigration officer\" means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971(**h**);\n\n\"managed self-isolation package\" has the meaning given in paragraph 8 of Schedule 11;\n\n\"operator\" except in regulation 18, means an operator of a relevant service;\n\n(**b**) Category 1 countries and territories are referred to colloquially and in guidance as \"Green List\" countries and territories.\n\n(**c**) Category 2 countries and territories are referred to colloquially and in guidance as \"Amber List\" countries and territories.\n\n(**f**) S.I. 2002/618.\n\n(<b>a) 1984 c. 22. Part 2A was inserted by section 129 of the Health and Social Care Act 2008 (c. 14).\n\n(<b>d) Category 3 countries and territories are referred to colloquially and in guidance as \"Red List\" countries and territories. (**e**) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland are collectively referred to in that Act as \"the common travel area\".\n\n(<b>g) 2010 c. 15.\n\n(<b>h) Paragraph 1 was amended by paragraph 3 of Schedule 3 to the Health Protection Agency Act 2004 (c. 17), and by S.I. 1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(3) In regulation 4ZA—\n\n- (a) in the heading, for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\";\n- (b) in paragraph (1)(a), for \"regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\")\" substitute \"regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 (\"the International Travel and Operator Liability Regulations\")\";\n- (c) in paragraph (1)(c), for \"paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\";\n- (d) in paragraph (3), for \"paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations\".\n\n**2.**—(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020(**a**) are amended as follows.\n\n(2) In regulation 2D(1)(c), for \"regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n(3) In regulation 6(1)—\n\n- (a) in the definitions of \"designated place\", \"isolation requirements\" and \"self-isolating worker\", for \"regulation 4\" substitute \"regulation 9\";\n- (b) in the definition of \"International Travel Regulations\", for \"the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\" substitute \"the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\".\n\n# SCHEDULE 16 Regulation 26(3)\n\n### Transitional provision\n\n**1.** Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 (\"the 2020 Regulations\") in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n\n**2.** Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n\n**3.** A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n\n**4.** Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.\n\n(<b>a) S.I. 2020/1045. Regulation 2D was inserted by S.I. 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "Who is Daniel Casali ?", - "target_page": 12, - "target_passage": " Daniel Casali is a Thought Leader Information Technology Specialist working for 15 years at IBM with Power Systems, high-performance computing, big data, and storage. His role at IBM is to bring to reality solutions that address client’s needs by exploring new technologies for different workloads. He is also fascinated by real multicloud implementations, always trying to abstract and simplify the new challenges of the heterogeneous architectures that are intrinsic to this new consumption model, be that on-premises or in the public cloud. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Danny Games Felipe Garcia Melissa Gardner Billy Gary Don Gatewood Todd Gatewood Bill Gee Matthew Gelnar Joseph Genovese Jr. Marissa Gibbs Christi Gibson Jonathan Gill Eric Gillespie Brian Gilliam Daniel Gilmore David Gilmore Shane Glassey Barry Gober Neva Godwin Amy Gonzales Alfonso Gonzalez Jr. Francisco Gonzalez Hector Gonzalez Jr. Bill Goode Carl Goodnight David Gordon Ashlynn Gosnell Cody Goss Jacob Grafa Zach Gragg David Graham Jane Graham Tim Graham Lee Grampp Kenneth C. Graves Kevin Graves D'Angelo Gray Kevin Gray Tyler Gray Marcus A. Green Randy W. Green Richard Green Cara Greenhaw Bruce Griffin Devyn Griffin Brooke Grossman Dave Grumieaux Roy Guerra Brianne Gungoll Donald Gunnoe II Gilbert Gutierrez Jr. Jose R. Gutierrez Summer Gwinn Charles Gerlich Timothy Haack Greg Haddock Clarence Hadley Josh Halbert Lindsay Hale Trey Hale Rob Hall Robert Ham Zaid Hamdokh Jeremy Hamill Erin Hamilton Heather Hamilton Weston Hamilton Carolyn Hancock Melanie Harless Michael Harman Charlie Harrington Aaron Harris Amy Harris Jeff A. Harris John Harris Michael Harris Mark E. Harrison Daniel Hart David Hart David Hatton Jerry Hausman Shane Hayden Charles Hayes Kelly Hayes Patrick Hayes Stephanie Hayes Doug Haymaker Mike Haynes Dustin Hays\n\nSara Hays\n\nThomas Hays Tyler Hays James Head Gary Heinen Lindsey Heintz Christopher Heiskill Kelly Helm Kim Helvey Rob Hembree Kim Henderson Kristi Henderson TJ Henderson II Dave Henson Alvaro Hernandez Francisco L. Hernandez Mario Hernandez Marisol Hernandez Romualdo Hernandez Jr. Jude Herring Richard Hess Josh Hicks William Higginbotham Hillary Higgins Shane Hilliard Angelo Hilton Weston Hinton Keasha Hobbs Charles Hodges Joe Hofer Duston Hoffman Eric Holcomb Dan Holden Adam Holland Janice Holloway Adrianne Holmes Dennis Holmes Don Holt Kyle Holt Tiffany Hopkins Greg Hopper Ryan Horn Tim Horne Matthew Horton Bud Hoselton Nicole Howard Joe Howell John Howell Ronnie Hubbard Melissa Huddleston Tara Hudson Barry Huggins Keystone Hughes Omar Huizar Tracy Hulsey Matthew Humphrey Joe Hunley Danny Hunt Steven Hutchens Jr. Daniel Hyatt Steven Hyatt Angela Ibara Katy Igarta Gerald Irwin III Ernie Isenhart Kate Ivey Monsuru Iyanda Alan Jackson Angela Jackson Beverly Jackson Kristine Jackson Larry Jacobs Cody Jacoway Jeremy James Ken James Tommy Jamison Victor Jaramillo Stephanie Jaronek Billy Jeffers Clint Jennings Li Jett Pablo Jimenez Billy Johnson Brenda Johnson Dannie Johnson Jason Johnson Kyle Johnson Kyle R. 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Smith Kirk Smith Michael W. Smith Monte W. Smith Shane Smith Boyce Smithson Anna Snedeker Jason Solley Jane Southard Douglas Sparks Victor Spikes Paul Spoon Christopher Spratt Chris Sprute Colby Staats Gary Stacy Joshua Standifer Carl Standley Johnny Stanford Travis Stankorb Todd Starkey Charles Steaveson Greg Steele Berk Stephens Darrell Stephens Rodney Stephenson Carly Stevens Sara Stevens Scott Stevenson Brian Stewart Ryan Stewart Steve Still", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Daniel Alford Kenny Alford Jamie Allen Joshua W. Allen Jimmy Allred Billy Alven Joe E. Aly James Amelung Bob Amyx Carol Anderson Gary Anderson Randi Anderson Shelby Andrew Melanie Andrews Howard Arnold Zachary Arnold Liz Arthur Thad Ashcraft Kevin Ashley Amy Askew Micah Assulin Jennifer Atwell Roger Averitt David Avery Ed Back Misty Baeza Tim Bagby Allen Bagley Michael Bahrenburg Ronald Bailey Butch Baird Charles A. 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Brown Tyanne Bruce Timothy Brummage Greg Bruton Cheryl Bryan J.D. Bryant Kala Buerger Joshua Buie Todd Bules Clifton Bullard Blair Bunch Niki Burch Roger Burford Darrel Burghardt Julie Burk John Burkhouse Jr. Jake R. Burnett Jim Burnett Aaron Burns Charles Burnsworth Richard Burrhus Phil Burrow Joseph Burton Dustin Bushnell Eric Bynum Tom A. Bynum Tom Bynum Scott Byrum Stephanie Cahill Jerry Caldwell Rickie Callender III Jason Cameron Johnnie Campbell Karen Campbell Kenneth Campbell Shanna Campbell John Canary Bryan Carey Colt Carpenter Connie Carpenter Octavio Carpio Deborah Carroll Stephan Carroll James Carter Alex Casias Bernardino Castaneda Jr. Charles Castelli Jose Castelo Aaron Casto Brandon Cates Scott Cavner Gregory Cavness Cassie Cawyer Rosa Chacon Tim Chaloupek Harvey Chambliss Paul Charles David Chavarria Oscar Chavez Kathy Cheesman James Cheshire Henry Childress Richard Childress Stephanie Choate Twila Christy Kerry Clapp Suzanne Clapper Brandon Clark David Clark Dustin Clark James Clark Leon Clark Steve Clark Jason Claunch Brad Claypool Erin Clayton\n\nEric Clements Michael Clevenger Ronald Clift Lindy Cochran Robert Cochran Brent Cockrell Lauren Coco Virgil Coleman Katie Collins Dee Combs Jason Conaway Greg Condray Andy Conyers Blayne Cook Jim Cook Jacob Cooper Linda Cooper Christy Copeland Scott Copeland Jeff Cornelius Justin Cornell Steve Cornett Preston Corp Diego Cortez Mario Cortez Janice Cory Bob Costello Bobby Costello Cody Costello Larry Costello Stoney Costello William Coston Crystal Cottrell Jereme Cowan Chris Cox Jeremy Cox Steven Cox Donnie Craft Tina Craft Grant Travis Craig Denise Cramer Bud Cravey Joe Creech Scott Crim Jimmy Crone Murphy Crosby Paul Crow Casey Culpepper Melissa Cummens Ray Cunningham II Aaron Daharsh Laurie Damron David Dani David Danley Beverly Dart Jeffrie Davidson Betsy Davis Chad Davis Garry Davis Kathy Davis Megan Davis Rodger Davis Ron Davis Kenny Dawson Robert Day Landon Dean Stanley Dean Kevin Deeds Matthew Deel Tim Deffenbaugh Gary Dennis Mark Deshazo Karl Dexter Donald DeForest Jr. Gianny Diaz Andrew Dickins Ed Dillard Robert Dison Linda Dixon Michelle Dodd Nicolas Dominguez Gary Donley Stephanie Doty Dawn Douglas Greg Douglas Lorie Douglas Johnny Dowdy John Downing Tammy Dresser\n\nAlfonso Duenez Dustin Dunlap Regina Dunlap Curtis Dunn Jr. Paul Duren Jim Durst Dustin Dye Tammy Eaton Robin Ebarb Michael Eddins Johnny Egnor Sr. Craig Elder Jammie Elder Jeff Elder Ebbin Elliott Jr. Jordan Elliott Melanie Ellis Jon English Richard Enoff Steven Epps Jarrod Esparza Jonathan Eubank Gary Evans Jody Evans Ricky Evans Ronald Evans Leann Evers Ronnie Ezernack Ricky Farnsworth Andrew Farris Marcie Farris Shyla Fast Bryan Ferguson Keith Ferguson Teresita Ferguson Perry Fields III Tommy Fillman Thomas Finch Brent Finley Steven Fisbeck Dave Fisher Jerry Fisher John Fisher Chris Flanagan Michael Flanery Matt Fleischer Brenda Flesher Jose Flores Jr. Garrett Flowers Terry Floyd Jr. Danny Ford Martha Ford Jimmy Forsyth Clarence Foster Clayton Foutch Jason Franze Mandie Frazier Travis Frels Nicole Fritz Larry Frost Sam Frydenlund Evan Fuqua Jr. Carol Gaddis Frank Gagliardi Martin Garcia Sr. April Gardner George Garfield Javier Garza Javier H. Garza Jr. Joel Garza Raul Garzes John Gasaway Douglas Gaston Scott Gaston Brian Gauntt Kennie Gay Anne George Jim Gerstner Bobby Gibson Steven Giddings Timothy Giddings Jon Giffin Anthony Gilliam Cameron Gilmer Jim Gipson Jr. Ryan Glenn Jesse Gomez Lindi Gomez Zac Gonsior Alberto Gonzalez\n\nApril Gonzalez Edgar Gonzalez Julio Gonzalez Billy Goodnight Justin Goodson Lacey Goodwin Elijah Gordon Lindsay Gowan Mitch Grant Kenneth W. Graves Billy Gravitt Ron Gray Gabe Green Camm Grim Lane Grimes III Rafael Guerra Henry Gutierrez Jr. Ricardo Guzman Darryl Haas Scott Hackworth Lance Haffner Larry Hagelberg Robert Hagerdon Wayne Haire Freddy Hale Kim Haley Billy Hallman John Hamilton Joy Hamilton Nathan Hamilton Nathan Hanks Joe Hanna Robert Hanna Tony Hansen Randy Hansford Dustin Hanson Josh Hardie Dean Harding Fawn Hardman James Hardway Ryan Harkins James Harman Cody Harrel Bryan Harris Mike Harris Robert L. 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Harvey Don Harville Timmy Hass Darcy Hawkins Carroll Hayes Eric Hayes Christopher Hayward Robert Hayward Teresa Hearn Brad Heath Sabrina Hedrick Daniel Henderson George Henderson Nicholas Henderson Mary Henning Mark Henry Dan Hensley Armando Hernandez Rafael Hernandez Matthew Herrin Jamie Hibbs Joe Hicks Sid Hicks Terry Hicks Jennifer Higgins Michelle Hileman Chad Hill James Hill Clyde Hinson Mark Hlatky Chad Hledik Justin Hobbs Jimmy Hodges Joseph Hodges Justin Hodges Patty Hoecker Eric Hoehne Chad Hoffman\n\nHenry Hoffman Lisa Hoffman Tom Holland Mike Hollis Bradley Holman Bryce Holmes Timothy Holmes Michael Holson Larry Holt Dustin Homesley Michael Hommertzheim Bill Hooper Kevin Hooper David Hoover Melissa Hoppe Ronnie Hoskins Bonnie House Debbie Houston Scott Howard Seth Howard Jason Howe Kenneth Hubbard Rachel Hubbard Cheryl Hudak Mark Hughes Marshall Hughes Kirk Hungerford Frankie Hunt Bret Hunter Tami Hunter Elbert Idlett Loyd Idlett Pete Irby Jeff Iven Sherry Izell Joe R. Jackson Lindsay Jackson Marianne Jackson Pamela Jackson Javey Jamison Lance Jamison Todd Jamison Eric Jenkinson Jessica Jennings Jon Jernigan David Jirousek Alex Johnson Donald Johnson Randy Johnson Steve G. Johnson William Johnson Jeri Johnston Joy Johnston Cindy M. Jones Gary Jones Kyle Jones Travis Jones Bev Jordan Doug Jordan Lauren Jordan Jeffery Judd Hunter Kam Hemant Kataria Lisa Kaulaity Troy Keel Marvin Keeling Jr. Kenneth Keeton Belo Kellam III Larry Keller Diana Kelley Tommy Kelley Tracy Kelting Sammy Kendall Kris Kendrick Josh Kennedy Joe Ketzner Russell Kidd John Kieschnick Jeff Kiker Wayne Kimberling John Kimbleton Fay Kincher Jessica King Richard King Nathan Kirtley Jeffrey Klingel Buzz Knapp Allen Knippers Jeff Knoblock Charles Knotts\n\nCurtis McIntyre Irma McIntyre Patrick McKim Jessica McLain Amy McLanahan Walter McLaughlin\n\nThomas Pace\n\n# 2010 ANNUAL REPORT | **33** Aaron McLean\n\nSteve Knowles Laurie Knox Sanjay Kodam Blake Koonce Nathan Kress Muhamed Kuburic Sunita Kuburic Cameron Kuykendall Hoang Lam Jane Lam Tony Lamas Jerry Lambert Jr. Corbin Land Sandra Landgraf Bob Langdon Chris Lauhon John Lawman Jr. Kelly Lawson Tom Layman Ryan Lee Dave Leopold Cindy Lewis Fred Lewis James LeBouef Karen Liles Jim Lindley Trey Littau Charles Livingston Ronald Loeffler Clayton Long Ellen Long Teresa Long James Looney David Lopez Jaime Lopez Candice Love Morgan Love Dustin Lovell Silvano Lozada-Luna David Luke Charlie Lumpkin III Brent Lurry Josh Lyons Emily Lytle Kevin Mackey Jeffrey MacKay Jamie Maddy Jorge Maldonado Juan Maldonado Ramon Maldonado Monica Malkey James Manning Juan Manriquez Jimmy Manry Kerry Manuel Laura Marcellus Markus Marr Patty Martin Braulio Martinez Valente Martinez Missy Martini Michael Marunowski Bobby Matthews Maya Maximova Delores Maxwell Greg May Michael Mayfield Monty Mayfield Chris Mccormack Harry Mcgarr Richard Mcguire Angela McAlister Julie McCann Katie McCord Lacy McCornack Garrett McCullough Shaun McDaniel David McDougal Jenni McEachern Kelle McEwen Ray McFarland Meghan McGhee Todd McGinley\n\nChristopher L. McGinnis Caleb McLoud Matthew McMahon Steve McMillen Beau McMillin Heather McNeil Danny McRae James McWhirter Donnie McWhorter Ed Meade Tom Meadows Junior Melendez Douglas Melton Wes Merchant Curtis Merilatt Jarod Merle Steven Meyer Barry Michels Allen Middleman Allen J. Miller II Greg Miller Gregory Miller Matthew Miller Ronald E. Miller Toni Millican Audrey Mimbs Benjamin Miner Jerame Mink Dustin Minton Santiago Miranda George Moats Jr. Chris Mobley Janice Modisette Keith Moffatt John Moles Angela Moniger Andrew Montgomery Tom Mooney Deanne Moore Larry Moore Michael S. Moore Walter Moore Arturo Morales Guillermo Morales Hector Morales Guillermo Morales-Mata Carroll Morgan Jay Morgan Roger Morgan Nick Morland Tim Morphis James Morris Mike Morris Nicholas Morris Ralph Morris Billy Morsko Joseph Mortashed Johnathan Mueller Gregory Mumme II Lewis Munn Danny Murray Matt Murry Antoinette Nell Bree Nelson JW Nelson Lacey Neuman Kyle Nevels Jere Newberry Travis Newberry Lori Nguyen Thomas Nguyen Nick Niemann Drew Nugent Marvin Odermatt Jason Offerman Michael Ogletree Dennis O'Handley Anthony Olivas Michael J. Oliver Mark Orgren Christy Orosco Randy Orsburn Don Osborn Darrel Overgaard Casey Overhultz De Overstreet Tammie Owens David O'Brien Chris Pace", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# Open Data: Emerging trends, issues and best practices\n\n*a research project about openness of public data in EU local administration*\n\n# *by Marco Fioretti for the Laboratory of Economics and Management of Scuola Superiore Sant'Anna, Pisa*\n\nThis report is part of the \"Open Data, Open Society\" Project financed through the DIME network (Dynamics of Institutions and Markets in Europe, www.dime-eu.org) as part of DIME Work Package 6.8, coordinated by Professor Giulio Bottazzi", - "page_start": 0, - "page_end": 0, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "Michael Bowling Jesse Bowman Matthew Bowman Joe Box Bobby Boydstun Ashley Braden Kyle W. Bradford Reagan Bradford Don Bradley James Bradley Jase Bradley Jason Bradshaw Zac Bradt Tim Brady Larissa Braker Bradley Brasington Blake Braswell Danny Bratcher II Cory Bratina Lee Ann Bratten Allen Bratton Jr. Jason Bratton Mike Bread Dax Brecher Cache Breedlove Gerry Brem Matt Brennan Jayson Breunig Cody Brevelle Brian Brewer Tim Brewer Blaire Bridges Jason Bridges Jason Briggs Mark Brinegar Larry Briscoe David Bristol Courtney Britt Greg Britt Steve Brominski Buddie Brooks Justin Brooks Christopher Brosius Robert Brosko Holly Brotherton Angela Brown Chris Brown Christopher Brown David Brown Heather Brown Henry Brown Josh Brown Mark A. Brown Michael Brown II Moriah Brown Rodney J. Brown Ronald Brown Willie Brown III Mike Brownell Rick Browning Michael Brunsman Corey Brutsman Erik Bryan Richard Bryant Scott Bryant Brad Buchan Alex Buchanan Trey Buchmeyer Juan Bucio Kylie Buckles Emily Buckmaster Eric Buddenbohn Ryan Buersmeyer Michael Bullock Bobby Bumgarner Robert Bunke Chris Bunn Stephen Burchard Sam Burdge Brett Burger Carl Burkhammer Bruce Burkhardt Jr. Cody Burnett Don Burnett Jake L. Burnett Jami Burnett Ty Burnett Delvin Burns James Burns Sarah Burns\n\nJustin Burris Harriet Burrow Jeff Burson Jeff Burt Kyle Burt Jeremy Burton Michael Burton Sr. Thomas Burton Jr. Julie Bushong Brian Bussie Juan Bustamante Lea Ann Butcher Amy Butler Charles Butler Cosey Butler Jr. Eric Butler Steven Butler Joe Button Stephen Button Zack Butts Robert Byers Kelly Byford Charlie Byrd Bryan Bone James Cahoon Jr. Ryan Cain Brian Calder Javier Calderon Clayton Calhoun Jerry Callahan Rick Callahan Katie Callaway Jason Callen Noel Camacho Carlos Camacho-Martinez Nicholas Camburn Marissa Camp Alan Campbell Ashley Campbell Jessica Campbell Kelsey Campbell Ron Campbell Jr. Joesph Canaday Chris Cannon Lindi Cantrell Salvador Cantu Jr. Charles Caraway Jordan Carden Nikki Cardenas Victor Cardenas Sr. Victor Cardenas Jr. Arnold Carey Jr. Adam Carleton Brian Carlozzi David Carlson Trinity Carman Candace Carollo Jason Carpenter David Carrico Jose A. Carrizales James Carroll Shawn Carroll Robbie Carson Dusty Carter Gail Carter Jonathan Carter Meg Carter Roger Carter Dusty Cartrette Mac Carver Heleodoro Casarez Allison Cashman Nik Casiano Lauren Cassel Scott Castaneda Brad Castle Josh Castleberry Encarnacion Castro Pete Castro Sean Cates Allen Catlett Rolando Cavazos Ashley Cawthron Nicholas Cerbone Doug Cerretani Mike Cervantes Brandon Chabot David Chadwick Jake Chambers Jonathan Chambers Josh Clark Paul Clark Kyle Coe Bill Collins\n\nJordan Chambers Williard Champagne Jr. Aaron Chang Gustavo Chang-Koo Bounyeme Chansombat Terry Chapman Eric Charoonsak Kenneth Chase Zac Chastain Melissa Chasteen Jerry Chavez Jose Chavez Marcos Chavez Paula Cheater Whitney Cheek Brian Chenault Stephanie Cheng Taylor Chennault Terry Cheramie John Chidester Jr. Theo Chidester Dave Childers Billy Childress Steve Childress David Childs Jr. Billy Chilson Daniel Chilson Eric Chilson Gretchen Chilson Jason Chilson Jeffrey Chilvers Eric Chipps Joshua Chonko Jonathan Christian Liza Christian Jerome Christopher Jacob Chrones Eric Cindric Jerry Circelli Cason Clagg Daniel Clampet Abby Clapp Cheryn Clapp Jesse Clapp Chris Clark Stewart Clayton James Clements Ken Clemons Tom Cleveland Josh Clifford Zsanett Clifford Jessica Clifton Richard Clifton Charla Cline Jack Clinger Patrick Close Brian Closson Glen Clothier Tricia Clothier Travis Clutter Jessica Coats Kristyna Coats Chris Cobbs Robert Cockburn Timothy Cockerham II Paul Cogar Weston Cogburn Matt Coker Sherry Coker Alex Colarusso Quincy Colbert Jeremy Cole Brandon Coleman Jason Coleman Jeffrey Coleman Ann Coleson Kari Collard Suzi Collier Billy Collins Cindy Collins Cody Collins Gary Collins John Collins Laurie Collins Jack Colten Drew Columbus Jr.\n\nDanielle Comer Maggie Conell Duane Confer II Robert Conner Denver Conrad Frank Conserette III Robert Conway Jr. Johnathon Cooke Shane Cooley Jr. Larry L. Cooper KaraBeth Copenhaver Amy Cornforth-Long Kate Cornwell Edgard Corona Evaristo Correa Wesley Corrick Harold Cosner Fernando Cossio Clayton Costlow Megan Cotton Chester Cottrill Marc Coughanour Vashon Coverson Margaret Covington Ashley Cowan Jason Crawford Kenneth Creel Jr. Gail Creighton Dorine Crisman Brittany Croslin Michael Crouch Patrick Crump Conner Cruson Carmen Csizmadia Andrew Cullen Bart Cullins Jr. Katie Cummings Kelly Cummings Shaun Cummings Tim Cummings Danielle Cummins Mike Cummins Edward Cutright\n\nEdwin Combs\n\nBen Conley Chris Conner David Conner\n\nKandi Connor\n\nJesse Conrad\n\nSeth Conway Cody G. Cook Cody Cook Eric Cook Ryvers Cook Zackery Cook\n\nKyle Coon Kyle Cooper\n\nWill Corbyn Allan Cormier Mike Cornell Carl Corner\n\nAaron Corter Neil Cory Jr.\n\nJosh Cosner\n\nDan Costello\n\nKirk Cotham\n\nCharles Cox Clayton Cox Dustin Cox Orrin Cox Joe Craig Kara Crain\n\nMonte Creps Alex Criner\n\nTaylor Crisp Mark Crocker Ian Cronkhite\n\nTroy Crossen\n\nEduardo Cruz\n\nKeeley Cuccio James Cudd\n\nKerry Culver\n\nDavid Curtis Trevor Curtis\n\nJames Cyr Walter Dahm\n\nKari Crow Odis Crow Nicole Crowl Acacia Croy\n\nMalori Dahmen Dallas Daley Clay Dallison Jamal DaneshFar Paige Danford Seth Daniel Andy Darne Stephen Darwent John Daugherty Jr. Felipe Davalos John Davenport Keely Davenport Mark Davidovich Derek Davidson Steve Davidson William Davidson Bart Davis Bennett Davis Beverly Davis Bradley Davis Brian Davis Collette Davis Dustin W. Davis Felicha Davis Jason Davis John W. Davis Kim Davis Kristin Davis Megan Davis Michael Davis II Scott Davis Seslie Davis Tad Davis Tyler Davis Bryan Davison Danny Davisson II Brett Dawkins Sarah Daws Monica Day Roger Day Trey Day III Eric Dean Greg Dean John Debruin Benay Deckard Jameson Deen Barry Dees Derek Dehoyos Timothy Delaney James Delauder Mike Delauder Heather Demarest Angela Dempsey Joshua Desko Joshua Deville Kyle Deville Jack Dewbre Timothy DeHaan Timothy DeKinder Walt DeLap II Stacey DeLaune Edward DeLaO Bronson DeLeeuw Tom DeMann Sean DePriest Lance DeSpain Kyle DeVoe Gary De Los Santos Anthony De Los Santos Nicole De Luna Sandra Dias Ben Dickason Jeff Dietert Ashlee Dieu Daniel Diffey John Dill Eddie Dillard Michael Dinelli Robert Diosdado Hilary Dittman Belinda Dixon Joel Dixon Amy DiMaria Taiz DiRienzo Jason Doan Bob Dobkin Christopher Dockery Peter Dodgen Charlie Dolezal Jaclynn Dollins\n\nBrian Dombroski Beth Donaldson Wayne Donaldson Matt Donley Brian Donovan Thomas Donovan Dewey Dooley II Matt Doporto Joe Doran Stuart Doss Jeff Dotson Cord Doucet Ryan Doud Scott Doud Cole Dougherty Sarah Douthitt John Dowdell Eric Dowell Ashley Doyle Kathy Doyon Aaron Drabnis Luis Dragustinovis Kristina Drawbridge Michael Driscoll Jason Driver Dana Drury Michael Dube Benjamin Duckworth Ronnie Dudgeon II Eric Dudley Amy Dugan Dug Dugan Bernard Duke Dave Duke Ernest Duke James Duke Jeff Dukes Cameron Dullea David Duncan James Duncan Chelsea Dunlap Larry Dunlap Craig Dunn Michael Dunn Woody Dupre Joe Durham Robert Durham Jessica Durrett Allison Dvorak Cindy Dykes Jude Dysart Richard Eads Stephanie Eagle Cody Eakle Mark Earl Reed Early Brian Earnest Zach Eastham Garry Eastwood Joshua Eaton Jose Echavarria Dustin Eck Jason Eddy Wesley Eddy Chance Edge Dave Edgmon Lanese Edmond Mandy Edmonds Michael Edmonds Chad Edmondson Cody Edwards Eric R. Edwards Johnson Edwards Jonathan Edwards Mike Edwards Samantha Edwards Seth Edwards Wyatt Edwards Angela Eicholz Darius Ekhtiar Tim Eklund Rania Elghazi Mario Elizondo Trey Ellers Brad Elliott Michael Emanis Jerry Embrey Michael Embrey Kevin Emfinger Roger Emmelhainz\n\nTerry Endicott James Epley Adam Eppes Derrick Erb Justin Erskine Antone Erve Wade Erwin Derek Esau Aaron Escobedo Victor Escobedo Bruce Escovedo Nick Esker Enrique Espinoza Dennis Espy Delfino Esquivel Phillip Estepp Kirk Estes Martin Etem Debbye Eubanks Robert Eutsey Brandon Evans David E. Evans II Donald Evans Jeffrey Evans Kevin Evans Lesley Evans Mark K. Evans Roy Evans Steve Evans Bryan Eveland Robert Evers Jr. Richard Ewald Kristin Ewert Justin Ezell Stacy Ezell Eric Ezzolo Anthony Falkowski Ricky Farmer David Farnsworth Jon Fason Dwight Faux Sammy Feagin Heather Felder Lori Felder Abraham Felix Jacob Fellenz William Feltner Alex Fennema David Fenton Ryan Fenton James Ferguson Jonathan Ferguson Kevin Ferguson Neeley Ferguson Patrick Ferrebee Jr. Heather Ferrin Trevor Fessler Bobby Ficco Clara Fidalgo Shelby Fidler Daniel Fieker Jon Filbert Clint Filson Mark Fimple Lawrence Finch Isaac Finkbeiner Jeremy Finkbeiner Lezli Finsterwald Nick Fischietto Kurtis Fish Angela Fisher Charles Fisher Clay Fisher Jeremy Fisher Robert Fisher Adam Fitzgibbon Jason Flaherty Jody Fletcher Frankie Flores Mark Flores Toby Floyd Jed Foley Alexander Fontaine Pete Foradori Jr. Ashley Ford\n\nDarren Ford Sloane Ford Tara Ford Gary Fordyce Jr. Elwood Foreman Jr. Jeff Gearhart John Gebhardt Brad Geer Warren Geionety Jerry Gentry Jr.\n\n### Matue Forh James Forney Christina Forth Shawn Fortney Andrew Foshee Danny Foster Glen Foster Jason Foster Stephany Foutch Carl Fowler Sacia Fowler Greg Fox Howard Fox Logan Franklin Brandon Frazier Chase Frazier Michelle Frazier Keith Free Lindsey Free James Freeman Michael Freeman Donnie French James Fretwell Kristin Friday James Friend Jr. Frank Frieri Shawn Fromille Brian Fuentes Bryant Fulk Al Fuller Josh Fuller Roland Fuller Terry Fuller Brett Fullmer Christi Fulton JoAnn Fulton Russell Fultz Jr. Kevin Furr Kyle Gabb William Gaddy Drue Gage Drew Gagliardi Jill Gagliardi Kyle Gagliardi Sarah Gainer Kristi Galbraith Brad Gale Randall Gall Randis Gallaway Billy Galloway Eileen Galvan Gerardo Galvan Curtis Gambill Jake Gamboa Stephanie Gannaway Deborah Garbark Antonia Garcia Guadalupe Garcia Heriberto Garcia Jesus Garcia Jr. Mario Garcia Martin Garcia Jr. Jordan Gardner Rodolfo Garduno Loni Garis David R. Garner David Garner DaNeil Garner Phillip Garner Stan Garner Chelsea Garrapy Bryan Garrett Nick Garrison Stephanie Garrison Tammy Garvin Matthew Garwood Dolores Garza Eduardo Garza Mary Gaskill Beth Gaston Tim Gaston Blaine Gatian Justin Gauthier Travis Gay Albert Gaylord III", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "#### **Existential risk**\n\nIt has been argued AI will become so powerful that humanity may irreversibly lose control of it. This could, as physicist Stephen Hawking stated, \"spell the end of the human race\".[265] This scenario has been common in science fiction, when a computer or robot suddenly develops a human-like \"self-awareness\" (or \"sentience\" or \"consciousness\") and becomes a malevolent character. [q] These sci-fi scenarios are misleading in several ways.\n\nFirst, AI does not require human-like sentience to be an existential risk. Modern AI programs are given specific goals and use learning and intelligence to achieve them. Philosopher Nick Bostrom argued that if one gives *almost any* goal to a sufficiently powerful AI, it may choose to destroy humanity to achieve it (he used the example of a paperclip factory manager).[267] Stuart Russell gives the example of household robot that tries to find a way to kill its owner to prevent it from being unplugged, reasoning that \"you can't fetch the coffee if you're dead.\"[268] In order to be safe for humanity, a superintelligence would have to be genuinely aligned with humanity's morality and values so that it is \"fundamentally on our side\".[269]\n\nSecond, Yuval Noah Harari argues that AI does not require a robot body or physical control to pose an existential risk. The essential parts of civilization are not physical. Things like ideologies, law, government, money and the economy are built on language; they exist because there are stories that billions of people believe. The current prevalence of misinformation suggests that an AI could use language to convince people to believe anything, even to take actions that are destructive.[270]\n\nThe opinions amongst experts and industry insiders are mixed, with sizable fractions both concerned and unconcerned by risk from eventual superintelligent AI.[271] Personalities such as Stephen Hawking, Bill Gates, and Elon Musk, [272] as well as AI pioneers such as Yoshua Bengio, Stuart Russell, Demis Hassabis, and Sam Altman, have expressed concerns about existential risk from AI.\n\nIn May 2023, Geoffrey Hinton announced his resignation from Google in order to be able to \"freely speak out about the risks of AI\" without \"considering how this impacts Google.\"[273] He notably mentioned risks of an AI takeover, [274] and stressed that in order to avoid the worst outcomes, establishing safety guidelines will require cooperation among those competing in use of AI.[275]\n\nIn 2023, many leading AI experts endorsed the joint statement that \"Mitigating the risk of extinction from AI should be a global priority alongside other societal-scale risks such as pandemics and nuclear war\".[276]\n\nSome other researchers were more optimistic. AI pioneer Jürgen Schmidhuber did not sign the joint statement, emphasising that in 95% of all cases, AI research is about making \"human lives longer and healthier and easier.\"[277] While the tools that are now being used to improve lives can also be used by bad actors, \"they can also be used against the bad actors.\"[278][279] Andrew Ng also argued that \"it's a mistake to fall for the doomsday hype on AI—and that regulators who do will only benefit vested interests.\"[280] Yann LeCun \"scoffs at his peers' dystopian scenarios of supercharged misinformation and even, eventually, human extinction.\"[281] In the early 2010s, experts argued that the risks are too distant in", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia3.pdf" - }, - { - "text": "**RESIDENTIAL In lofts, brownstones and high-rise buildings, residential options abound to populate the new city and energize the surrounding areas.**\n\n**ENTERTAINMENT From street performers to Broadway shows, our entertainment will evoke the best of New York or London.**\n\n**e have been working for some time on conceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip. We certainly could have come up with a spectacular casino-hotel. But, the truth is, Las Vegas is ready for so much more.** W\n\n**As the city eclipses two million residents on its way to passing three million by the end of the decade, and with land prices on the Strip soaring, it has become clear that there is a much better and higher use for this location. As Las Vegas marks its Centennial, Project CityCenter stands as a defining moment for development in this fabled city.** \n\n**Project CityCenter represents a new era of the urban complex, one that encompasses tourism, entertainment, gaming, retail and residential elements. Only MGM MIRAGE has the momentum – financially, intellectually and professionally – to effectively develop such a project.**\n\n**The signature building within Project CityCenter is the 4,000-room hotel-casino. The internationally acclaimed architect Cesar Pelli has been commissioned to design this iconic structure. Pelli's initial concept drawing defines a new generation of urban landscape for the Las Vegas Strip, one which includes gaming at its economic center but not as an emotional centerpiece.** \n\n**Project CityCenter will provide the momentum for the next era of amazing growth for your company and Las Vegas.**\n\n**THE SITE Located in the heart of the Las Vegas Strip, Project CityCenter will dwarf every development that preceded it. Its 66 acres will include a 4,000-room hotel-casino and three boutique hotels.**", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### **44** | EMPLOYEES\n\nDrew Russell Jake Russell John Russell Jr. Matthew Russell Michelle Russell Ricky Russell John Rutan Tony Rutigliano Britanni Rutledge Malcolm Rutledge Tyson Rutledge Chase Ryan Dennis Ryans Derek Rylant Jaime Saenz Javier Saenz RJ Saladin Eduardo Saldana Ramses Salinas Tobie Salisbury Sonny Samaniego Jamie Sampson Stuart Sampson Eli Sanchez Jose Sanchez Laura Sanchez Roland Sanders Terry Sanders Noble Sandlin III Buvana Sankaranarayanan Justin Sanner John Sansing James Santello Ramon Santos Willy Santos III David San Miguel Will Satterfield Bobby Saucedo Brandon Saunders Maggie Savoie Gbenga Sawyerr Sareenah Sayall Jeff Scarboro Pat Scarborough Danielle Schaad Matt Schaefer Zack Schaffer Gary Schellenger Mark Schemm Andrew Schlosser Shelby Schluchter Jessie Schmac Angela Schmidt Steve Schmidt Jr. Cory Schneberger Meredith Schneberger Rob Schneider Scott Schoener Jeff Schoonover Jessie Schott Gary Schrader Steven Schrader Jr. Brandon Schreck Joseph Schulker II Doug Schultz Trevor Schultz Chris Schumacher Sarah Schuster Britni Schwarz Chris Schwarz Kevin Schwind Colby Scifres Richard Scipione Bill Scott Chris Scott James Scott Mark Scott Matt Scott Richelle Scrivner Jeff Seal Charlie Sebesta Gabe Seeley Tim Seeley James Seidel Joe Seiter Gregory Selan Anthony Selbe Jeffery Self Travis Selman\n\nJamison Sepelak Enrique Sepulveda Scott Setzer Ronald Severin Ramon Sevilla Ortiz Barb Sexton Ben Sexton Jacob Seymore Lori Shabazian Les Shade Jr. Richard Shafer Wednesday Shafer Bill Shaffer Eric Shaffer Michelle Shaffer Andrew Shankles Matt Shandy Kody Shannon Kenneth Sharp Trent Sharp Josh Sharpe Clinton Sharpley Jr. Jerry Shea Dan Shearer Jason Shedd John Sheets Rachel Sheets Randall Sheets II Stephen Sheffield Dustin Shellenberger James Shelton Jerry Shelton Ryan Shelton Brad Shepard Brandon Shepard Byron Shepard Brittany Sherman Mike Sherman Dave Shiels John Shifflett William Shipley Marsha Shipman Lucas Shipper Christopher Shiraldi Bryan Shires Zach Shirley James Shoats Cory Shoemake Chelsea Shores Craig Shores Derek Shrader Tony Shu Nathan Shultz Tyler Shupp Romel Siddique Ernesto Sigala Royce Sigler Tommy Sigler John Sikes George Siller Jr. Vincent Silva Laylon Simms Garret Simon Robert Simon Karen Simonsen Jason Simpson Mike Simpson Nicholas Simpson Reyes Simpson James Sinclair Stan Singer Randy Sirois Monica Skaggs Aaron Skiles Buddy Skinner Erick Skinner John Skordynski James Slack Kevin Slater Lehne Slater Angela Slayton Misti Sloan Keith Slone II Scott Smallridge Matthew Smarkusky Curtis Smelley Angela Smith Ashley Smith Bart Smith Brittany Smith\n\nCalvin Smith Jr. Candace Smith Cassidy Smith Charlie W. Smith Charlie W. Smith Jr. Chris Smith Claude Smith Clifton Smith Daniel Smith Dave Smith David M. Smith Denice Smith Elizabeth Smith George Smith Ivan Smith Jeff Smith Jeffery N. Smith Jennifer Smith Jessica Smith Johnny Smith II Joshua L. Smith Kason Smith Kenneth Smith Lori Smith Louis Smith Mandy Smith Michael A. Smith Michael D. Smith Mickey Smith Mike A. Smith Mike G. Smith Mike M. Smith Oran Smith Paul Smith Jr. Pete Smith Randy L. Smith Ransom Smith Rickey Smith Sam Smith Jr. Tim D. Smith Tim W. Smith Travis Smith Trevor Smith Whitney Smith William Smith Zack Smith Kimberlee Smithton Tim Sneed Evan Snider John Snoddy Keith Snodgress Greg Snyder Jesse Snyder Keith Snyder Linda Snyder Anthony Sofio Josh Sohosky Cesar Solis Doug Solley Steven Sopp Noel Sorber Edwin Soriano Abraham Soto Humberto Soto Jay Soulek Jim Soulsby Will Southerland Danielle Sowle David Spahr Shane Spann Tim Sparks Rachel Spears Richard Spence Kacia Spencer Eric Sperling Dean Spirlock Jim Spoon Clayton Sporich Carlyn Sportsman Andrew Springer Zachary Sprowl David Spruill Robert Spurr John Stafford Savannah Stafford John Stallard Jacque Stamatopoulos Seth Stamper Bill Stanger Jr. Daniel Stanton\n\nSteve Stapleton Albert Stapp Jr. Joshua Stapp Gregory Starcher Brian Stark Jr. Chris Stark Michael Starkey Kevin Starks Jr. Jim Starr Jr. Jason Statham Brian Statler Emerson Steele Mike Steele Zachary Stell Gary Stephens Jr. Lynn Stephens Tasha Stephens Todd Stephenson Calvin Stevens Jimmy Stevens Homer Stewart Jeremy Stewart Larry Stewart Marlon Stewart Jake Stippel Jonathon Stitt Allison Stone Chris Stone Nate Stone Russell Storch Marianna Storozyszyn Jason Stovall Rob Stover Richard Strachan Saxby Stradinger Travis Strawbridge Steven Street Shay Stricklin Kim Stroh Joe Strotman Marty Stroud Stephanie Stroud Tommy Stroud Tracy Stroup Jr. Cody Stuart James Stuart Timothy Studer Michael Sturgis Jessica Suazo Jenni Sudduth Peter Sulak Kimberly Sullivan Paula Sullivan Shawn Sullivan Will Sullivan Karen Summers Robert Summers Kim Sutton Danny Swain Mitchell Swartz Dan Sweeney Rory Sweeney Alex Swisher Amanda Syed Mark Szollosy Paul Tackett Afshean Talasaz Michael Talbert Michael Talbott Landon Tanner Tony Tarpenning Shawn Tarron David Tarwater Reid Tausch Cole Taylor David A. Taylor Elvin Taylor Jr. Jason Taylor Justin Taylor Melissa Taylor Michael Taylor Michele Taylor Robert D. Taylor Steven Taylor Susie Taylor Zachariah Taylor Casey Teachman Doyle Tenney Cameron Tenorio Cynthia Terbush\n\nMarlena Terrana Carlos Terrazas Frederick Terrell Adam Terry Jacob Terry Melanie Terry Rick Thacker Brittany Thomas Christopher Thomas Danny Thomas Jim Thomas Josh Thomas Kimberly Thomas Levi Thomas Todd Thomas Travis Thomas Ben Thompson Brad Thompson Cameron R. Thompson Chase Thompson Gavin Thompson Holly Thompson Jack Thompson III Jeff D. Thompson Joe Thompson Kim Thompson Nathan Thompson Paul Thompson Richard G. Thompson Robbie Thompson Ronald Thompson II Robert Thoms Ken Thorne Joey Thornton Scott Throckmorton Scott Tidwell Todd Tidwell Justin Tikhonoff Todd Tilford Vernon Tillery Jr. Allen Timmons Aubrey Timmons Michael Tinline Allen Tinsley Lou Tinucci Jesse Tippitt Brent Tipton Vearl Tolbert Jr. David Tollison John M. Tomascik Jr. John M. Tomascik III Angel Torres Antonio Torres Rolando Torres Angelo Torrey Lin Tovar Darren Townley Bill Townson Jr. Scotty Trahan Stephen Trahan Jamye Trammell Tyler Trammell Andy Travis James Travis Nick Traylor Corey Treadway Thomas Treece Eddie Trevino Juan Trevino Victor Trigo Paul Trimble Aaron Tripi Brandon Triplett Joshua Triplett Stephen Trosclair Billy Trout Cortney Trumbly Brian Tschider Valerie Tubbs Kody Tucker Alan Tullius Zack Turlington Brian Turner Donald Turner Eric Turner Heather Turner Michele Turner Nicole Turner Patricia Turner Todd Turner\n\nJoe Turpin Skyler Tuter Richard Tuttle Zachary Twist David Tyree Brooke Unruh Felix Urbina Melissa Vahlberg Georgi Vajarov Max Vangieson Frank Van Alstyne III George Van Deusen Caleb Van Dolah Tom Van Kirk David Van Winkle Rubenia Vasquez Mellisa Vasquez Cancino David Vassar Robert Vaughn Amber Vawter Jenifer Veach Corey Veer Rafael Vela Ricardo Vela Jr. Gary Velardo Maria Velez Timothy Venable Raymond E. Verhoeven Pete Vermillion Chris Verner Chuck Vessey Jr. James Vest Kate Via Mike Viator John Vick Jr. Danny Vickery Coral Viezcas Jose Villalobos Orlando Villarreal Brad Vinsek Derek Vinyard Allyson Vistica John Voda Larry Vogel Robert Vogelgesang Nathan Voorhees Jason Voreis Kenneth Wade Nikki Wade Rob Wade Brad Waggoner Robert Wagner Rich Wagoner Brent Waidmann Dennis Walden Todd Waldron Michael Wales Billy Walker Britt Walker Douglas Walker Floyd Walker Greg Walker Jason Walker Julie Walker Mitch Walker Ryan Walker Chris Walla Deborah Wallace Joshua Wallace Lindsey Wallace Nolan Wallace James Walley Doyle Walls Henry Walston Bret Walters Clinton Walton Brooke Waltrip Donald Wamsley II David Wanzer Dallas Warburton Tracy Wardlow Milton Ware Acea Warn Sherry Warner Cody Warren Jeffery Waters Kimberly Watkins Scott Watkins Jesse Watson Carl Watt\n\nMichael Watts Nathan Watts Lacy Waugh Joshua Waychoff Tony Waychoff Jr. Juan Weatherton Audrey Weaver Brian Weaver Derrick Weaver Dustin Weaver Matthew Weaver Pat Weaver Ross Weaver Kathy Weeks Collin Weibel Marissa Weichbrodt Dan Weinmeister Lauren Weir Cody Weisinger James Welch Michael D. Welch Ashley Wells Daniel Wells Laura Wells Shelli Wells Jason Welty Todd Wenrich Garin Wente Timothy Wescott Tony Wesolick Eric West Kelly West Josh Westbrook Larry Westbrook Daniel Westcott Adam Westerman Jenae Whatley Robert Whatley Andy Wheat Kip Wheeler Clarence Whipkey Bob Whipp Leo Whitaker Chris C. White Chris D. White Haver White Jonathan White Lindsey White Micheal White Randall White II Tamela White Tony White Tyler White William White III John Whited Taryn Whitefield Andrew Whiteneck John Whitesell Whitney Whitlow Julie Whitmore Derek Whitten Katie Whittern Scott Whytsell Karl Wickman Ryan Wieder Andrew Wiggins John Wiggins Robert Wiggins Randy Wilde Jr. Jason Wiley Kristen Wiley Aaron Wilfong JR Wilhoit Jr. Skylar Wilhoit Heath Wilkerson Jason Wilkins Nichlos Wilkinson Roberto Willars II Tyler Willey Brian D. Williams Brooke Williams Cameron Williams Cody L. Williams Daniel Williams David Williams Eddie Williams Eric Williams Fariba Williams Glenn Williams Jason B. Williams\n\nLesley Williams Lisa Williams Melissa Williams Michael Williams Phillip Williams Rod Williams Sonji Williams Timothy Williams Tyler Williams Wayne Williams Walt Willoughby Betina Wills Alan L. Wilson Brandon Wilson Candace Wilson Cilff Wilson Cody Wilson Eric Wilson Ernie Wilson Jeremy Wilson John Wilson Marcus Wilson Michele Wilson Misty Wilson Terry Wilson Rayna Wiltz Rita Winn-Lott John Winzeler William Wirth Jr. Nicole Wise Stephen Wisecarver Jr. George Wittrock Kevin Wolf Micah Wolter Nathan Wood Robin Wood Terianne Wood Alicia Woodring Scott Woodruff Shane Woods Benjamin Wooten Bryan Work Chad Workman Janie Worsham Phillip Worsham Matthew Wragge David Wright Jr. Jake Wright Jeff Wright Jerod Wright John V. Wright Katie Wright Krystal Wright Fred Wrisley Lindsey Wyatt Jonathan Wynn Jake Wynne Cathie Wythe Dominick Wytovich Brad Yanchuk Jessie Yankey Tanya Yanney Bea Yates Boyd Yates Michael Yates Sloan Yates Jason Yeager Mark Yeager David Yeary Bryan Yeasted Colin Yocum Christopher Yoder Marty Yoho Jeremy Youells Jeffrey Youells Jr. Ashley Young David Young Jeffrey Young Mike Young Steve Young Tony Younker Joshua Zabler Paula Zambrano Jeff Zanotti Chad Zickefoose Carlene Zuech Bill Zurn Arthur Zwierlein Kade Zybach", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff C. Glenn Larry Glime Brian Glover Chad Glover Robert Goff Jr. Tami Goike Sandy Goins Wayne Goldman Ryan Goltz Jose Gomez Juan Gomez Nate Gomez Eleuterio Gomez-Martinez Rachel Gonser Pete Gonzalez Cindy Goodwin Daniel Goodwin Kat Goodwin Carol Gordon Tony Gore Gary Gould Corey Graham Julie Graham Lindsey Graham Neil Granberry Robert Grant Jr. Chris Gray Shane Gray Michael Gredler Billy Green Jr. Britton Green Jerod Green Kenny Green Jr. Mark Green Mattie Green Teddy Green Jr. Chris Greene Edgar Gregory Kevin Gregory Larry Gregory II Michael Gregory Owen Grimes Kenneth Grimsley Larry Grissom Mike Grooms Kenneth Grothe Tyler Groves Ramana Gudapati Eduardo Guerra Miguel Guillen John Guillory Greg Guinn Jacob Guinn Johnathan Guth Manuel Gutierrez Charley Gwin DJ Hackney Richard Haertlein Brooke Hagedorn Tim Haladay Michelle Hale Rick Hale Rusty Hale Julie Haley David Hall Jeff Hall Randall Hall Richard D. Hall Ron Hall Dale Hallet Lindsey Hall-Wiist Tyler Ham Joe Hamby Jimmie Hammontree Jr. Debra Haney Heather Hanmer Lee Hanna Jr. Mike Hanson Nicholas Hardwick Clarence Hardy Cleophus Hardy Dale Hardy James Hardy II Brett Hargrove Jimmie Hargrove Loretta Harkins Christopher Harman Jennifer Harms Casey Harrell Ben Harris\n\nJeannie Harris Lee Harris Mark A. Harris Mark L. Harris Drew Harrold Curtis Hartley Rowdy Hartley Steven C. Harvey Jeremy Harvill Eric Haskins Floyd Hathaway Jr. Kevin Hathaway Chalis Hatton Nathan Hatton Ashley Hausman Ronald Hawkins James Hayes Wesley Hayes Ray Hayford Kevin Haygood Terry Haynes Donnie Hays Terry Heard Timothy Hearnsberger Lesa Heilhecker Tony Hellar Norman Helmick Jeffrey Helwick John Hemmings Cory Hendrickson Eric Hendrix Curtis Henry Hayden D. Henry Hayden F. Henry Patrick Heringer Alex Hernandez Leslie Hernandez Norman Herrera Shawn Herring Thea Hibbard Jr. Charles Hicks Clint Hicks Freddy Hicks Jr. Mike Hicks Nicolai Hicks Nigel Hicks Ryan Hicks Adam Hill Amy Hill Jennifer Hill Lisa Hill Megan A. Hill Megan E. Hill Zach Hill Gwen Hillhouse Justen Hinkle Glenn Hively Robert Hixon Terry Hobock Sally Hoch Joannie Hodges Danielle Hoeltzel Ejli Hofeldt Stephen Hoff Craig Hoffman Ira Hoffman Austin Holland Michael Holland Molly Holley Jeffrey Holliday Crystal Holsinger John Holt Megan Honeycutt Wesley Hooper Deidre Hopkins Cliff Hornsby Ben Horton Janna Hoskins Amber Houston Trevor Houston Veda Howell Jared Howerton Chloe Howlett Clay Hubbard Mark Huckaby Levon Hudman Chris Huey Brian Huff John Huff Bryan Huffaker\n\nDaniel Hughes Kennith Hughes Walter S. Hughes Kasey Hundt Holly Hunter Michael Hunter Jared Hurst Patrick Hurst Robert Hurt Chad Hutches Jessica Hutson Brian Hyden Jesse Hylton Jose Ibarra Braxton Imke Brian Ingalls Marcus Ingram Neil Ingram Steven Ireland Misty Isaacs Koby Ivey Paul Ivey David Ivy Adam Jackson Darrell Jackson Dwight Jackson Isaac Jacobson Travis Jacobson Skip Jacot Clifford James Kyle James Scott James Renner Jantz Timothy Janzen Carly Jaro Brent Jenkins Brandi Johnson Dawn Johnson Jake Johnson Jeremy S. Johnson Jeremy Johnson Joseph Johnson Lindsey Johnson Manny Johnson Rickey Johnson Michael A. Johnston Michael W. Johnston II Carrie Jones Cindy M. Jones Cody Jones Dustin Jones Grant Jones Jenny Jones Jody Jones Johnny Jones RJ Jones Stacey Jones Tim T. Jones Steve Jordan Sarie Joubert Kevin Judd Sylvie Kao Matt Karl Lindsey Karner John Kastelic Lauren Kastner Richard Kastner Russell Katigan Christopher Keith Christy Keith Kim Kelley Steven Kelley Pam Kelly Josh Kemp James Kennedy Walter Kennedy Clint Kenner Shane Kennon Sonia Kepler Bruce Kessler Branden Killingsworth Kristopher Killman Isaac Kimbrough Aaron King Jr. Justin King Leah King Jade Kingcade Kyle Kinney Bruce Kirkland Timothy Kirl\n\nDon Kirschener Steve Klassen Jake Klingenberg Gordon Klundt Bobby Knapp Shayne Knapp Blake Knight Tamara Knight Douglas Knighten Henry Konan Glennette Koon Justin Koonce Ryan Koontz Randy Kopisch Jr. Chuck Kordis Jr. Steven Kosciuk Sue Koskela Scott Kueck Rick Kuper Dustin Kurtz Kade Kusik Jeff Lagaly Michael Langford Nicole Lanphear Andy Large Autumn Lashley Bobby Laster Ryan Laster Chris Laughlin Michael Lawrence Kenneth Lawson Jr. Lawrence LaPlante Dustin Leavins Nick Leber Andrew Lee Jesse Lee Joshua Lee Homer Leger Sr. Tiesa Leggett Frederick Lembach III Robert Lemons John Lennon Tiffany Leschber Jacob Lester Donald Leverich Christopher Lewis Kent Lewis McKenzie Lewis Micah Lewis Blake LeBlanc Cody Light Wes Liles Brian Linger John Lingle Sandy Lister Travis Little Rick Little Axe Phil Logsdon Bryan Lohoff Richard Long Jr. Kristi Looper Blake Looney Andy Lopez Paul Lopez Robert Lopez Susan Lorenzen Cody J. Lucas Mikel Lucas Robert Lumley Cecil Luttrull Donald Lynch Grant Macdonald Greg Macksood Terra MacAloney Michael Madar Rafael Madrid Troy Mahurin Michael Major George Malone Tim Mangham Rico Manjarrez Jonathan Manning Mike Mannschreck Joe Manshack Matt Mantell Tyler Manwell Alberto Manzano Michael Mapp\n\nKent Lee King Lee Ronald Marchbanks Paul Mares Jr. Dennis Marsh Gary Marsh Clint Martin Jimmie Martin Mary Martin Stacy Martin Fabio Martinez Joe J. Martinez Leo Martinez Luis Martinez Rodolfo Martinez Tony Martinez Corina Martinez-Malone Pam Massey Jenn Masters Lauren Masters Mike Mathis Timothy Mathis Bryan Matthews Brian Matula Brett Maughan Angel Maxwell Tiffany Maxwell David May Johnny May Dennis Mayo Joseph Mcalister Susan McAlister Kim McAuliffe Garret McBrain Allison McBride Ray McCallister Gary McCartney Dakota McCarty Randy McCarty Roy McCasland Branden McClain Alan McClure Scott McCollum Kevin McCotter Dennis McCoy Don McCoy Lance McCoy Tommy McCoy Jamie McCracken Jeffrey McCroskey Rick McCurdy Brandy McDaniel Alvin McDonald Matt McDonald Shannon McDonald Danny McDowell Tony McEntyre Julie McFarland Becky McGee Jamie McGee Roderick McGee Kiley McGlothlin Keri McGuire Jason McIntosh Charles McIntyre Taylor McIntyre Marshal McKee Randy McKee Thomas McKee Leslie McKeever Rebekah McKenna Russell McKibben Brandon McKinley Willie McKinley Alicia McLaughlin Cody McLaughlin Kippy McLelland Aron McPike Cami McQuerry John Mease James Meek Ronnie Meeks Derrick Megli Ryan Mehan Araceli Mejia Andy Melton Zeke Melton John Melville Taron Mendez Kevin Mendoza Tatiana Mercer Carter Messer\n\nJosh Mey Adam Meyer Troy Meyers Gordon Michaelis Kevin Mick Michael Mikulenka Jr. Drew Miller Emily Miller Jeanna Miller Josh Miller Steve A. Miller Dan Mills Scott Mills Nichole Minnick Tabb Minor Kathy Mires Juliet Mitchell Jeremy Mixon T-Roy Mize Jeffrey Mohs John Montgomery Myron Montoya Jr. Christie Moody Amanda Moore Leland Moore II Michael L. Moore Rex Moore Roy Moore Timothy Moore Mandy Moreno Renita Moreno Brandon Morgan Charles Morgan Eufaula Morgan Shanon Morris Hillary Moseley Terri Mosher Tyson Moulder Michael Mowrer Pat Mullen Lester Mullins Clint Mullis Adam Muncy Bond Munson Rafael Murillo Del Angel Elise Murlin Bridget Murphy Chasidy Murray Jerome Murray Kevin Murray Steve Murray Katrina Myers Heather Myres Shane Nafe Gavin Nailon Bobby Nance III Crystal Nance Kyle Neuenschwander Mike Newkirk Casey Newman Dana Newman Joshua Newport Steven Newton Jr. Chi Nguyen Derek Nicholas Derek Nichols Rome Nichols Brandon Nicholson Diane Nickel Mark Nipper Gary Nix Henry Nixon Chad Noland Joseph Norman Chase Norris Tony Norris John Nuckols Aimee Null Fred Nunn Cassi Nunnery Jane Nye Jason Oblander Jessica Ockershauser Ray Ofosu Jill Olney Brett Olson Nate Olson Fausto Ortiz Pedro Ortiz\n\nAlan Metz\n\n### James Osborn Gregory Osbourne Jeremy Otahal Ray Oujesky Aimee Owen Courtney Owens Savanna Owens Sr. Dane O'Glee Kyle O'Kelley Chad O'Neal Jon Pace Lupe Pacheco Andrea Painter Kim Painter Brenda Palacios Tyler Palesano Emerson Palmer James Palmer II Matt R. Palmer Jay Parham Chase Paris Drew Parker Joshua Parker Taylor Parker Tommy Parker Jordan Parmer Ercil Parsons Jason Parsons Ranita Patel Alex Patton Travis Patty Cayla Patzke Jason Payne Henry Payton Matt Payton Matthew Peach Josh Pearman Darby Pearrow Jarrod Pearrow Joe Peck Kip Peck Christopher Pena Christina Pendarvis Eric Pendleton Tim Pendleton Keith Peppers Angela Perez Charles Perez Francisco Perez Juan Perez Jesus Perez-Garcia Richard Periman Jerry Perkins Keera Perkins Jamie Perot Melvin Perrin Charlie Perry Jr. Farron Perry Micah Perry Gina Peterson Marie Peterson Jarred Pettijohn Steven Phathong Ricky Phillips Vernon Phillips Jr. Charles Philyaw Sam Pickett Christopher Pilgreen Kevin Pinkston Lindsey Pitt Cindy Pittman Aaron Place Jeff Plangman Lisa Pritchard\n\nWilliam Plant Arturo Plascencia Ryan Plummer Adam Podschun Erryn Pollock Everett Poole Jordan Pope Maria Postman Brian Potocki Stacy Potter Micheal Potts Jackie Potvin Randell Powell Jr. Josh Prater Devin Pratt Paul Pratt Mike Priest\n\nSade Proby Christen Proctor Barry Pruitt Jr. Duane Puffer Cody Puffinbarger Nathan Pumphrey Jody Purcell Brian Putnam Roger Putnam Randy Pyle T.J. Pyle Amber Qerama Jacque Qualls Randall Radcliff TJ Ragsdale Ryan Rainer Melissa Raley Hector Ramirez Jose Ramos Nelson Ramos David Ramsey Derrek Ramsey Paul Ramsperger Roy Randolph III Jared Ranum Jenn Rauber Shawn Rawls Amy Reames Scott Reddick Austin Reed Jamie Reed Jim Reed Leah Reel Kent Regens Andy Rehm Jason Reid Mark Reinhardt Danny Reno Alisha Reynolds Jackie Reynolds Amanda Rice Don Richard Mark Richards Pat Richards Heath Richmond Dale Riddle Shane Ridenour William Rieg Jr. Bob Rieser Chad Riley Claude Riley Jr. Matthew Riley Bill Roach Adam Roberts Megan Roberts Rhett Roberts Bill Robinson Charles Robinson Clarence Robinson Dustin Robinson Jonathan Robinson Rob Robinson Robbie Robinson Tim Robinson Clayton Robison Justin Roby Bertha Rodarte Paul Rodgers Jr. Eustaquio Rodriguez Raul Rodriguez Eddy Rodriquez Roberto Rodriquez Jr. James M. Rogers Michael B. Rogers Nathan Rogers Timothy Rogers Sr. John Roney Rebecca Roper Trey Roper III Manuel Rosas Teresa Rose Jack Rosenberg Dee Ross Chris Rosson Harvey Rotramel Jr. Staci Rowell Jason Rowland Mark Rowold David Roy", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Research Report 90\n\nNick Morgan, Daniel Heap, Amy Elliott, Tim Millar\n\nJanuary 2016", - "page_start": 0, - "page_end": 0, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "When does IBM close its acquisition of Red Hat ?", - "target_page": 20, - "target_passage": " On July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "This publication describes how Red Hat and IBM can advance your cloud journey and speed growth and innovation for your business by using Red Hat OpenShift on IBM Power Systems.\n\n**Note:** Red Hat joins IBM as a distinct unit, preserving the independence and neutrality of Red Hat's open source development heritage and unique development culture. Red Hat's unwavering commitment to open source remains unchanged and it continues to offer customers choice and flexibility.", - "page_start": 20, - "page_end": 20, - "source_file": "sg248459.pdf" - }, - { - "text": "IBM Redbooks\n\n#### **Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1**\n\nMarch 2020", - "page_start": 2, - "page_end": 2, - "source_file": "sg248459.pdf" - }, - { - "text": "#### **1.1 Introduction**\n\nMost companies started or are contemplating their journey to cloud. Although in recent years the adoption of cloud became much more common place, the scope of what a cloud is or can be also increased. This broadening of possibilities unfortunately added confusion and can result in companies being unsure of how their existing application estate can change to integrate with the cloud model.\n\nAs such, doubts still exist around how to start and progress on this journey. It is also true that although people understand traditional enterprise applications and more modern cloud-hosted applications, the integration or co-existence of both can prove equally confusing and contradicting.\n\nRecent industry trends, combined with the new partnership between Red Hat and IBM, seek to bring some clarity to the landscape while providing new modernization opportunities for existing enterprise applications and familiar environments.\n\nThe main focus of this IBM Redbooks publication relates to IBM Cloud Paks and Red Hat OpenShift, which is hosted on IBM Power Systems. Although individually much can be written about either topic, the relationship this publication highlights is between Red Hat OpenShift and IBM Power Systems.\n\nWe show what Red Hat OpenShift brings to the IBM Power Systems platform specifically discuss how it can be deployed and added into existing familiar Power System environments, and the benefits that integration and co-existence can provide from an existing enterprise application viewpoint.\n\nThis publication is a first volume in a planned multi-volume publication over the next 12 - 18 months. Within this initial volume, we explain the fundamental perspective (which is accurate as of the time of this writing) while providing pointers to future direction that will be discussed in future volumes.\n\n**Note:** This initial publication relates to Red Hat OpenShift 3.11, because this release was the current OpenShift Container Platform (OCP) release for IBM Power Systems at the time of this writing. IBM and Red Hat intend to deliver Red Hat OpenShift 4 for IBM POWER® to accelerate agility for enterprise clients through integrated tooling and a feature-rich Kubernetes container platform for cloud-native development on POWER9 and IBM POWER8® processor-based servers.\n\n#### **1.2 Red Hat and IBM**\n\nOn July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology.\n\nThis acquisition puts Red Hat and IBM in a unique position to unlock the true value of hybrid cloud for your business. By combining the power and flexibility of Red Hat's open hybrid cloud technologies with the scale and depth of IBM innovation and industry expertise, you now have the tools to accelerate your cloud journey.\n\nIBM and Red Hat worked together for more than 20 years in making open source a competitive advantage for businesses on x86, IBM Power Systems, and IBM z Systems®. Together, we are both on a mission to improve open source technology and help your companies capture the business value of the cloud.", - "page_start": 19, - "page_end": 19, - "source_file": "sg248459.pdf" - }, - { - "text": "**Note:** Before using this information and the product it supports, read the information in \"Notices\" on page vii.\n\n#### **First Edition (March 2020)**\n\nThis edition applies to:\n\n- -Red Hat OpenShift Container Platform for Power Enterprise V3.11\n- -Red Hat Enterprise Linux Server release V7.6 (Maipo) for ppc64le\n- -IBM Virtual I/O Server V3.1.1.0\n- -IBM Cloud PowerVC Manager V1.4.3.1\n- -Terraform V0.12.9\n- provider.null V2.1.2\n- provider.openstack V1.22.0\n\n#### **© Copyright International Business Machines Corporation 2020. All rights reserved.**\n\nNote to U.S. Government Users Restricted Rights -- Use, duplication or disclosure restricted by GSA ADP Schedule Contract with IBM Corp.", - "page_start": 3, - "page_end": 3, - "source_file": "sg248459.pdf" - }, - { - "text": "# **Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems Volume 1**\n\n**Front cover**\n\nDino Quintero Ricardo Dobelin Barros Daniel Casali Luis Ferreira Alain Fisher Federico Fros Luis Daniel Gonzalez Miguel Gomez Gonzalez Mahesh Gurugunti Rogelio Rivera Gutierrez Nicolas Joly Boris Litichevsky Ismael Solis Moreno Gabriel Padilla\n\nSudipto Pal Bogdan Savu Richard Wale", - "page_start": 0, - "page_end": 0, - "source_file": "sg248459.pdf" - }, - { - "text": "#### **Trademarks**\n\nIBM, the IBM logo, and ibm.com are trademarks or registered trademarks of International Business Machines Corporation, registered in many jurisdictions worldwide. Other product and service names might be trademarks of IBM or other companies. A current list of IBM trademarks is available on the web at \"Copyright and trademark information\" at http://www.ibm.com/legal/copytrade.shtml\n\nThe following terms are trademarks or registered trademarks of International Business Machines Corporation, and might also be trademarks or registered trademarks in other countries.\n\n| AIX® | IBM Z® |\n| --- | --- |\n| Cognos® | IBM z Systems® |\n| DB2® | OpenCAPI™ |\n| Guardium® | POWER® |\n| IBM® | POWER8® |\n| IBM Cloud™ | POWER9™ |\n| IBM Cloud Pak™ | PowerHA® |\n| IBM Services™ | PowerVM® |\n| IBM Spectrum® | QRadar® |\n\nRedbooks® Redbooks (logo) ® SystemMirror® Tivoli® WebSphere® XIV® z Systems®\n\nThe following terms are trademarks of other companies:\n\nThe registered trademark Linux® is used pursuant to a sublicense from the Linux Foundation, the exclusive licensee of Linus Torvalds, owner of the mark on a worldwide basis.\n\nWindows, and the Windows logo are trademarks of Microsoft Corporation in the United States, other countries, or both.\n\nJava, and all Java-based trademarks and logos are trademarks or registered trademarks of Oracle and/or its affiliates.\n\nAnsible, Gluster, JBoss, OpenShift, Red Hat, are trademarks or registered trademarks of Red Hat, Inc. or its subsidiaries in the United States and other countries.\n\nUNIX is a registered trademark of The Open Group in the United States and other countries.\n\nVMware, and the VMware logo are registered trademarks or trademarks of VMware, Inc. or its subsidiaries in the United States and/or other jurisdictions.\n\nOther company, product, or service names may be trademarks or service marks of others.", - "page_start": 9, - "page_end": 9, - "source_file": "sg248459.pdf" - }, - { - "text": "## **Notices**\n\nThis information was developed for products and services offered in the US. This material might be available from IBM in other languages. However, you may be required to own a copy of the product or product version in that language in order to access it.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to:\n\n*IBM Director of Licensing, IBM Corporation, North Castle Drive, MD-NC119, Armonk, NY 10504-1785, US* \n\nINTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some jurisdictions do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you provide in any way it believes appropriate without incurring any obligation to you.\n\nThe performance data and client examples cited are presented for illustrative purposes only. Actual performance results may vary depending on specific configurations and operating conditions.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nStatements regarding IBM's future direction or intent are subject to change or withdrawal without notice, and represent goals and objectives only.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to actual people or business enterprises is entirely coincidental.\n\n#### COPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs. The sample programs are provided \"AS IS\", without warranty of any kind. IBM shall not be liable for any damages arising out of your use of the sample programs.", - "page_start": 8, - "page_end": 8, - "source_file": "sg248459.pdf" - }, - { - "text": "## **Related publications**\n\nThe publications that are listed in this section are considered particularly suitable for a more detailed discussion of the topics that are covered in this book.\n\n#### **IBM Redbooks**\n\nThe IBM Redbooks publication *IBM PowerVM Best Practices*, SG24-8062*,* provides more information about the topic in this document. Note that this publication might be available in softcopy only.\n\nYou can search for, view, download or order this documents and other Redbooks, Redpapers, Web Docs, draft, and other materials, at the following website:\n\n**ibm.com**/redbooks\n\n#### **Online resources**\n\nThe following websites are also relevant as further information sources:\n\n- - Deploying Red Hat OpenShift Container Platform 3.11 on Red Hat OpenStack Platform 13 https://red.ht/2pEFNpV\n- - OpenShift on POWER https://red.ht/337zOIT\n- - Kubernetes concepts https://kubernetes.io/docs/concepts/services-networking/service/\n- - IBM PowerVC https://www.ibm.com/us-en/marketplace/powervc\n- - Using PowerVC storage https://ibm.co/34Cko06\n- - Red Hat OpenShift Container Platform 3.11 CLI Reference https://red.ht/2XZGBmz\n\n#### **Help from IBM**\n\nIBM Support and downloads\n\n**ibm.com**/support\n\nIBM Global Services\n\n**ibm.com**/services", - "page_start": 264, - "page_end": 264, - "source_file": "sg248459.pdf" - }, - { - "text": "# **Notices**\n\nThis information was developed for products and services offered in the US. This material might be available from IBM in other languages. However, you may be required to own a copy of the product or product version in that language in order to access it.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to:\n\n*IBM Director of Licensing, IBM Corporation, North Castle Drive, MD-NC119, Armonk, NY 10504-1785, US* \n\nINTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some jurisdictions do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you provide in any way it believes appropriate without incurring any obligation to you.\n\nThe performance data and client examples cited are presented for illustrative purposes only. Actual performance results may vary depending on specific configurations and operating conditions.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nStatements regarding IBM's future direction or intent are subject to change or withdrawal without notice, and represent goals and objectives only.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to actual people or business enterprises is entirely coincidental.\n\n#### COPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs. The sample programs are provided \"AS IS\", without warranty of any kind. IBM shall not be liable for any damages arising out of your use of the sample programs.", - "page_start": 14, - "page_end": 14, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Notices**\n\nThis information was developed for products and services offered in the U.S.A.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to:\n\nIBM Director of Licensing, IBM Corporation, North Castle Drive, Armonk, NY 10504-1785 U.S.A.\n\n**The following paragraph does not apply to the United Kingdom or any other country where such provisions are inconsistent with local law:** INTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some states do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you supply in any way it believes appropriate without incurring any obligation to you.\n\nAny performance data contained herein was determined in a controlled environment. Therefore, the results obtained in other operating environments may vary significantly. Some measurements may have been made on development-level systems and there is no guarantee that these measurements will be the same on generally available systems. Furthermore, some measurements may have been estimated through extrapolation. Actual results may vary. Users of this document should verify the applicable data for their specific environment.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to the names and addresses used by an actual business enterprise is entirely coincidental.\n\n#### COPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs.", - "page_start": 12, - "page_end": 12, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "What does an ITMS service provide ?", - "target_page": 30, - "target_passage": "An IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### **IT Service Management and orchestration**\n\nAn IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not.\n\nThe missing point was the orchestration and the orchestration of all containers and resources around them. Many people think that orchestration and automation are the same thing, but the orchestration is more complex. Automation often is discussed in the context of specific tasks, whereas orchestration refers to the automation of processes and workflows.\n\nOrchestration deals with the end-to-end process simplify the automation and the administration across specific machines and diverse dependencies (see Figure 2-3). Automation attempts to move people out of the equation whereas orchestration is not about rigid planning, but arranging and coordination of automated tasks, which ultimately results in a consolidated process or workflow. Parts can be automated, but the decision is still human-centric; for example, the definition of which tasks must run, the order of the tasks, role assignments, permission, post-deployment, failure recovery, and scaling.\n\n*Figure 2-3 Where orchestration fits*\n\nFor more information about automation, see 2.4, \"Kubernetes: An open source container orchestration\" on page 24.", - "page_start": 29, - "page_end": 29, - "source_file": "sg248459.pdf" - }, - { - "text": "International Technical Support Organization\n\n# **IBM Content Manager OnDemand Guide**\n\nOctober 2015", - "page_start": 2, - "page_end": 2, - "source_file": "sg246915.pdf" - }, - { - "text": "#### **Cloud engineering**\n\nIn the same line of ITSM, the application of an engineering approach on cloud infrastructures helped the clients and system administrators to integrate better and manage their day-to-day business.\n\nCloud engineering focuses on cloud services, such as SaaS, PaaS, and IaaS. It is a multidisciplinary method that includes the foundation of cloud, implementation, cloud development-delivery lifecycle, and management.\n\nAn orchestrator normally includes a range of technologies, products, and components, as shown in Figure 2-4.\n\n*Figure 2-4 Example of Orchestration Components*\n\nThe following cloud engineering disciplines are addressed by an orchestrator:\n\n- -Platform management\n- -Virtualization services\n- -Authentication and authorization services\n- -Resources management\n- -Disaster recovery\n- -Workload resilience\n- -Monitoring, usage, and accounting\n- -Configuration services\n- -Application lifecycle\n- -Service automation\n- -Service catalog", - "page_start": 30, - "page_end": 30, - "source_file": "sg248459.pdf" - }, - { - "text": "| Management IP Addresses | iSCSI Configuration | | |\n| --- | --- | --- | --- |\n| Service IPs | | Configure system properties to connect to iSCSI-attached hosts. | |\n| | Name | | |\n| Ethernet Ports | System Name | | |\n| | ITSO-SV1 | | |\n| Ethernet Connectivity | | | |\n| | ISCSI Aliases (optional) | | |\n| ISCSI | Node Name | iSCSI Alias | iSCSI Name (IQN) |\n| | node1 | | iqn.1986-03.com.ibm:2145.itso-sv1.node1 |\n| Fibre Channel Connectivity | node2 | | iqn.1986-03.com.ibm:2145.itso-sv1.node2 |\n| Fibre Channel Ports | | | |\n| | ISNS (optional) | | |\n| NVMe Connectivity | ISNS Address (7) | | |\n| | Modify CHAP Configuration | | |\n\n*Figure 5-59 iSCSI Configuration*\n\nThe following parameters can be updated:\n\n- -System Name\nIt is important to set the system name correctly because it is part of the IQN for the node.\n\n**Important:** If you change the name of the system after iSCSI is configured, you might need to reconfigure the iSCSI hosts.\n\nTo change the system name, click the system name and specify the new name.\n\n**System name**: You can use the letters A - Z and a - z, the numbers 0 - 9, and the underscore (_) character. The name can be 1 - 63 characters.\n\n- iSCSI Aliases (Optional)\nAn *iSCSI alias* is a user-defined name that identifies the node to the host. Complete the following steps to change an iSCSI alias:\n\n- a. Click an iSCSI alias.\n- b. Specify a name for it.\n\nEach node has a unique iSCSI name that is associated with two IP addresses. After the host starts the iSCSI connection to a target node, this IQN from the target node is visible in the iSCSI configuration tool on the host.\n\n- iSNS and CHAP\nYou can specify the IP address for the iSCSI Storage Name Service (iSNS). Host systems use the iSNS server to manage iSCSI targets and for iSCSI discovery.\n\nYou can also enable Challenge Handshake Authentication Protocol (CHAP) to authenticate the system and iSCSI-attached hosts with the specified shared secret.\n\nThe CHAP secret is the authentication method that is used to restrict access for other iSCSI hosts that use the same connection. You can set the CHAP for the whole system under the system properties or for each host definition. The CHAP must be identical on the server and the system/host definition. You can create an iSCSI host definition without the use of a CHAP.", - "page_start": 189, - "page_end": 189, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 1-1 Content Manager OnDemand system overview\n\nContent Manager OnDemand Client programs provide authorized users with high-speed access to the archived data that runs on the user devices (workstations) that are attached to the network and communicate with the Content Manager OnDemand servers.\n\nA Content Manager OnDemand server consists of multiple components that can be installed on a single system or multiple systems. In all cases, the installation appears to the users as a single server. The installation and is administered by the Content Manager OnDemand administrator as a single system.\n\nThe Content Manager OnDemand server includes the following components:\n\n- - A single library server: The library server manages a database that contains the information about the users of the system, and the reports and data that are stored on the system.\n- - One or more object servers: The object servers manage the data on disk or tape storage devices.\n- - One or more archive servers: The archive server stores the archived data objects. Depending on the operating system, the archive servers might be IBM Tivoli® Storage Manager, object access method (OAM), or Archive Storage Manager (ASM).\n\nThe library server and the object server can be packaged separately or as a single executable file.\n\n#### **Content Manager OnDemand Client programs**\n\nContent Manager OnDemand Client programs operate on various environments, including personal computers that are running on Windows, web browsers, and mobile devices. By using the client program, users can search for and retrieve reports that are stored on the system. Specifically, users can construct queries and search for reports, retrieve documents from Content Manager OnDemand, view, print, and fax copies or pages of documents, and attach electronic notes to the pages of a document.", - "page_start": 28, - "page_end": 28, - "source_file": "sg246915.pdf" - }, - { - "text": "Use the management GUI to manage and service your system. Select **Monitoring** → **Events** to list events that should be addressed and maintenance procedures that walk you through the process of correcting problems. Information in the Events window can be filtered in three ways:\n\n- -Recommended Actions\nShows only the alerts that require attention. Alerts are listed in priority order and should be resolved sequentially by using the available fix procedures. For each problem that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- View the properties\n- -Unfixed Messages and Alerts\n\nDisplays only the alerts and messages that are not fixed. For each entry that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- Mark an event as fixed\n- Filter the entries to show them by specific minutes, hours, or dates\n- Reset the date filter\n- View the properties\n- -Show All\n\nDisplays all event types whether they are fixed or unfixed. For each entry that is selected, you can perform the following tasks:\n\n- Run a fix procedure\n- Mark an event as fixed\n- Filter the entries to show them by specific minutes, hours, or dates\n- Reset the date filter\n- View the properties\n\nSome events require a certain number of occurrences in 25 hours before they are displayed as unfixed. If they do not reach this threshold in 25 hours, they are flagged as *expired*. Monitoring events are below the coalesce threshold, and are usually transient.\n\n**Important:** The management GUI is the primary tool that is used to *operate* and *service* your system. Real-time *monitoring* should be established by using SNMP traps, email notifications, or syslog messaging on an automatic manner.\n\n# **13.6.1 Managing event log**\n\nRegularly check the status of the system using the management GUI. If you suspect a problem, first use the management GUI to diagnose and resolve the problem.\n\nUse the views that are available in the management GUI to verify the status of the system, the hardware devices, the physical storage, and the available volumes by completing the following steps:\n\n- 1. Click **Monitoring** → **Events** to see all problems that exist on the system (see Figure 13-34 on page 704).", - "page_start": 724, - "page_end": 724, - "source_file": "sg247938.pdf" - }, - { - "text": "# **17**\n\n# **Chapter 17. Content Federation Services for Content Manager OnDemand and IBM Enterprise Records**\n\nIn this chapter, we describe how to enable records management for an IBM Content Manager OnDemand (Content Manager OnDemand) solution. By default, report and document expiration are controlled by the storage managers that are integrated with Content Manager OnDemand. By using the storage managers, you can assign a retention period at data capture time. IBM Enterprise Records enhances retention capabilities with the flexibility to assign event-based retention and make a report or document an official compliant record to meet numerous government regulations.\n\nIn this chapter, we cover the following topics:\n\n- - Content Federation Services for Content Manager OnDemand and IBM Enterprise Records overview\n- - Administration of Content Federation Services for Content Manager OnDemand for Enterprise Records\n- -Content Federation Services for Content Manager OnDemand architecture\n- -Deployment considerations", - "page_start": 388, - "page_end": 388, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Service IP information**\n\nTo view the Service IP information of your IBM Spectrum Virtualize, select **Settings** → **Network**, as shown in Figure 5-56 on page 166. Click the **Service IP Address** option to view the properties, as shown in Figure 5-58.\n\n| Management IP Addresses | Service IPs | | | |\n| --- | --- | --- | --- | --- |\n| | | The service IP address provides access to the service interface | | |\n| Service IPs | | service IP address for the canister. The service IP address can 0.0.0.0 or the IPv6 address to 0 :: 0. | | |\n| Ethernet Connectivity | Node Canister: | レ | left | Identify |\n| Ethernet Ports | | | | |\n| | | 2 | | |\n| ISCSI | Service IP (Port 1) | | | |\n| Fibre Cha | IP Address 9.174.157.251 | | | |\n| | Subnet Mask 255.255.248.0 | | | |\n| Fibre Cha | Gateway 9.174.152.1 | | | |\n| Show IPv6 NVMe Cor | | OK | Cancel | |\n\n*Figure 5-58 Viewing service IP address*\n\nThe service IP address is commonly used to provide access to the network interfaces on each individual node of the control enclosure.\n\nInstead of reaching the Management IP address, the service IP address directly connects to each individual node canister for service operations. You can select a node canister of the control enclosure from the drop-down list and then click any of the ports that are shown in the GUI. The service IP address can be configure to support IPv4 or IPv6.\n\n# **iSCSI information**\n\nFrom the iSCSI pane in the Settings menu, you can display and configure parameters for the system to connect to iSCSI-attached hosts, as shown in Figure 5-59 on page 168.", - "page_start": 188, - "page_end": 188, - "source_file": "sg247938.pdf" - }, - { - "text": "#### **3.1.3 Core Services**\n\nIBM Cloud Paks use a common set of operational services by default. These services are called Core Services (see Figure 3-3) and are a layer on top of Red Hat OpenShift, which is responsible for security and identity services, logging, monitoring, and auditing. Core Services can easily monitor workload performance and general logs by using a consistent dashboard view, regardless of the IBM Cloud Pak.\n\n*Figure 3-3 Core Services*\n\nCore Services contain a collection of services that provides essential capabilities that are needed by most enterprise applications. Red Hat tests and certifies each Core Service component to provide the necessary updates and security fixes as needed. For more information, see the following web pages:\n\n- -Red Hat Middleware Core Services Collection datasheet\n- -IBM Cloud computing news: What are IBM Cloud Paks?\n\n#### **3.1.4 Production-ready Containers Images**\n\nContainers are the key for modular cloud solutions, which allows integrating multiple vendors by isolating pieces of software so they can run independently. All IBM container images that are provided in IBM Cloud Paks follow a set of well-defined best practices and guidelines, which ensures support for production use cases and consistency across the IBM software portfolio.\n\nIBM Cloud Paks employs Kubernetes resources to deploy, manage, and monitor the workloads. Configurations are pre-built but easily customized by using the Kubernetes operators during deployment. Upgrades can be easily rolled out or rolled back.\n\nIBM Cloud Paks are certified by IBM and Red Hat for the OpenShift Container Platform; the container images that are included in IBM Cloud Paks are required to complete Red Hat container certification, which is complementary to IBM certification process.", - "page_start": 56, - "page_end": 56, - "source_file": "sg248459.pdf" - }, - { - "text": "# **17.1 Content Federation Services for Content Manager OnDemand and IBM Enterprise Records overview**\n\nIBM FileNet Content Federation Services enables organizations to access content from numerous heterogeneous repositories anywhere in the enterprise and federate this information to provide a single enterprise source for critical business content. Content Federation Services for Content Manager OnDemand enables enterprises to perform federation, search, retrieve, and records management functions across Content Manager OnDemand repositories.\n\nIBM Enterprise Records positions your business to provide legally compliant records that meet government regulations at the time of inquiry that follow your corporate record policy file plan.\n\nContent Manager OnDemand handles a high volume of document ingestion to the system, typically of a static nature, such as credit card or bank statements. Each document ingestion might contain thousands of individual documents or pages. Content Manager OnDemand offers a retention feature so that you can set the document retention for a fixed period at the document ingestion time, for example, an investment company that applies a simple retention policy of eight years to all of their customer statements.\n\nContent Manager OnDemand does not apply an event-based retention policy that is based on, for example, the date that the customer closed an account. In this scenario, the clock does not begin the eight-year period until the customer closes the account. By enabling records federation services by using Content Federation Services for Content Manager OnDemand, you can manage Content Manager OnDemand content in a manner that is consistent with your organization's records retention policies.\n\nWhen Content Manager OnDemand content is federated and declared as a record in Enterprise Records, Content Manager OnDemand content can be tied to dynamic retention policies, such as account closure, policy termination, contract execution, or any other event. In these circumstances, records federation services can allow your organization to retain content for a certain amount of time, starting on the date of the event. Companies must design their policies carefully to manage a large collection of data correctly when the company deals with various regulatory policies and litigation.\n\nWhen it is time to expire data, with federated and declared content by using Content Federation Services for Content Manager OnDemand, Content Manager OnDemand can delete the original load (which contained multiple documents) and at the same time reingest those documents that must be retained.\n\nWhen you use Enhanced Retention Management, you enable the holding documents immediately and prevent expiration. Although this feature is powerful, it does not position your business to make a Content Manager OnDemand captured report or document a compliant record to meet government regulations. You must enable the feature that meets your business requirements:\n\n- - Use Enhanced Retention Management in Content Manager OnDemand to hold documents and prevent expiration.\n- - Use Enterprise Records to make documents into compliant records and to enable them for event-based expiration.\n\nA situation might exist where both features are enabled because of many different line-of-business requirements.", - "page_start": 389, - "page_end": 389, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What are the two distinct public domain tools support by Creative Commons ?", - "target_page": 1, - "target_passage": "Creative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n# **About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n#### **Chief Executive Officer**\n\nAnna Tumadóttir\n\n#### **General Counsel**\n\nKat Walsh\n\n# **Board of Directors**\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann Lawrence Lessig **Emeritus* Angela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Except where otherwise noted, \"Annual Report 2023\" by Creative Commons is licensed under CC BY 4.0.**", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from \"Twenty Years of Creative Commons (in Sixty Seconds)\" by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n**Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A \"books data commons\" needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use \"commons\" here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach.5\n\nIn this way, we do not use \"commons\" in the narrow sense of permissively licensed. What's more, this 4 resource could also be governed as more of a data \"trust,\" and, indeed, we discuss extensively the work of HathiTrust as a relevant project in this domain. However, our use of the word \"commons\" is not meant to preclude this or other arrangements.\n\nThere are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5 e.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy of further analysis.", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## *5. Examining approaches to building a books data commons*\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## *5a. Public domain and permissively licensed books*\n\n#### **Existing Project Example : The Pile v2** 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others.28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2.29 Among other things, v2 would \"have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.\" At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.\n\nThis is an illustrative example, and there are also other projects of this ilk. For instance, see the 27 Common Corpus project, which includes an array of public domain books from a number of countries, at https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/ storytracer/internet_archive_books_en (\"This dataset contains more than 650,000 English public domain books (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the Open Library project.\")\n\nSee Gao et al, supra note 8. 28\n\nGoldman, Sharon. \"One of the World's Largest AI Training Datasets Is About to Get Bigger and 29 \"Substantially Better.\" *VentureBeat*, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-aitraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## *4. Copyright, Licensing, & Access to Books for Training*\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the development of a books data commons would necessarily need to navigate and comply with copyright law.\n\n**Out-of-Copyright Books:** A minority of books are old enough to be in the public domain and out of copyright, and an AI developer could use them in training without securing any copyright permission. In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on, it is worth noting that the status of whether a book is in the public domain can be difficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14 out of copyright if they were not subject to a copyright renewal; however, data on copyright renewals is not easily accessible.\n\nWhat's more, copyright definitions and term lengths vary among countries. Even if a work is in the public domain in the US, it may not be in other countries. Countries generally use the 15 life of the last living author + \"x\" years to determine the term of copyright protection. For most countries, \"x\" is either 50 years (the minimum required by the Berne Convention) or 70 years (this is the case for all member states of the European Union and for all works published in the U.S. after 1978). This approach makes it difficult to determine copyright terms with certainty because it requires information about the date of death of each author, which is often not readily available.\n\n**In-Copyright Books:** The vast majority of books are in copyright, and, insofar as the training process requires making a copy of the book, the use in AI training may implicate copyright law. Our workshop covered three possible paths for incorporating such works.\n\n#### **Direct licensing**\n\nOne could directly license books from rightsholders. There may be some publishers who are willing to license their works for this purpose, but it is hard to determine the scale of such access, and, in any event, there are significant limits on this approach. Along with the challenge (and expense) of reaching agreements with relevant rightsholders, there is also the practical difficulty of simply identifying and finding the rightsholder that one must negotiate\n\nFor a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler. *Finding the Public Domain:* 14 *Copyright Review Management System Toolkit*. 2016, quod.lib.umich.edu/c/crmstoolkit/\n\n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. \"LibGuides: Copyright at Cornell Libraries: Copyright Term and the Public Domain.\" guides.library.cornell.edu/copyright/publicdomain; Mannapperuma, Menesha, et al. *Is It in the Public Domain? A HANDBOOK for EVALUATING the COPYRIGHT STATUS of a WORK CREATED in the UNITED STATES*. 1923.\n\nSee e.g. Moody, Glyn. \"Project Gutenberg Blocks Access in Germany to All Its Public Domain Books 15 because of Local Copyright Claim on 18 of Them.\" *Techdirt*, 7 Mar. 2018, www.techdirt.com/ 2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-localcopyright-claim-18-them/. Accessed 20 Mar. 2024.", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *6. Cross-cutting design questions*\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n### *Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative \"opt-in\" consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of \"opt-out\" could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about *who* can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many\n\nIn fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38 EU's legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data mining for commercial uses and/or are users outside of the covered set of research and heritage institutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI developers.", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What is Creative Commons ?", - "target_page": 1, - "target_passage": " Creative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work — on conditions of your choice. CC licenses let you change your copyright terms from the default of \"all rights reserved\" to \"some rights reserved.\"\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n### Public domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark. Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n#### Where public domain tools fit in the copyright spectrum\n\n# The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\n## What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (\"CC Zero\") is intended for use only by authors or holders of copyright and related rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or more countries.\n\nWhen CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\nchange the copyright status of a work.\n\n# Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known copyright restrictions.**\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n# **About Us**\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n#### **Chief Executive Officer**\n\nAnna Tumadóttir\n\n#### **General Counsel**\n\nKat Walsh\n\n# **Board of Directors**\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann Lawrence Lessig **Emeritus* Angela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Except where otherwise noted, \"Annual Report 2023\" by Creative Commons is licensed under CC BY 4.0.**", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from \"Twenty Years of Creative Commons (in Sixty Seconds)\" by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n**Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# Understanding Creative Commons license\n\nbefore licensing your work\n\n## **THREE-LAYER DESIGN**\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\" : contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n# **FOUR ELEMENTS**\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for\n\nND\n\nSA\n\nnoncommercial purposes.\n\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n# **SIX LICENSES**\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n# **REMIND THAT…**\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n#### **CC LICENSE CAN'T BE USED FOR …**\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n### **ALSO FOR …**\n\nthe work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n# **NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license.\n\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "# **A Note from Leadership**\n\nCC staff photos are licensed under CC BY 4.0.\n\n2023 was a busy year at Creative Commons. Our **Open Culture** program and **Open Climate Campaign** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **Open Infrastructure Circle** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **the critical work that awaits us in 2024**.\n\n**Anna Tumadóttir, CEO**", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "# **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **six CC Licenses** and two public domain tools, setting a global standard for sharing.\n\n### **We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0. Our legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n### **In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.**\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A \"books data commons\" needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use \"commons\" here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach.5\n\nIn this way, we do not use \"commons\" in the narrow sense of permissively licensed. What's more, this 4 resource could also be governed as more of a data \"trust,\" and, indeed, we discuss extensively the work of HathiTrust as a relevant project in this domain. However, our use of the word \"commons\" is not meant to preclude this or other arrangements.\n\nThere are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5 e.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy of further analysis.", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## *Who would get to use the books data commons? For what?*\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n- **Defining and ensuring acceptable and ethical use:** Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of \"gated access\" are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside \"sticks\" like legal penalties, this would be a \"carrot\" that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, \"good behavior\" would constitute a significant challenge.\n- **Charging for use to support sustainability of the training corpus itself:** While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others).40\n- **Ensuring benefits of AI are broadly shared, including with book authors or publishers:** The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in \"winner takes all-or-most\" markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.\n\nFor examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated. 39\n\nAs an analogy, consider for instance Wikimedia Enterprise, which \"build[s] services for high-volume 40 commercial reusers of Wikimedia content\" and charges for that access. https://meta.wikimedia.org/ wiki/Wikimedia_Enterprise.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# *6. Cross-cutting design questions*\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n### *Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?*\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative \"opt-in\" consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of \"opt-out\" could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about *who* can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many\n\nIn fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38 EU's legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data mining for commercial uses and/or are users outside of the covered set of research and heritage institutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI developers.", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "How to apply the PDM to my work ?", - "target_page": 1, - "target_passage": "Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "# **10.6 Submit inventory (PM)**\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after being approved by the NFP (See section 10.5).\n\n# **10.6.1 Submit select tables for preparing the general submission**\n\n- 1. Log in as PM.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the box under column \"Working inventory\" (figure 68, a). *** Note: The selected inventory year to be submitted should be in status \"approved\" (figure 68, b).\n- 5. Click on \"Work on Inventories\" under Submission Management (figure 68, c).\n- This opens the Submit Inventory initial screen (figure 69).\n- 6. Click the inventory year to be submitted (figure 69, a).\n- 7. Press the \"Generate Official Submission\" button (figure 69, c).\n\n### *Figure 68. View Inventories Progress screen – select inventory for the preparation for the general submission*\n\n### *Figure 69. Submit select tables for the preparation for the general submission*", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **Installation**\n\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the client.\n\nIf you install the client after you install Adobe Acrobat, the installation program copies the application programming interface (API) file to the Acrobat plug-in directory.\n\nIf you install the client before you install Adobe Acrobat, you must copy the API file to the Acrobat plug-in directory manually.\n\nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat plug-in directory.\n\nThe default location of the ARSPDF32.API file is:\n\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF\n\nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat *x.y*\\Acrobat\\plug_ins. The variables x.y represent the version of Acrobat, for example, C:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug_ins.\n\n# **Graphical indexer example**\n\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports within the application component of Content Manager OnDemand in a similar way to defining them for line data. This section serves as an introduction to the PDF graphical indexer by stepping through an example of indexing a PDF document.\n\nThe example describes how to use the graphical indexer from the report wizard to create indexing information for an input file. The indexing information consists of a trigger that uniquely identifies the beginning of a document in the input file and the fields and indexes for each document. We elaborate on this example by clarifying several of the instructions, and throughout each step, we add important hints, tips, and explanations.\n\nThe process consists of these steps:\n\n- 1. Start the Administrator Client and log on to a server.\n- 2. Start the report wizard. Click the report wizard icon on the toolbar.\n- 3. In the Sample Data window, select **PDF** from the drop-down list of data types, and then click **Select Sample Data**.\n- 4. In the Open window, enter the name or full path name of your file in the space that is provided or use the **Browse** option to locate your PDF file.\n- 5. Click **Open**. The graphical indexer opens the input file in the report window.\n\nIf the PDF data fails to display, or an error message, such as the message that is shown in Figure 7-2, is displayed, you must follow the steps in \"Installation\" on page 169 to verify that the API file is in the correct Acrobat plug-in directory.\n\n| ARSADM32 | |\n| --- | --- |\n| × | Adobe Acrobat (AcroExch. App rc =- 2146959355) could not be loaded. |\n| | OK |\n\nFigure 7-2 Error message if PDF does not display", - "page_start": 192, - "page_end": 192, - "source_file": "sg246915.pdf" - }, - { - "text": "| C:\\pdf\\pdfinput\\admin.pdf | () @ @ 因 因 @ 图 ■ × 目 | 图目 图 ? | 5 | P |\n| --- | --- | --- | --- | --- |\n| Content Manager OnDemand for Multiplatforms | | | | |\n| Administrator's Guide | | | | |\n| Add a Trigger | 8 | | | |\n| Pages to Search | Identifier | | | |\n| Every Page | Type | Group | C Offset from Trigger 1 | |\n| Page Offset: | | | | |\n| Upper Left Coordinates | Lower Right Coordinates | | | |\n| X Position: 0.56 | X Position: 1.45 | | | |\n| Y Position: 3.11 | Y Position: 3.52 | | | |\n| Value | Content | | | |\n| OK | Help | Cance | | |\n| Ready | | | | |\n\nFigure 7-3 Capturing text with the PDF graphical indexer\n\n- c. Click the Define a Trigger icon on the toolbar.\n- d. In the Add a Trigger window (Figure 7-3), verify the attributes of the trigger by confirming that the text string in the Value field for Trigger 1 is correct. For Trigger 1, you cannot specify any options or values. For other triggers, click **Help** for assistance with the other options and values. Click **OK** to define the trigger.\n- e. Follow these steps to verify that the trigger uniquely identifies the beginning of a document:\n\t- i. On the toolbar, click the fourth icon from the right to place the report window in display mode.\n\t- ii. Click the **Select** tool.\n\t- iii. In the Select window, under Triggers, double-click the trigger. The graphical indexer highlights the text string in the current document.\n\nDouble-click the trigger again. The graphical indexer highlights the text string on the first page of the next document.\n\n- iv. Use the Select window to move forward to the first page of each document and return to the first document in the input file.", - "page_start": 194, - "page_end": 194, - "source_file": "sg246915.pdf" - }, - { - "text": "Select one of the following types of relationships that you want to create or add, as shown in Figure 11-126, and click **Next**:\n\n- Metro Mirror\n- Global Mirror (with or without Consistency Protection)\n- Global Mirror with Change Volumes\n\n| Create Consistency Group | | × |\n| --- | --- | --- |\n| Select the type of copy that you want to create: | | |\n| Metro Mîrror | | |\n| O Global Mîrror | | |\n| V Add Consistency Protection | | |\n| Global Mirror with Change Volumes | | |\n| Cancel | Back | Next I |\n\n*Figure 11-126 Selecting the type of emote copy relationships to create/add*", - "page_start": 603, - "page_end": 603, - "source_file": "sg247938.pdf" - }, - { - "text": "### **PRACTICE EXERCISE Creating Charts**\n\n| Tasks: | | Completed: |\n| --- | --- | --- |\n| | Before starting this exercise you MUST have completed all of the topics in | |\n| | the chapter Creating Charts… | |\n|  | Open the workbook called PE_Creating Charts.xlsx (it can be found in the same folder as the student files) |  |\n|  | Create a Clustered Column chart showing the sales of products for the |  |\n| | months of January through to June | |\n|  | Drag the chart down below the data and resize it so that it is the same width as the data, keeping the proportions as far as possible |  |\n| | Change the chart type to 3-D Stacked Column and change the chart title |  |\n|  | to Sales | |\n| | The chart should appear as shown in sample A on the following page... | |\n|  | Create a Pie in 3-D chart of the products and their totals then place it on its |  |\n| | own chart sheet called Product Sales | |\n|  | Change the Chart Title to Product Sales |  |\n|  | Change the layout to Layout 6 |  |\n| | The chart should appear as shown in sample B on the following page... | |\n|  | Print the pie chart |  |\n|  | Use the Save As command to save the workbook as PE_Creating Charts (Completed).xlsx |  |\n\n| Files required for exercise: | PE_Creating Charts.xlsx |\n| --- | --- |\n| Files/work created by | PE_Creating Charts (Completed).xlsx, 1 printed copy of the Product Sales |\n| student: | chart |\n| Exercise Completed: |  |", - "page_start": 58, - "page_end": 58, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "| Add a Folder | | | | | | | 2 |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| General | Pemissions Field Definition Field Information Field Mapping | | | | | | |\n| Name | | | | | | | |\n| Rdbook | | | | | | Advanced ... | |\n| Description | | | | | | | |\n| Display Document Location | | | Note Search | | | | |\n| Display Document Hold | | | C Hit List | | · Retrieve | C Note | |\n| Application Groups | | | | Selected | | | |\n| t | | A | | | | | |\n| 5900 test-line lo-500-9501 5900 test -line - 500-9501a | | 111 | Add >> | | | | |\n| 5900 test - line - lo- 500-9502a | | | | | | | |\n| aaa-test-applGroup | | | << Remove | | | | |\n| aaa-test-applGroup2 | | | | | | | |\n| aaa-test-applGroup3 | | | | | | | |\n| aaa test-appl Group 4 | | | | | | | |\n| aaa test-appl Group 5 | | | | | | | |\n| aaa-test-applGroup-v95 | | | Applications ... | | | | |\n| ADESSA2 | | | | | | | |\n| ADW XLS 03Y | | | | | | | |\n| AFPBILL | | | | | | | |\n| AFPBILL PK18695 | | | | | | | |\n| AFPI IIGNIAN toot frafn ochwah | | | | | | | |\n| 1 = | 1 | | | | | | |\n| | OK | | Cancel | Help | | | |\n\nFigure 16-7 Configuring a folder\n\n# **16.3 Applying and releasing holds**\n\nUse the Enhanced Retention Management feature to apply and release holds quickly and efficiently. When you apply a hold to a document or multiple documents, they cannot be expired. If your documents are part of a large batch load, only the documents in a hold status are expired when they reach their expiration date. After a document is released from a hold status, it can be expired based on its original retention management policy.\n\n# **16.3.1 Managing holds**\n\nYou can apply and release holds by using the Windows client, Content Navigator, WEBi, the ODWEK Java API, and **ARSDOC**. As shown in Figure 16-8 on page 362, when you select documents from the hit list and right-click, the options for applying, releasing, and showing holds display.\n\n# **16.3.2 Applying holds**\n\nUsers can apply holds to a document or documents that are defined to an application group with the enabled Enhanced Retention Management feature. To apply a hold, select a document and click **Actions** → **Holds** → **Apply Hold**, as shown in Figure 16-8 on page 362.", - "page_start": 384, - "page_end": 384, - "source_file": "sg246915.pdf" - }, - { - "text": "# **9.1.3 How to convert the data**\n\nContent Manager OnDemand uses the Generic Transform Interface to integrate Content Manager OnDemand with third-party transform solutions.\n\nConsider the following information about target flows:\n\n- - HTML might be used with the same intent, but an HTML document is not always displayed identically, depending on the web browser that is used. Additional testing that includes your needs and the encountered environments might be necessary for validation before the implementation.\n- - PDF might be used as a way to make documents available through standard and no-charge tools, such as Adobe Acrobat Reader. The transformed documents must be displayable, saveable, and printable the same way regardless of the environment on which the user works.\n- - XML is an intermediate text-based data format for the manipulation of documents, regardless of the source data stream, and displays the documents totally or partially in a personalized way. The use of XML usually involves additional development, including scripts and stylesheets.\n\n# **9.2 Generic Transform Interface**\n\nContent Manager OnDemand uses the Generic Transform Interface to manage third-party data transforms for the Content Manager OnDemand Web Enablement Kit (ODWEK) application programming interface (API) set. This interface is used with the document retrieval APIs.\n\nThe ODWEK Java API provides industry-standard Java classes that can be used by a customer to write a custom web application that can access data that is stored on the Content Manager OnDemand server. This custom application can, for example, permit the user to log on to a Content Manager OnDemand server, get a list of folders, search a specific folder, generate a hit list of matching documents, and retrieve those documents for viewing. Many APIs provide advanced functionalities.\n\nFor more information, see the following resources:\n\n- - IBM TechDoc Best practices for building Web Applications using IBM Content Manager OnDemand Java APIs:\nhttps://www.ibm.com/support/techdocs/atsmastr.nsf/WebIndex/WP101203\n\nThis document, which is prepared by the Content Manager OnDemand development team, provides recommendations about how to use the ODWEK Java APIs. Use this document to understand how the ODWEK Java APIs interface with the Java virtual machine (JVM) and Content Manager OnDemand systems to avoid common coding mistakes.\n\n- - IBM Content Manager OnDemand Web Enablement Kit Java APIs: The Basics and Beyond, SG24-7646:\nThis publication provides basic and advanced information about how to use the ODWEK Java APIs to develop custom applications.", - "page_start": 232, - "page_end": 232, - "source_file": "sg246915.pdf" - }, - { - "text": "of expertise are graphical user interfaces (GUIs), product administration software, and document retrieval. She has written and co-authored multiple articles that relate to Content Manager OnDemand. Debbie is an IBM certified deployment professional for Content Manager OnDemand V9.0.\n\nAdditionally, special thanks to the following people who contributed their time and energy to assist us in producing the book:\n\n**Neil Parrott,** Sr. Product Marketing Manager - Enterprise Report Management segment, IBM US\n\n**Stephanie M Wing**, Worldwide Portfolio Marketing Manager, Enterprise Content Management, Content Manager OnDemand, IBM US\n\n**Whei-Jen Chen**, Project Leader, International Technical Support Organization\n\n# **Now you can become a published author, too!**\n\nHere's an opportunity to spotlight your skills, grow your career, and become a published author—all at the same time! Join an ITSO residency project and help write a book in your area of expertise, while honing your experience using leading-edge technologies. Your efforts will help to increase product acceptance and customer satisfaction, as you expand your network of technical contacts and relationships. Residencies run from two to six weeks in length, and you can participate either in person or as a remote resident working from your home base.\n\nFind out more about the residency program, browse the residency index, and apply online at:\n\n**ibm.com**/redbooks/residencies.html\n\n# **Comments welcome**\n\nYour comments are important to us!\n\nWe want our books to be as helpful as possible. Send us your comments about this book or other IBM Redbooks publications in one of the following ways:\n\n- -Use the online **Contact us** review Redbooks form found at:\n**ibm.com**/redbooks\n\n- -Send your comments in an email to:\nredbooks@us.ibm.com\n\n- -Mail your comments to:\nIBM Corporation, International Technical Support Organization Dept. HYTD Mail Station P099 2455 South Road Poughkeepsie, NY 12601-5400\n\n# **Stay connected to IBM Redbooks**\n\n- -Find us on Facebook:", - "page_start": 19, - "page_end": 19, - "source_file": "sg246915.pdf" - }, - { - "text": "# **2.3 Implementing a Content Manager OnDemand instance on a multiplatform UNIX environment**\n\nIn this section, we describe how to set up a single instance in a Content Manager OnDemand for a multiplatform UNIX environment. Always refer to the product documentation of your release for the specific steps to follow.\n\n# **2.3.1 Defining a single instance**\n\nBy default, the initial instance on any library server is named archive. Creating a single instance can be summarized by the following steps:\n\n- 1. Creating a user\n- 2. Creating a DB2 instance\n- 3. Installing IBM Global Security Kit\n- 4. Setting up Secure Sockets Layer (SSL)\n- 5. Storing user IDs and passwords in a stash file\n- 6. Installing and configuring Tivoli Storage Manager\n- 7. Configuring the instance\n- 8. Creating a Content Manager OnDemand database\n- 9. Initializing the system log and system load facility\n\n# **Creating a user**\n\nNew installations (instances) of Content Manager OnDemand can be configured to run under a user other than the root user. If you plan to run an instance under a user other than root, complete the following steps:\n\n- 1. Create the user for the Content Manager OnDemand instance owner that is a member of the database owners group.\n- 2. Give the user administrator authority to the database.\n- 3. Set permissions for the cache storage file systems.\n- 4. Set permissions for the Content Manager OnDemand configuration and script files.\n- 5. Give the instance owner permission to write to the system console.\n- 6. Specify the instance owner in the ARS.INI file.\n\nIf you plan to run a distributed library and object server system, with one or more object servers on different workstations or nodes than the library server, you must also configure Content Manager OnDemand on the object servers.\n\nTo configure Content Manager OnDemand on the object servers, complete the following steps:\n\n- 1. Create a group and user for the Content Manager OnDemand instance owner.\n- 2. Give ownership of the cache storage file systems that are listed in the ARS.CACHE file to the group and user for the Content Manager OnDemand instance owner.", - "page_start": 42, - "page_end": 42, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "Which rivers flow through Lyon?", - "target_page": 1, - "target_passage": "It is located at the confluence of the rivers Rhône and Saône, ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Lyon**\n\n**Lyon**[c] (Franco-Provençal: *Liyon*) is the second-largest city in France by urban area and the third largest by city limits.[14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km2 (19 sq mi),[15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021.[16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon.[18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## **History**\n\ncompanion\")\n\n**Location of Lyon**\n\n[b]\n\n**Toponymy**", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## **Climate**\n\nLyon has a humid subtropical climate (Köppen: *Cfa*), bordering an oceanic climate (*Köppen*: *Cfb*, Trewartha: *Do*).[38] The mean temperature in Lyon in the coldest month is 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). Precipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter months are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 August 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 December 1938.[39]\n\nIce on the Saône, 2012", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "The name of the city has taken the forms *Lugdon*, *Luon*, and since the 13th century, *Lyon*. The Gallic *Lugdun* or *Lugdunon* that was Latinized in Roman as Lugdunum is composed of two words. The first may be the name of the Celtic god Lug (in charge of order and law), or the derived word *lugon*, meaning \"crow\" (the crow being the messenger of Lug), but might also be another word *lug*, meaning \"light\". The second is *dunos* ('fortress', 'hill'). The name thus may designate the hill of Fourvière, on which the ancient city of Lyon is founded, but could mean \"hill of the god Lug\", \"hill of the crows\" or \"shining hill\".[21] [22]\n\nAlternatively Julius Pokorny associates the first part of the word with the Indo-European radical **lūg* ('dark, black, swamp'), the basis of the toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian *Łužica*), and several places in the Czech Republic named Lužice;[23] it could then also be compared to Luze in Franche-Comté and various hydronyms such as Louge.\n\nFurther down, in the current Saint-Vincent district, was the Gallic village of Condate, probably a simple hamlet of sailors or fishermen living on the banks of the Saône. *Condate* is a Gallic word meaning \"confluence\", from which the Confluence district gets its name.\n\nIn Roman times the city was called *Caput Galliæ*, meaning \"capital of the Gauls\". As an homage to this title, the Archbishop of Lyon is still called the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed *Commune-Affranchie* (\"Emancipated Commune\") on 12 October 1793 by a decree of the Convention Nationale. It resumed its name in 1794, after the end of the Terror.\n\nLyon is called *Liyon* in Franco-Provençal. [24]\n\n#### **Ancient Lyon**\n\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate ordered the creation of a settlement for Roman refugees of war with the Allobroges. These refugees had been expelled from Vienne and were now encamped at the confluence of the Saône and Rhône rivers. The foundation was built on Fourvière hill and officially called *Colonia Copia Felix Munatia*, a name invoking prosperity and the blessing of the gods. The city became increasingly referred to as *Lugdunum* (and occasionally *Lugudunum*[25] ).[26] The earliest translation of this Gaulish place-name as \"Desired Mountain\" is offered by the 9th-century *Endlicher Glossary*. [27] In contrast, some modern scholars have proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god Lugus (cognate with Old Irish *Lugh*, Modern Irish *Lú*), and *dúnon* (hillfort).\n\nThe Romans recognised that Lugdunum's strategic location at the convergence of two navigable rivers made it a natural communications hub. The city became the starting point of main Roman roads in the area, and it quickly became the capital of the province, Gallia Lugdunensis. Two Emperors were born in this city: Claudius, whose speech is preserved in the Lyon Tablet in which he justifies the nomination of Gallic Senators, and Caracalla.\n\n| Country | France |\n| --- | --- |\n| Region | Auvergne-Rhône-Alpes |\n| Metropolis | Lyon Metropolis |\n| Arrondissement | Lyon |\n| Subdivisions | 9 arrondissements |\n| Government | |\n| • Mayor (2020– | [2] Grégory Doucet |\n| 2026) | (EELV) |\n| 1 Area | 47.87 km2 (18.48 sq mi) |\n| [3]) • Urban (2020 | 1,141.4 km2 |\n| | (440.7 sq mi) |\n| [4] • Metro (2020 ) | 4,605.8 km2 |\n| | (1,778.3 sq mi) |\n| [5] Population (2022) | 520,774 |\n| • Rank | 3rd in France |\n| • Density | 11,000/km2 |\n| | (28,000/sq mi) |\n| • Urban (Jan. | 1,702,921 |\n| [6] 2021 ) | |\n| • Urban density | 1,500/km2 (3,900/sq mi) |\n| �� Metro (Jan. | 2,308,818 |\n| [7] 2021 ) | |", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 31. Braudel 1984 p. 327\n- 32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01 150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011 50.htm) on 19 January 2011. Retrieved 3 April 2011.\n- 33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli sh_1). *Chrd.lyon.fr*. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) on 24 January 2011. Retrieved 21 December 2017.\n- 34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal. com/article/273644). *Digitaljournal.com*.\n- 35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2), Larousse, 1999 p. 53 ISBN 2-03-505047-2\n- 36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n- 37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). *unesco.org*. UNESCO World Heritage Centre. Retrieved 31 July 2015.\n- 38. Gregory, Stanley. \"Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http s://www.jstor.org/stable/25636095).\" *Erdkunde*, vol. 8, no. 4, 1954, pp. 246–252. *JSTOR.*\n- 39. \"Données climatiques de la station de Lyon: Relevés de 2016 Lyon\" (https://web.archive.org/web/20161004 055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France. Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October 2016. Retrieved 2 October 2016.\n- 40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF). *Fiche Climatologique: Statistiques 1991–2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n- 41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). *meteo-lyon.net* (in French). Météo Villes. Retrieved 7 September 2023.\n- 42. \"Lyon–Bron (07480) WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm alsNOAALyonBron) 8 February 2019, at the Wayback Machine\n- 43. \"Normes et records 1961–1990: Lyon-Bron (69) altitude 198m\" (https://web.archive.org/web/201603032035 26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February 2019.\n- 44. \"St-Irénée France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). *sacreddestinations.com*.\n- 45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin ema.fr/en/). *Musée Miniature et Cinéma*.\n- 46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved 16 January 2023.\n- 47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde. fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). *Le Monde*. France. Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n- 48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2 315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html) on 24 April 2010. Retrieved 3 April 2011.\n- 49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais*, Lyon 1864\n- 50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives. htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24 January 2010. Retrieved 25 January 2010.\n- 51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.\n- 52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19 February 2009. Retrieved 5 February 2009.\n- 53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website. Retrieved 26 November 2009.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- Frankfurt, Germany, since 1960\n- Gothenburg, Sweden\n- Guangzhou, China, since 1988\n- Haute Matsiatra, Madagascar\n- Ho Chi Minh City, Vietnam, since 1997\n- Jericho, Palestine\n- Leipzig, Germany, since 1981\n- Łódź, Poland, since 1991\n- Melbourne, Australia\n- Milan, Italy, since 1966\n- Montreal, Canada, since 1979\n- Oran, Algeria\n\n# **Notable people**\n\n# **See also**\n\n- List of films set in Lyon\n- List of streets and squares in Lyon\n- Mères of France\n- Montchat\n- Occupation of Saint-Nizier church by Lyon prostitutes\n\n## **Notes**\n\n- a. A war cry from 1269, spelt in modern Franco-Provençal as *Avant, Avant, Liyon lo mèlyor*.\n- b. Quote from a letter of Cicero to Lucius Munatius Plancus, founder of the city. [1]\n- c. Pronunciation: UK: /ˈliːɒ̃/ɒ̃, [8][9] US: /liˈoʊn/ *lee-OHN*; [10][11] French: [ljɔ̃]ɔ̃ ⓘ; formerly spelled in English as *Lyons* (/ˈlaɪənz/ *LY*ə*nz*).[11][12] Arpitan: *Liyon* [ʎjɔ̃]ɔ̃; Occitan: *Lion*, hist. *Lionés*. [13]\n- d. Constant PPP US dollars, base year 2015.\n\n## **References**\n\n- 1. \"Cicero\" (http://www.thelatinlibrary.com/cicero/fam10.shtml#3). *Epistulae ad familiares, X.3*. Retrieved 2 January 2020.\n- 2. \"Répertoire national des élus: les maires\" (https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-1 9ee07b0e503) (in French). data.gouv.fr, Plateforme ouverte des données publiques françaises. 13 September 2022.\n- 3. \"Comparateur de territoire Unité urbaine 2020 de Lyon (00760)\" (https://www.insee.fr/fr/statistiques/140559 9?geo=UU2020-00760). INSEE. Retrieved 3 April 2022.\n- 4. \"Comparateur de territoire Aire d'attraction des villes 2020 de Lyon (002)\" (https://www.insee.fr/fr/statistique s/1405599?geo=AAV2020-002). INSEE. Retrieved 16 January 2023.\n- 5. \"Populations de référence 2022\" (https://www.insee.fr/fr/statistiques/8288323?geo=COM-69123) (in French). The National Institute of Statistics and Economic Studies. 19 December 2024.\n- Osaka, Japan, since 1984\n- Ouagadougou, Burkina Faso\n- Porto-Novo, Benin\n- Rabat, Morocco\n- St. Louis, United States[85]\n- Saint Petersburg, Russia\n- Sétif, Algeria\n- Tinca, Romania\n- Turin, Italy\n- Yerevan, Armenia, since 1992\n- Yokohama, Japan, since 1959", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 2nd arrondissement: Cordeliers, Bellecour, Ainay, Perrache, Confluence, Sainte-Blandine\n- 3rd arrondissement: Guillotière (north), Préfecture, Part-Dieu, Villette, Dauphiné/Sans Souci, Montchat, Grange Blanche (north), Monplaisir (north)\n- 4th arrondissement: Plateau de la Croix-Rousse, Serin\n- 5th arrondissement: Vieux Lyon (Saint-Paul, Saint-Jean, Saint-Georges), Saint-Just, Saint-Irénée,[44] Fourvière, Point du Jour, Ménival, Battières, Champvert (south)\n- 6th arrondissement: Brotteaux, Bellecombe, Parc de la Tête d'or, Cité Internationale\n- 7th arrondissement: Guillotière (south), Jean Macé, Gerland\n- 8th arrondissement: Monplaisir (south), Bachut, États-Unis, Grand Trou/Moulin à Vent, Grange Blanche (south), Laënnec, Mermoz, Monplaisir-la-Plaine\n- 9th arrondissement: Vaise, Duchère, Rochecardon, St-Rambert-l'Île-Barbe, Gorge de Loup, Observance, Champvert (north)\n\nGeographically, Lyon's two main rivers, the Saône and the Rhône, divide the arrondissements into three groups:\n\n- To the west of the Saône, the fifth arrondissement covers the old city of Vieux Lyon, Fourvière hill and the plateau beyond. The 9th is immediately to the north, and stretches from Gorge de Loup, through Vaise to the neighbouring suburbs of Écully, Champagne-au-Mont-d'Or, Saint-Didier-au-Mont-d'Or, Saint-Cyr-au-Mont-d'Or and Collonges-au-Mont-d'Or.\n- Between the two rivers, on the Presqu'île, are the second, first, and fourth arrondissements. The second includes most of the city centre, Bellecour and Perrache railway station, and reaches as far as the confluence of the two rivers. The first is directly to the north of the second and covers part of the city centre (including the Hôtel de Ville) and the slopes of La Croix-Rousse. To the north of the Boulevard is the fourth arrondissement, which covers the Plateau of La Croix-Rousse, up to its boundary with the commune of Caluire-et-Cuire.\n- To the east of the Rhône, are the third, sixth, seventh, and eighth arrondissements.\n\n#### **Mayors**\n\nThis is a list of mayors of the commune of Lyon since the end of the 19th century.\n\nThe lion, symbol of the city, on display at Maison des avocats\n\nMap of the City of Lyon divided into 9 arrondissements", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia4.pdf" - }, - { - "text": "1,600,000 m 2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48] *Cité Internationale*, created by the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide headquarters of Interpol is located there. The district of *Confluence*, in the south of the historic centre, is a new pole of economical and cultural development.\n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 provided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon ranked first in France for hostels business. The festivals most important for attracting tourists are the *Fête des lumières*, the *Nuits de Fourvière* every summer, the *Biennale d'art contemporain* and the *Nuits Sonores*.\n\n# **Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco-Provençal. The Lyonnais dialect was replaced by the French language as the importance of the city grew. However some \"frenchified\" Franco-Provençal words can also be heard in the French of the Lyonnais, who call their little boys and girls \"gones\" and \"fenottes\" for example.[49]\n\n- The Lumière brothers pioneered cinema in the town in 1895. The Institut Lumière, built as Auguste Lumiere's house, and a fascinating piece of architecture in its own right, holds many of their first inventions and other early cinematic and photographic artifacts.\nGuignol, created in the early 19th C., associated with the silk-workers\n\n8 December each year is marked by the Festival of Lights (la Fête des lumières), a celebration of thanks to the Virgin Mary, who purportedly saved the city from a deadly plague in the Middle Ages. During the event, the local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale light shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean.\n\n- The Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting audiences from around the world.\n- The Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house was re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named after him.\n- Lyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the city. This old tradition is now finding a contemporary expression, for example in the art of Guillaume Bottazzi.[50][51]\n- The Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North America, was founded in Lyon in 1821.\n- The African Museum of Lyon is one of the oldest museums situated in Lyon.[52]\n- The Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance movement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the French resistance and many members were shot in Place Bellecour in the town centre. The exhibition is largely a series of , mini-biographies of those involved.\n- Lyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program.\n\n## **UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and strategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the Renaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture from the 12th century to modern times.[53]", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- The Gallo-Roman Museum displaying many valuable objects and artworks found on the site of Roman Lyon (Lugdunum) such as Circus Games Mosaic, Coligny calendar and the Taurobolic Altar\n- Centre d'histoire de la résistance et de la déportation\n- Musée des Confluences, new museum of sciences and anthropology, which opened its doors on 20 December 2014\n- La Sucrière, contemporary art centre\n- Hôtel-Dieu de Lyon houses the \"Musée des Hospices Civils\", a permanent exhibit tracing the history and practice of medicine from the Middle Ages to modern times\n- Musée des Tissus et des Arts décoratifs, decorative arts and textile museum, which is one of the world's larger textile collections with 2.5 million works\n- Musée d'art contemporain de Lyon, contemporary art museum\n- Musée de L'imprimerie, printing museum\n- Musée Gadagne, museum of the history of Lyon housed in a historic building in Vieux Lyon, which includes a large collection of marionettes\n- Musée des Automates, museum of automated puppets in Vieux Lyon, open since 1991\n- Musée Miniature & Cinéma, museum featuring miniature movie sets, movie props, and special effects[45]\n\n### **Parks and gardens**\n\n- Parc de la Tête d'or, aka Golden Head Park, in central Lyon is the largest urban park in France at 117 hectares (290 acres). Located in the 6th arrondissement, it features a large lake on which boating takes place during the summer months.\n- Jardin botanique de Lyon (8 hectares (20 acres)), included in the Parc de la Tête d'Or, is a municipal botanical garden and is open weekdays without charge. The garden was established in 1857 as a successor to earlier botanical gardens dating to 1796, and now describes itself as France's largest municipal botanical garden.\n- Parc de Gerland, in the south of the city (80 hectares (200 acres))\n- Parc des hauteurs, in Fourvières\n- Parc de Miribel-Jonage (2,200 hectares (5,400 acres))\n- Parc de Lacroix-Laval (115 hectares (280 acres))\n- Parc de Parilly (178 hectares (440 acres))\n\n# **Economy**\n\nThe GDP of Lyon was 124 billion US dollars in 2019,[d][46] making it the second richest city in France after Paris. Lyon and its region Rhône-Alpes represent one of the most important economies in Europe and, according to Loughborough University, can be compared to Philadelphia, Mumbai or Athens with regard to its international position. The city of Lyon is working in partnership to more easily enable the establishment of new headquarters in the territory (ADERLY, Chambre du commerce et d'industrie, Grand Lyon...). High-tech industries such as biotechnology, software development, video game (Arkane Studios, Ivory Tower, Eden Games, EA France, Bandai Namco Entertainment Europe), and internet services are also growing. Other important sectors include medical research and technology, non-profit institutions, and universities. Lyon is home to the P4-Inserm–ean Merieux Laboratory which conducts top-level vaccine research.[47]\n\nLa Part-Dieu, the city's central business district\n\nThe city is home to the headquarters of many large companies such as Groupe SEB, Sanofi Pasteur, Renault Trucks, Norbert Dentressangle, LCL S.A., Descours & Cabaud, Merial, Point S, BioMérieux, Iveco Bus, Compagnie Nationale du Rhône, GL Events, April Group, Boiron, Feu Vert, Panzani, Babolat, Lyon Airports, LVL Medical, and inter-governmental agencies IARC and Interpol. The specialisation of some sectors of activities has led to the creation of many main business centres: La Part-Dieu, located in the 3rd arrondissement is the second biggest business quarter after La Défense in Paris with over\n\nThe Musée des Confluences from the Raymond Barre bridge\n\nThe lake in the Parc de la Tête d'or", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- Bellecour, Écoles D'Arts.\n## **Primary and secondary schools**\n\nThere are some international private schools in the Lyon area, including:\n\n- Cité Scolaire Internationale de Lyon or the Lycée de Gerland;\n\t- Includes the *Section Japonaises* (リヨン・ジェルラン補習授業校 *Riyon Jeruran Hoshū Jugyō Kō* \"Lyon Gerland Japanese Supplementary School\"), which the Japanese Ministry of Education (MEXT) counts as a part-time Japanese supplementary school[73]\n- Ombrosa;\n- International School of Lyon in nearby Sainte-Foy-lès-Lyon;\n- Montessori School of Lyon.\n\n## **Supplementary education**\n\nOther Japanese supplementary schools:\n\n- The *Association Pour le Développement de la Langue et de la Culture Japonaises* (ADLCJ; リヨン補習授業校 *Riyon Hoshū Jugyō Kō*) is held in the *Maison Berty Albrecht* in Villeurbanne, near Lyon.[73] It was formed in 1987.[74] It serves Japanese expatriate children who wish to continue their Japanese education whilst abroad.\n# **Transport**\n\nLyon–Saint-Exupéry Airport, located east of Lyon, serves as a base for domestic and international flights. It is a key transport facility for the entire Rhône-Alpes region, with coach links to other cities in the area. The in-house train station Gare de Lyon Saint-Exupéry connects the airport to the nationwide TGV network. The Rhônexpress tram monopoly links the airport with the business quarter of La Part Dieu in less than 30 minutes, and offers connections with Underground A & B, Tramway T1, T3 & T4, and bus lines. Lyon public transport Sytral offers a bus service, Route 47, that links the airport to Meyzieu[75] where passengers can change onto Tram T3. The regular price of public transport is €1.90, as opposed to €15 one way for the Rhonexpress. In the suburb of Bron, the smaller Lyon-Bron Airport provides an alternative for domestic aviation.\n\nLyon has two major railway stations: Lyon-Part-Dieu, which was built to accommodate the TGV, and Lyon Perrache, an older station that now provides mostly regional service. Smaller railway stations include Gorge-de-Loup, Vaise, Saint-Paul and Jean Macé. Lyon was the first city to be connected to Paris by the TGV in 1981.[76] Since that time the TGV train network has expanded and links Lyon directly to Perpignan, Toulouse, Nice, Marseille, Strasbourg, Nantes and Lille. International trains operate directly to Madrid, Barcelona, Milan, Turin, Geneva, Frankfurt, Luxembourg, Brussels and London.\n\nThe city is at the heart of a dense road network and is located at the meeting point of several highways: A6 to Paris, A7 Marseille, A42 to Geneva, and A43 to Grenoble. The city is now bypassed by the A46. A double motorway tunnel passes under Fourvière, connecting the A6 and the A7 autoroutes, both forming the \"Autoroute du Soleil\".\n\nLyon 3: Berges du Rhône campus\n\nLyon 2: Berges du Rhône campus\n\nIPSA Lyon Campus\n\nPlatform I, Lyon-Part-Dieu train station\n\nT1 tramway on the Raymond Barre bridge", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| May | Month Jan | Feb | Mar | Apr | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| 34.2 | Record high 19.1 | 21.9 | 26.0 | 30.1 | 38.4 | 40.4 | 41.4 | 35.8 | 28.4 | 23.0 | 20.2 | 41.4 |\n| (93.6) | °C (°F) (66.4) | (71.4) | (78.8) | (86.2) | (101.1) | (104.7) | (106.5) | (96.4) | (83.1) | (73.4) | (68.4) | (106.5) |\n| 21.5 | Mean daily 7.1 | 9.0 | 13.8 | 17.4 | 25.6 | 28.2 | 28.0 | 23.1 | 17.7 | 11.4 | 7.7 | 17.5 |\n| | maximum | | | | | | | | | | | |\n| (70.7) | (44.8) °C (°F) | (48.2) | (56.8) | (63.3) | (78.1) | (82.8) | (82.4) | (73.6) | (63.9) | (52.5) | (45.9) | (63.5) |\n| 16.3 | Daily mean 4.1 | 5.2 | 9.0 | 12.3 | 20.3 | 22.6 | 22.3 | 17.9 | 13.7 | 8.1 | 4.8 | 13.0 |\n| (61.3) | °C (°F) (39.4) | (41.4) | (48.2) | (54.1) | (68.5) | (72.7) | (72.1) | (64.2) | (56.7) | (46.6) | (40.6) | (55.4) |\n| 11.2 | Mean daily 1.1 | 1.4 | 4.2 | 7.2 | 15.0 | 17.0 | 16.6 | 12.8 | 9.6 | 4.9 | 2.0 | 8.6 |\n| (52.2) | minimum °C (34.0) | (34.5) | (39.6) | (45.0) | (59.0) | (62.6) | (61.9) | (55.0) | (49.3) | (40.8) | (35.6) | (47.5) |\n| | (°F) | | | | | | | | | | | |\n| −3.8 | Record low −23.0 | −22.5 | −10.5 | −4.4 | 2.3 | 6.1 | 4.6 | 0.2 | −4.5 | −9.4 | −24.6 | −24.6 |\n| (25.2) | °C (°F) (−9.4) | (−8.5) | (13.1) | (24.1) | (36.1) | (43.0) | (40.3) | (32.4) | (23.9) | (15.1) | (−12.3) | (−12.3) |\n| | Average | | | | | | | | | | | |\n| 80.9 | 49.8 precipitation | 41.6 | 49.4 | 68.9 | 74.1 | 67.4 | 65.5 | 82.5 | 99.8 | 87.2 | 53.7 | 820.8 |\n| (3.19) | (1.96) mm (inches) | (1.64) | (1.94) | (2.71) | (2.92) | (2.65) | (2.58) | (3.25) | (3.93) | (3.43) | (2.11) | (32.31) |\n| | Average | | | | | | | | | | | |\n| | precipitation | | | | | | | | | | | |\n| 10.3 | 8.1 days | 7.9 | 8.4 | 9.0 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| | (≥ 1.0 mm) | | | | | | | | | | | |\n| | Mean | | | | | | | | | | | |\n| 223.8 | monthly 71.1 | 102.4 | 173.7 | 197.7 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| | sunshine | | | | | | | | | | | |\n| | hours | | | | | | | | | | | |\n| Source 1: Meteo France | | | | | | [40] | | | | | | |\n| Source 2: Meteo Lyon | | | | | | [41] | | | | | | |", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "How big was Lyon's population in 2022? ", - "target_page": 2, - "target_passage": "Population (2022) 520,774", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **Lyon**\n\n**Lyon**[c] (Franco-Provençal: *Liyon*) is the second-largest city in France by urban area and the third largest by city limits.[14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km2 (19 sq mi),[15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021.[16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon.[18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## **History**\n\ncompanion\")\n\n**Location of Lyon**\n\n[b]\n\n**Toponymy**", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "All figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for the commune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is computed using the figure for the commune of Lyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000. Source: EHESS [70] and INSEE [71]\n\n## **Foreign-born**\n\n# **Education**\n\n### **Universities and tertiary education**\n\n- École Centrale de Lyon;\n- École Normale Supérieure de Lyon\n- EM Lyon (École de Management de Lyon);\n- ECE Lyon (École de Commerce Européenne de Lyon);\n- Institut d'études politiques de Lyon (Sciences Po Lyon);\n- CPE Lyon;\n- CNSMD (Conservatoire national supérieur de musique et de danse de Lyon)\n- ECAM Lyon (École Catholique d'Arts et Métiers de Lyon);\n- EPITECH;\n- EPITA;\n- ENTPE (École Nationale des Travaux Publiques de l'État);\n- École nationale vétérinaire de Lyon (ENVL);\n- ESME-Sudria;\n- École des Beaux-Arts;\n- E-Artsup;\n- INSA Lyon (Institut National des Sciences Appliquées de Lyon);\n- Polytech Lyon;\n- Institut supérieur européen de gestion group;\n- ISARA (Institut Supérieur d'Agriculture Rhône Alpes);\n- Institution des Chartreux;\n- Institut polytechnique des sciences avancées;\n- Université Claude Bernard (Lyon 1);\n- Université Lumière (Lyon 2);\n- Université Jean Moulin (Lyon 3);\n- IAE (Institut d'Administration des Entreprises de Lyon);\n- Institut Sup'Biotech de Paris;\n- Catholic University of Lyon;\n- ESDES Business School;\n- IDRAC (International School of Management);\n- Wesford Graduate Business School;\n- IFAG (Business Management School);\n- Institut supérieur européen de formation par l'action;\n- Le Lycée du Parc;\n- La Martinière Lyon;\n- Web@cademie;\n- CEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);\n\nForeign-born population in Lyon by country of birth [72]\n\n| Country of birth | Population (2020) |\n| --- | --- |\n| Algeria | 14,779 |\n| Morocco | 5,245 |\n| Tunisia | 4,879 |\n| Italy | 3,351 |\n| Portugal | 3,068 |\n| Spain | 2,064 |\n| DR Congo | 1,520 |\n| China | 1,429 |\n| Cameroon | 1,364 |\n| Senegal | 1,198 |\n\nENS Lyon: René Descartes campus\n\nLyon 3: Manufacture des Tabacs campus", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Mayor | Term start | Term end | Party |\n| --- | --- | --- | --- |\n| Antoine Gailleton | 1881 | 1900 | |\n| Victor Augagneur | 1900 | 30 October 1905 | PRS |\n| Édouard Herriot | 30 October 1905 | 20 September 1940 | Radical |\n| Georges Cohendy | 20 September 1940 | 1941 | Nominated and dismissed by Vichy |\n| Georges Villiers | 1941 | 1942 | Nominated and dismissed by Vichy |\n| Pierre-Louis-André Bertrand | 1942 | 1944 | Nominated by Vichy |\n| Justin Godart | 1944 | 18 May 1945 | Radical |\n| Édouard Herriot | 18 May 1945 | 26 March 1957 | Radical |\n| Pierre Montel, ad interim | 26 March 1957 | 14 April 1957 | Radical |\n| Louis Pradel | 14 April 1957 | 27 November 1976 | DVD |\n| Armand Tapernoux, ad interim | 27 November 1976 | 5 December 1976 | DVD |\n| Francisque Collomb | 5 December 1976 | 24 March 1989 | DVD |\n| Michel Noir | 24 March 1989 | 25 June 1995 | RPR |\n| Raymond Barre | 25 June 1995 | 25 March 2001 | DVD |\n| Gérard Collomb | 25 March 2001 | 17 July 2017 | PS |\n| Georges Képénékian | 17 July 2017 | 5 November 2018 | LREM |\n| Gérard Collomb | 5 November 2018 | 4 July 2020 | LREM |\n| Grégory Doucet | 4 July 2020 | Incumbent | EELV |\n\n### **Metropolis**\n\nSince 2015, the commune of Lyon (48 km 2 (19 sq mi) in land area) and 58 suburban communes have formed the Metropolis of Lyon (534 km2 (206 sq mi) in land area), a directly elected metropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only metropolitan authority in France which is a territorial collectivity, on par with French communes and departments. Its metropolitan council was for the first time directly elected by universal suffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in France.\n\nThe 14 electoral wards are the following (see map for location):\n\n- Lônes et coteaux Lyon-Centre (Lyon-Centre) Lyon-Est (Lyon-East) Lyon-Nord (Lyon-North) Lyon-Ouest Lyon-Sud Lyon-Sud-Est Ouest Plateau Nord-Caluire Porte des Alpes Portes du Sud Rhône Amont Val de Saône Villeurbanne\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is coterminous with the namesake commune. All other seven wards each group various suburban communes.\n\nMap of the Metropolis of Lyon and its 59 communes (the commune of Lyon is in red)", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia4.pdf" - }, - { - "text": "The division of the Metropolis of Lyon in large electoral wards often grouping various communes and dividing the commune of Lyon into six wards was criticized by the suburban mayors, as it ended the rule of 'one commune, one metropolitan councilor'. The goal of this electoral division of the metropolis was to focus metropolitan elections more on metropolitan issues than parochial communal issues, and ensure the 'one person, one vote' rule be respected, by creating electoral wards of more homogeneous population sizes. Opponents said it diluted the voice of the small suburban communes, which are now part of large electoral wards and do not each possess a representative in the metropolitan council anymore.\n\n#### **Presidents of the Metropolitan Council**\n\nThe two first presidents of the Metropolis of Lyon's metropolitan council were chosen by indirectly elected metropolitan councilors. The current president since July 2020 was elected by new metropolitan councilors following their election by universal suffrage in March (1st round) and June (2nd round) 2020, the first direct election of a metropolitan council in France.\n\n| President of the Metropolitan Council | Term start | Term end | Party |\n| --- | --- | --- | --- |\n| Gérard Collomb | 1 January 2015 | 10 July 2017 | PS |\n| David Kimelfeld | 10 July 2017 | 2 July 2020 | LREM |\n| Bruno Bernard | 2 July 2020 | Incumbent | EELV |\n\nMap showing the 14 electoral wards of the Metropolis of Lyon\n\n# **Main sights**\n\n### **Antiquity**\n\n- The Roman ruins on the hillside near the Fourvière Basilica, with the Ancient Theatre of Fourvière, the Odeon of Lyon and the accompanying Gallo-Roman museum\n- Amphitheatre of the Three Gauls ruins of a Roman amphitheatre.\n\nAncient Theatre of Fourvière Odeon of Lyon Amphitheatre of the Three Gauls\n\n#### **Middle Ages and Renaissance**\n\n- Cathedral of St. John, a medieval church with architectural elements of the 13th, 14th and 15th centuries, also the principal religious structure in the city and the seat of the Archbishop of Lyon\n- Basilica of St-Martin-d'Ainay, one of the rare surviving Romanesque basilica-style churches in Lyon\n- Église Saint-Paul, Romanesque (12th and 13th century) and Gothic (15th–16th century) church\n- Église Saint-Bonaventure, 14th- and 15th-century Gothic church\n- Église Saint-Nizier, Gothic church from the 15th century, having a doorway carved in the 16th century by Philibert Delorme\n- Vieux Lyon (English: Old Lyon) area, Medieval and Renaissance quarter of the town, with shops, dining and cobbled streets\n- The many Renaissance *hôtels particuliers* of the Old Lyon quarter, such as the *Hôtel de Bullioud*, were also built by Philibert Delorme", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 6. INSEE. \"Statistiques locales Lyon : Unité urbaine 2020 Population municipale 2021\" (https://statistiques-loc ales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12). Retrieved 12 July 2024.\n- 7. INSEE. \"Statistiques locales Lyon : Aire d'attraction des villes 2020 Population municipale 2021\" (https://sta tistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1 3). Retrieved 12 July 2024.\n- 8. Wells, John C. (2008). *Longman Pronunciation Dictionary* (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n- 9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). *Lexico UK English Dictionary*. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons) on 24 January 2020.\n- 10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). *Cambridge English Pronouncing Dictionary* (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n- 11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). *Merriam-Webster.com Dictionary*. Merriam-Webster. Retrieved 8 August 2018.\n- 12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). *Collins English Dictionary*. HarperCollins. Retrieved 8 August 2018.\n- 13. \"dicod'Òc Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc& view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5 B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5 B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). *locongres.org*. Retrieved 1 April 2022.\n- 14. https://about-france.com/tourism/main-towns-cities.htm\n- 15. INSEE. \"Statistiques locales Lyon : Commune Population municipale 2021\" (https://statistiques-locales.inse e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=691 23&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n- 16. \"Statistiques locales Métropole de Lyon : Intercommunalité 2021 Population municipale 2021\" (https://statis tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=202 1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n- 17. \"Lyon entrepreneurship, Lyon company, Invest Lyon Greater Lyon\" (https://web.archive.org/web/201003081 31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?& L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n- 18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved 8 April 2022.\n- 19. \"GaWC The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html). *www.lboro.ac.uk*.\n- 20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankin gs). *mobilityexchange.mercer.com*.\n- 21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). *Les Miscellanées des Lyonnais* (https://poutan.fr/si te/). éditions du poutan.\n- 22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/3700 3-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). *Le Figaro* (in French). 30 March 2017. Retrieved 8 September 2023.\n- 23. Pokorny, Julius (1959). *Indogermanisches Etymologisches Wörterbuch* (in German). French & European Publications, Inc.\n- 24. Stich, Domenico (2003). *Dictionnaire francoprovençal-français et français-francoprovençal* (in French). Le Carré. p. 189. ISBN 978-2908150155.\n- 25. Cassius Dio, *Roman History*, Book 46: *Lepidus and Lucius Plancus [...] founded the town called Lugudunum, now known as Lugdunum*\n- 26. Louis, Jaucourt de chevalier (1765). \"Lyon\". *Encyclopedia of Diderot & d'Alembert Collaborative Translation Project*. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).\n- 27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html). *www.maryjones.us*. n.d. Retrieved 7 November 2021. \"*Lugduno – desiderato monte: dunum enim montem* Lugduno: \"mountain of yearning\"; dunum of course is mountain.\" www.maryjones.us/ctexts/endlicher_glossary.html\n- 28. Patrick Boucheron, et al., eds. *France in the World: A New Global History* (2019) pp 63-68.\n- 29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). *Sanctoral.com*. Magnificat.\n- 30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/284 7-Primat-des-Gaules.html). *France-catholique.fr*. 13 September 2002. Archived from the original (https://www.f rance-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Lyon is also home to the Lyon Hockey Club, an ice hockey team that competes in France's national ice hockey league. The Patinoire Charlemagne is the seat of Club des Sports de Glace de Lyon, the club of Olympic ice dancing champions Marina Anissina and Gwendal Peizerat, and world champions Isabelle Delobel and Olivier Shoenfelder. [65] Lyon-Villeurbanne also has a basketball team, ASVEL, that plays at the Astroballe arena.\n\nStade de Gerland\n\n#### **Street art**\n\nSince 2000, Birdy Kids, a group of graffiti artists from the city, has decorated several random buildings and walls along the Lyon ring road. In 2012, the artist collective was chosen to represent the city as its cultural ambassadors.[66]\n\n## **Demographics**\n\nThe population of the city (commune) of Lyon proper was 522,250 at the January 2021 census.[15] As of 2011, 14% of its population was born outside Metropolitan France.[67]\n\n| | | | | Population of Lyon (commune) | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | (within 2020 borders) | | | | |\n| Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. |\n| 1801 | 101,760 | — | 1876 | 344,513 | +1.33% | 1946 | 464,104 | +0.02% |\n| 1806 | 114,643 | +2.41% | 1881 | 378,581 | +1.84% | 1954 | 475,343 | +0.29% |\n| 1821 | 149,611 | +1.79% | 1886 | 404,172 | +1.45% | 1962 | 535,746 | +1.54% |\n| 1831 | 182,668 | +2.02% | 1891 | 440,315 | +1.78% | 1968 | 527,800 | −0.25% |\n| 1836 | 198,683 | +1.60% | 1896 | 468,311 | +1.25% | 1975 | 456,716 | −2.06% |\n| 1841 | 206,670 | +0.79% | 1901 | 461,687 | −0.29% | 1982 | 413,095 | −1.42% |\n| 1846 | 238,466 | +2.86% | 1906 | 474,652 | +0.56% | 1990 | 415,487 | +0.07% |\n| 1851 | 259,220 | +1.68% | 1911 | 462,248 | −0.53% | 1999 | 445,452 | +0.78% |\n| 1856 | 293,743 | +2.66% | 1921 | 462,446 | +0.00% | 2010 | 484,344 | +0.78% |\n| 1861 | 320,326 | +1.72% | 1926 | 463,125 | +0.03% | 2015 | 513,275 | +1.17% |\n| 1866 | 325,219 | +0.30% | 1931 | 463,647 | +0.02% | 2021 | 522,250 | +0.29% |\n| 1872 | 324,590 | −0.03% | 1936 | 463,061 | −0.03% | | | |\n\nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are the redressed figures calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is the one published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000. Source: EHESS [69] and INSEE [15]\n\nThe city of Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021.[16]\n\n| | | | | Population of Lyon (metropolis) (59 communes, within 2020 borders) | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. |\n| 1861 | 418,515 | — | 1906 | 627,073 | +0.60% | 1968 | 1,077,794 | +2.17% |\n| 1866 | 427,522 | +0.43% | 1911 | 629,931 | +0.09% | 1975 | 1,153,402 | +0.98% |\n| 1872 | 426,552 | −0.04% | 1921 | 659,007 | +0.45% | 1982 | 1,138,718 | −0.18% |\n| 1876 | 453,540 | +1.37% | 1926 | 691,446 | +0.97% | 1990 | 1,166,797 | +0.30% |\n| 1881 | 493,778 | +1.66% | 1931 | 743,297 | +1.46% | 1999 | 1,199,589 | +0.31% |\n| 1886 | 527,621 | +1.47% | 1936 | 738,220 | −0.14% | 2010 | 1,296,166 | +0.72% |\n| 1891 | 566,115 | +1.46% | 1946 | 746,062 | +0.11% | 2015 | 1,370,678 | +1.12% |\n| 1896 | 600,881 | +1.21% | 1954 | 790,662 | +0.71% | 2021 | 1,424,069 | +0.64% |\n| 1901 | 608,856 | +0.26% | 1962 | 947,569 | +2.34% | | | |", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| May | Month Jan | Feb | Mar | Apr | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| 34.2 | Record high 19.1 | 21.9 | 26.0 | 30.1 | 38.4 | 40.4 | 41.4 | 35.8 | 28.4 | 23.0 | 20.2 | 41.4 |\n| (93.6) | °C (°F) (66.4) | (71.4) | (78.8) | (86.2) | (101.1) | (104.7) | (106.5) | (96.4) | (83.1) | (73.4) | (68.4) | (106.5) |\n| 21.5 | Mean daily 7.1 | 9.0 | 13.8 | 17.4 | 25.6 | 28.2 | 28.0 | 23.1 | 17.7 | 11.4 | 7.7 | 17.5 |\n| | maximum | | | | | | | | | | | |\n| (70.7) | (44.8) °C (°F) | (48.2) | (56.8) | (63.3) | (78.1) | (82.8) | (82.4) | (73.6) | (63.9) | (52.5) | (45.9) | (63.5) |\n| 16.3 | Daily mean 4.1 | 5.2 | 9.0 | 12.3 | 20.3 | 22.6 | 22.3 | 17.9 | 13.7 | 8.1 | 4.8 | 13.0 |\n| (61.3) | °C (°F) (39.4) | (41.4) | (48.2) | (54.1) | (68.5) | (72.7) | (72.1) | (64.2) | (56.7) | (46.6) | (40.6) | (55.4) |\n| 11.2 | Mean daily 1.1 | 1.4 | 4.2 | 7.2 | 15.0 | 17.0 | 16.6 | 12.8 | 9.6 | 4.9 | 2.0 | 8.6 |\n| (52.2) | minimum °C (34.0) | (34.5) | (39.6) | (45.0) | (59.0) | (62.6) | (61.9) | (55.0) | (49.3) | (40.8) | (35.6) | (47.5) |\n| | (°F) | | | | | | | | | | | |\n| −3.8 | Record low −23.0 | −22.5 | −10.5 | −4.4 | 2.3 | 6.1 | 4.6 | 0.2 | −4.5 | −9.4 | −24.6 | −24.6 |\n| (25.2) | °C (°F) (−9.4) | (−8.5) | (13.1) | (24.1) | (36.1) | (43.0) | (40.3) | (32.4) | (23.9) | (15.1) | (−12.3) | (−12.3) |\n| | Average | | | | | | | | | | | |\n| 80.9 | 49.8 precipitation | 41.6 | 49.4 | 68.9 | 74.1 | 67.4 | 65.5 | 82.5 | 99.8 | 87.2 | 53.7 | 820.8 |\n| (3.19) | (1.96) mm (inches) | (1.64) | (1.94) | (2.71) | (2.92) | (2.65) | (2.58) | (3.25) | (3.93) | (3.43) | (2.11) | (32.31) |\n| | Average | | | | | | | | | | | |\n| | precipitation | | | | | | | | | | | |\n| 10.3 | 8.1 days | 7.9 | 8.4 | 9.0 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| | (≥ 1.0 mm) | | | | | | | | | | | |\n| | Mean | | | | | | | | | | | |\n| 223.8 | monthly 71.1 | 102.4 | 173.7 | 197.7 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| | sunshine | | | | | | | | | | | |\n| | hours | | | | | | | | | | | |\n| Source 1: Meteo France | | | | | | [40] | | | | | | |\n| Source 2: Meteo Lyon | | | | | | [41] | | | | | | |", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - }, - { - "text": "1,600,000 m 2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48] *Cité Internationale*, created by the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide headquarters of Interpol is located there. The district of *Confluence*, in the south of the historic centre, is a new pole of economical and cultural development.\n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 provided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon ranked first in France for hostels business. The festivals most important for attracting tourists are the *Fête des lumières*, the *Nuits de Fourvière* every summer, the *Biennale d'art contemporain* and the *Nuits Sonores*.\n\n# **Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco-Provençal. The Lyonnais dialect was replaced by the French language as the importance of the city grew. However some \"frenchified\" Franco-Provençal words can also be heard in the French of the Lyonnais, who call their little boys and girls \"gones\" and \"fenottes\" for example.[49]\n\n- The Lumière brothers pioneered cinema in the town in 1895. The Institut Lumière, built as Auguste Lumiere's house, and a fascinating piece of architecture in its own right, holds many of their first inventions and other early cinematic and photographic artifacts.\nGuignol, created in the early 19th C., associated with the silk-workers\n\n8 December each year is marked by the Festival of Lights (la Fête des lumières), a celebration of thanks to the Virgin Mary, who purportedly saved the city from a deadly plague in the Middle Ages. During the event, the local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale light shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean.\n\n- The Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting audiences from around the world.\n- The Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house was re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named after him.\n- Lyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the city. This old tradition is now finding a contemporary expression, for example in the art of Guillaume Bottazzi.[50][51]\n- The Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North America, was founded in Lyon in 1821.\n- The African Museum of Lyon is one of the oldest museums situated in Lyon.[52]\n- The Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance movement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the French resistance and many members were shot in Place Bellecour in the town centre. The exhibition is largely a series of , mini-biographies of those involved.\n- Lyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program.\n\n## **UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and strategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the Renaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture from the 12th century to modern times.[53]", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| | | | | | | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high | 16.3 | 21.4 | 25.7 | 28.0 | 29.4 | 34.4 | 39.8 | 37.1 | 33.8 | 28.4 | 22.6 | 20.2 | 39.8 |\n| °C (°F) | (61.3) | (70.5) | (78.3) | (82.4) | (84.9) | (93.9) | (103.6) | (98.8) | (92.8) | (83.1) | (72.7) | (68.4) | (103.6) |\n| Mean | 10.2 | 14.4 | 15.9 | 18.6 | 23.1 | 28.8 | 32.8 | 28.1 | 27.3 | 19.7 | 14.1 | 9.5 | 32.8 |\n| maximum °C | (50.4) | (57.9) | (60.6) | (65.5) | (73.6) | (83.8) | (91.0) | (82.6) | (81.1) | (67.5) | (57.4) | (49.1) | (91.0) |\n| (°F) | | | | | | | | | | | | | |\n| Mean daily | 6.1 | 8.2 | 11.6 | 15.2 | 19.1 | 22.9 | 26.1 | 26.0 | 22.4 | 17.1 | 10.0 | 6.4 | 15.9 |\n| maximum °C | (43.0) | (46.8) | (52.9) | (59.4) | (66.4) | (73.2) | (79.0) | (78.8) | (72.3) | (62.8) | (50.0) | (43.5) | (60.7) |\n| (°F) | | | | | | | | | | | | | |\n| Daily mean °C | 3.0 | 4.9 | 7.4 | 10.2 | 14.0 | 17.6 | 20.6 | 20.0 | 17.1 | 12.7 | 6.7 | 3.9 | 11.5 |\n| (°F) | (37.4) | (40.8) | (45.3) | (50.4) | (57.2) | (63.7) | (69.1) | (68.0) | (62.8) | (54.9) | (44.1) | (39.0) | (52.7) |\n| Mean daily | 0.2 | 1.4 | 2.9 | 5.2 | 9.1 | 12.5 | 14.8 | 14.4 | 11.7 | 8.3 | 3.5 | 0.7 | 7.1 |\n| minimum °C | (32.4) | (34.5) | (37.2) | (41.4) | (48.4) | (54.5) | (58.6) | (57.9) | (53.1) | (46.9) | (38.3) | (33.3) | (44.7) |\n| (°F) | | | | | | | | | | | | | |\n| Mean minimum °C | −7.0 | −4.7 | −1.4 | 3.2 | 7.6 | 10.9 | 13.1 | 12.9 | 8.1 | 4.5 | 1.0 | −4.7 | −7.0 |\n| (°F) | (19.4) | (23.5) | (29.5) | (37.8) | (45.7) | (51.6) | (55.6) | (55.2) | (46.6) | (40.1) | (33.8) | (23.5) | (19.4) |\n| Record low °C | −23.0 | −19.3 | −10.5 | −3.2 | −0.3 | 3.6 | 6.1 | 5.2 | 1.9 | −3.2 | −7.1 | −16.0 | −23.0 |\n| (°F) | (−9.4) | (−2.7) | (13.1) | (26.2) | (31.5) | (38.5) | (43.0) | (41.4) | (35.4) | (26.2) | (19.2) | (3.2) | (−9.4) |\n| Average precipitation | 54.0 | 53.8 | 72.2 | 56.1 | 72.6 | 73.2 | 54.5 | 71.6 | 53.2 | 56.2 | 68.0 | 55.8 | 741.2 |\n| mm (inches) | (2.13) | (2.12) | (2.84) | (2.21) | (2.86) | (2.88) | (2.15) | (2.82) | (2.09) | (2.21) | (2.68) | (2.20) | (29.19) |\n| Average | | | | | | | | | | | | | |\n| precipitation | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| days | | | | | | | | | | | | | |\n| (≥ 1.0 mm) | | | | | | | | | | | | | |\n| Average | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| snowy days | | | | | | | | | | | | | |\n| Average | | | | | | | | | | | | | |\n| relative | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| humidity (%) | | | | | | | | | | | | | |\n| Mean monthly | | | | | | | | | | | | | |\n| sunshine | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| hours | | | | | | | | | | | | | |\n| Percent | | | | | | | | | | | | | |\n| possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| | | | | | | Source 1: NOAA | [42] | | | | | | |\n| | | | | | | Source 2: Infoclimat.fr (humidity) | | [43] | | | | | |\n\n# **Administration**\n\n#### **Commune**\n\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each of which is identified by a number and has its own council and town hall. Five arrondissements were originally created in 1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between 1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three times, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to Lyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th – and, to date, final – arrondissement. Within each arrondissement, the recognisable *quartiers* or neighbourhoods are:\n\n- 1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## **Climate**\n\nLyon has a humid subtropical climate (Köppen: *Cfa*), bordering an oceanic climate (*Köppen*: *Cfb*, Trewartha: *Do*).[38] The mean temperature in Lyon in the coldest month is 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). Precipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter months are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 August 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 December 1938.[39]\n\nIce on the Saône, 2012", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "What is the climate in Lyon ?", - "target_page": 5, - "target_passage": " Lyon has a humid subtropical climate ( Köppen: Cfa), bordering an oceanic climate (Köppen: Cfb, Trewartha: Do).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **Climate**\n\nLyon has a humid subtropical climate (Köppen: *Cfa*), bordering an oceanic climate (*Köppen*: *Cfb*, Trewartha: *Do*).[38] The mean temperature in Lyon in the coldest month is 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). Precipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter months are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 August 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22 December 1938.[39]\n\nIce on the Saône, 2012", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| May | Month Jan | Feb | Mar | Apr | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| 34.2 | Record high 19.1 | 21.9 | 26.0 | 30.1 | 38.4 | 40.4 | 41.4 | 35.8 | 28.4 | 23.0 | 20.2 | 41.4 |\n| (93.6) | °C (°F) (66.4) | (71.4) | (78.8) | (86.2) | (101.1) | (104.7) | (106.5) | (96.4) | (83.1) | (73.4) | (68.4) | (106.5) |\n| 21.5 | Mean daily 7.1 | 9.0 | 13.8 | 17.4 | 25.6 | 28.2 | 28.0 | 23.1 | 17.7 | 11.4 | 7.7 | 17.5 |\n| | maximum | | | | | | | | | | | |\n| (70.7) | (44.8) °C (°F) | (48.2) | (56.8) | (63.3) | (78.1) | (82.8) | (82.4) | (73.6) | (63.9) | (52.5) | (45.9) | (63.5) |\n| 16.3 | Daily mean 4.1 | 5.2 | 9.0 | 12.3 | 20.3 | 22.6 | 22.3 | 17.9 | 13.7 | 8.1 | 4.8 | 13.0 |\n| (61.3) | °C (°F) (39.4) | (41.4) | (48.2) | (54.1) | (68.5) | (72.7) | (72.1) | (64.2) | (56.7) | (46.6) | (40.6) | (55.4) |\n| 11.2 | Mean daily 1.1 | 1.4 | 4.2 | 7.2 | 15.0 | 17.0 | 16.6 | 12.8 | 9.6 | 4.9 | 2.0 | 8.6 |\n| (52.2) | minimum °C (34.0) | (34.5) | (39.6) | (45.0) | (59.0) | (62.6) | (61.9) | (55.0) | (49.3) | (40.8) | (35.6) | (47.5) |\n| | (°F) | | | | | | | | | | | |\n| −3.8 | Record low −23.0 | −22.5 | −10.5 | −4.4 | 2.3 | 6.1 | 4.6 | 0.2 | −4.5 | −9.4 | −24.6 | −24.6 |\n| (25.2) | °C (°F) (−9.4) | (−8.5) | (13.1) | (24.1) | (36.1) | (43.0) | (40.3) | (32.4) | (23.9) | (15.1) | (−12.3) | (−12.3) |\n| | Average | | | | | | | | | | | |\n| 80.9 | 49.8 precipitation | 41.6 | 49.4 | 68.9 | 74.1 | 67.4 | 65.5 | 82.5 | 99.8 | 87.2 | 53.7 | 820.8 |\n| (3.19) | (1.96) mm (inches) | (1.64) | (1.94) | (2.71) | (2.92) | (2.65) | (2.58) | (3.25) | (3.93) | (3.43) | (2.11) | (32.31) |\n| | Average | | | | | | | | | | | |\n| | precipitation | | | | | | | | | | | |\n| 10.3 | 8.1 days | 7.9 | 8.4 | 9.0 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| | (≥ 1.0 mm) | | | | | | | | | | | |\n| | Mean | | | | | | | | | | | |\n| 223.8 | monthly 71.1 | 102.4 | 173.7 | 197.7 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| | sunshine | | | | | | | | | | | |\n| | hours | | | | | | | | | | | |\n| Source 1: Meteo France | | | | | | [40] | | | | | | |\n| Source 2: Meteo Lyon | | | | | | [41] | | | | | | |", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| | | | | | | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high | 16.3 | 21.4 | 25.7 | 28.0 | 29.4 | 34.4 | 39.8 | 37.1 | 33.8 | 28.4 | 22.6 | 20.2 | 39.8 |\n| °C (°F) | (61.3) | (70.5) | (78.3) | (82.4) | (84.9) | (93.9) | (103.6) | (98.8) | (92.8) | (83.1) | (72.7) | (68.4) | (103.6) |\n| Mean | 10.2 | 14.4 | 15.9 | 18.6 | 23.1 | 28.8 | 32.8 | 28.1 | 27.3 | 19.7 | 14.1 | 9.5 | 32.8 |\n| maximum °C | (50.4) | (57.9) | (60.6) | (65.5) | (73.6) | (83.8) | (91.0) | (82.6) | (81.1) | (67.5) | (57.4) | (49.1) | (91.0) |\n| (°F) | | | | | | | | | | | | | |\n| Mean daily | 6.1 | 8.2 | 11.6 | 15.2 | 19.1 | 22.9 | 26.1 | 26.0 | 22.4 | 17.1 | 10.0 | 6.4 | 15.9 |\n| maximum °C | (43.0) | (46.8) | (52.9) | (59.4) | (66.4) | (73.2) | (79.0) | (78.8) | (72.3) | (62.8) | (50.0) | (43.5) | (60.7) |\n| (°F) | | | | | | | | | | | | | |\n| Daily mean °C | 3.0 | 4.9 | 7.4 | 10.2 | 14.0 | 17.6 | 20.6 | 20.0 | 17.1 | 12.7 | 6.7 | 3.9 | 11.5 |\n| (°F) | (37.4) | (40.8) | (45.3) | (50.4) | (57.2) | (63.7) | (69.1) | (68.0) | (62.8) | (54.9) | (44.1) | (39.0) | (52.7) |\n| Mean daily | 0.2 | 1.4 | 2.9 | 5.2 | 9.1 | 12.5 | 14.8 | 14.4 | 11.7 | 8.3 | 3.5 | 0.7 | 7.1 |\n| minimum °C | (32.4) | (34.5) | (37.2) | (41.4) | (48.4) | (54.5) | (58.6) | (57.9) | (53.1) | (46.9) | (38.3) | (33.3) | (44.7) |\n| (°F) | | | | | | | | | | | | | |\n| Mean minimum °C | −7.0 | −4.7 | −1.4 | 3.2 | 7.6 | 10.9 | 13.1 | 12.9 | 8.1 | 4.5 | 1.0 | −4.7 | −7.0 |\n| (°F) | (19.4) | (23.5) | (29.5) | (37.8) | (45.7) | (51.6) | (55.6) | (55.2) | (46.6) | (40.1) | (33.8) | (23.5) | (19.4) |\n| Record low °C | −23.0 | −19.3 | −10.5 | −3.2 | −0.3 | 3.6 | 6.1 | 5.2 | 1.9 | −3.2 | −7.1 | −16.0 | −23.0 |\n| (°F) | (−9.4) | (−2.7) | (13.1) | (26.2) | (31.5) | (38.5) | (43.0) | (41.4) | (35.4) | (26.2) | (19.2) | (3.2) | (−9.4) |\n| Average precipitation | 54.0 | 53.8 | 72.2 | 56.1 | 72.6 | 73.2 | 54.5 | 71.6 | 53.2 | 56.2 | 68.0 | 55.8 | 741.2 |\n| mm (inches) | (2.13) | (2.12) | (2.84) | (2.21) | (2.86) | (2.88) | (2.15) | (2.82) | (2.09) | (2.21) | (2.68) | (2.20) | (29.19) |\n| Average | | | | | | | | | | | | | |\n| precipitation | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| days | | | | | | | | | | | | | |\n| (≥ 1.0 mm) | | | | | | | | | | | | | |\n| Average | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| snowy days | | | | | | | | | | | | | |\n| Average | | | | | | | | | | | | | |\n| relative | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| humidity (%) | | | | | | | | | | | | | |\n| Mean monthly | | | | | | | | | | | | | |\n| sunshine | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| hours | | | | | | | | | | | | | |\n| Percent | | | | | | | | | | | | | |\n| possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| | | | | | | Source 1: NOAA | [42] | | | | | | |\n| | | | | | | Source 2: Infoclimat.fr (humidity) | | [43] | | | | | |\n\n# **Administration**\n\n#### **Commune**\n\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each of which is identified by a number and has its own council and town hall. Five arrondissements were originally created in 1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between 1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three times, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to Lyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th – and, to date, final – arrondissement. Within each arrondissement, the recognisable *quartiers* or neighbourhoods are:\n\n- 1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - }, - { - "text": "# **Lyon**\n\n**Lyon**[c] (Franco-Provençal: *Liyon*) is the second-largest city in France by urban area and the third largest by city limits.[14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km2 (19 sq mi),[15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021.[16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon.[18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## **History**\n\ncompanion\")\n\n**Location of Lyon**\n\n[b]\n\n**Toponymy**", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 31. Braudel 1984 p. 327\n- 32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01 150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011 50.htm) on 19 January 2011. Retrieved 3 April 2011.\n- 33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli sh_1). *Chrd.lyon.fr*. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) on 24 January 2011. Retrieved 21 December 2017.\n- 34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal. com/article/273644). *Digitaljournal.com*.\n- 35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2), Larousse, 1999 p. 53 ISBN 2-03-505047-2\n- 36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n- 37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). *unesco.org*. UNESCO World Heritage Centre. Retrieved 31 July 2015.\n- 38. Gregory, Stanley. \"Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http s://www.jstor.org/stable/25636095).\" *Erdkunde*, vol. 8, no. 4, 1954, pp. 246–252. *JSTOR.*\n- 39. \"Données climatiques de la station de Lyon: Relevés de 2016 Lyon\" (https://web.archive.org/web/20161004 055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France. Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October 2016. Retrieved 2 October 2016.\n- 40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF). *Fiche Climatologique: Statistiques 1991–2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n- 41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). *meteo-lyon.net* (in French). Météo Villes. Retrieved 7 September 2023.\n- 42. \"Lyon–Bron (07480) WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm alsNOAALyonBron) 8 February 2019, at the Wayback Machine\n- 43. \"Normes et records 1961–1990: Lyon-Bron (69) altitude 198m\" (https://web.archive.org/web/201603032035 26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February 2019.\n- 44. \"St-Irénée France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). *sacreddestinations.com*.\n- 45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin ema.fr/en/). *Musée Miniature et Cinéma*.\n- 46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved 16 January 2023.\n- 47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde. fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). *Le Monde*. France. Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n- 48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2 315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html) on 24 April 2010. Retrieved 3 April 2011.\n- 49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais*, Lyon 1864\n- 50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives. htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24 January 2010. Retrieved 25 January 2010.\n- 51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.\n- 52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19 February 2009. Retrieved 5 February 2009.\n- 53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website. Retrieved 26 November 2009.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "1,600,000 m 2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48] *Cité Internationale*, created by the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide headquarters of Interpol is located there. The district of *Confluence*, in the south of the historic centre, is a new pole of economical and cultural development.\n\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006 provided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon ranked first in France for hostels business. The festivals most important for attracting tourists are the *Fête des lumières*, the *Nuits de Fourvière* every summer, the *Biennale d'art contemporain* and the *Nuits Sonores*.\n\n# **Culture**\n\nSince the Middle Ages, the region residents have spoken several dialects of Franco-Provençal. The Lyonnais dialect was replaced by the French language as the importance of the city grew. However some \"frenchified\" Franco-Provençal words can also be heard in the French of the Lyonnais, who call their little boys and girls \"gones\" and \"fenottes\" for example.[49]\n\n- The Lumière brothers pioneered cinema in the town in 1895. The Institut Lumière, built as Auguste Lumiere's house, and a fascinating piece of architecture in its own right, holds many of their first inventions and other early cinematic and photographic artifacts.\nGuignol, created in the early 19th C., associated with the silk-workers\n\n8 December each year is marked by the Festival of Lights (la Fête des lumières), a celebration of thanks to the Virgin Mary, who purportedly saved the city from a deadly plague in the Middle Ages. During the event, the local population places candles (*luminions*) at their windows and the city of Lyon organizes large-scale light shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean.\n\n- The Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attracting audiences from around the world.\n- The Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera house was re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is named after him.\n- Lyon is also the French capital of \"*trompe l'œil*\" walls, a very ancient tradition. Many are to be seen around the city. This old tradition is now finding a contemporary expression, for example in the art of Guillaume Bottazzi.[50][51]\n- The Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and North America, was founded in Lyon in 1821.\n- The African Museum of Lyon is one of the oldest museums situated in Lyon.[52]\n- The Museum of Resistance and Deportation looks at the various individuals prominent in the Resistance movement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of the French resistance and many members were shot in Place Bellecour in the town centre. The exhibition is largely a series of , mini-biographies of those involved.\n- Lyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program.\n\n## **UNESCO World Heritage Site**\n\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the \"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and strategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the Renaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture from the 12th century to modern times.[53]", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Mayor | Term start | Term end | Party |\n| --- | --- | --- | --- |\n| Antoine Gailleton | 1881 | 1900 | |\n| Victor Augagneur | 1900 | 30 October 1905 | PRS |\n| Édouard Herriot | 30 October 1905 | 20 September 1940 | Radical |\n| Georges Cohendy | 20 September 1940 | 1941 | Nominated and dismissed by Vichy |\n| Georges Villiers | 1941 | 1942 | Nominated and dismissed by Vichy |\n| Pierre-Louis-André Bertrand | 1942 | 1944 | Nominated by Vichy |\n| Justin Godart | 1944 | 18 May 1945 | Radical |\n| Édouard Herriot | 18 May 1945 | 26 March 1957 | Radical |\n| Pierre Montel, ad interim | 26 March 1957 | 14 April 1957 | Radical |\n| Louis Pradel | 14 April 1957 | 27 November 1976 | DVD |\n| Armand Tapernoux, ad interim | 27 November 1976 | 5 December 1976 | DVD |\n| Francisque Collomb | 5 December 1976 | 24 March 1989 | DVD |\n| Michel Noir | 24 March 1989 | 25 June 1995 | RPR |\n| Raymond Barre | 25 June 1995 | 25 March 2001 | DVD |\n| Gérard Collomb | 25 March 2001 | 17 July 2017 | PS |\n| Georges Képénékian | 17 July 2017 | 5 November 2018 | LREM |\n| Gérard Collomb | 5 November 2018 | 4 July 2020 | LREM |\n| Grégory Doucet | 4 July 2020 | Incumbent | EELV |\n\n### **Metropolis**\n\nSince 2015, the commune of Lyon (48 km 2 (19 sq mi) in land area) and 58 suburban communes have formed the Metropolis of Lyon (534 km2 (206 sq mi) in land area), a directly elected metropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only metropolitan authority in France which is a territorial collectivity, on par with French communes and departments. Its metropolitan council was for the first time directly elected by universal suffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in France.\n\nThe 14 electoral wards are the following (see map for location):\n\n- Lônes et coteaux Lyon-Centre (Lyon-Centre) Lyon-Est (Lyon-East) Lyon-Nord (Lyon-North) Lyon-Ouest Lyon-Sud Lyon-Sud-Est Ouest Plateau Nord-Caluire Porte des Alpes Portes du Sud Rhône Amont Val de Saône Villeurbanne\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is coterminous with the namesake commune. All other seven wards each group various suburban communes.\n\nMap of the Metropolis of Lyon and its 59 communes (the commune of Lyon is in red)", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia4.pdf" - }, - { - "text": "**Figure 11.** Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\n| Global mean changes at 1.5°C Table 6. global warming compared to present day for individual ensemble members, for the |\n| --- |\n| ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean |\n| precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). |\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIROC | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | ESM-CHEM | ACCESS1-0 | mean |\n| TXx (°C) | | | | | | | |\n| | 1.2 | 1.9 | 1.7 | 2.0 | 1.5 | 1.9 | 1.7 |\n| TX90p (% time) | 10.0 | 15.7 | 16.2 | 19.2 | 14.1 | 18.3 | 15.6 |\n| CDD | −1.2 | 0.7 | −1.3 | −5.4 | 0.0 | −3.8 | −1.6 |\n| | | | | | | | |\n| RX5day (mm) | 1.1 | 3.6 | 4.5 | 4.6 | 4.0 | 4.3 | 3.6 |\n| | | | | | | | |\n| drought proxy | 0.74 | 0.48 | n.a. | 0.39 | 0.16 | 0.31 | 0.42 |\n| flood proxy | 0.75 | 0.73 | n.a. | 0.73 | 0.79 | 0.73 | 0.75 |\n| | | | | | | | |\n| Pmean (%) | 1.4 | 0.9 | 3.1 | 1.3 | 3.9 | 2.4 | 2.2 |\n| | | | | | | | |\n| Rmean (%) | 2.1 | 0.7 | 5.4 | 0.7 | 6.7 | 5.0 | 3.9 |\n| | | | | | | | |\n| Rlow (%) | −3.4 | 0.3 | 5.9 | 2.2 | 5.9 | 4.9 | 2.6 |\n| | | | | | | | |\n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or more. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater increases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 10.** Distributions of changes in run-off for mean flows simulated by the JULES ecosystem–hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3–4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more rsta.royalsocietypublishing.org\n\n *Phil. Trans. R. Soc. A* **376**: 20160452\n\n........................................................", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 6. INSEE. \"Statistiques locales Lyon : Unité urbaine 2020 Population municipale 2021\" (https://statistiques-loc ales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12). Retrieved 12 July 2024.\n- 7. INSEE. \"Statistiques locales Lyon : Aire d'attraction des villes 2020 Population municipale 2021\" (https://sta tistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1 3). Retrieved 12 July 2024.\n- 8. Wells, John C. (2008). *Longman Pronunciation Dictionary* (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n- 9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). *Lexico UK English Dictionary*. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons) on 24 January 2020.\n- 10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). *Cambridge English Pronouncing Dictionary* (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n- 11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). *Merriam-Webster.com Dictionary*. Merriam-Webster. Retrieved 8 August 2018.\n- 12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). *Collins English Dictionary*. HarperCollins. Retrieved 8 August 2018.\n- 13. \"dicod'Òc Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc& view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5 B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5 B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). *locongres.org*. Retrieved 1 April 2022.\n- 14. https://about-france.com/tourism/main-towns-cities.htm\n- 15. INSEE. \"Statistiques locales Lyon : Commune Population municipale 2021\" (https://statistiques-locales.inse e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=691 23&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n- 16. \"Statistiques locales Métropole de Lyon : Intercommunalité 2021 Population municipale 2021\" (https://statis tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=202 1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n- 17. \"Lyon entrepreneurship, Lyon company, Invest Lyon Greater Lyon\" (https://web.archive.org/web/201003081 31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?& L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n- 18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved 8 April 2022.\n- 19. \"GaWC The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html). *www.lboro.ac.uk*.\n- 20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankin gs). *mobilityexchange.mercer.com*.\n- 21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). *Les Miscellanées des Lyonnais* (https://poutan.fr/si te/). éditions du poutan.\n- 22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/3700 3-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). *Le Figaro* (in French). 30 March 2017. Retrieved 8 September 2023.\n- 23. Pokorny, Julius (1959). *Indogermanisches Etymologisches Wörterbuch* (in German). French & European Publications, Inc.\n- 24. Stich, Domenico (2003). *Dictionnaire francoprovençal-français et français-francoprovençal* (in French). Le Carré. p. 189. ISBN 978-2908150155.\n- 25. Cassius Dio, *Roman History*, Book 46: *Lepidus and Lucius Plancus [...] founded the town called Lugudunum, now known as Lugdunum*\n- 26. Louis, Jaucourt de chevalier (1765). \"Lyon\". *Encyclopedia of Diderot & d'Alembert Collaborative Translation Project*. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).\n- 27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html). *www.maryjones.us*. n.d. Retrieved 7 November 2021. \"*Lugduno – desiderato monte: dunum enim montem* Lugduno: \"mountain of yearning\"; dunum of course is mountain.\" www.maryjones.us/ctexts/endlicher_glossary.html\n- 28. Patrick Boucheron, et al., eds. *France in the World: A New Global History* (2019) pp 63-68.\n- 29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). *Sanctoral.com*. Magnificat.\n- 30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/284 7-Primat-des-Gaules.html). *France-catholique.fr*. 13 September 2002. Archived from the original (https://www.f rance-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": " What should do the rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided ?", - "target_page": 2, - "target_passage": "ensure that the register is kept in that church or chapel, and (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## **2021 No. 538**\n\n## **MARRIAGE, ENGLAND AND WALES**\n\n# The Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\n| Made - - - | - | 29th April 2021 |\n| --- | --- | --- |\n| Coming into force - | - | 4th May 2021 |\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949(**a**).\n\n#### **Citation, commencement, extent and interpretation**\n\n**1.**—(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n\n(2) These Regulations come into force on 4th May 2021.\n\n(3) These Regulations extend to England and Wales.\n\n(4) In these Regulations, \"chapel\" does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies(**b**).\n\n#### **Duty of parochial church councils to provide registers of marriage services**\n\n**2.**—(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(**c**) in that parish in which banns of matrimony may be published.\n\n(2) Books provided under paragraph (1) are to be known as \"registers of marriage services\".\n\n(3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n\n(4) The register must be made of durable material.\n\n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it—\n\n(<b>a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by paragraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently renumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic Storage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act 2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also inserted subsection (1A).\n\n(<b>b) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to the Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15).\n\n(<b>c) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including references to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n- (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## **Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales**\n\n**3.**—(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)—\n\n- (a) the date and place of the marriage;\n- (b) the name and surname of each party;\n- (c) the date of birth of each party;\n- (d) the occupation (if any) of each party;\n- (e) the address of each party at the time of the marriage;\n- (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n- (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n- (h) the name and surname of the clergyman by whom the marriage was solemnized.\n\n(3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n\n- (4) After making a record under paragraph (2) the clergyman must sign it.\n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n### **Requirements about the keeping of registers of marriage services**\n\n**4.**—(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must—\n\n- (a) ensure that the register is kept in that church or chapel, and\n- (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\n*Abi Tierney* Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "I approve\n\n*Kevin Foster* Parliamentary Under Secretary of State 29th April 2021 Home Office\n\n## **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)* \n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as \"registers of marriage services\" to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\n \n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (d) to visit a person (\"D\") whom P reasonably believes is dying, and where P is a member of D's household or a close family member or friend of D;\n- (e) to attend the funeral of a member of P's household or a close family member;\n- (f) in other exceptional circumstances such as—\n\t- (i) to seek medical assistance where this is required urgently or on the advice of a registered medical practitioner including to access services from dentists, opticians, audiologists, chiropodists, chiropractors, osteopaths and other medical and health practitioners, including services relating to mental health,\n\t- (ii) to access critical public services including social services or services provided to victims (such as victims of crime),\n\t- (iii) to avoid injury or illness or to escape risk of harm,\n\t- (iv) to access veterinary services where this is required urgently or on the advice of a veterinary surgeon.\n\n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the grounds mentioned in sub-paragraph (1)(c), (d) or (e)—\n\n- (a) if P has been given prior permission by a person authorised by the Secretary of State for this purpose;\n- (b) if P complies with any reasonable requirements imposed by the person so authorised in relation to the exercise, the visit to the person or attendance at the funeral.\n\n#### **Meaning of \"place\"**\n\n**14.** For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room in the designated accommodation where P is staying and, if connected to the room where P is staying, the room of any person referred to in paragraph 11(a) (travelling companion), including any balcony, and does not include the communal areas or any garden, yard, passage, stair, garage, outhouse or appurtenance of the accommodation in which the place is situated.\n\n#### **Designations**\n\n**15.** The Secretary of State must designate for the purposes of this Schedule—\n\n- (a) accommodation;\n- (b) transportation to the designated accommodation,\n\nand must publish details of the designations in such manner as appears to the Secretary of State to be appropriate.\n\n#### **Duties where P is a child**\n\n**16.** If P is a child—\n\n- (a) any person who has custody or charge of P when P is travelling to England must ensure, so far as is reasonably practicable, that P complies with the obligations in paragraphs 5 and 6;\n- (b) any person who has custody or charge of P during P's period of self-isolation must ensure, so far as is reasonably practicable, that P self-isolates in accordance with this Schedule.\n\n#### **Person caring for P**\n\n**17.** A person may reside in the place where P is residing pursuant to this Schedule to provide assistance P reasonably requires by reason of—\n\n- (a) P being a child; or\n- (b) any disability of P's,", - "page_start": 77, - "page_end": 77, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (b) in the case of a by-election, as soon as practicable after a vacancy has occurred among the Specially Elected Members.\n(2) A meeting of the Elected Members of the National Assembly that is held for the purpose of a general election shall be summoned by the Speaker.\n\n(3) No other business than the holding of a general election may be transacted at any meeting of the Elected Members of the National Assembly summoned under subparagraph (2) of this paragraph and such a meeting shall not be regarded as a meeting of the Assembly for the purposes of any other provision of this Constitution.\n\n**6.** When the votes have been cast, whether at a general election or at a by-election, a list shall be prepared showing the persons for whom votes have been cast in order according to the number of votes received by each of them, the person or persons who received the highest number of votes being placed first and those who received any lower number of votes being placed in descending order.\n\n**7.** In the case of a general election, and subject to the provisions of paragraph 9 of this Schedule, those persons shall be deemed to have been elected as Specially Elected Members who stand in the first and each succeeding place on the list until the number of persons to be elected as Specially Elected Members has been completed.\n\n**8.** In the case of a by-election, and subject to the provisions of paragraph 10 of this Schedule, the person who stands in the first place on the list shall be deemed to have been elected.\n\n**9.** Where, by reason of an equality of votes between them, the number of candidates in any place on the list who would otherwise be deemed to have been elected under paragraph 7 of this Schedule exceeds the number of persons remaining to be elected as Specially Elected Members after the persons in the preceding places have been elected, none of the candidates in that place or in any succeeding place shall be deemed to have been elected and a further election shall be held to fill the vacancies still remaining among the Specially Elected Members; and the provisions of this Schedule shall apply in relation to that further election as if it were a general election where the total number of Specially Elected Members was equal to the number of vacancies still remaining to be filled.\n\n**10.** Where, in a by-election, two or more candidates equally receive the highest number of votes, no candidates shall be deemed to have been elected and a further by-election shall be held, in accordance with the provisions of this Schedule, at which only those candidates who received the highest number of votes in the original by-election may again stand as candidates.\n\n## **SECOND SCHEDULE TO THE CONSTITUTION DIVISION OF DISTRICTS INTO REGIONS FOR THE PURPOSE OF SELECTING MEMBERS OF NTLO YA DIKGOSI**\n\nTHE CENTR AL DISTRI CT (1) Bobirw a Region (2) Boteti region (3) Mahala pye Region (4) Serowe Region (5) Tonota Region (6)", - "page_start": 56, - "page_end": 56, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "bankrupt under any law in force in any part of the Commonwealth and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full; or\n\n- (b) he or she has been convicted of any offence involving dishonesty in any country.\n(7) A person appointed a member of the Commission shall not enter upon the duties of the office of Commissioner until he or she has taken and subscribed the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by an Act of Parliament.\n\n(8) The Commission shall regulate its own procedure and proceedings.\n\n(9) The Chairman shall preside over all proceedings, and in his or her absence, the legal practitioner referred to in subsection (1)(b) shall preside over the proceedings.\n\n(10) The quorum shall be four members, one of whom shall be the Chairman or the said legal practitioner.\n\n(11) All issues shall be decided by the decision of the majority of the members present and voting.\n\n(12) The Commission shall be responsible for-\n\n- (a) the conduct and supervision of elections of the Elected Members of the National Assembly and members of a local authority, and conduct of a referendum;\n- (b) giving instructions and directions to the Secretary of the Commission appointed under section 66 in regard to the exercise of his or her functions under the electoral law prescribed by an Act of Parliament;\n- (c) ensuring that elections are conducted efficiently, properly, freely and fairly; and\n- (d) performing such other functions as may be prescribed by an Act of Parliament. (13) The Commission shall on the completion of any election conducted by it,\n\nsubmit a report on the exercise of its functions under the preceding provisions of this section to the Minister for the time being responsible for matters relating to such elections, and that Minister shall, not later than seven days after the National Assembly first meets after he or she has received the report, lay it before the National Assembly.\n\n# **66. Appointment of Secretary to Independent Electoral Commission**\n\n(1) There shall be a Secretary to the Independent Electoral Commission referred to in section 65A (in this section referred to as \"the Secretary\").\n\n- (2) The Secretary shall be appointed by the President.\n(3) The functions of the Secretary shall, subject to the directions and supervision of the Independent Electoral Commission, be to exercise general supervision over the registration of voters for elections of-\n\n- (a) the Elected Members of the National Assembly; and\n- (b) the members of any local authority,\n- and over the conduct of such elections.\n\n(4) A person shall not be qualified to be appointed as Secretary to the Independent Electoral Commission if-\n\n- (a) he or she is not a citizen of Botswana;\n- (b) he or she has been declared insolvent or adjudged or otherwise declared bankrupt under any law in force in any part of the Commonwealth and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full; or\n- (c) he or she has been convicted of any offence involving dishonesty in any country.\n\n(5) A person shall not enter upon the duties of the office of Secretary until he or she has taken and subscribed to the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by an Act of Parliament.", - "page_start": 30, - "page_end": 30, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Assistant Minister.\n\n# **43. Tenure of office of Ministers and Assistant Ministers**\n\nThe office of any Minister or Assistant Minister shall become vacant-\n\n- (a) in the case of a Minister or Assistant Minister appointed from among the Members of the National Assembly, or in the case of a Minister or Assistant Minister appointed from among persons who are not Members of the Assembly who becomes a Member of the Assembly before the expiration of four months from the date of his or her appointment-\n\t- (i) if he or she ceases to be a Member of the National Assembly otherwise than by reason of a dissolution of the National Assembly; or\n\t- (ii) if, at the first sitting of the Assembly after a general election, he or she is not a Member of the Assembly;\n- (b) in the case of a Minister or Assistant Minister appointed from among persons who are not Members of the Assembly, if before the expiration of four months from the date of his or her appointment-\n\t- (i) circumstances arise (other than a dissolution of the Assembly) that, if he or she were such a Member, would cause him or her to vacate his or her seat in the Assembly; or\n\t- (ii) he or she does not become a Member of the Assembly;\n- (c) if the holder of the office is removed from office by the President;\n- (d) upon the assumption by any person of the office of President.\n\n# **44. Cabinet**\n\n(1) There shall be a Cabinet which shall consist of the President, Vice-President and the Ministers.\n\n(2) There shall preside at meetings of the Cabinet-\n\n- (a) the President;\n- (b) in the absence of the President, the Vice-President; or\n- (c) in the absence of the President and the Vice-President, such Minister as the President may designate.\n\n(3) The Cabinet may act notwithstanding any vacancy in its membership.\n\n# **45. Oaths to be taken by Ministers and Assistant Ministers**\n\nThe Vice-President, a Minister or an Assistant Minister shall not enter upon the duties of his or her office unless he or she has taken and subscribed the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by Parliament.\n\n# **46. Secretary to the Cabinet**\n\n(1) There shall be a Secretary to the Cabinet whose office shall be a public office.\n\n(2) The Secretary to the Cabinet shall have charge of the Cabinet Office and shall be responsible, in accordance with such instructions as may be given to him or her by the President, for arranging the business for, and keeping the minutes of, the Cabinet, for conveying decisions of the Cabinet to the appropriate person or authority, and shall have such other functions as the President may from time to time direct.\n\n# **PART III**\n\n# **Executive Functions (ss 47-56)**\n\n# **47. Functions of President**\n\n(1) The executive power of Botswana shall vest in the President and, subject to the provisions of this Constitution, shall be exercised by him or her either directly or through officers subordinate to him or her.\n\n(2) In the exercise of any function conferred upon him or her by this Constitution or any other law the President shall, unless it is otherwise provided, act in his or her own deliberate judgment and shall not be obliged to follow the advice tendered by any other", - "page_start": 22, - "page_end": 22, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(1) The High Court shall have jurisdiction to hear and determine any question whether-\n\n- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant;\n- (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker.\n\n(2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker.\n\n(3) Parliament may make provision with respect to-\n\n- (a) the persons who may apply to the High Court for the determination of any question under this section;\n- (b) the circumstances and manner in which the conditions upon which any such application may be made; and\n- (c) the powers, practice and procedure of the High Court in relation to any such application.\n\n## **70. Clerk of the Assembly**\n\n(1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service.\n\n(2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service.\n\n## **PART II**\n\n## **General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members**\n\nThe Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance.\n\n## **72. Presiding in Assembly**\n\nThere shall preside at any sitting of the National Assembly-\n\n- (a) the Speaker;\n- (b) in the absence of the Speaker, the Deputy Speaker; or\n- (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting.\n\n### **73. Quorum in Assembly**\n\nIf objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly.\n\n## **74. Voting in Assembly**\n\n(1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting.\n\n(2) ...\n\n(3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost.\n\n## **75. Unqualified persons sitting or voting**\n\nAny person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "has more than one residence in Botswana in the constituency in which he or she has his or her principal residence; or\n\n- (b) in the case of a person who does not have a residence in Botswana but is able to register in person, in the constituency in which he or she last resided, or in which he or she was born; or\n- (c) in the case of a person who is not resident in Botswana and is unable to register in person, at such place as may be prescribed by Parliament and registration at such place shall be treated as registration in the constituency in which he or she last resided, or in which he or she was born in Botswana.\n\t- (4) A person shall be entitled to be registered as a voter in one constituency only.\n\n(5) Every person who is registered in any constituency as a voter for the purposes of elections of the Elected Members of the National Assembly shall, unless he or she is disqualified by Parliament from voting in such elections on the grounds of his or her having been convicted of an offence in connection with the elections or on the grounds of his or her having been reported guilty of such an offence by the court trying an election petition or on the grounds of his or her being in lawful custody at the date of the election, be entitled so to vote in that constituency in accordance with the provisions made by or under a law in that behalf; and no other person may so vote.\n\n## **68. Tenure of office of Members**\n\n(1) The seat of an Elected Member or a Specially Elected Member of the National Assembly shall become vacant-\n\n- (a) upon the dissolution of Parliament;\n- (b) if he or she is absent from the sittings of the Assembly for such period and in such circumstances as may be prescribed in the rules of procedure of the Assembly;\n- (c) subject to the provisions of subsections (2) to (3) of this section, if any circumstances arise that, if he or she were not a Member of the Assembly, would cause him or her to be disqualified for election thereto.\n\n(2) If circumstances such as are referred to in paragraph (c) of the preceding subsection arise in relation to a Member of the Assembly by virtue of the fact that he or she is declared insolvent, adjudged to be of unsound mind, sentenced to death or imprisonment, or convicted of an election offence and it is open to the Member to appeal against the decision (either with the leave of the court or other authority or without such leave), he or she shall forthwith cease to perform his or her functions as a Member of the Assembly but, subject to the next following subsection, he or she shall not vacate his or her seat until the expiration of a period of 30 days thereafter:\n\nProvided that the Speaker may, at the request of the Member, from time to time extend that period for further periods of 30 days to enable the Member to pursue an appeal against the decision, so, however, that extensions of time exceeding in the aggregate 150 days shall not be given without the approval of the Assembly signified by resolution.\n\n(3) If, on the determination of any appeal, such circumstances continue to exist and no further appeal is open to the Member of the Assembly, or if, by reason of the expiration of any period for entering an appeal or notice thereof or the refusal of leave to appeal or for any other reason, it ceases to be open to the Member to appeal, he or she shall forthwith vacate his or her seat.\n\n(4) If at any time before the Member of the Assembly vacates his or her seat such circumstances as aforesaid cease to exist, his or her seat shall not become vacant by reason of those circumstances, and he or she may resume the performance of his or her functions as a Member of the Assembly.\n\n**69. Determination of questions as to membership of National Assembly**", - "page_start": 32, - "page_end": 32, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "other judges of the Court as may be prescribed by Parliament:\n\nProvided that the office of a judge of the High Court shall not be abolished while there is a substantive holder thereof.\n\n(3) The High Court shall be a superior court of record and, save as otherwise provided by Parliament, shall have all the powers of such a court.\n\n(4) The High Court shall sit in such places as the Chief Justice may appoint.\n\n(5) The High Court shall have jurisdiction to supervise any civil or criminal proceedings before any subordinate court or any court martial and may make such orders, issue such writs and give such directions as it may consider appropriate for the purpose of ensuring that justice is duly administered by any such court.\n\n(6) The Chief Justice may make rules with respect to the practice and procedure of the High Court in relation to the jurisdiction and powers conferred on it by subsection (5) of this section.\n\n(7) The Chief Justice may appoint a Rules of Court Advisory Committee to assist him or her in reviewing and overhauling the rules made under subsection (6) and to advise on proposals to update and amend such rules.\n\n# **96. Appointment of judges of High Court**\n\n(1) The Chief Justice shall be appointed by the President.\n\n(2) The other judges of the High Court shall be appointed by the President, acting in accordance with the advice of the Judicial Service Commission.\n\n(3) A person shall not be qualified to be appointed as a judge of the High Court unless-\n\n- (a) he or she holds, or has held office, as a judge of a court having unlimited jurisdiction in civil and criminal matters in Botswana, in a Commonwealth country or in any country outside the Commonwealth that may be prescribed by Parliament or a court having jurisdiction in appeals from such a court; or\n- (b) he or she is qualified to practise as an advocate or attorney in such a court and has been qualified for not less than ten years to practise as an advocate or attorney in such a court;\n- (c) he or she is qualified to practise as an advocate or attorney and he or she has had the experience in the teaching of law in a recognised university for not less than ten years; or\n- (d) he or she is a Chief Magistrate who has held that office for not less than five years.\n\n(4) In computing, for the purposes of subsection (3) of this section, the period during which any person has been qualified to practise as an advocate or attorney any period during which he or she has held judicial office after becoming so qualified shall be included.\n\n(5) If the office of Chief Justice is vacant or if the Chief Justice is for any reason unable to perform the functions of his or her office, then, until a person has been appointed to and has assumed the functions of that office or until the Chief Justice has resumed those functions, as the case may be, those functions shall be performed by such one of the judges of the High Court or such other person qualified for appointment as a judge of the High Court as the President may appoint for that purpose:\n\nProvided that-\n\n- (i) a person may be appointed under this subsection notwithstanding that he or she has attained the age of 70 years or such other age as may be prescribed for the purposes of section 97 of this Constitution;\n- (ii) a person appointed under this subsection, who is not a judge of the High Court, may, notwithstanding the assumption or resumption of the functions of the office of Chief Justice by the holder of that office, continue to act as a judge of the", - "page_start": 40, - "page_end": 40, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What are Tesla's total liabilities and equity in 2024?", - "target_page": 5, - "target_passage": "119,852", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### Table of Contents\n\n#### PART I. FINANCIAL INFORMATION ITEM 1. FINANCIAL STATEMENTS\n\n# Tesla, Inc. Consolidated Balance Sheets (in millions, except per share data) (unaudited)\n\n| | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | tsla-20240930 |\n| --- | --- | --- | --- | --- | --- |\n| | | | | | Table of Contents |\n| | | | | | PART I. FINANCIAL INFORMATION |\n| | | | | | ITEM 1. FINANCIAL STATEMENTS |\n| Tesla, Inc. | | | | | |\n| Consolidated Balance Sheets | | | | | |\n| (in millions, except per share data) | | | | | |\n| (unaudited) | | | | | |\n| | September 30, | | | December 31, | |\n| | 2024 | | | 2023 | |\n| | | | | | Assets |\n| | | | | | Current assets |\n| $ | | 18,111 | $ | 16,398 | Cash and cash equivalents |\n| | | 15,537 | | 12,696 | Short-term investments |\n| | | 3,313 | | 3,508 | Accounts receivable, net |\n| | | 14,530 | | 13,626 | Inventory |\n| | | 4,888 | | 3,388 | Prepaid expenses and other current assets |\n| | | 56,379 | | 49,616 | Total current assets |\n| | | 5,380 | | 5,989 | Operating lease vehicles, net |\n| | | 5,040 | | 5,229 | Solar energy systems, net |\n| | | 36,116 | | 29,725 | Property, plant and equipment, net |\n| | | 4,867 | | 4,180 | Operating lease right-of-use assets |\n| | | 184 | | 184 | Digital assets, net |\n| | | 158 | | 178 | Intangible assets, net |\n| | | 253 | | 253 | Goodwill |\n| | | 6,486 | | 6,733 | Deferred tax assets |\n| | | 4,989 | | 4,531 | Other non-current assets |\n| $ | | 119,852 | $ | 106,618 | Total assets |\n| | | | | | Liabilities |\n| | | | | | Current liabilities |\n| $ | | 14,654 | $ | 14,431 | Accounts payable |\n| | | 10,601 | | 9,080 | Accrued liabilities and other |\n| | | 3,031 | | 2,864 | Deferred revenue |\n| | | 2,291 | | 2,373 | Current portion of debt and finance leases |\n| | | 30,577 | | 28,748 | Total current liabilities |\n| | | 5,405 | | 2,857 | Debt and finance leases, net of current portion |\n| | | 3,350 | | 3,251 | Deferred revenue, net of current portion |\n| | | 9,810 | | 8,153 | Other long-term liabilities |\n| | | 49,142 | | 43,009 | Total liabilities |\n| | | | | | Commitments and contingencies (Note 10) |\n| Redeemable noncontrolling interests in subsidiaries | | 70 | | 242 | |\n| | | | | | Equity |\n| | | | | | Stockholders' equity |\n| Preferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding | | — | | — | |\n| Common stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and | | | | | |\n| outstanding as of September 30, 2024 and December 31, 2023, respectively | | 3 | | 3 | |\n| | | 37,286 | | 34,892 | Additional paid-in capital |\n| | | (14) | | (143) | Accumulated other comprehensive loss |\n| | | 32,656 | | 27,882 | Retained earnings |\n| | | 69,931 | | 62,634 | Total stockholders' equity |\n| | | 709 | | 733 | Noncontrolling interests in subsidiaries |\n| $ | | 119,852 | $ | 106,618 | Total liabilities and equity |\n| The accompanying notes are an integral part of these consolidated financial statements. 4 | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements. 4", - "page_start": 4, - "page_end": 4, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Cash Flows (in millions) (unaudited)\n\n| tsla-20240930 | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | |\n| Tesla, Inc. | Consolidated Statements of Cash Flows | | | | | | | | |\n| (in millions) | (unaudited) | | | | | | | | |\n| Nine Months Ended September 30, | 2024 | 2023 | | | | | | | |\n| Cash Flows from Operating Activities | Net income | $ | 4,821 | $ | 7,031 | | | | |\n| Adjustments to reconcile net income to net cash provided by operating activities: | Depreciation, amortization and impairment | 3,872 | 3,435 | | | | | | |\n| Stock-based compensation | 1,420 | 1,328 | Inventory and purchase commitments write-downs | 247 | 361 | | | | |\n| Foreign currency transaction net unrealized loss (gain) | 197 | (317) | Deferred income taxes | 418 | (316) | | | | |\n| Non-cash interest and other operating activities | 83 | 94 | Changes in operating assets and liabilities: | | | | | | |\n| Accounts receivable | 144 | 377 | Inventory | (1,107) | (1,953) | | | | |\n| Operating lease vehicles | (82) | (1,858) | Prepaid expenses and other assets | (2,639) | (1,992) | | | | |\n| Accounts payable, accrued and other liabilities | 2,504 | 1,922 | Deferred revenue | 231 | 774 | | | | |\n| Net cash provided by operating activities | 10,109 | 8,886 | Cash Flows from Investing Activities | | | | | | |\n| Purchases of property and equipment excluding finance leases, net of sales | (8,556) | (6,592) | Purchases of solar energy systems, net of sales | (6) | — | | | | |\n| Purchases of investments | (20,797) | (13,221) | Proceeds from maturities of investments | 17,975 | 8,959 | | | | |\n| Proceeds from sales of investments | 200 | 138 | Business combinations, net of cash acquired | — | (64) | | | | |\n| Net cash used in investing activities | (11,184) | (10,780) | Cash Flows from Financing Activities | | | | | | |\n| Proceeds from issuances of debt | 4,360 | 2,526 | Repayments of debt | (1,783) | (887) | | | | |\n| Proceeds from exercises of stock options and other stock issuances | 788 | 548 | Principal payments on finance leases | (291) | (340) | | | | |\n| Debt issuance costs | (6) | (23) | Distributions paid to noncontrolling interests in subsidiaries | (76) | (105) | | | | |\n| Payments for buy-outs of noncontrolling interests in subsidiaries | (124) | (17) | Net cash provided by financing activities | 2,868 | 1,702 | | | | |\n| Effect of exchange rate changes on cash and cash equivalents and restricted cash | (8) | (142) | Net increase (decrease) in cash and cash equivalents and restricted cash | 1,785 | (334) | | | | |\n| Cash and cash equivalents and restricted cash, beginning of period | 17,189 | 16,924 | Cash and cash equivalents and restricted cash, end of period | $ | 18,974 | $ | 16,590 | | |\n| Supplemental Non-Cash Investing and Financing Activities | Acquisitions of property and equipment included in liabilities | $ | 2,727 | $ | 1,717 | | | | |\n| Leased assets obtained in exchange for finance lease liabilities | $ | 32 | $ | 1 | Leased assets obtained in exchange for operating lease liabilities | $ | 1,232 | $ | 1,548 |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 11, - "page_end": 11, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Operations (in millions, except per share data) (unaudited)\n\n| | | | | | | | | | | | | | | | | | | | tsla-20240930 | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | Tesla, Inc. | | | | | | | |\n| | | | | | | | | | | | | | | Consolidated Statements of Operations | | | | | | | |\n| | | | | | | | | | | | | | | (in millions, except per share data) | | | | | | | |\n| | | | | | | | | | | | | | | (unaudited) | | | | | | | |\n| | | | Three Months Ended September 30, | | | | | | | | | | | | | | Nine Months Ended September 30, | | | | |\n| | | | | | 2023 | | 2024 | | 2023 | | | | | 2024 | | | | | | | |\n| Revenues | | | | | | | | | | | | | | | | | | | | | |\n| Automotive sales | $ | 18,831 | | $ | | $ | 53,821 | | 57,879 | | | | | | 18,582 | | $ | | | | |\n| Automotive regulatory credits | | 739 | | | | | 2,071 | | 1,357 | | | | | | 554 | | | | | | |\n| Automotive leasing | | 446 | | | | | 1,380 | | 1,620 | | | | | | 489 | | | | | | |\n| Total automotive revenues | | 20,016 | | | | | 57,272 | | 60,856 | | | | | | 19,625 | | | | | | |\n| Energy generation and storage | | 2,376 | | | | | 7,025 | | 4,597 | | | | | | 1,559 | | | | | | |\n| Services and other | | 2,790 | | | | | 7,686 | | 6,153 | | | | | | 2,166 | | | | | | |\n| Total revenues | | 25,182 | | | | | 71,983 | | 71,606 | | | | | | 23,350 | | | | | | |\n| Cost of revenues | | | | | | | | | | | | | | | | | | | | | |\n| Automotive sales | | 15,743 | | | | | 45,602 | | | 47,919 | | | | | 15,656 | | | | | | |\n| Automotive leasing | | | | | | | 761 | | 972 | | | | 247 | | 301 | | | | | | |\n| Total automotive cost of revenues | | 15,990 | | | | | 46,363 | | 48,891 | | | | | | 15,957 | | | | | | |\n| | | | 16 | | | | | | | | | | | | 25 | | | | | | |\n| Operating expenses | | | | | | | | | | | | | | | | | | | | | |\n| Research and development | | | | | | | 3,264 | | 2,875 | | | | | | 1,161 | | | | | | |\n| Selling, general and administrative | | 1,186 | | | | | 3,837 | | 3,520 | | | | | | 1,253 | | | | | | |\n| Restructuring and other | | | | | | | 677 | | — | | | | | | — | | | | | | |\n| Interest income | | 429 | | | | | 1,127 | | 733 | | | | | | 282 | | | | | | |\n| Interest expense | | (92) | | | | | (254) | | (95) | | | | | | (38) | | | | | | |\n| Other (expense) income, net | | (270) | | | | | (142) | | 317 | | | | | | 37 | | | | | | |\n| Income before income taxes | | 2,784 | | | | | 6,224 | | 7,782 | | | | | | 2,045 | | | | | | |\n| Provision for income taxes | | 601 | | | | | 1,403 | | 751 | | | | | | 167 | | | | | | |\n| Net income | | 2,183 | | | | | 4,821 | | 7,031 | | | | | | 1,878 | | | | | | |\n| Net income (loss) attributable to noncontrolling interests and | | | | | | | | | | | | | | | | | | | | | |\n| Net income attributable to common stockholders | $ | 2,167 | | $ | | $ | 4,774 | $ | 7,069 | | | | | | 1,853 | | | | | | |\n| Net income per share of common stock attributable to | | | | | | | | | | | | | | | | | | | | | |\n| common stockholders | | | | | | | | | | | | | | | | | | | | | |\n| Basic | $ | 0.68 | | $ | | $ | 1.51 | $ | 2.23 | | | | | | 0.58 | | | | | | |\n| | $ | 0.62 | | $ | | $ | 1.38 | $ | 2.03 | | | | | | 0.53 | | | | | | |\n| Income from operations | | 2,717 | | | | | 5,493 | | 6,827 | | | | | | 1,764 | | | | | | |\n| share of common stock | | | | | | | | | | | | | | | | | | | | | |\n| Basic | | 3,198 | | | | | 3,192 | | 3,171 | | | | | | 3,176 | | | | | | |\n| Diluted | | | | | | | 3,489 | | 3,481 | | | 3,497 | | | 3,493 | | | | | | |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | | | | | | | | | | | | | | | |\n| Energy generation and storage | | 1,651 | | | | | | | | | | | | | 1,178 | 5,157 | | 3,770 | | | |\n| | | | | | | | | | | | 5,723 | | | | | | | | | | |\n| Gross profit | | 4,997 | | | | | 13,271 | | 13,222 | | | | | | 4,178 | | | | | | |\n| Total operating expenses | | 2,280 | | | | | 7,778 | | 6,395 | | | | | | 2,414 | | | | | | |\n| redeemable noncontrolling interests in subsidiaries | | | | | | | 47 | | (38) | | | | | | | | | | | | |\n| Diluted | | | | | | | | | | | | | | | | | | | | | |\n| Weighted average shares used in computing net income per | | | | | | | | | | | | | | | | | | | | | |\n| Total cost of revenues | | 20,185 | | | | | 58,712 | | | | 58,384 | | | | 19,172 | | | | | | |\n| | | 1,039 | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | 55 | |\n| Services and other | | 2,544 | | | | | 7,192 | | | | | | | | 2,037 | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 6, - "page_end": 6, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Redeemable Noncontrolling Interests and Equity (in millions) (unaudited)\n\n| tsla-20240930 | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | | | | | | | | | | | |\n| Tesla, Inc. | Consolidated Statements of Redeemable Noncontrolling Interests and Equity | | | | | | | | | | | | | | | | | | |\n| (in millions) | (unaudited) | | | | | | | | | | | | | | | | | | |\n| Accumulated | Three Months | Redeemable | Additional | Other | Total | Noncontrolling | Ended | Common Stock | | | | | | | | | | | |\n| Noncontrolling | Comprehensive | Stockholders' | Interests in | Total | Paid-In | Retained | September 30, | Interests | Shares | Amount | Capital | Loss | Earnings | Equity | Subsidiaries | Equity | 2024 | | |\n| Balance as of | June 30, 2024 | $ | 72 | 3,194 | $ | 3 | $ | 36,443 | $ | (467) | $ | 30,489 | $ | 66,468 | $ | 723 | $67,191 | | |\n| Settlement of | warrants | — | 9 | — | — | — | — | — | — | — | | | | | | | | | |\n| Issuance of | common | | | | | | | | | | | | | | | | | | |\n| stock for | equity | | | | | | | | | | | | | | | | | | |\n| incentive | awards | — | 4 | — | 340 | — | — | 340 | — | 340 | | | | | | | | | |\n| Stock-based | compensation | — | — | — | 503 | — | — | 503 | — | 503 | | | | | | | | | |\n| Distributions to | noncontrolling | | | | | | | | | | | | | | | | | | |\n| interests | (3) | — | — | — | — | — | — | (29) | (29) | Net income | 1 | — | — | — | — | 2,167 | 2,167 | 15 | 2,182 |\n| Other | comprehensive | | | | | | | | | | | | | | | | | | |\n| — | — | — | — | 453 | — | 453 | — | 453 | income | Balance as of | | | | | | | | | |\n| September 30, | $ | 70 | 3,207 | $ | 3 | $ | 37,286 | $ | (14) | $ | 32,656 | $ | 69,931 | $ | 709 | $70,640 | 2024 | | |\n| Accumulated | Nine Months | Redeemable | Additional | Other | Total | Noncontrolling | Ended | Common Stock | | | | | | | | | | | |\n| Noncontrolling | Paid-In | Comprehensive | Retained | Stockholders' | Interests in | Total | September 30, | Interests | Shares | Amount | Capital | Loss | Earnings | Equity | Subsidiaries | Equity | 2024 | | |\n| Balance as of | December 31, | | | | | | | | | | | | | | | | | | |\n| 2023 | $ | 242 | 3,185 | $ | 3 | $ | 34,892 | $ | (143) | $ | 27,882 | $ | 62,634 | $ | 733 | $63,367 | Settlement of | | |\n| warrants | — | 9 | — | — | — | — | — | — | — | Issuance of | | | | | | | | | |\n| common | stock for | | | | | | | | | | | | | | | | | | |\n\n| Stock-based | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Distributions to | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Other | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| comprehensive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Balance as of September 30, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Nine Months | | | | | | | | Accumulated | | | | | | | | | | | | | | | | | | | | | | | |\n| Ended | Redeemable | | | | | | Additional | Other | | | Total | | | | | | | | | | | | | | | | | | Noncontrolling | | |\n| September 30, | Noncontrolling | | | | | | Paid-In | Comprehensive | | Retained | Stockholders' | | | | | Total | | | | | | | | | Common Stock | | | | Interests in | | |\n| 2024 | Interests | | Shares | | Amount | | Capital | Loss | | Earnings | | Equity | | | | Equity | | | | | | | | | | | | | Subsidiaries | | |\n| Balance as of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| December 31, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| 2023 | $ | 242 | 3,185 | | | 3 | $ 34,892 | $ (143) | | $ 27,882 | | 62,634 | $ | 733 | $63,367 | | | | | | | | | | $ | | | $ | | | |\n| Settlement of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| warrants | | — | | 9 | | | | — | | — | | — | | — | | — | — | — | | | | | | | | | | | | | |\n| Issuance of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| common | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| incentive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| awards | | — | 13 | | | — | 787 | — | | — | | 787 | | — | | 787 | | | | | | | | | | | | | | | |\n| Stock-based | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| compensation | | | | | | | | — | | — | | 1,565 | | — | | | | | | | — | — | — | | | | | | | 1,565 | 1,565 |\n| Distributions to | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| interests | | (11) | — | | | — | — | — | | — | | — | | (66) | | (66) | | | | | | | | | | | | | | | |\n| Buy-outs of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Net income | | 5 | — | | | — | — | — | | 4,774 | | 4,774 | | 42 | | 4,816 | | | | | | | | | | | | | | | |\n| Other | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| comprehensive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | — | — | | | — | — | 129 | | — | | 129 | | — | | 129 | | | | | | | | | | | | | | | |\n| September 30, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | $ | 70 | 3,207 | | | 3 | $ 37,286 | | (14) | | | 69,931 | $ | 709 | | $70,640 | | | | | | | | 32,656 | $ | | $ | $ | | | |\n| | | | | | | | | | | | | | | | | | | | 10/01/2025, 14:33 | 9 sur 49 | | | | | | | | | | | |\n| stock for | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| equity | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| interests | (166) | | — | | | — | 42 | — | | — | | 42 | | — | | 42 | | | | | | | | | | | | | | | |\n| income | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Balance as of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| 2024 | | | | | | | | | | | | | | | | | | | | | | | | | | $ | | | | | |", - "page_start": 8, - "page_end": 8, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\nOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla alleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the Company's 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company's corporate governance and internal procedures, unspecified damages, and attorneys' fees. The lawsuit has been stayed pending resolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.\n\nOn November 15, 2021, JPMorgan Chase Bank (\"JP Morgan\") filed a lawsuit against Tesla in the Southern District of New York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In 2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk's August 7, 2018 Twitter post that he was considering taking Tesla private. Tesla disputed JP Morgan's adjustment as a violation of the parties' agreement. In 2021, Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed approximately $162 million as the value of additional shares that it claims should have been delivered as a result of the adjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the underlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the stock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September 12, 2024, the Court denied JP Morgan's motion.\n\n#### Certain Derivative Lawsuits in Delaware\n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by purported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly on behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly Twitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek unspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters into a single case, and a hearing on that motion is scheduled for November 18, 2024.\n\n#### Litigation and Investigations Relating to Alleged Discrimination and Harassment\n\nOn February 9, 2022, the California Civil Rights Department (\"CRD,\" formerly \"DFEH\") filed a civil complaint against Tesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay equity claims, among others. CRD's amended complaint seeks monetary damages and injunctive relief. The case is currently in discovery. Trial is scheduled for September 15, 2025.\n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission (\"EEOC\") issued a cause finding against Tesla that closely parallels the CRD's allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the United States District Court for the Northern District of California asserting claims for race harassment and retaliation and seeking, among other things, monetary and injunctive relief.\n\nOn June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the Western District of Texas, purportedly on behalf of Tesla, against certain of Tesla's current and former directors. Both suits assert claims for breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race and gender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecified damages payable to Tesla, and attorneys' fees. On July 22, 2022, the Court consolidated the two cases and on September 6, 2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and on September 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2, 2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, the defendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs to amend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr. Musk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\nTesla, Inc.\n\nDate: October 23, 2024 /s/ Vaibhav Taneja\n\nVaibhav Taneja Chief Financial Officer (Principal Financial Officer and Duly Authorized Officer)\n\n38", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "# TESLA, INC.\n\n# FORM 10-Q FOR THE QUARTER ENDED SEPTEMBER 30, 2024\n\n# INDEX\n\nPART I. FINANCIAL INFORMATION\n\n| Page |\n| --- |\n\n| Item 1. | Financial Statements | 4 |\n| --- | --- | --- |\n| | Consolidated Balance Sheets | 4 |\n| | Consolidated Statements of Operations | 5 |\n| | Consolidated Statements of Comprehensive Income | 6 |\n| | Consolidated Statements of Redeemable Noncontrolling Interests and Equity | 7 |\n| | Consolidated Statements of Cash Flows | 9 |\n| | Notes to Consolidated Financial Statements | 10 |\n| Item 2. | Management's Discussion and Analysis of Financial Condition and Results of Operations | 26 |\n| Item 3. | Quantitative and Qualitative Disclosures about Market Risk | 35 |\n| Item 4. | Controls and Procedures | 35 |\n\n# PART II. OTHER INFORMATION\n\n| Item 1. | Legal Proceedings | 36 |\n| --- | --- | --- |\n| Item 1A. | Risk Factors | 36 |\n| Item 2. | Unregistered Sales of Equity Securities and Use of Proceeds | 36 |\n| Item 3. | Defaults Upon Senior Securities | 36 |\n| Item 4. | Mine Safety Disclosures | 36 |\n| Item 5. | Other Information | 36 |\n| Item 6. | Exhibits | 37 |\n| Signatures | | 38 |\n\n1", - "page_start": 2, - "page_end": 2, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Comprehensive Income (in millions) (unaudited)\n\n| tsla-20240930 | | | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | |\n| Tesla, Inc. | | | | | | | |\n| Consolidated Statements of Comprehensive Income | | | | | | | |\n| (in millions) | | | | | | | |\n| (unaudited) | | | | | | | |\n| Three Months Ended September 30, | | | | | Nine Months Ended September 30, | | |\n| 2024 2023 | | | | 2024 | | 2023 | |\n| Net income $ $ | 2,183 | 1,878 | $ | 4,821 | $ | | 7,031 |\n| Other comprehensive income (loss): | | | | | | | |\n| Foreign currency translation adjustment | 445 | (289) | | 121 | | | (343) |\n| Unrealized net gain on investments, net of tax | 8 | 7 | | 8 | | | 8 |\n| Net loss realized and included in net income | — | — | | — | | | 4 |\n| Comprehensive income | 2,636 | 1,596 | | 4,950 | | | 6,700 |\n| Less: Comprehensive income (loss) attributable to | | | | | | | |\n| noncontrolling interests and redeemable | | | | | | | |\n| noncontrolling interests in subsidiaries | 16 | 25 | | 47 | | | (38) |\n| Comprehensive income attributable to common | | | | | | | |\n| stockholders $ $ | 2,620 | 1,571 | $ | 4,903 | $ | | 6,738 |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n#### 6", - "page_start": 7, - "page_end": 7, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n#### Legal Proceedings\n\n#### Litigation Relating to 2018 CEO Performance Award\n\nOn June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court of Chancery against Elon Musk and the members of Tesla's board of directors as then constituted, alleging corporate waste, unjust enrichment and that such board members breached their fiduciary duties by approving the stock-based compensation plan awarded to Elon Musk in 2018 (the \"2018 CEO Performance Award\"). Trial was held November 14-18, 2022. On January 30, 2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff's counsel filed a brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June 7, 2024, and a hearing was held on July 8, 2024. At Tesla's 2024 Annual Meeting of Stockholders, 72% of the disinterested voting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO Performance Award. On June 28, 2024, because Tesla's disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr. Musk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court's January 30, 2024 opinion, and a hearing was held on August 2, 2024.\n\n#### Litigation Related to Directors' Compensation\n\nOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery, purportedly on behalf of Tesla, against certain of Tesla's current and former directors regarding compensation awards granted to Tesla's directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty and unjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed their answer on September 17, 2020.\n\nOn July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involve an admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled and dismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement to stockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after which it took the settlement and plaintiff counsels' fee request under advisement. On August 14, 2024, the parties submitted a joint letter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at a later date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financial position.\n\n#### Litigation Relating to Potential Going Private Transaction\n\nBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla and Elon Musk in connection with Mr. Musk's August 7, 2018 Twitter post that he was considering taking Tesla private. On January 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District of California and added as defendants the members of Tesla's board of directors. The consolidated complaint asserts claims for violations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification of a class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3, 2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as a matter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11, 2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appeals for the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.\n\nBetween October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery, purportedly on behalf of Tesla, against Mr. Musk and the members of Tesla's board of directors, as constituted at relevant times, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuits challenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all have been stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in the U.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Tesla board of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal in the above-referenced consolidated purported stockholder class action.", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n| https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | tsla-20240930 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | |\n| The following is a summary of our debt and finance leases as of December 31, 2023 (in millions): | | | | | | | | |\n| Net Carrying Value Contractual Contractual Current Long-Term | | Unpaid Principal Balance | | | Unused Committed Amount (1) | Interest Rates | Maturity Date | |\n| Recourse debt: | | | | | | | | |\n| $ 37 $ $ — | — | | 37 | $ | | 2.00 % | May 2024 | 2024 Notes |\n| RCF Credit Agreement — | — | | — | | 5,000 | Not applicable | January 2028 | |\n| — 28 | 7 | | 7 | | | 4.70-5.75% | March 2025-January 2031 | Other |\n| Total recourse debt 37 | 7 | | 44 | | 5,028 | | | |\n| Non-recourse debt: | | | | | | | | |\n| Automotive Asset-backed Notes 1,906 — | 2,337 | | 4,259 | | | 0.60-6.57% | July 2024-May 2031 | |\n| 28 — | 330 | | 367 | | | 5.25-5.81% | July 2033-January 2035 | Cash Equity Debt |\n| 4 — Solar Asset-backed Notes 4.80 % December 2026 | 8 | | 13 | | | | | |\n| Total non-recourse debt 1,938 — | 2,675 | | 4,639 | | | | | |\n| 1,975 $ | 2,682 | | 4,683 | $ | 5,028 | | | Total debt |\n| 398 | 175 | | | | | | | Finance leases |\n| $ 2,373 $ Total debt and finance leases | 2,857 | | | | | | | |\n| There are no restrictions on draw-down or use for general corporate purposes with respect to any available committed | | | | | | | | (1) |\n| funds under our RCF Credit Agreement, except certain specified conditions prior to draw-down. Refer to the notes to the | | | | | | | | |\n| consolidated financial statements included in our reporting on Form 10-K for the year ended December 31, 2023 for the | | | | | | | | |\n| terms of the facility. | | | | | | | | |\n| The contractual maturity date of the China Working Capital Facility is April 2025, renewable until March 2026 at our | | | | | | | | (2) |\n| discretion. As we have the intent and ability to refinance the loan on a long-term basis, we recorded it in Debt and | | | | | | | | |\n| finance leases, net of current portion in the consolidated balance sheet. | | | | | | | | |\n| Recourse debt refers to debt that is recourse to our general assets. Non-recourse debt refers to debt that is recourse to | | | | | | | | |\n| only assets of our subsidiaries. The differences between the unpaid principal balances and the net carrying values are due to | | | | | | | | |\n\nThe following is a summary of our debt and finance leases as of December 31, 2023 (in millions):\n\n- funds under our RCF Credit Agreement, except certain specified conditions prior to draw-down. Refer to the notes to the consolidated financial statements included in our reporting on Form 10-K for the year ended December 31, 2023 for the terms of the facility.\n- discretion. As we have the intent and ability to refinance the loan on a long-term basis, we recorded it in Debt and finance leases, net of current portion in the consolidated balance sheet.\n\nRecourse debt refers to debt that is recourse to our general assets. Non-recourse debt refers to debt that is recourse to only assets of our subsidiaries. The differences between the unpaid principal balances and the net carrying values are due to debt discounts or deferred issuance costs. As of September 30, 2024, we were in material compliance with all financial debt covenants.\n\n#### 2024 Notes\n\nDuring the second quarter of 2024, the 2024 Notes reached maturity and were fully settled. Additionally, during the third quarter of 2024, we settled the warrants entered into in connection with the issuance of the 2024 Notes, resulting in the issuance of 8.5 million shares of our common stock. The remaining warrants were settled in October 2024.\n\n#### Automotive Asset-backed Notes\n\nDuring the nine months ended September 30, 2024, we transferred beneficial interests related to certain leased vehicles and financing receivables into special purpose entities and issued $1.57 billion in aggregate principal amount of Automotive Asset-backed Notes, with terms similar to our other previously issued Automotive Asset-backed Notes. The proceeds from the issuance, net of debt issuance costs, were $1.56 billion.\n\nIn October 2024, we transferred beneficial interests related to certain leased vehicles into a special purpose entity and issued $783 million in aggregate principal amount of Automotive Asset-backed Notes, with terms similar to our other previously issued Automotive-backed Notes.\n\n# China Working Capital Facility\n\nIn April 2024, one of our subsidiaries entered into a loan agreement (the \"China Working Capital Facility\") with lenders in China for an unsecured revolving facility of up to RMB 20.00 billion to be used for certain production expenditures as well as repayment of certain finance facilities. Borrowed funds bear interest at a rate equal to the Loan Prime Rate published by the People's Bank of China minus 1.18%. The China Working Capital Facility is non-recourse to our assets.", - "page_start": 24, - "page_end": 24, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "Where was Tesla incorporated? ", - "target_page": 13, - "target_passage": "State of Delaware", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### Table of Contents\n\n#### Tesla, Inc.\n\n#### Notes to Consolidated Financial Statements\n\n#### (unaudited)\n\n#### Note 1 – Overview & Summary of Significant Accounting Policies\n\n#### Overview\n\nTesla, Inc. (\"Tesla\", the \"Company\", \"we\", \"us\" or \"our\") was incorporated in the State of Delaware on July 1, 2003 and converted to a Texas corporation on June 13, 2024.\n\n#### Unaudited Interim Financial Statements\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the consolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of redeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the consolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information disclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from the audited consolidated financial statements as of that date. The interim consolidated financial statements and the accompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying notes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the annual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal recurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated results of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any other future years or interim periods.\n\n#### Reclassifications\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated financial statements and the accompanying notes.\n\n#### Revenue Recognition\n\n#### Revenue by source\n\nThe following table disaggregates our revenue by major source (in millions):\n\n| disclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| the audited consolidated financial statements as of that date. The interim consolidated financial statements and the | | | | | | | | |\n| accompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying | | | | | | | | |\n| notes contained in our Annual Report on Form 10-K for the year ended December 31, 2023. | | | | | | | | |\n| The interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the | | | | | | | | |\n| annual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal | | | | | | | | |\n| recurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated | | | | | | | | |\n| results of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any | | | | | | | | |\n| other future years or interim periods. | | | | | | | | |\n| Reclassifications | | | | | | | | |\n| Certain prior period balances have been reclassified to conform to the current period presentation in the consolidated | | | | | | | | |\n| financial statements and the accompanying notes. | | | | | | | | |\n| Revenue Recognition | | | | | | | | |\n| Revenue by source | | | | | | | | |\n| The following table disaggregates our revenue by major source (in millions): | | | | | | | | |\n| Three Months Ended September 30, Nine Months Ended September 30, | | | | | | | | |\n| 2024 2023 2024 2023 | | | | | | | | |\n| Automotive sales $ 18,831 $ 18,582 $ $ | | | | | | 53,821 | | 57,879 |\n| Automotive regulatory credits | | 739 | | 554 | | 2,071 | | 1,357 |\n| Energy generation and storage sales | | 2,228 | | 1,416 | | 6,616 | | 4,188 |\n| Services and other | | 2,790 | | 2,166 | | 7,686 | | 6,153 |\n| Total revenues from sales and services | | 24,588 | | 22,718 | | 70,194 | | 69,577 |\n| Automotive leasing | | 446 | | 489 | | 1,380 | | 1,620 |\n| Energy generation and storage leasing | | 148 | | 143 | | 409 | | 409 |\n| Total revenues | $ | 25,182 | $ | 23,350 | $ | 71,983 | $ | 71,606 |\n| Automotive Segment | | | | | | | | |\n| Automotive Sales | | | | | | | | |\n\n#### Automotive Segment\n\n#### Automotive Sales\n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (\"FSD\") Capability features and their ongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on automotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively.", - "page_start": 12, - "page_end": 12, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\nTesla, Inc.\n\nDate: October 23, 2024 /s/ Vaibhav Taneja\n\nVaibhav Taneja Chief Financial Officer (Principal Financial Officer and Duly Authorized Officer)\n\n38", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "# UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Texas 91-2197729\n\n(Mark One)\n\n- x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Address of principal executive offices) (Zip Code)\nFor the quarterly period ended September 30, 2024\n\nOR\n\n- o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\nFor the transition period from _________ to _________\n\nCommission File Number: 001-34756\n\n# Tesla, Inc.\n\n(Exact name of registrant as specified in its charter)\n\n(State or other jurisdiction of incorporation or organization)\n\n1 Tesla Road Austin, Texas 78725\n\n(I.R.S. Employer\n\nIdentification No.)\n\n(512) 516-8177 (Registrant's telephone number, including area code)\n\n#### Securities registered pursuant to Section 12(b) of the Act:\n\n| 1934 | | |\n| --- | --- | --- |\n| For the transition period from _________ to _________ | | |\n| Commission File Number: 001-34756 | | |\n| Tesla, Inc. | | |\n| (Exact name of registrant as specified in its charter) | | |\n| (State or other jurisdiction of | | (I.R.S. Employer |\n| incorporation or organization) | | Identification No.) |\n| 1 Tesla Road | | |\n| Austin, Texas | | 78725 |\n| (512) 516-8177 | | |\n| (Registrant's telephone number, including area code) | | |\n| Securities registered pursuant to Section 12(b) of the Act: | | |\n| Title of each class Trading Symbol(s) | | Name of each exchange on which registered |\n| Common stock | TSLA | The Nasdaq Global Select Market |\n| Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been | | |\n| subject to such filing requirements for the past 90 days. Yes x No o | | |\n| Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 | | |\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o\n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of \"large accelerated filer,\" \"accelerated filer,\" \"smaller reporting company\" and \"emerging growth company\" in Rule 12b-2 of the Exchange Act:\n\n| Large accelerated filer | x | Accelerated filer | o |\n| --- | --- | --- | --- |\n| Non-accelerated filer | o | Smaller reporting company | o |\n| Emerging growth company | o | | |\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x As of October 18, 2024, there were 3,210,059,659 shares of the registrant's common stock outstanding.", - "page_start": 0, - "page_end": 0, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Comprehensive Income (in millions) (unaudited)\n\n| tsla-20240930 | | | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | |\n| Tesla, Inc. | | | | | | | |\n| Consolidated Statements of Comprehensive Income | | | | | | | |\n| (in millions) | | | | | | | |\n| (unaudited) | | | | | | | |\n| Three Months Ended September 30, | | | | | Nine Months Ended September 30, | | |\n| 2024 2023 | | | | 2024 | | 2023 | |\n| Net income $ $ | 2,183 | 1,878 | $ | 4,821 | $ | | 7,031 |\n| Other comprehensive income (loss): | | | | | | | |\n| Foreign currency translation adjustment | 445 | (289) | | 121 | | | (343) |\n| Unrealized net gain on investments, net of tax | 8 | 7 | | 8 | | | 8 |\n| Net loss realized and included in net income | — | — | | — | | | 4 |\n| Comprehensive income | 2,636 | 1,596 | | 4,950 | | | 6,700 |\n| Less: Comprehensive income (loss) attributable to | | | | | | | |\n| noncontrolling interests and redeemable | | | | | | | |\n| noncontrolling interests in subsidiaries | 16 | 25 | | 47 | | | (38) |\n| Comprehensive income attributable to common | | | | | | | |\n| stockholders $ $ | 2,620 | 1,571 | $ | 4,903 | $ | | 6,738 |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n#### 6", - "page_start": 7, - "page_end": 7, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Cash Flows (in millions) (unaudited)\n\n| tsla-20240930 | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | |\n| Tesla, Inc. | Consolidated Statements of Cash Flows | | | | | | | | |\n| (in millions) | (unaudited) | | | | | | | | |\n| Nine Months Ended September 30, | 2024 | 2023 | | | | | | | |\n| Cash Flows from Operating Activities | Net income | $ | 4,821 | $ | 7,031 | | | | |\n| Adjustments to reconcile net income to net cash provided by operating activities: | Depreciation, amortization and impairment | 3,872 | 3,435 | | | | | | |\n| Stock-based compensation | 1,420 | 1,328 | Inventory and purchase commitments write-downs | 247 | 361 | | | | |\n| Foreign currency transaction net unrealized loss (gain) | 197 | (317) | Deferred income taxes | 418 | (316) | | | | |\n| Non-cash interest and other operating activities | 83 | 94 | Changes in operating assets and liabilities: | | | | | | |\n| Accounts receivable | 144 | 377 | Inventory | (1,107) | (1,953) | | | | |\n| Operating lease vehicles | (82) | (1,858) | Prepaid expenses and other assets | (2,639) | (1,992) | | | | |\n| Accounts payable, accrued and other liabilities | 2,504 | 1,922 | Deferred revenue | 231 | 774 | | | | |\n| Net cash provided by operating activities | 10,109 | 8,886 | Cash Flows from Investing Activities | | | | | | |\n| Purchases of property and equipment excluding finance leases, net of sales | (8,556) | (6,592) | Purchases of solar energy systems, net of sales | (6) | — | | | | |\n| Purchases of investments | (20,797) | (13,221) | Proceeds from maturities of investments | 17,975 | 8,959 | | | | |\n| Proceeds from sales of investments | 200 | 138 | Business combinations, net of cash acquired | — | (64) | | | | |\n| Net cash used in investing activities | (11,184) | (10,780) | Cash Flows from Financing Activities | | | | | | |\n| Proceeds from issuances of debt | 4,360 | 2,526 | Repayments of debt | (1,783) | (887) | | | | |\n| Proceeds from exercises of stock options and other stock issuances | 788 | 548 | Principal payments on finance leases | (291) | (340) | | | | |\n| Debt issuance costs | (6) | (23) | Distributions paid to noncontrolling interests in subsidiaries | (76) | (105) | | | | |\n| Payments for buy-outs of noncontrolling interests in subsidiaries | (124) | (17) | Net cash provided by financing activities | 2,868 | 1,702 | | | | |\n| Effect of exchange rate changes on cash and cash equivalents and restricted cash | (8) | (142) | Net increase (decrease) in cash and cash equivalents and restricted cash | 1,785 | (334) | | | | |\n| Cash and cash equivalents and restricted cash, beginning of period | 17,189 | 16,924 | Cash and cash equivalents and restricted cash, end of period | $ | 18,974 | $ | 16,590 | | |\n| Supplemental Non-Cash Investing and Financing Activities | Acquisitions of property and equipment included in liabilities | $ | 2,727 | $ | 1,717 | | | | |\n| Leased assets obtained in exchange for finance lease liabilities | $ | 32 | $ | 1 | Leased assets obtained in exchange for operating lease liabilities | $ | 1,232 | $ | 1,548 |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 11, - "page_end": 11, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Operations (in millions, except per share data) (unaudited)\n\n| | | | | | | | | | | | | | | | | | | | tsla-20240930 | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | Tesla, Inc. | | | | | | | |\n| | | | | | | | | | | | | | | Consolidated Statements of Operations | | | | | | | |\n| | | | | | | | | | | | | | | (in millions, except per share data) | | | | | | | |\n| | | | | | | | | | | | | | | (unaudited) | | | | | | | |\n| | | | Three Months Ended September 30, | | | | | | | | | | | | | | Nine Months Ended September 30, | | | | |\n| | | | | | 2023 | | 2024 | | 2023 | | | | | 2024 | | | | | | | |\n| Revenues | | | | | | | | | | | | | | | | | | | | | |\n| Automotive sales | $ | 18,831 | | $ | | $ | 53,821 | | 57,879 | | | | | | 18,582 | | $ | | | | |\n| Automotive regulatory credits | | 739 | | | | | 2,071 | | 1,357 | | | | | | 554 | | | | | | |\n| Automotive leasing | | 446 | | | | | 1,380 | | 1,620 | | | | | | 489 | | | | | | |\n| Total automotive revenues | | 20,016 | | | | | 57,272 | | 60,856 | | | | | | 19,625 | | | | | | |\n| Energy generation and storage | | 2,376 | | | | | 7,025 | | 4,597 | | | | | | 1,559 | | | | | | |\n| Services and other | | 2,790 | | | | | 7,686 | | 6,153 | | | | | | 2,166 | | | | | | |\n| Total revenues | | 25,182 | | | | | 71,983 | | 71,606 | | | | | | 23,350 | | | | | | |\n| Cost of revenues | | | | | | | | | | | | | | | | | | | | | |\n| Automotive sales | | 15,743 | | | | | 45,602 | | | 47,919 | | | | | 15,656 | | | | | | |\n| Automotive leasing | | | | | | | 761 | | 972 | | | | 247 | | 301 | | | | | | |\n| Total automotive cost of revenues | | 15,990 | | | | | 46,363 | | 48,891 | | | | | | 15,957 | | | | | | |\n| | | | 16 | | | | | | | | | | | | 25 | | | | | | |\n| Operating expenses | | | | | | | | | | | | | | | | | | | | | |\n| Research and development | | | | | | | 3,264 | | 2,875 | | | | | | 1,161 | | | | | | |\n| Selling, general and administrative | | 1,186 | | | | | 3,837 | | 3,520 | | | | | | 1,253 | | | | | | |\n| Restructuring and other | | | | | | | 677 | | — | | | | | | — | | | | | | |\n| Interest income | | 429 | | | | | 1,127 | | 733 | | | | | | 282 | | | | | | |\n| Interest expense | | (92) | | | | | (254) | | (95) | | | | | | (38) | | | | | | |\n| Other (expense) income, net | | (270) | | | | | (142) | | 317 | | | | | | 37 | | | | | | |\n| Income before income taxes | | 2,784 | | | | | 6,224 | | 7,782 | | | | | | 2,045 | | | | | | |\n| Provision for income taxes | | 601 | | | | | 1,403 | | 751 | | | | | | 167 | | | | | | |\n| Net income | | 2,183 | | | | | 4,821 | | 7,031 | | | | | | 1,878 | | | | | | |\n| Net income (loss) attributable to noncontrolling interests and | | | | | | | | | | | | | | | | | | | | | |\n| Net income attributable to common stockholders | $ | 2,167 | | $ | | $ | 4,774 | $ | 7,069 | | | | | | 1,853 | | | | | | |\n| Net income per share of common stock attributable to | | | | | | | | | | | | | | | | | | | | | |\n| common stockholders | | | | | | | | | | | | | | | | | | | | | |\n| Basic | $ | 0.68 | | $ | | $ | 1.51 | $ | 2.23 | | | | | | 0.58 | | | | | | |\n| | $ | 0.62 | | $ | | $ | 1.38 | $ | 2.03 | | | | | | 0.53 | | | | | | |\n| Income from operations | | 2,717 | | | | | 5,493 | | 6,827 | | | | | | 1,764 | | | | | | |\n| share of common stock | | | | | | | | | | | | | | | | | | | | | |\n| Basic | | 3,198 | | | | | 3,192 | | 3,171 | | | | | | 3,176 | | | | | | |\n| Diluted | | | | | | | 3,489 | | 3,481 | | | 3,497 | | | 3,493 | | | | | | |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | | | | | | | | | | | | | | | |\n| Energy generation and storage | | 1,651 | | | | | | | | | | | | | 1,178 | 5,157 | | 3,770 | | | |\n| | | | | | | | | | | | 5,723 | | | | | | | | | | |\n| Gross profit | | 4,997 | | | | | 13,271 | | 13,222 | | | | | | 4,178 | | | | | | |\n| Total operating expenses | | 2,280 | | | | | 7,778 | | 6,395 | | | | | | 2,414 | | | | | | |\n| redeemable noncontrolling interests in subsidiaries | | | | | | | 47 | | (38) | | | | | | | | | | | | |\n| Diluted | | | | | | | | | | | | | | | | | | | | | |\n| Weighted average shares used in computing net income per | | | | | | | | | | | | | | | | | | | | | |\n| Total cost of revenues | | 20,185 | | | | | 58,712 | | | | 58,384 | | | | 19,172 | | | | | | |\n| | | 1,039 | | | | | | | | | | | | | | | | | | | |\n| | | | | | | | | | | | | | | | | | | | | 55 | |\n| Services and other | | 2,544 | | | | | 7,192 | | | | | | | | 2,037 | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 6, - "page_end": 6, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Redeemable Noncontrolling Interests and Equity (in millions) (unaudited)\n\n| tsla-20240930 | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | | | | | | | | | | | |\n| Tesla, Inc. | Consolidated Statements of Redeemable Noncontrolling Interests and Equity | | | | | | | | | | | | | | | | | | |\n| (in millions) | (unaudited) | | | | | | | | | | | | | | | | | | |\n| Accumulated | Three Months | Redeemable | Additional | Other | Total | Noncontrolling | Ended | Common Stock | | | | | | | | | | | |\n| Noncontrolling | Comprehensive | Stockholders' | Interests in | Total | Paid-In | Retained | September 30, | Interests | Shares | Amount | Capital | Loss | Earnings | Equity | Subsidiaries | Equity | 2024 | | |\n| Balance as of | June 30, 2024 | $ | 72 | 3,194 | $ | 3 | $ | 36,443 | $ | (467) | $ | 30,489 | $ | 66,468 | $ | 723 | $67,191 | | |\n| Settlement of | warrants | — | 9 | — | — | — | — | — | — | — | | | | | | | | | |\n| Issuance of | common | | | | | | | | | | | | | | | | | | |\n| stock for | equity | | | | | | | | | | | | | | | | | | |\n| incentive | awards | — | 4 | — | 340 | — | — | 340 | — | 340 | | | | | | | | | |\n| Stock-based | compensation | — | — | — | 503 | — | — | 503 | — | 503 | | | | | | | | | |\n| Distributions to | noncontrolling | | | | | | | | | | | | | | | | | | |\n| interests | (3) | — | — | — | — | — | — | (29) | (29) | Net income | 1 | — | — | — | — | 2,167 | 2,167 | 15 | 2,182 |\n| Other | comprehensive | | | | | | | | | | | | | | | | | | |\n| — | — | — | — | 453 | — | 453 | — | 453 | income | Balance as of | | | | | | | | | |\n| September 30, | $ | 70 | 3,207 | $ | 3 | $ | 37,286 | $ | (14) | $ | 32,656 | $ | 69,931 | $ | 709 | $70,640 | 2024 | | |\n| Accumulated | Nine Months | Redeemable | Additional | Other | Total | Noncontrolling | Ended | Common Stock | | | | | | | | | | | |\n| Noncontrolling | Paid-In | Comprehensive | Retained | Stockholders' | Interests in | Total | September 30, | Interests | Shares | Amount | Capital | Loss | Earnings | Equity | Subsidiaries | Equity | 2024 | | |\n| Balance as of | December 31, | | | | | | | | | | | | | | | | | | |\n| 2023 | $ | 242 | 3,185 | $ | 3 | $ | 34,892 | $ | (143) | $ | 27,882 | $ | 62,634 | $ | 733 | $63,367 | Settlement of | | |\n| warrants | — | 9 | — | — | — | — | — | — | — | Issuance of | | | | | | | | | |\n| common | stock for | | | | | | | | | | | | | | | | | | |\n\n| Stock-based | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Distributions to | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Other | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| comprehensive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Balance as of September 30, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Nine Months | | | | | | | | Accumulated | | | | | | | | | | | | | | | | | | | | | | | |\n| Ended | Redeemable | | | | | | Additional | Other | | | Total | | | | | | | | | | | | | | | | | | Noncontrolling | | |\n| September 30, | Noncontrolling | | | | | | Paid-In | Comprehensive | | Retained | Stockholders' | | | | | Total | | | | | | | | | Common Stock | | | | Interests in | | |\n| 2024 | Interests | | Shares | | Amount | | Capital | Loss | | Earnings | | Equity | | | | Equity | | | | | | | | | | | | | Subsidiaries | | |\n| Balance as of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| December 31, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| 2023 | $ | 242 | 3,185 | | | 3 | $ 34,892 | $ (143) | | $ 27,882 | | 62,634 | $ | 733 | $63,367 | | | | | | | | | | $ | | | $ | | | |\n| Settlement of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| warrants | | — | | 9 | | | | — | | — | | — | | — | | — | — | — | | | | | | | | | | | | | |\n| Issuance of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| common | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| incentive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| awards | | — | 13 | | | — | 787 | — | | — | | 787 | | — | | 787 | | | | | | | | | | | | | | | |\n| Stock-based | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| compensation | | | | | | | | — | | — | | 1,565 | | — | | | | | | | — | — | — | | | | | | | 1,565 | 1,565 |\n| Distributions to | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| interests | | (11) | — | | | — | — | — | | — | | — | | (66) | | (66) | | | | | | | | | | | | | | | |\n| Buy-outs of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| noncontrolling | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Net income | | 5 | — | | | — | — | — | | 4,774 | | 4,774 | | 42 | | 4,816 | | | | | | | | | | | | | | | |\n| Other | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| comprehensive | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | | — | — | | | — | — | 129 | | — | | 129 | | — | | 129 | | | | | | | | | | | | | | | |\n| September 30, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| | $ | 70 | 3,207 | | | 3 | $ 37,286 | | (14) | | | 69,931 | $ | 709 | | $70,640 | | | | | | | | 32,656 | $ | | $ | $ | | | |\n| | | | | | | | | | | | | | | | | | | | 10/01/2025, 14:33 | 9 sur 49 | | | | | | | | | | | |\n| stock for | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| equity | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| interests | (166) | | — | | | — | 42 | — | | — | | 42 | | — | | 42 | | | | | | | | | | | | | | | |\n| income | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| Balance as of | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |\n| 2024 | | | | | | | | | | | | | | | | | | | | | | | | | | $ | | | | | |", - "page_start": 8, - "page_end": 8, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\nOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla alleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the Company's 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company's corporate governance and internal procedures, unspecified damages, and attorneys' fees. The lawsuit has been stayed pending resolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.\n\nOn November 15, 2021, JPMorgan Chase Bank (\"JP Morgan\") filed a lawsuit against Tesla in the Southern District of New York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In 2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk's August 7, 2018 Twitter post that he was considering taking Tesla private. Tesla disputed JP Morgan's adjustment as a violation of the parties' agreement. In 2021, Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed approximately $162 million as the value of additional shares that it claims should have been delivered as a result of the adjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the underlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the stock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September 12, 2024, the Court denied JP Morgan's motion.\n\n#### Certain Derivative Lawsuits in Delaware\n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by purported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly on behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly Twitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek unspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters into a single case, and a hearing on that motion is scheduled for November 18, 2024.\n\n#### Litigation and Investigations Relating to Alleged Discrimination and Harassment\n\nOn February 9, 2022, the California Civil Rights Department (\"CRD,\" formerly \"DFEH\") filed a civil complaint against Tesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay equity claims, among others. CRD's amended complaint seeks monetary damages and injunctive relief. The case is currently in discovery. Trial is scheduled for September 15, 2025.\n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission (\"EEOC\") issued a cause finding against Tesla that closely parallels the CRD's allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the United States District Court for the Northern District of California asserting claims for race harassment and retaliation and seeking, among other things, monetary and injunctive relief.\n\nOn June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the Western District of Texas, purportedly on behalf of Tesla, against certain of Tesla's current and former directors. Both suits assert claims for breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race and gender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecified damages payable to Tesla, and attorneys' fees. On July 22, 2022, the Court consolidated the two cases and on September 6, 2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and on September 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2, 2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, the defendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs to amend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr. Musk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n#### PART I. FINANCIAL INFORMATION ITEM 1. FINANCIAL STATEMENTS\n\n# Tesla, Inc. Consolidated Balance Sheets (in millions, except per share data) (unaudited)\n\n| | | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | tsla-20240930 |\n| --- | --- | --- | --- | --- | --- |\n| | | | | | Table of Contents |\n| | | | | | PART I. FINANCIAL INFORMATION |\n| | | | | | ITEM 1. FINANCIAL STATEMENTS |\n| Tesla, Inc. | | | | | |\n| Consolidated Balance Sheets | | | | | |\n| (in millions, except per share data) | | | | | |\n| (unaudited) | | | | | |\n| | September 30, | | | December 31, | |\n| | 2024 | | | 2023 | |\n| | | | | | Assets |\n| | | | | | Current assets |\n| $ | | 18,111 | $ | 16,398 | Cash and cash equivalents |\n| | | 15,537 | | 12,696 | Short-term investments |\n| | | 3,313 | | 3,508 | Accounts receivable, net |\n| | | 14,530 | | 13,626 | Inventory |\n| | | 4,888 | | 3,388 | Prepaid expenses and other current assets |\n| | | 56,379 | | 49,616 | Total current assets |\n| | | 5,380 | | 5,989 | Operating lease vehicles, net |\n| | | 5,040 | | 5,229 | Solar energy systems, net |\n| | | 36,116 | | 29,725 | Property, plant and equipment, net |\n| | | 4,867 | | 4,180 | Operating lease right-of-use assets |\n| | | 184 | | 184 | Digital assets, net |\n| | | 158 | | 178 | Intangible assets, net |\n| | | 253 | | 253 | Goodwill |\n| | | 6,486 | | 6,733 | Deferred tax assets |\n| | | 4,989 | | 4,531 | Other non-current assets |\n| $ | | 119,852 | $ | 106,618 | Total assets |\n| | | | | | Liabilities |\n| | | | | | Current liabilities |\n| $ | | 14,654 | $ | 14,431 | Accounts payable |\n| | | 10,601 | | 9,080 | Accrued liabilities and other |\n| | | 3,031 | | 2,864 | Deferred revenue |\n| | | 2,291 | | 2,373 | Current portion of debt and finance leases |\n| | | 30,577 | | 28,748 | Total current liabilities |\n| | | 5,405 | | 2,857 | Debt and finance leases, net of current portion |\n| | | 3,350 | | 3,251 | Deferred revenue, net of current portion |\n| | | 9,810 | | 8,153 | Other long-term liabilities |\n| | | 49,142 | | 43,009 | Total liabilities |\n| | | | | | Commitments and contingencies (Note 10) |\n| Redeemable noncontrolling interests in subsidiaries | | 70 | | 242 | |\n| | | | | | Equity |\n| | | | | | Stockholders' equity |\n| Preferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding | | — | | — | |\n| Common stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and | | | | | |\n| outstanding as of September 30, 2024 and December 31, 2023, respectively | | 3 | | 3 | |\n| | | 37,286 | | 34,892 | Additional paid-in capital |\n| | | (14) | | (143) | Accumulated other comprehensive loss |\n| | | 32,656 | | 27,882 | Retained earnings |\n| | | 69,931 | | 62,634 | Total stockholders' equity |\n| | | 709 | | 733 | Noncontrolling interests in subsidiaries |\n| $ | | 119,852 | $ | 106,618 | Total liabilities and equity |\n| The accompanying notes are an integral part of these consolidated financial statements. 4 | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements. 4", - "page_start": 4, - "page_end": 4, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Certain Investigations and Other Matters\n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such as the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange Commission (\"SEC\"), the Department of Justice (\"DOJ\"), and various local, state, federal, and international agencies. The ongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents, Autopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla's business, its personnel, and related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other inquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred. We cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement action, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows, financial position or brand.\n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business activities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain misappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications to potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain law enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court for the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by several additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an unfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the possibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.\n\n#### Note 11 – Variable Interest Entity Arrangements\n\nThe aggregate carrying values of the variable interest entities' assets and liabilities, after elimination of any intercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):\n\n| financial position or brand. | | |\n| --- | --- | --- |\n| We are also subject to various other legal proceedings, risks and claims that arise from the normal course of business | | |\n| activities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain | | |\n| misappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications | | |\n| to potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain | | |\n| law enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court | | |\n| for the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by | | |\n| several additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an | | |\n| unfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the | | |\n| possibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand. | | |\n| Note 11 – Variable Interest Entity Arrangements | | |\n| The aggregate carrying values of the variable interest entities' assets and liabilities, after elimination of any | | |\n| intercompany transactions and balances, in the consolidated balance sheets were as follows (in millions): | | |\n| September 30, December 31, | | |\n| 2024 2023 | | |\n| Assets | | |\n| Current assets | | |\n| Cash and cash equivalents $ 51 $ | | 66 |\n| Accounts receivable, net 28 | | 13 |\n| Prepaid expenses and other current assets 263 361 | | |\n| Total current assets 342 440 | | |\n| Operating lease vehicles, net 451 | | — |\n| Solar energy systems, net 2,524 3,278 | | |\n| Other non-current assets 190 369 | | |\n| 3,507 $ 4,087 Total assets | $ | |\n| Liabilities | | |\n| Current liabilities | | |\n| Accrued liabilities and other $ 36 $ | | 67 |\n| Deferred revenue 7 | | 6 |\n| Current portion of debt and finance leases 1,930 1,564 | | |\n| Total current liabilities 1,973 1,637 | | |\n| Deferred revenue, net of current portion 81 | | 99 |\n| 1,826 2,041 Debt and finance leases, net of current portion | | |\n| $ 3,880 $ 3,777 Total liabilities | | |\n| 24 | | |", - "page_start": 29, - "page_end": 29, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What is the reason for the increase in Tesla's tax rate from 2023 to 2024?", - "target_page": 26, - "target_passage": " increase in our effective tax rate is primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in the mix of our jurisdictional earnings", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### Table of Contents\n\nOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased by $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and increased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.\n\nSee Note 9, Income Taxes, to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q for further details.\n\n#### Liquidity and Capital Resources\n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash we generate from our core operations enables us to fund ongoing operations and production, our research and development projects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing manufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and autonomy and other artificial intelligence enabled products.\n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we will be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing operations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we may choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and may decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time determine that it is in our best interests to voluntarily repay certain indebtedness early.\n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month period following September 30, 2024, as well as in the long-term.\n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of liquidity to meet such needs.\n\n#### Material Cash Requirements\n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of components and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in the precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do not have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of purchase orders beyond such period is difficult to accurately project.\n\nAs discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis of Financial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook —Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capital expenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each of the following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York and Gigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Results of Operations—Liquidity and Capital Resources—Material Cash Requirements in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nAs of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount of indebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, Debt, to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.\n\n#### Sources and Conditions of Liquidity\n\nOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used vehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equity offerings, when applicable.", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n#### Energy Generation and Storage Segment\n\n#### Energy Generation and Storage Sales\n\nWe record as deferred revenue any non-refundable amounts that are collected from customers related to prepayments, which is recognized as revenue ratably over the respective customer contract term. As of September 30, 2024 and December 31, 2023, deferred revenue related to such customer payments amounted to $1.73 billion and $1.60 billion, respectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balances as of December 31, 2023 and 2022 was $1.09 billion and $511 million for the nine months ended September 30, 2024 and 2023, respectively. As of September 30, 2024, total transaction price allocated to performance obligations that were unsatisfied or partially unsatisfied for contracts with an original expected length of more than one year was $6.61 billion. Of this amount, we expect to recognize $4.23 billion in the next 12 months and the rest over the remaining performance obligation period.\n\nWe have financing receivables on our consolidated balance sheets related to loans we provide for financing our energy products. As of September 30, 2024 and December 31, 2023, we had current net financing receivables of $32 million and $31 million, respectively, in Accounts receivable, net, and $641 million and $578 million, respectively, in Other non-current assets for the long-term portion.\n\n#### Income Taxes\n\nWe are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company's projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information. Three Months Ended September 30, Nine Months Ended September 30, 2024 2023 2024 2023 Net income attributable to common stockholders $ 2,167 $ 1,853 $ 4,774 $ 7,069 Less: Buy-outs of noncontrolling interest — 2 (42) (3)\n\nOur provision for or benefit from income taxes for interim periods is determined using an estimate of our annual effective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update our estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment.\n\n#### Net Income per Share of Common Stock Attributable to Common Stockholders\n\nThe following table presents the reconciliation of net income attributable to common stockholders to net income used in computing basic and diluted net income per share of common stock (in millions):\n\n| Company's projected future results of business operations, including uncertainty in future operating results relative to historical | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions | | | | | | | |\n| impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of | | | | | | | |\n| future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all | | | | | | | |\n| available information. | | | | | | | |\n| Our provision for or benefit from income taxes for interim periods is determined using an estimate of our annual | | | | | | | |\n| effective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update | | | | | | | |\n| our estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment. | | | | | | | |\n| Net Income per Share of Common Stock Attributable to Common Stockholders | | | | | | | |\n| The following table presents the reconciliation of net income attributable to common stockholders to net income used in | | | | | | | |\n| computing basic and diluted net income per share of common stock (in millions): | | | | | | | |\n| 2024 2023 2024 2023 | | | | | | | |\n| Net income attributable to common stockholders $ $ $ | $ | 2,167 | | 1,853 | 4,774 | 7,069 | |\n| Less: Buy-outs of noncontrolling interest 2 (42) | | — | | | | | (3) |\n| Net income used in computing basic and diluted net | | | | | | | |\n| $ $ income per share of common stock | $ | 2,167 | $ | 1,851 | 4,816 | | 7,072 |\n| 12 | | | | | | | |", - "page_start": 15, - "page_end": 15, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\nGross margin for total automotive increased from 18.7% to 20.1% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower average combined cost per unit of our vehicles, an increase in FSD revenue and an increase in regulatory credits revenue, partially offset by lower average selling price on our vehicles, as discussed above.\n\nGross margin for total automotive decreased from 19.7% to 19.0% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023 primarily due to lower average selling price on our vehicles and temporary under-utilization of manufacturing capacity during production ramps, partially offset by lower average combined cost per unit of our vehicles, an increase in regulatory credits revenue and an increase in FSD revenue, as discussed above.\n\nGross margin for total automotive & services and other segment increased from 17.4% to 18.7% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Gross margin for total automotive & services and other segment decreased from 18.5% to 17.6% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The changes in gross margin are primarily due to the automotive gross margin factors discussed above.\n\n#### Energy Generation and Storage Segment\n\nCost of energy generation and storage revenue increased $473 million, or 40%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Cost of energy generation and storage revenue increased $1.39 billion, or 37%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases in cost of revenues were primarily due to increases in Megapack and Powerwall deployments, partially offset by increases in IRA manufacturing credits recognized as compared to the prior periods.\n\nGross margin for energy generation and storage increased from 24.4% to 30.5% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Gross margin for energy generation and storage increased from 18.0% to 26.6% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due to margin improvements for our energy storage products driven by cost reductions, including benefits from IRA manufacturing credits, and a higher proportion of our storage business, which operated at a higher gross margin, within the segment as compared to the prior periods. September 30, Change September 30, Change (Dollars in millions) 2024 2023 $ % 2024 2023 $ % Research and development $ 1,039 $ 1,161 $ (122) (11)% $ 3,264 $ 2,875 $ 389 14 % As a percentage of revenues 4 % 5 % 5 % 4 %\n\n#### Research and Development Expense\n\n| Three Months Ended | | | | | | | | Nine Months Ended | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Research and development (\"R&D\") expenses decreased $122 million, or 11%, in the three months ended September 30, | | | | | | | | | | | | |\n| 2024 as compared to the three months ended September 30, 2023 primarily due to a decrease in vehicle programs, partially | | | | | | | | | | | | |\n| offset by an increase in AI related costs year over year. R&D expenses as a percentage of revenue decreased from 5% to 4% in | | | | | | | | | | | | |\n| the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower | | | | | | | | | | | | |\n| R&D expenses in the current period. | | | | | | | | | | | | |\n| R&D expenses increased $389 million, or 14%, in the nine months ended September 30, 2024 as compared to the nine | | | | | | | | | | | | |\n| months ended September 30, 2023. The overall increases were primarily driven by additional costs year over year related to AI | | | | | | | | | | | | |\n| programs. R&D expenses as a percentage of revenue increased from 4% to 5% in the nine months ended September 30, 2024 | | | | | | | | | | | | |\n| as compared to the nine months ended September 30, 2023 as we continue to expand our product roadmap and technologies. | | | | | | | | | | | | |\n| Selling, General and Administrative Expense | | | | | | | | | | | | |\n| Three Months Ended Nine Months Ended | | | | | | | | | | | | |\n| September 30, Change September 30, Change | | | | | | | | | | | | |\n| (Dollars in millions) 2024 2023 $ % 2024 2023 $ % | | | | | | | | | | | | |\n| (67) | Selling, general and administrative $ | 1,186 $ | 1,253 | | $ | (5)% | $ | 3,837 $ 3,520 | | $ | 317 | 9 % |\n| As a percentage of revenues | | 5 % | | 5 % | | | | 5 % | 5 % | | | |\n\nResearch and development (\"R&D\") expenses decreased $122 million, or 11%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to a decrease in vehicle programs, partially offset by an increase in AI related costs year over year. R&D expenses as a percentage of revenue decreased from 5% to 4% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower R&D expenses in the current period.\n\nR&D expenses increased $389 million, or 14%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The overall increases were primarily driven by additional costs year over year related to AI programs. R&D expenses as a percentage of revenue increased from 4% to 5% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023 as we continue to expand our product roadmap and technologies.\n\n#### Selling, General and Administrative Expense\n\n| Research and development (\"R&D\") expenses decreased $122 million, or 11%, in the three months ended September 30, |\n| --- |\n| 2024 as compared to the three months ended September 30, 2023 primarily due to a decrease in vehicle programs, partially |\n| offset by an increase in AI related costs year over year. R&D expenses as a percentage of revenue decreased from 5% to 4% in |\n| the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower |\n| R&D expenses in the current period. |\n| R&D expenses increased $389 million, or 14%, in the nine months ended September 30, 2024 as compared to the nine |\n| months ended September 30, 2023. The overall increases were primarily driven by additional costs year over year related to AI |\n| programs. R&D expenses as a percentage of revenue increased from 4% to 5% in the nine months ended September 30, 2024 |\n| as compared to the nine months ended September 30, 2023 as we continue to expand our product roadmap and technologies. |\n| Selling, General and Administrative Expense |\n| Three Months Ended Nine Months Ended |\n| September 30, Change September 30, Change |\n| (Dollars in millions) 2024 2023 $ % 2024 2023 $ % |\n| Selling, general and administrative $ 1,186 $ 1,253 $ (67) (5)% $ 3,837 $ 3,520 $ 317 9 % |\n| As a percentage of revenues 5 % 5 % 5 % 5 % |\n| 31 |", - "page_start": 39, - "page_end": 39, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "$12 million in 2004. The increase is due to the full year of Borgata's results, offset by a reduction to state income taxes in the fourth quarter of 2004. Borgata received a notice of refund of certain state tax credits and recorded a benefit for amounts earned in 2003 and 2004, which had previously been fully reserved. Our share of the adjustment was $12 million. We expect our share of the benefit of these tax credits to positively impact this line item by approximately $8 million per year for the next three years.\n\nThe following table summarizes information related to our income taxes:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Income from continuing operations | | | |\n| before income tax $ 555,815 | | $ 343,660 | $ 457,927 |\n| Income tax provision | 205,959 | 113,387 | 168,451 |\n| Effective income tax rate | 37.1% | 33.0% | 36.8% |\n| Cash paid for income taxes $ 128,393 | | $ 94,932 | $ 44,579 |\n\nThe effective income tax rate in 2004 was higher than in 2003 primarily due to the accrual of additional state deferred taxes related to capital investments in New Jersey, non-deductible costs related to a Michigan ballot initiative, overseas development costs for which no tax benefit was provided, and the reversal of a greater amount of tax reserves in 2003 compared to 2004 ($13 million in 2003 versus $6 million in 2004) as a result of completion of audits and the expiration of statutes of limitations. The effective income tax rate in 2003 was lower than in 2002 primarily due to the reversal of tax reserves in 2003. Excluding the reversal, our effective income tax rate was approximately the same in both periods.\n\nIn 2004, taxes paid increased from prior years, primarily due to increased book income and the full utilization of tax credit carryforwards in 2003. Except for 2003, when we made payments to settle IRS audits of prior years, taxes paid have generally been significantly lower than our income tax provision. This is primarily due to accelerated\n\ntax depreciation and the utilization of tax credit carryforwards. We utilized the last of these credits in 2003, which resulted in the increase in our cash paid for taxes in 2004.\n\nWe are evaluating the impact of provisions of the American Jobs Creation Act of 2004 (the \"Act\") that provide for a special one-time tax deduction of 85 percent on certain repatriated earnings of foreign subsidiaries. Additional guidance from Congress and/or the United States Treasury Department will be necessary for us to complete our evaluation, as it is not clear at this time whether the Act will provide a benefit to us. We will complete our evaluation as soon as practicable following the issuance of guidance and adjust our taxes accordingly, if necessary.\n\nWe have not yet repatriated the net proceeds from the sale of MGM Grand Australia pending our evaluation. Nonetheless, we provided in 2004 deferred U.S. income taxes of $11 million on the basis that such proceeds would be repatriated without the benefit of the 85 percent one-time deduction. Such amount was included in the provision for income taxes on discontinued operations for 2004. We considered the earnings of our Australia operations permanently reinvested prior to the sale of such operations.\n\nIf guidance is issued that indicates our planned repatriation qualifies for the onetime deduction, we will recognize a tax benefit of approximately $7 million as part of continuing operations in the quarter in which such guidance is issued. If no such guidance is issued within the applicable timeframe, then we will attempt to permanently reinvest the proceeds in another foreign jurisdiction, such as Macau. In such case, we would recognize a tax benefit of $11 million as part of continuing operations in the quarter in which the reinvestment is made. We currently do not have a plan to reinvest the proceeds in such manner.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### Table of Contents\n\nWe are focused on growing our manufacturing capacity, which includes capacity for manufacturing newer vehicle models such as our Cybertruck, Tesla Semi and future vehicles utilizing aspects of our next generation platform, and ramping the production at our Gigafactories to their installed production capacities as well as increasing production rate and efficiency at our current factories. The next phase of production growth will depend on the continued ramp at our factories and be initiated by advances in autonomy and the introduction of new products, including those built on our next generation vehicle platform, as well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we are developing to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicle performance, decrease production costs and increase affordability and customer awareness.\n\nThese plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may be exacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, any industry-wide component constraints, labor shortages and any future impact from events outside of our control. For example, during the first quarter of 2024, we experienced a sequential decline in production volumes partially caused by the early phase of the production ramp of the updated Model 3 at our Fremont factory, and factory shutdowns at Gigafactory Berlin-Brandenburg resulting from shipping diversions caused by the Red Sea conflict and an arson attack. Moreover, we have set ambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvements for our vehicles with each new factory.\n\n#### Automotive—Demand, Sales, Deliveries and Infrastructure\n\nOur cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key to our vehicles' affordability and have allowed us to competitively price our vehicles. We will also continue to generate demand by improving our vehicles' performance and functionality, including through product offerings and features based on artificial intelligence such as Autopilot, FSD (Supervised), and other software, and delivering new vehicles and vehicle options. In addition, we have been increasing awareness, and expanding our vehicle financing programs, including attractive leasing terms for our customers. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector and increasing environmental regulations and initiatives.\n\nHowever, we operate in a cyclical industry that is sensitive to shifting consumer trends, political and regulatory uncertainty, including with respect to trade and the environment, all of which can be compounded by inflationary pressures, rising energy prices, interest rate fluctuations and the liquidity of enterprise customers. For example, as inflationary pressures increased across the markets in which we operate, central banks in developed countries raised interest rates rapidly and substantially, which impacted the affordability of vehicle lease and finance arrangements. Further, sales of vehicles in the automotive industry also tend to be cyclical in many markets, which may expose us to increased volatility as we expand and adjust our operations. Moreover, as additional competitors enter the marketplace and help bring the world closer to sustainable transportation, we will have to adjust and continue to execute well to maintain our momentum. Additionally, our suppliers' liquidity and allocation plans may be affected by current challenges in the North American automotive industry, which could reduce our access to components or result in unfavorable changes to cost. These macroeconomic and industry trends have had, and will likely continue to have, an impact on the pricing of, and order rate for our vehicles, and in turn our operating margin. Changes in government and economic incentives or tariffs may also impact our sales, cost structure and the competitive landscape. We will continue to adjust accordingly to such developments, and we believe our ongoing cost reduction, including improved production innovation and efficiency at our newest factories and lower logistics costs, and focus on operating leverage will continue to benefit us in relation to our competitors, while our new products will help enable future growth.\n\nAs our production increases, we must work constantly to similarly increase vehicle delivery capability so that it does not become a bottleneck on our total deliveries. We are also committed to reducing the percentage of vehicles delivered in the third month of each quarter, which will help to reduce the cost per vehicle. As we expand our manufacturing operations globally, we will also have to continue to increase and staff our delivery, servicing and charging infrastructure accordingly, maintain our vehicle reliability and optimize our Supercharger locations to ensure cost effectiveness and customer satisfaction. In particular, as other automotive manufacturers have announced their adoption of the North American Charging Standard (\"NACS\") and agreements with us to utilize our Superchargers, we must correspondingly expand our network in order to ensure adequate availability to meet customer demands. We also remain focused on continued enhancements of the capability and efficiency of our servicing operations.", - "page_start": 33, - "page_end": 33, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "#### Table of Contents\n\n# Tesla, Inc. Consolidated Statements of Cash Flows (in millions) (unaudited)\n\n| tsla-20240930 | https://www.sec.gov/Archives/edgar/data/1318605/00016282802404... | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Table of Contents | | | | | | | | | |\n| Tesla, Inc. | Consolidated Statements of Cash Flows | | | | | | | | |\n| (in millions) | (unaudited) | | | | | | | | |\n| Nine Months Ended September 30, | 2024 | 2023 | | | | | | | |\n| Cash Flows from Operating Activities | Net income | $ | 4,821 | $ | 7,031 | | | | |\n| Adjustments to reconcile net income to net cash provided by operating activities: | Depreciation, amortization and impairment | 3,872 | 3,435 | | | | | | |\n| Stock-based compensation | 1,420 | 1,328 | Inventory and purchase commitments write-downs | 247 | 361 | | | | |\n| Foreign currency transaction net unrealized loss (gain) | 197 | (317) | Deferred income taxes | 418 | (316) | | | | |\n| Non-cash interest and other operating activities | 83 | 94 | Changes in operating assets and liabilities: | | | | | | |\n| Accounts receivable | 144 | 377 | Inventory | (1,107) | (1,953) | | | | |\n| Operating lease vehicles | (82) | (1,858) | Prepaid expenses and other assets | (2,639) | (1,992) | | | | |\n| Accounts payable, accrued and other liabilities | 2,504 | 1,922 | Deferred revenue | 231 | 774 | | | | |\n| Net cash provided by operating activities | 10,109 | 8,886 | Cash Flows from Investing Activities | | | | | | |\n| Purchases of property and equipment excluding finance leases, net of sales | (8,556) | (6,592) | Purchases of solar energy systems, net of sales | (6) | — | | | | |\n| Purchases of investments | (20,797) | (13,221) | Proceeds from maturities of investments | 17,975 | 8,959 | | | | |\n| Proceeds from sales of investments | 200 | 138 | Business combinations, net of cash acquired | — | (64) | | | | |\n| Net cash used in investing activities | (11,184) | (10,780) | Cash Flows from Financing Activities | | | | | | |\n| Proceeds from issuances of debt | 4,360 | 2,526 | Repayments of debt | (1,783) | (887) | | | | |\n| Proceeds from exercises of stock options and other stock issuances | 788 | 548 | Principal payments on finance leases | (291) | (340) | | | | |\n| Debt issuance costs | (6) | (23) | Distributions paid to noncontrolling interests in subsidiaries | (76) | (105) | | | | |\n| Payments for buy-outs of noncontrolling interests in subsidiaries | (124) | (17) | Net cash provided by financing activities | 2,868 | 1,702 | | | | |\n| Effect of exchange rate changes on cash and cash equivalents and restricted cash | (8) | (142) | Net increase (decrease) in cash and cash equivalents and restricted cash | 1,785 | (334) | | | | |\n| Cash and cash equivalents and restricted cash, beginning of period | 17,189 | 16,924 | Cash and cash equivalents and restricted cash, end of period | $ | 18,974 | $ | 16,590 | | |\n| Supplemental Non-Cash Investing and Financing Activities | Acquisitions of property and equipment included in liabilities | $ | 2,727 | $ | 1,717 | | | | |\n| Leased assets obtained in exchange for finance lease liabilities | $ | 32 | $ | 1 | Leased assets obtained in exchange for operating lease liabilities | $ | 1,232 | $ | 1,548 |\n| The accompanying notes are an integral part of these consolidated financial statements. | | | | | | | | | |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 11, - "page_end": 11, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Current—federal $ 200,419 | | $ 68,760 | $ 50,352 |\n| Deferred—federal | (9,155) | 40,142 | 111,981 |\n| Provision for federal income taxes | 191,264 | 108,902 | 162,333 |\n| Current—state | 2,851 | 5,167 | 6,169 |\n| Deferred—state | 11,420 | (682) | (51) |\n| Provision for state income taxes | 14,271 | 4,485 | 6,118 |\n| Current—foreign | 424 | — | — |\n| Deferred—foreign | — | — | — |\n| Provision for foreign income taxes | 424 | — | — |\n| $ 205,959 | | $113,387 | $ 168,451 |\n\nThe income tax provision attributable to income from continuing operations before income taxes is as follows:\n\n#### Reconciliation of the federal income tax statutory rate and the Company's effective tax rate is as follows:\n\n| Year Ended December 31 | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Federal income tax statutory rate | 35.0% | 35.0% | 35.0% |\n| State income tax (net of federal benefit) | 1.7 | 0.8 | 0.9 |\n| Reversal of reserves for prior tax years | (1.0) | (3.9) | — |\n| Permanent and other items | 1.4 | 1.1 | 0.9 |\n| | 37.1% | 33.0% | 36.8% |\n\n#### The major tax effected components of the Company's net deferred tax liability are as follows:\n\n| At December 31 (In thousands) | 2004 | | 2003 |\n| --- | --- | --- | --- |\n| Deferred tax assets—federal and state | | | |\n| Bad debt reserve $ | 25,168 | $ | 34,502 |\n| Deferred compensation | 25,131 | | 21,170 |\n| Net operating loss carryforward | 8,569 | | 9,929 |\n| Preopening and start-up costs | 4,305 | | 7,085 |\n| Accruals, reserves and other | 35,162 | | 39,280 |\n| | 98,335 | | 111,966 |\n| Less: Valuation allowance | (5,608) | | (9,682) |\n| | 92,727 | | 102,284 |\n| Deferred tax liabilities—federal and state | | | |\n| Property and equipment | (1,708,753) | | (1,680,121) |\n| Investments in unconsolidated affiliates | (130,056) | | (116,587) |\n| Unremitted earnings of foreign subsidiary | (11,150) | | — |\n| Other | (15,848) | | (21,862) |\n| | (1,865,807) | | (1,818,570) |\n| Deferred taxes—foreign | — | | 146 |\n| Net deferred tax liability | $ (1,773,080) | $ | (1,716,140) |\n\nFor U.S. federal income tax return purposes, the Company has a net operating loss carryforward of $4 million, which will begin to expire in 2009. For state income tax purposes, the Company has a New Jersey net operating loss carryforward of $122 million, which equates to a deferred tax asset of $7 million, after federal tax effect, and before valuation allowance. The New Jersey net operating loss carryforwards begin to expire in 2005.", - "page_start": 68, - "page_end": 68, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the components of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n\n| | 2004 | 2003 | 2002 |\n| --- | --- | --- | --- |\n| Core price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.3% | 1.8% | 1.4% |\n| Fuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .2 | .2 | Ì |\n| Recycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .5 | .1 | .4 |\n| Total price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.0 | 2.1 | 1.8 |\n| Core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6 | 2.1 | 1.6 |\n| Non-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .1 | Ì | .4 |\n| Total volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.7 | 2.1 | 2.0 |\n| Total internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 6.7 | 4.2 | 3.8 |\n| AcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9 | 1.8 | .8 |\n| Taxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Ì | .5 | .2 |\n| Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.6% | 6.5% | 4.8% |\n\n(a) Represents new taxes levied on landÑll volumes in certain states that are passed on to customers.\n\n- ' *2004:* During the year ended December 31, 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. During the year ended December 31, 2004, we experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our internal growth from our core operations was 5.9% in 2004.\n- ' *2003:* During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an increase in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing increased at a more rapid pace due to our broad-based pricing initiative.\n\nDuring 2003, the economic slowdown which began during 2001 continued to negatively impact our business. However, during 2003, our revenue growth from core volume continued to be positively impacted by long-term franchise and municipal contracts that were secured during 2002. Our internal growth from core operations was 3.9% in 2003.\n\n- ' *2002:* The economic slowdown which began in 2001 continued to negatively impact the portion of our business servicing the manufacturing sector and non-residential construction industry during 2002. Volumes attributable to manufacturing and construction activity continued to weaken during 2002.\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase in recycling commodity prices in the early part of 2002.\n\nDespite the weakness we experienced in the aspects of our business noted above, our internal growth from core operations for 2002 was 3.0%. During 2002, we secured several long-term franchise and municipal contracts. We also beneÑted from the geographic mix of our business which favors highgrowth markets.\n\n- ' *2005 Outlook:* We anticipate internal growth from core operations to be in the range of 4.0% to 4.5% during 2005 assuming no deterioration or improvement in the overall economy from that experienced during the fourth quarter of 2004. However, our price and volume growth may remain Öat or may decline in 2005 depending upon economic conditions and our success in implementing pricing initiatives.\n*Cost of Operations.* Cost of operations was $1,714.4 million, $1,605.4 million and $1,472.9 million, or, as a percentage of revenue, 63.3%, 63.8% and 62.3%, for the years ended December 31, 2004, 2003 and 2002, respectively.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "# UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Texas 91-2197729\n\n(Mark One)\n\n- x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Address of principal executive offices) (Zip Code)\nFor the quarterly period ended September 30, 2024\n\nOR\n\n- o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\nFor the transition period from _________ to _________\n\nCommission File Number: 001-34756\n\n# Tesla, Inc.\n\n(Exact name of registrant as specified in its charter)\n\n(State or other jurisdiction of incorporation or organization)\n\n1 Tesla Road Austin, Texas 78725\n\n(I.R.S. Employer\n\nIdentification No.)\n\n(512) 516-8177 (Registrant's telephone number, including area code)\n\n#### Securities registered pursuant to Section 12(b) of the Act:\n\n| 1934 | | |\n| --- | --- | --- |\n| For the transition period from _________ to _________ | | |\n| Commission File Number: 001-34756 | | |\n| Tesla, Inc. | | |\n| (Exact name of registrant as specified in its charter) | | |\n| (State or other jurisdiction of | | (I.R.S. Employer |\n| incorporation or organization) | | Identification No.) |\n| 1 Tesla Road | | |\n| Austin, Texas | | 78725 |\n| (512) 516-8177 | | |\n| (Registrant's telephone number, including area code) | | |\n| Securities registered pursuant to Section 12(b) of the Act: | | |\n| Title of each class Trading Symbol(s) | | Name of each exchange on which registered |\n| Common stock | TSLA | The Nasdaq Global Select Market |\n| Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been | | |\n| subject to such filing requirements for the past 90 days. Yes x No o | | |\n| Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 | | |\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 (\"Exchange Act\") during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o\n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of \"large accelerated filer,\" \"accelerated filer,\" \"smaller reporting company\" and \"emerging growth company\" in Rule 12b-2 of the Exchange Act:\n\n| Large accelerated filer | x | Accelerated filer | o |\n| --- | --- | --- | --- |\n| Non-accelerated filer | o | Smaller reporting company | o |\n| Emerging growth company | o | | |\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x As of October 18, 2024, there were 3,210,059,659 shares of the registrant's common stock outstanding.", - "page_start": 0, - "page_end": 0, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "The increase in aggregate dollars in all periods presented is primarily a result of the expansion of our operations through internal growth and acquisitions.\n\nThe increase in cost of operations as a percentage of revenue from 2002 to 2003 and the decrease in cost of operations as a percentage of revenue from 2003 to 2004 is primarily attributable to higher self-insurance expense in 2003. Self-insurance expense was $165.3 million, $189.5 million and $138.1 million for the years ended December 31, 2004, 2003 and 2002, respectively. The increase in self-insurance expense in 2003 related to existing claims and was attributable to the expansion of our operations and various changes in estimates as a result of continued negative trends through the 2003 policy year.\n\nExcluding self-insurance expense, cost of operations as a percentage of revenue increased during the year ended December 31, 2004 versus the comparable 2003 period. This increase is primarily attributable to increased fuel prices, labor costs and subcontracting costs associated with the long-haul transport of waste by third-party vendors. Excluding self-insurance expense, cost of operations as a percentage of revenue decreased in 2003 versus the comparable 2002 period due to the elimination of closure and post-closure expense as a component of cost of operations in accordance with SFAS 143 in 2003 and the termination of our operating lease facility in July 2002. This decrease was partially oÅset by increased fuel prices, an increase in waste taxes levied on landÑll volumes in certain states, an increase in revenue generated by lines of business that produce lower operating margins and an increase in the long-haul transport of waste by third-party vendors.\n\nTo date in 2005, we have experienced a signiÑcant increase in fuel prices. We believe that cost of operations as a percentage of revenue may continue to remain high depending upon the cost of fuel, health insurance, risk insurance and other key components of our cost structure and general economic conditions.\n\n*Depreciation, Amortization and Depletion of Property and Equipment.* Depreciation, amortization and depletion expenses for property and equipment were $252.4 million, $233.8 million and $193.5 million, or, as a percentage of revenue, 9.3%, 9.3% and 8.2%, for the years ended December 31, 2004, 2003 and 2002, respectively. The increase in aggregate dollars from 2003 to 2004 is primarily due to the expansion of our operations through internal growth and acquisitions. The increase in aggregate dollars and as a percentage of revenue from 2002 to 2003 is primarily due to an increase in landÑll amortization associated with the adoption of SFAS 143. The remaining increase from 2002 to 2003 is due to increased depreciation expense resulting from capital expenditures, acquisitions and the purchase of equipment originally placed into service pursuant to an operating lease.\n\n*Amortization of Intangible Assets.* Intangible assets consist primarily of cost in excess of fair value of net assets acquired, but also includes values assigned to long-term contracts, covenants not to compete and customer relationships. Expenses for amortization of intangible assets were $7.0 million, $5.3 million and $6.1 million, or, as a percentage of revenue, .3%, .2% and .2%, for the years ended December 31, 2004, 2003 and 2002, respectively. The increase in such expenses in aggregate dollars and as a percentage of revenue from 2003 to 2004 is primarily due to amortization expense on amounts that were recorded in other intangible assets during the three months ended September 30, 2004 resulting from an extensive internal review of all recent acquisitions. The increase in amortization of intangible assets in aggregate dollars is also due to the amortization of intangible assets associated with businesses acquired during 2004.\n\n*Accretion expense.* Accretion expense was $13.7 million and $12.7 million or, as a percentage of revenue, .5% and .5%, for the years ended December 31, 2004 and 2003, respectively, versus $0 for 2002. Accretion expense resulted from the adoption of SFAS 143 as of January 1, 2003. The increase in such expenses in aggregate dollars in 2004 is primarily due to expansion of our landÑll operations.\n\n*Selling, General and Administrative Expenses.* Selling, general and administrative expenses were $268.3 million, $247.9 million and $238.7 million, or, as a percentage of revenue, 9.9%, 9.8% and 10.1%, for the years ended December 31, 2004, 2003 and 2002, respectively. The increases in aggregate dollars are primarily a result of the expansion of our operations through internal growth and acquisitions. The increase in such expenses as a percentage of revenue from 2003 to 2004 is primarily due to higher compensation costs. The decrease in such expenses as a percentage of revenue from 2002 to 2003 is primarily due to leveraging our existing overhead structure over an expanding revenue base.", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "Which is the first candidate for experimenting the case of electrons interacting with a single boson mode?", - "target_page": 6, - "target_passage": "The primary candidate for such mode is an optical phonon", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "FIG. 4: Top - a conductivity plot for the BCSI case in the presence of a lattice. The parameters are ∆ = 30 meV , Γ = 3.5 meV . Bottom – the behavior of Kubo sums. Note that (a) the spectral weight in the NS is always greater in the SCS, (b) the spectral weight decreases with Γ, and (c) the difference between NS and SCS decreases as Γ increases.\n\nlittle variation of ∆W(ωc) at above 0.1 − 0.3eV what implies that for larger ωc, ∆W(ωc) ≈ ∆WK >> ∆f(ωc).\n\nTo make this more quantitative, we compare in Fig. 6 ∆W(ωc) obtained for a constant DOS, when ∆W(ωc) = ∆f(ωc), and for the actual lattice dispersion, when ∆W(ωc) = ∆WK + ∆f(ωc). In the clean limit there is obviously little cutoff dependence beyond 0.1eV , i.e., ∆f(ωc) is truly small, and the difference between the two cases is just ∆WK. In the dirty limit, the situation is similar, but there is obviously more variation with ωc, and ∆f(ωc) becomes truly small only above 0.3eV . Note also that the position of the dip in ∆W(ωc) in the clean limit is at a larger ωc in the presence of the lattice than in a continuum.\n\n#### B. The Einstein boson model\n\nWe next consider the case of electrons interacting with a single boson mode which by itself is not affected by superconductivity. The primary candidate for such mode is an optical phonon. The imaginary part of the NS self energy has been discussed numerous times in the literature. We make one simplifying assumption – approximate the DOS by a constant in calculating fermionic self-energy. We will, however, keep the full lattice dispersion in the calculations of the optical integral. The advantage of this\n\nFIG. 5: The evolution of optical integral in NS(top) and SCS(bottom) for BCSI case. Plots are made for clean limit (solid lines, Γ = 3.5 meV ) and dirty limit (dashed lines, Γ = 150 meV ) for ∆ = 30 meV . Observe that (a) W(0) = 0 in the NS, but has a non-zero value in the SCS because of the δ-function (this value decreases in the dirty limit), and (b) the flat region in the SCS is due to the fact that σ ′ (ω) = 0 for Ω < 2∆. Also note that ∼ 90 − 95% of the spectral weight is recovered up to 1eV\n\napproximation is that the self-energy can be computed analytically. The full self-energy obtained with the lattice dispersion is more involved and can only be obtained numerically, but its structure is quite similar to the one obtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\n$$\\Sigma(i\\omega)=-\\frac{i}{2\\pi}\\lambda_{n}\\int d\\epsilon_{k}d(i\\Omega)\\chi(i\\Omega)G(\\epsilon_{k},i\\omega+i\\Omega)\\tag{13}$$\n\nwhere\n\n$$\\chi(i\\Omega)=\\frac{\\omega_{0}^{2}}{\\omega_{0}^{2}-(i\\Omega)^{2}}\\tag{14}$$\n\nand λn is a dimensionless electron-boson coupling. Integrating and transforming to real frequencies, we obtain\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,\\Theta(|\\omega|-\\omega_{o})$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,log\\left|\\frac{\\omega+\\omega_{o}}{\\omega-\\omega_{o}}\\right|\\tag{15}$$\n\nIn the SCS, we obtain for ω < 0\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "form of the imaginary part.\n\nFIG. 17: Conductivities and ∆W for a fixed λωsf . Top – ωsf = 26 meV ,λ = 1,ωo = 40 meV ,Zo = 0.77 Bottom – ωsf = 2.6 meV ,λ = 10,ωo = 13.5 meV ,Zo = 1.22. The zero crossing for ∆W is not affected by a change in λ because it is determined only by λωsf . We set ∆ = 30 meV .\n\nFIG. 18: The behavior of Kubo sums in the CB model. Note that the spectral weight in the NS is always larger than in the SCS. We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nWe performed the same calculations of conductivities and optical integrals as in the previous three cases. The results are summarized in Figs. 17 - 22. Fig 17 shows conductivities in the NS and the SCS for two couplings λ = 1 and λ = 10 (keeping λωsf constant). Other parameters Zo and ωo are calculated according to the discussion after Eq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV , Zo = 0.77. And for ωsf = 2.6 meV , λ = 10, we find ωo = 13.5 meV , Zo = 1.22. Note that the conductivity in the SCS starts at 2∆ + ωo (i.e. the resonance energy\n\nFIG. 19: The evolution of the optical integrals in the NS and the SCS in the CB model. Note that about ∼ 75% of the spectral weight is recovered up to 1 eV . We set ωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\n\nFIG. 20: ∆W (in meV) for λ = 1(top) and λ = 10(bottom). We used ωsf = 26 meV /λ and ∆ = 30meV . The zero crossing is not affected because we keep λωsf constant. The notable difference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "high-energy fermions and is an input for the low-energy theory. Below we follow Refs. 31,33 and assume that the momentum dependence of a collective boson is flat near (π, π). The self energy within such model has been worked out consistently in Ref. 31,33. In the normal state\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{sf}\\,log\\left(1+\\frac{\\omega^{2}}{\\omega_{sf}^{2}}\\right)$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\lambda_{n}\\omega_{sf}\\,arctan\\frac{\\omega}{\\omega_{sf}}\\tag{19}$$\n\nwhere λn is the spin-fermion coupling constant, and ωsf is a typical spin relaxation frequency of overdamped spin collective excitations with a propagator\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Omega}{\\omega_{s f}}}\\qquad\\qquad(20)$$\n\nwhere χQ is the uniform static susceptibility. If we use Ornstein-Zernike form of χ(q) and use either Eliashberg 45 or FLEX computational schemes48, we get rather similar behavior of Σ as a function of frequency and rather similar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in the fact that the coupling λ and the bosonic frequency ωsf are related: λ scales as ξ 2 , where ξ is the bosonic mass (the distance to a bosonic instability), and ωsf ∝ ξ −2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf does not depend on ξ and is the overall dimensional scale for boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This gap affects fermionic self-energy in two ways: directly, via the change of the dispersion of an intermediate boson in the exchange process involving a CB, and indirectly, via the change of the propagator of a CB. We remind ourselves that the dynamics of a CB comes from a particlehole bubble which is indeed affected by ∆.\n\nThe effect of a d−wave pairing gap on a CB has been discussed in a number of papers, most recently in31. In a SCS a gapless continuum described by Eq. (20) transforms into a gaped continuum, with a gap about 2∆ and a resonance at ω = ω0 < 2∆, where for a d−wave gap we define ∆ as a maximum of a d−wave gap.\n\nThe spin susceptibility near (π, π) in a superconductor can generally be written up as\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Pi(\\Omega)}{\\omega_{s f}}}\\qquad\\qquad(21)$$\n\nwhere Π is evaluated by adding up the bubbles made out of two normal and two anomalous Green's functions. Below 2∆, Π(Ω) is real (∼ Ω 2/∆ for small Ω), and the resonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At frequencies larger than 2∆, Π(Ω) has an imaginary part, and this gives rise to a gaped continuum in χ(Ω).\n\nThe imaginary part of the spin susceptibility around the resonance frequency ω0 is31\n\n$$\\chi^{\\prime\\prime}(q,\\Omega)=\\frac{\\pi Z_{o}\\omega_{0}}{2}\\delta(\\Omega-\\omega_{0})\\tag{22}$$\n\nwhere Zo ∼ 2 ωsfχ0/ ∂Π ∂ω |Ω=ω0 . The imaginary part of the spin susceptibility describing a gaped continuum exists for for Ω ≥ 2∆ and is\n\n$$\\chi^{^{\\prime\\prime}}(q,\\Omega)=I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{4\\Delta^{2}}{\\Omega}D(\\frac{4\\Delta^{2}}{\\Omega^{2}})+i\\Omega K_{2}(1-\\frac{4\\Delta^{2}}{\\Omega^{2}})\\right)}\\right]$$\n\n$$\\approx I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{\\pi\\Delta^{2}}{\\Omega}+i\\frac{\\pi}{2}\\Omega\\right)\\right]}\\ \\mathrm{for}\\ \\Omega>>2\\Delta\\ \\ \\ \\ (23)$$\n\nIn Eq. (23) D(x) = K1(x)−K2(x) x , and K1(x) and K2(x) are Elliptic integrals of first and second kind. The real part of χ is obtained by Kramers-Kr¨onig transform of the imaginary part.\n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the self-energy one obtains Σ′′(ω) in a SCS state as a sum of two terms31\n\nwhere,\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=\\Sigma^{\\prime\\prime}_{A}(\\omega)+\\Sigma^{\\prime\\prime}_{B}(\\omega)\\tag{24}$$\n\n$$\\Sigma_{A}^{\\prime\\prime}(\\omega)=\\frac{\\pi Z_{o}}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$\n\ncomes from the interaction with the resonance and\n\n$$\\Sigma_{B}^{\\prime\\prime}(\\omega)=-\\lambda_{n}\\int_{2\\Delta}^{|E|}dx\\,Re\\,\\frac{\\omega+x}{\\sqrt{(\\omega+x)^{2}-\\Delta^{2}}}\\,\\frac{\\frac{\\omega}{\\omega_{\\omega}}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)}{\\left[1-\\frac{4\\Delta^{2}}{\\omega_{\\omega}\\,I}D\\left(\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}+\\left[\\frac{x}{\\omega_{\\omega}\\,I}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}}\\tag{25}$$\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "modes of neighboring tetrahedra. And these coupling constants λx,y,z need to be tuned to produce Jx,y,z of the Kitaev model. This is still not easy to implement in solid state systems. At lowest non-trivial order of perturbative expansion, we do get our model (9). Higher order terms in expansion destroy the exact solvability, but may be controlled by the small parameters λx,y,z/k.\n\n# B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\nIn this Subsection we consider more conventional perturbations, magnetic interactions between the clusters, e.g. the Heisenberg coupling Sj · Sk with j and k belong to different tetrahedra. This has the advantage over the previous phonon approach for not introducing additional degrees of freedom. But it also has a significant disadvantage: the perturbation does not commute with the cluster Heisenberg Hamiltonian (2), so the cluster singlet subspace will be mixed with other total spin states. In this Subsection we will use the spin-chirality representation (6) for τ z .\n\nAgain consider two clusters j and k. For simplicity of notations define a projection operator Pjk = PjPk, where Pj,k is projection into the singlet subspace of cluster j and k, respectively, Pj,k = P s=±1 |τ z j,k = sihτ z j,k = s|. For a given perturbation λ Hperturbation with small parameter λ (in factor λ/Jcluster is the expansion parameter), lowest two orders of the perturbation series are\n\n$$\\lambda\\,{\\cal P}_{jk}H_{\\rm perturbation}{\\cal P}_{jk}+\\lambda^{2}\\,{\\cal P}_{jk}H_{\\rm perturbation}(1-{\\cal P}_{jk})$$\n \n$$\\times[0-H_{\\rm cluster}\\ j-H_{\\rm cluster}\\ k]^{-1}(1-{\\cal P}_{jk})H_{\\rm perturbation}{\\cal P}_{jk}\\tag{15}$$\n\nWith proper choice of λ and Hperturbation we can generate\n\nthe desired Jx,y,z terms in (8) from the first and second order of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z ℓ converts the cluster spin singlet states |τ z = ±1i into spin-1 states of the cluster. This can be checked by explicit calculations and will not be proved here. For all the perturbations to be considered later, the above mentioned fact can be exploited to replace the factor [0 − Hcluster j − Hcluster k] −1 in the second order perturbation to a c-number (−2Jcluster) −1 .\n\nThe detailed calculations are given in Appendix B. We will only list the results here.\n\nThe perturbation on x-links is given by\n\n$$\\begin{array}{c}{{\\lambda_{x}\\,H_{\\mathrm{perturbation,~}x}=\\lambda_{x}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\mathrm{sgn}(J_{x})\\cdot(\\mathbf{S}_{j2}\\cdot\\mathbf{S}_{k2})]}}\\\\ {{-\\,J_{x}(\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{j2}+\\mathbf{S}_{k1}\\cdot\\mathbf{S}_{k2}).}}\\end{array}$$\n\nwhere λx = p 12|Jx| · Jcluster, sgn(Jx) = ±1 is the sign of Jx.\n\nThe perturbation on y-links is\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster. The perturbation on z-links is\n\n$\\lambda_{z}\\,H_{\\rm perturbation}$, $z$ \n \n$=\\lambda_{z}[{\\bf S}_{j2}\\cdot({\\bf S}_{k3}\\times{\\bf S}_{k4})+{\\rm sgn}(J_{z})\\cdot{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})]$ \n \n$-|J_{z}|({\\bf S}_{j3}\\cdot{\\bf S}_{j4}+{\\bf S}_{k3}\\cdot{\\bf S}_{k4})$. \n \n\nwith λz = 4p |Jz| · Jcluster. The entire Hamiltonian Hmagnetic reads explicitly as,\n\nHmagnetic = X cluster j (Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4) 2 + X x−links p 12|Jx| · Jcluster- Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2) − Jx(Sj1 · Sj2 + Sk1 · Sk2) + X y−links q 4|Jy| · Jcluster- Sj1 · (Sk3 − Sk4) + sgn(Jy)Sk1 · (Sj3 − Sj4) − |Jy|(Sj3 · Sj4 + Sk3 · Sk4) + X z−links 4 p |Jz| · Jcluster- Sj2 · (Sk3 × Sk4) + sgn(Jz)Sk2 · (Sj3 × Sj4) − |Jz|(Sj3 · Sj4 + Sk3 · Sk4) . (16)\n\nIn (16), we have been able to reduce the four spin interactions in (8) to inter-cluster Heisenberg interactions, and the six-spin interactions in (8) to inter-cluster spinchirality interactions. The inter-cluster Heisenberg couplings in Hperturbation x,y may be easier to arrange. The inter-cluster spin-chirality coupling in Hperturbation z explicitly breaks time reversal symmetry and is probably harder to implement in solid state systems. However spin-chirality order may have important consequences in frustrated magnets36,37, and a realization of spin", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "chirality interactions in cold atom optical lattices has been proposed38 .\n\nOur model (8) is achieved at second order of the perturbation series. Higher order terms become truncation errors but may be controlled by small parameters λx,y,z/Jcluster ∼ p |Jx,y,z|/Jcluster.\n\n### V. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model1 as the exact low energy effective Hamiltonian of a spin-1/2 model [equations (8) or (9)] with spin-rotation and time reversal symmetry. The spin in Kitaev model is represented as the pseudo-spin in the two-fold degenerate spin singlet subspace of a cluster of four antiferromagnetically coupled spin-1/2 moments. The physical spin model is a honeycomb lattice of such four-spin clusters, with certain inter-cluster interactions. The machinery for the exact mapping to pseudo-spin Hamiltonian was developed (see e.g. TABLE I), which is quite general and can be used to construct other interesting (exactly solvable) spin-1/2 models from spin rotation invariant systems.\n\nIn this construction the pseudo-spin correlations in the Kitaev model will be mapped to dimer or spin-chirality correlations in the physical spin system. The corresponding picture of the fractionalized Majorana fermion excitations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical spin interactions, which is undesirable for practical implementation. We described two possible approaches to reduce this problem: generating the high order spin interactions by perturbative expansion of the coupling to optical phonon, or the magnetic coupling between clusters. This perturbative construction will introduce truncation error of perturbation series, which may be controlled by small expansion parameters. Whether these constructions can be experimentally engineered is however beyond the scope of this study. It is conceivable that other perturbative expansion can also generate these high order spin interactions, but this possibility will be left for future works.\n\n#### Acknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek Kim and Arun Paramekanti for inspiring discussions, and Todadri Senthil for critical comments. The author is supported by the MIT Pappalardo Fellowship in Physics.\n\n# Appendix A: Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref.35 the couplings of all tetrahedron distortion modes to the spin system. And convert them to pseudo-spin notation in the physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron, the spin Hamiltonian becomes\n\n$$H_{\\rm cluster},\\ {\\rm SL}=(J_{\\rm cluster}/2)(\\sum_{\\ell}{\\bf S}_{\\ell})^{2}+J^{\\prime}\\sum_{\\ell> ∆.\n\nTo address this issue, we took a larger λ for the same ωsf and re-did the calculation of the conductivities and optical integrals. The results for σ(ω) and ∆W(ωc) are presented in Fig. 22. We found the same behavior as before, i.e., ∆WK is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆W(ωc). In particular, for the same λ and ωsf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0.8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆W(ωc) changes sign can well be larger than the bandwidth of 1eV in which case ∆W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆WK becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆W(ωc) is predominantly governed by ∆f(ωc), i.e. by the cut-off term.50 The implication is that, to first approximation, ∆WK can be neglected and positive ∆W(wc) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆W(ωc) and the behavior of the difference of the kinetic energy between the SCS and the NS, δKE. We computed the kinetic energy as a function of λωsf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS like- δKE > 0 and increases with increasing λωsf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λωsf and eventually changes sign. The behavior of δKE at a truly strong coupling is consistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆W(ωc) at a truly strong coupling is correlated with the non-BCS behavior of δKE. At the same time, the behavior of δW(ωc) is obviously not driven by the kinetic energy as eventually δW(ωc) changes sign and become negative. Rather, the increase in the frequency range where ∆W(ωc) remains positive and non-BCS behavior of δKE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n### III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W(ωc) ∝ R ωc o σ(ω)dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆WK = ∆W(∞) between the normal and superconducting states and what is the behavior of W(ωc) and ∆W(ωc) at finite ωc. In a weak coupling BCS superconductor, ∆W(ωc) is positive at ωc < 2∆ due to a contribution from superfluid density, but becomes negative at larger ωc, and approach a negative value of ∆WK. Our study was motivated by fascinating optical experiments on the cuprates7–10. In overdoped cuprates, there is clear indication11 that ∆W(ωc) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued8,9 that ∆W integrated up to the bandwidth remains positive, while the other group argued10 that it is negative.\n\nThe reasoning why ∆WK may potentially change sign at strong coupling involves the correlation between −WK and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence −WK increases, and ∆WK is negative. At strong coupling, there is a counter effect – fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆WK is negative, but how it evolves with ωc and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW(ωc) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆W(ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "# Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W, and ∆W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models – a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off (ωc) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ωc equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆W, implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆W. In all models we studied ∆W is positive at small ωc, then crosses zero and approaches a negative value at large ωc, i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n#### I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ(Ω) and found that it is independent on the nature of the interactions and reduces to\n\n$$\\int_{0}^{\\infty}R e\\,\\sigma(\\Omega)\\,d\\Omega={\\frac{\\pi}{2}}{\\frac{n e^{2}}{m}}\\qquad\\qquad(1)$$\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state – henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ(Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ(Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n\n$$\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{NS}(\\Omega)=\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{sc}(\\Omega)+\\frac{\\pi n_{s}e^{2}}{2m}\\ \\ \\ \\ (2)$$\n\nwhere ns is the superfluid density, and πnse 2/(2m) is the spectral weight under the δ-functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the \"band\", or Kubo sum rule\n\n$$\\int_{0}^{\\cdot\\infty^{\\prime}}Re\\,\\sigma(\\Omega)\\,d\\Omega=W_{K}=\\frac{\\pi e^{2}}{2N}\\sum_{\\vec{k}}\\nabla_{k_{x}}^{2}\\varepsilon_{\\vec{k}}\\,n_{\\vec{k}}\\tag{3}$$\n\nwhere n~k is the electronic distribution function and ε~k is the band dispersion. Prime in the upper limit of the integration has the practical implication that the upper limit is much larger than the bandwidth of a given band which crosses the Fermi level, but smaller than the frequencies of interband transitions. Interactions with external objects, e.g., phonons or impurities, and interactions between fermions are indirectly present in the distribution function which is expressed via the full fermionic Green's function as n~k = T P m G( ~k, ωm). For ǫk = k 2/2m, ∇2 k~x ε~k = 1/m, WK = πne2/(2m), and Kubo sum rule reduces to Eq. (1). In general, however, ε~k is a lattice dispersion, and Eqs. (1) and (3) are different. Most important, WK in Eq. (3) generally depends on T and on the state of the system because of n~k . In this situation, the temperature evolution of the optical integral does not reduce to a simple redistribution of the spectral weight – the whole spectral weight inside the conduction band changes with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used notation \"violation of the conductivity sum rule\".\n\nIn reality, as already pointed out by Hirsch, there is no true violation as the change of the total spectral weight", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "# Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λ Hperturbation = λ[Sj1 · Sk1 + r(Sj2 · Sk2)], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of Hperturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k. Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk) can be replaced by a c-number (−2Jcluster) −1 . Therefore the perturbation up to second order is\n\n$$-\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\,{\\mathcal{P}}_{j k}(H_{\\mathrm{perturbation}})^{2}{\\mathcal{P}}_{j k}$$\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes (a, b = x, y, z),\n\n$$\\begin{array}{c}{{-\\,\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\sum_{a,b}\\left[\\mathcal{P}_{j}S_{j1}^{a}S_{j1}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k1}^{b}\\mathcal{P}_{k}\\right]}}\\\\ {{\\quad+2r\\,\\mathcal{P}_{j}S_{j1}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k2}^{b}\\mathcal{P}_{k}}}\\\\ {{\\quad+r^{2}\\,\\mathcal{P}_{j}S_{j2}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k2}^{a}S_{k2}^{b}\\mathcal{P}_{k}\\right]}}\\end{array}$$\n\nThen use the fact that PjS a jℓS b jmPj = δab(1/3)Pj(Sjℓ · Sjm)Pj by spin rotation symmetry, the perturbation becomes\n\n$$-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+2r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2})({\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}$$\n \n$$=-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+(r/2)\\tau_{j}^{x}\\tau_{k}^{x}-r/2$$\n \n$$-r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}.$$\n\nSo we can choose −(r λ2 )/(12Jcluster) = −Jx, and include the last intra-cluster Sj1 ·Sj2 + Sk1 ·Sk2 term in the first order perturbation.\n\nThe perturbation on x-links is then (not unique),\n\n$\\lambda_{x}\\,H_{\\rm perturbation}$, $x=\\lambda_{x}[{\\bf S}_{j1}\\cdot{\\bf S}_{k1}+{\\rm sgn}(J_{x})\\cdot({\\bf S}_{j2}\\cdot{\\bf S}_{k2})]$ \n \n$-J_{x}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2})$\n\nwith λx = p 12|Jx| · Jcluster, and r = sgn(Jx) is the sign of Jx. The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on ylinks, λ Hperturbation = λ[Sj1 ·(Sk3 − Sk4) + r Sk1 ·(Sj3 − Sj4)]. Following similar procedures we get the second order perturbation from this term\n\n− λ 2 6Jcluster h 9 + 9r 2 8 + 2r Pjk[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki = − λ 2 6Jcluster h 9 + 9r 2 8 + 2r (3/4)τ y j τ y k − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki\n\nSo we can choose −(r λ2 )/(4Jcluster) = −Jy, and include the last intra-cluster Sk3 · Sk4 + r 2 Sj3 · Sj4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y-links (not unique),\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster, r = sgn(Jy) is the sign of Jy. The τ z τ z term is again more difficult to get. We use\n\nj k the representation of τ z by spin-chirality (6). And consider the following perturbation\n\n$$H_{\\mathrm{perturbation}}={\\bf S}_{j2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})+r\\,{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})$$\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\n$$\\begin{array}{l}{{\\lambda^{2}\\,{\\mathcal{P}}_{j k}{\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4})(1-{\\mathcal{P}}_{j k})}}\\\\ {{\\ \\times\\left[0-H_{\\mathrm{cluster}\\ j}-H_{\\mathrm{cluster}\\ k}\\right]^{-1}}}\\\\ {{\\ \\times\\left(1-{\\mathcal{P}}_{j k}\\right){\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4}){\\mathcal{P}}_{j k}}}\\end{array}$$\n\nFor the cluster j part we can use the same arguments as before, the Hcluster j can be replaced by a c-number Jcluster. For the cluster k part, consider the fact that Sk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4], the action of Sk3 ×Sk4 on physical singlet states of k will also only produce spin-1 state. So we can replace the Hcluster k in the denominator by a c-number Jcluster as well. Use spin rotation symmetry to separate the j and k parts, this term simplifies to\n\n− λ 2 6Jcluster PjSj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk. Use (S) 2 = 3/4 and (Sk3 × Sk4) · (Sk3 × Sk4) = X a,b (S a k3S b k4S a k3S b k4 − S a k3S b k4S b k3S a k4 ) = (Sk3 · Sk3)(Sk4 · Sk4) − X a,b S a k3S b k3 [δab/2 − S a k4S b k4 ] = 9/16 + (Sk3 · Sk4)(Sk3 · Sk4) − (3/8)", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "FIG. 21: Distribution functions n(ǫ) for CB model for λ = 1 and λ = 7 and a constant ωsf = 26 meV . We set ∆ = 30meV . For smaller λ (top), quasiparticles near the FS are well defined as indicated by the well pronounced jump in n(ǫ). For λ = 7, n(ǫ) is rather smooth implying that a coherence is almost lost. Some irregularities is the SCS distribution function are due to finite sampling in the frequency domain. The irregularities disappear when finer mesh for frequencies is chosen.\n\nshows up in the optical gap), where as in the BCSI case it would have always begun from 2∆. In Fig 18 we plot the Kubo sums WK vs coupling λ. We see that for all λ, WK in the NS stays larger than in the SCS. Fig 19 shows the cutoff dependence of the optical integrals W(ωc) for λ = 1 separately in the NS and the SCS. We again see that only about 73% of the Kubo sum is recovered up to the bandwidth of 1 eV indicating that there is a significant amount left to recover beyond this energy scale. Fig 20 shows ∆W for the two different couplings. We see that, for both λ's, there is only one zero-crossing for the ∆W curve, and ∆W is negative at larger frequencies. The only difference between the two plots is that for larger coupling the dip in ∆W gets 'shallower'. Observe also that the solid line in Fig. 20 is rather far away from the dashed line at ωc > 1meV , which indicates that, although ∆W(ωc) in this region has some dependence on ωc, still the largest part of ∆W(ωc) is ∆WK, while the contribution from ∆f(ωc) is smaller.\n\nFIG. 22: Top – conductivity at a larger value of ωsf λ (ωsf = 26 meV ,λ = 7) consistent with the one used in Ref.33). Bottom – ∆W with and without lattice. Observe that the frequency of zero crossing of ∆W enhances compared to the case of a smaller λωsf and becomes comparable to the bandwidth. At energies smaller than the bandwidth, ∆W > 0, as in the Norman- P´epin model.\n\nFIG. 23: Kinetic energy difference between the SCS and the NS, δKE We set λ to be either λ = 1 or λ = 10 and varied ωsf thus changing the overall prefactor in the self-energy. At weak coupling (λ = 1) the behavior is BCS-like – δKE is positive and increases with the overall factor in the self-energy. At strong coupling (λ = 7), δKE shows a reverse trend at larger ωsf .\n\nThe negative sign of ∆W(ωc) above a relatively small ωc ∼ 0.1 − 0.2eV implies that the 'compensating' effect from the fermionic self-energy on ∆W is not strong enough to overshadow the decrease of the optical integral in the SCS due to gap opening. In other words,the CB model displays the same behavior as BCSI, EB, and", - "page_start": 12, - "page_end": 12, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What was the optical integral analysis proposed by Norman and Pépin?", - "target_page": 8, - "target_passage": "a phenomenological model for the self energy which fits normal state scattering rate measure- ments by ARPES", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "an energy of interband transitions, which is roughly 2eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆W(ωc). The last section presents our conclusions.\n\n# II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature21–23,26,29 and we just list the formulas that we used in our computations. The conductivity σ(Ω) and the optical integral W(ωc) are given by (see for example Ref. 35).\n\n$$\\sigma^{\\prime}(\\Omega)=Im\\left[-\\frac{\\Pi(\\Omega)}{\\Omega+i\\delta}\\right]=-\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\ +\\ \\pi\\delta(\\Omega)\\,\\Pi^{\\prime}(\\Omega)\\tag{7a}$$\n\n$$W(\\omega_{c})=\\int_{0}^{\\omega_{c}}\\,\\sigma^{\\prime}(\\Omega)\\,d\\Omega=-\\int_{0+}^{\\omega_{c}}\\,\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\,d\\Omega\\,+\\,\\frac{\\pi}{2}\\Pi^{\\prime}(0)\\tag{7b}$$\n\nwhere 'X′ ' and 'X′′' stand for real and imaginary parts of X. We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\n$$\\Pi(i\\Omega)=T\\sum_{\\omega}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{E}}\\varepsilon_{\\vec{E}}\\right)^{2}\\left(G(i\\omega,\\vec{E})G(i\\omega+i\\Omega,\\vec{E})\\,+\\,F(i\\omega,\\vec{E})F(i\\omega+i\\Omega,\\vec{E})\\right)\\tag{8a}$$\n\n$$\\Pi^{\\prime\\prime}(\\Omega)=-\\frac{1}{\\pi}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}^{\\prime}\\right)^{2}\\int_{-\\Omega}^{0}d\\omega\\,\\left(G^{\\prime\\prime}(\\omega,\\vec{k})G^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\,+\\,F^{\\prime\\prime}(\\omega,\\vec{k})F^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\right)\\tag{8b}$$\n\n$$\\Pi^{\\prime}(\\Omega)=\\frac{1}{\\pi^{2}}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}\\right)^{2}\\int^{\\prime}\\int^{\\prime}dx\\,dy\\,\\left(G^{\\prime\\prime}(x,\\vec{k})G^{\\prime\\prime}(y,\\vec{k})\\,+\\,F^{\\prime\\prime}(x,\\vec{k})F^{\\prime\\prime}(y,\\vec{k})\\right)\\,\\frac{n_{F}(y)-n_{F}(x)}{y-x}\\tag{8c}$$\n\nwhere R ′ P denotes the principal value of the integral, ~k is understood to be 1 N P ~k ,(N is the number of lattice sites), nF (x) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by37\n\nFor a NS, $G(\\omega,\\vec{k})=\\dfrac{1}{\\omega-\\Sigma(k,\\omega)-\\varepsilon_{\\vec{k}}+i\\delta}$ (9a). \n\nFor a SCS, G(ω,~k) = Zk,ωω + ε~k Z2 k,ω(ω2 − ∆2 k,ω) − ε 2 ~k + iδsgn(ω) (9b)\n\n$$F(\\omega,\\vec{k})=\\frac{Z_{k,\\omega}\\Delta_{k,\\omega}}{Z_{k,\\omega}^{2}(\\omega^{2}-\\Delta_{k,\\omega}^{2})-\\varepsilon_{\\vec{k}}^{2}+i\\delta s g n(\\omega)}\\,.$$\n\nwhere Zk,ω = 1 − Σ(k,ω) ω , and ∆k,ω, is the SC gap. Following earlier works31,33, we assume that the fermionic self-energy Σ(k, ω) predominantly depends on frequency and approximate Σ(k, ω) ≈ Σ(ω) and also neglect the frequency dependence of the gap, i.e., approximate ∆k,ω by a d−wave ∆k. The lattice dispersion ε~k is taken from Ref. 38. To calculate WK, one has to evaluate the Kubo term in Eq.3 wherein the distribution function n~k , is calculated from\n\n$$n(\\varepsilon_{\\vec{k}})=-2\\int_{-\\infty}^{0}\\frac{d\\omega}{2\\pi}\\,G^{\\prime\\prime}(\\omega,\\vec{k})\\qquad\\qquad(10)$$\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe ~k-summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing R d 2k = dΩkdǫkνǫk,Ωk and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W(ωc) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute WK in NS and SCS. This will tell us about the magnitude of ∆W(ωc = ∞). We next compute the conductivity σ(ω) using the equations listed above, find W(ωc) and ∆W(ωc) and compare ∆f(ωc) and ∆WK.\n\nFor simplicity and also for comparisons with earlier studies, for BCSI, EB, and MFLI models we assumed that the gap is just a constant along the FS. For CB model, we used a d−wave gap and included into consideration the fact that, if a CB is a spin fluctuation, its propagator develops a resonance when the pairing gap is d−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "$$\\int\\frac{d\\cos\\theta}{2}|{\\cal M}_{2}|^{2}\\ =\\ \\lambda_{N}^{4}\\left(\\frac{\\partial\\Psi}{\\partial h}\\right)^{4}\\left(-8-I_{22}+J_{22}\\ln\\left|\\frac{A+2b}{A-2b}\\right|\\right),\\tag{100}$$\n\n$$\\int\\frac{d\\cos\\theta}{2}\\mathcal{M}_{1}\\mathcal{M}_{2}^{*}=4m_{N}\\lambda_{N}^{3}\\left(\\frac{\\partial\\Psi}{\\partial h}\\right)^{2}\\left(\\frac{\\partial\\Psi}{\\partial h}\\frac{i}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}i\\lambda_{hhh}+\\frac{\\partial\\Psi}{\\partial H}\\frac{i}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}i\\lambda_{Hhh}\\right)$$\n \n$$\\left(-4+\\frac{s-4m_{N}^{3}+A}{2b}\\ln\\left|\\frac{A+2b}{A-2b}\\right|\\right),\\tag{39}$$\n\nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear above are defined as\n\n$$I_{22}(s)\\,\\equiv\\,4\\frac{(A+2a)^{2}-2(s+4m_{N}^{2})A-s(A+m_{N}^{2})-3m_{N}^{2}(s-4m_{N}^{2})}{A^{2}-4b^{2}},$$\n (B10)\n\nJ22(s, mh) ≡ 1 Ab 2A(A + 2a) − A(s + 4m2 N ) + A 2 − 4a 2 − (s − 2m2 N )(m2 N − m2 h )\n\n$$+3m_{N}^{2}(s-4m_{N}^{2}))\\,,$$\n (B11)\n\n$$A(s,m_{h})\\ \\equiv\\ -\\frac{s}{2}+m_{h}^{2},$$\n (B12)\n\n$$b(s,m_{N},m_{h})\\,\\equiv\\,\\sqrt{\\frac{s}{4}-m_{h}^{2}}\\sqrt{\\frac{s}{4}-m_{N}^{2}}.$$\n (B13)\n\n#### Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n$$\\langle\\sigma v\\rangle\\ =\\ \\frac{1}{m_{N}^{2}}\\left[w(s)-\\frac{3}{2}\\left(2w(s)-4m_{N}^{2}\\frac{dw}{ds}\\right)\\frac{T}{m_{N}}\\right]\\right]_{s=4m_{N}^{2}}$$\n (C1)\n\n$$=\\left.6\\ \\frac{dw}{ds}\\right|_{s=4m_{N}^{2}}\\frac{T}{m_{N}},$$\n (C2)\n\nwith\n\n$$4w(s)\\equiv\\int d\\mathrm{LIPS}\\sum|{\\cal M}|^{2}=\\frac{1}{8\\pi}\\sqrt{\\frac{s-4m_{\\mathrm{final}}^{2}}{s}}\\int\\frac{d\\cos\\theta}{2}\\sum|{\\cal M}|^{2},\\tag{3}$$\n\nwhere mfinal is the mass of final state particle.\n\n- [1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in the Universe, Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), p 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity, Proceedings of Workshop,", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image stacks with a 2- to 3-mm interval in the Z-axis were obtained through a 203 dry lens (0.8 NA) with the confocal aperture set to 1 Airy unit or less. All image capture was performed using Zen Blue Edition software (Carl Zeiss Microscopy GmbH, Jena, Germany), and analyses were performed using Zen Blue or FIJI.45\n\n#### 2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the experimental groups. For quantification of the total number of cells within the DRG, a modified optical dissector stereological method was used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To account for tissue shrinkage during processing, the mean thickness (t) of each section on one slide (ie, 1 in 5 sections) was calculated by taking the mean of the thickest and thinnest cell-containing regions (ie, not fiber tract-containing regions) of the section (NB: no optical correction to thickness was applied; given the use of a dry lens, this value will not reflect actual section thickness, though this was kept consistent throughout the study). The cell-containing, crosssectional area (a) was then calculated, using the middle optical section from the series and drawing around the cell-containing regions. Section volume (Vsec) was then calculated:\n\n$$\\mathbb{V}\\mathrm{sec}\\,=\\,t\\times a$$\n\nUsing the Cavalieri principle, the cell-containing volume of the DRG was calculated11:\n\n$$\\forall D\\bar{D}\\bar{G}=\\bar{a}\\times\\bar{t}\\times D$$\n\nwhere a 5 mean cell-containing cross-sectional area, t 5 mean section thickness, and l 5 \"length\" of the DRG (determined from the total number of sections collected). The number of neurons per section (Nsec) was quantified in all immunostained sections. This included only neurons with a visible nucleus (in the NeuN channel), excluded cells with a nucleus visible within the top frame of the Z-stack, and included any neurons with a nucleus visible in any other field within Z-stack, including the bottom frame of Z-stack. The cell density or the number of cells per unit vol (Nv) was then calculated:\n\n$$N_{V}={\\frac{N_{\\mathrm{sec}}}{V_{\\mathrm{sec}}}}$$\n\nFinally, the total number of cells per DRG (NDRG) was calculated:\n\n$$N_{D\\!\\!D\\!\\!G}\\,=\\,\\overline{{{N_{\\nu}}}}\\times V_{D\\!\\!D\\!\\!G}$$\n\nFor quantification of the proportion of FB-labelled cells colabelled with afferent subpopulation markers, initially, the total number of FB-filled neuronal cell profiles with a visible nucleus anywhere within the section was counted, with the observer blind to other channels. The other channel was then revealed, and instances of co-labelling were quantified. No stereological correction was applied, given that the similar size of neuronal nuclei would prevent over-counts of large neurons and that no comparisons of the total number of labelled cells were made. For soma area analyses, the area of neuronal soma expressing the appropriate marker was measured in the optical section within the Z-stack in which that neuron was at its largest, by drawing around the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n#### 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks post-SNItrans for whole DRG analyses. In this study, tissue was extracted from a combination of MrgDCreERT2;Ai14, ThCreERT2;Ai14, and CalcaCreERT2;Ai14 lines (mixed sex).3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described.67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies (Table 2) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1 propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2-mm z-steps. The tissue was stored at 4˚C for ;16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the \"spots\" feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgDCreERT2;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small (,5 mm3 ) and very large (.2000 mm3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the \"small\" DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD1 nuclei (258 mm3 ). The boundary between \"medium\" and \"large\" bins (400 mm3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 mm3 was also examined, and the results mirrored those of \"medium\" and \"large\" bins.\n\n# 2.7. Gene Ontology\n\nGene Ontology term analyses were performed on previously published mouse subtype RNA-seq after SNI (GSE2164443 ). In this study, subtype-specific bulk RNA-seq was performed on 5 transgenic mouse lines through reporter labelling and fluorescence activated cell sorting. spliced transcripts alignment to a reference was used to map reads to the GRCm38 (mm10) Mouse Genome,14 and Samtools was used to sort, index, and merge Binary Alignment Map files in line with published reports.28 Quality control was performed as per Barry et al.3 Downstream analyses were performed using DESeq2 on grouped male and female samples.31 For differentially expressed genes (false discovery rate) (FDR , 0.05, LFC .1) (log-fold change), GO analyses were performed using the Wallenius method using goSeq (R). In this study, significantly regulated terms related to", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "# Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W, and ∆W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models – a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off (ωc) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ωc equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆W, implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆W. In all models we studied ∆W is positive at small ωc, then crosses zero and approaches a negative value at large ωc, i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n#### I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ(Ω) and found that it is independent on the nature of the interactions and reduces to\n\n$$\\int_{0}^{\\infty}R e\\,\\sigma(\\Omega)\\,d\\Omega={\\frac{\\pi}{2}}{\\frac{n e^{2}}{m}}\\qquad\\qquad(1)$$\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state – henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ(Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ(Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n\n$$\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{NS}(\\Omega)=\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{sc}(\\Omega)+\\frac{\\pi n_{s}e^{2}}{2m}\\ \\ \\ \\ (2)$$\n\nwhere ns is the superfluid density, and πnse 2/(2m) is the spectral weight under the δ-functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the \"band\", or Kubo sum rule\n\n$$\\int_{0}^{\\cdot\\infty^{\\prime}}Re\\,\\sigma(\\Omega)\\,d\\Omega=W_{K}=\\frac{\\pi e^{2}}{2N}\\sum_{\\vec{k}}\\nabla_{k_{x}}^{2}\\varepsilon_{\\vec{k}}\\,n_{\\vec{k}}\\tag{3}$$\n\nwhere n~k is the electronic distribution function and ε~k is the band dispersion. Prime in the upper limit of the integration has the practical implication that the upper limit is much larger than the bandwidth of a given band which crosses the Fermi level, but smaller than the frequencies of interband transitions. Interactions with external objects, e.g., phonons or impurities, and interactions between fermions are indirectly present in the distribution function which is expressed via the full fermionic Green's function as n~k = T P m G( ~k, ωm). For ǫk = k 2/2m, ∇2 k~x ε~k = 1/m, WK = πne2/(2m), and Kubo sum rule reduces to Eq. (1). In general, however, ε~k is a lattice dispersion, and Eqs. (1) and (3) are different. Most important, WK in Eq. (3) generally depends on T and on the state of the system because of n~k . In this situation, the temperature evolution of the optical integral does not reduce to a simple redistribution of the spectral weight – the whole spectral weight inside the conduction band changes with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used notation \"violation of the conductivity sum rule\".\n\nIn reality, as already pointed out by Hirsch, there is no true violation as the change of the total spectral weight", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "#### NAVWEPS Oo-ROT-80 AIRPLANE PERFORMANCE\n\n$$\\Gamma_{a}=\\Omega(\\Psi_{2}-\\Psi_{1})\\Psi_{a}=\\Gamma_{a}\\Psi_{1}\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\Psi_{w}=\\Omega_{2}(\\Psi_{2}-\\Psi_{1})\\(\\Psi_{$$\n\n$$\\eta_{\\mathbf{p}}={\\frac{2\\mathbf{v}_{1}}{\\mathbf{v}_{2}+\\mathbf{v}_{1}}}$$\n\nFigure 2.5. Principles of Propulsion", - "page_start": 122, - "page_end": 122, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-Holland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44, 912 (1980).\n\n- [2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44, 1316 (1980) [Erratum-ibid. 44, 1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91, 222 (1980).\n- [3] S. Khalil, J. Phys. G 35, 055001 (2008).\n- [4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676, 81 (2009); Phys. Rev. D 80, 115007 (2009).\n- [5] W. Emam and S. Khalil, Eur. Phys. J. C 522, 625 (2007).\n- [6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n- [7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80, 055030 (2009).\n- [8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80, 073015 (2009).\n- [9] S. Khalil and O. Seto, JCAP 0810, 024 (2008).\n- [10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70, 093009 (2004).\n- [11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74, 033011 (2006).\n- [12] S. Dawson and W. Yan, Phys. Rev. D 79, 095002 (2009).\n- [13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].\n- [14] E. W. Kolb and M. S. Turner, The Early Universe, Addison-Wesley (1990).\n- [15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170, 377 (2007).\n- [16] J. McDonald, Phys. Rev. D 50, 3637 (1994).\n- [17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001).\n- [18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005).\n- [19] T. Kikuchi and N. Okada, Phys. Lett. B 665, 186 (2008).\n- [20] C. E. Yaguna, JCAP 0903, 003 (2009).\n- [21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67, 085002 (2003).\n- [22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67, 043516 (2003).\n- [23] K. Cheung and O. Seto, Phys. Rev. D 69, 113009 (2004).\n- [24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n- [25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n- [26] http://xenon.astro.columbia.edu/.", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 6: Evolution of ∆W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3.5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\int d\\omega^{\\prime}\\frac{1}{\\omega_{o}^{2}-\\omega^{\\prime2}-i\\delta}\\frac{\\omega+\\omega^{\\prime}}{\\sqrt{(\\omega+\\omega^{\\prime})^{2}-\\Delta^{2}}}\\tag{16}$$\n\nObserve that Σ′′(ω) is no-zero only for ω < −ωo − ∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ′ (ω) = −Σ ′ (−ω) and Σ′′(ω) = Σ′′(−ω).\n\nFig7 shows conductivities σ(ω) and Kubo sums WK as a function of the dimensionless coupling λ. We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆WK is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model – only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆W(ωc) as a function of ωc. We see the same behavior as in the BCSI model in a clean limit – ∆W(ωc) is positive at small frequencies, crosses zero at some ωc, passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest wc. However, in distinction to BCSI model, ∆W(ωc) keeps varying with ωc up a much larger scale and saturates only at around 0.8eV . In between the dip at 0.1eV and 0.8eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆f(ωc) as evidenced by a close similarity between the behavior of the actual ∆W and ∆W in the absence\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that WK in the SCS is below that in the NS. We set ωo = 40 meV , ∆ = 30 meV , λ = .5\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W(0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω, hence the polarization bubble Π(0) 6= 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What is the Ferrel-Glover-Tinkham sum rule?", - "target_page": 1, - "target_passage": "the redistribution of the spectral weight between normal and superconducting state", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W, and ∆W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models – a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off (ωc) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ωc equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆W, implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆W. In all models we studied ∆W is positive at small ωc, then crosses zero and approaches a negative value at large ωc, i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n#### I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ(Ω) and found that it is independent on the nature of the interactions and reduces to\n\n$$\\int_{0}^{\\infty}R e\\,\\sigma(\\Omega)\\,d\\Omega={\\frac{\\pi}{2}}{\\frac{n e^{2}}{m}}\\qquad\\qquad(1)$$\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state – henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ(Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ(Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n\n$$\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{NS}(\\Omega)=\\int_{0+}^{\\infty}\\,Re\\,\\sigma_{sc}(\\Omega)+\\frac{\\pi n_{s}e^{2}}{2m}\\ \\ \\ \\ (2)$$\n\nwhere ns is the superfluid density, and πnse 2/(2m) is the spectral weight under the δ-functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the \"band\", or Kubo sum rule\n\n$$\\int_{0}^{\\cdot\\infty^{\\prime}}Re\\,\\sigma(\\Omega)\\,d\\Omega=W_{K}=\\frac{\\pi e^{2}}{2N}\\sum_{\\vec{k}}\\nabla_{k_{x}}^{2}\\varepsilon_{\\vec{k}}\\,n_{\\vec{k}}\\tag{3}$$\n\nwhere n~k is the electronic distribution function and ε~k is the band dispersion. Prime in the upper limit of the integration has the practical implication that the upper limit is much larger than the bandwidth of a given band which crosses the Fermi level, but smaller than the frequencies of interband transitions. Interactions with external objects, e.g., phonons or impurities, and interactions between fermions are indirectly present in the distribution function which is expressed via the full fermionic Green's function as n~k = T P m G( ~k, ωm). For ǫk = k 2/2m, ∇2 k~x ε~k = 1/m, WK = πne2/(2m), and Kubo sum rule reduces to Eq. (1). In general, however, ε~k is a lattice dispersion, and Eqs. (1) and (3) are different. Most important, WK in Eq. (3) generally depends on T and on the state of the system because of n~k . In this situation, the temperature evolution of the optical integral does not reduce to a simple redistribution of the spectral weight – the whole spectral weight inside the conduction band changes with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used notation \"violation of the conductivity sum rule\".\n\nIn reality, as already pointed out by Hirsch, there is no true violation as the change of the total spectral weight", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "an energy of interband transitions, which is roughly 2eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆W(ωc). The last section presents our conclusions.\n\n# II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature21–23,26,29 and we just list the formulas that we used in our computations. The conductivity σ(Ω) and the optical integral W(ωc) are given by (see for example Ref. 35).\n\n$$\\sigma^{\\prime}(\\Omega)=Im\\left[-\\frac{\\Pi(\\Omega)}{\\Omega+i\\delta}\\right]=-\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\ +\\ \\pi\\delta(\\Omega)\\,\\Pi^{\\prime}(\\Omega)\\tag{7a}$$\n\n$$W(\\omega_{c})=\\int_{0}^{\\omega_{c}}\\,\\sigma^{\\prime}(\\Omega)\\,d\\Omega=-\\int_{0+}^{\\omega_{c}}\\,\\frac{\\Pi^{\\prime\\prime}(\\Omega)}{\\Omega}\\,d\\Omega\\,+\\,\\frac{\\pi}{2}\\Pi^{\\prime}(0)\\tag{7b}$$\n\nwhere 'X′ ' and 'X′′' stand for real and imaginary parts of X. We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\n$$\\Pi(i\\Omega)=T\\sum_{\\omega}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{E}}\\varepsilon_{\\vec{E}}\\right)^{2}\\left(G(i\\omega,\\vec{E})G(i\\omega+i\\Omega,\\vec{E})\\,+\\,F(i\\omega,\\vec{E})F(i\\omega+i\\Omega,\\vec{E})\\right)\\tag{8a}$$\n\n$$\\Pi^{\\prime\\prime}(\\Omega)=-\\frac{1}{\\pi}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}^{\\prime}\\right)^{2}\\int_{-\\Omega}^{0}d\\omega\\,\\left(G^{\\prime\\prime}(\\omega,\\vec{k})G^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\,+\\,F^{\\prime\\prime}(\\omega,\\vec{k})F^{\\prime\\prime}(\\omega+\\Omega,\\vec{k})\\right)\\tag{8b}$$\n\n$$\\Pi^{\\prime}(\\Omega)=\\frac{1}{\\pi^{2}}\\sum_{\\vec{k}}\\left(\\nabla_{\\vec{k}}\\varepsilon_{\\vec{k}}\\right)^{2}\\int^{\\prime}\\int^{\\prime}dx\\,dy\\,\\left(G^{\\prime\\prime}(x,\\vec{k})G^{\\prime\\prime}(y,\\vec{k})\\,+\\,F^{\\prime\\prime}(x,\\vec{k})F^{\\prime\\prime}(y,\\vec{k})\\right)\\,\\frac{n_{F}(y)-n_{F}(x)}{y-x}\\tag{8c}$$\n\nwhere R ′ P denotes the principal value of the integral, ~k is understood to be 1 N P ~k ,(N is the number of lattice sites), nF (x) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by37\n\nFor a NS, $G(\\omega,\\vec{k})=\\dfrac{1}{\\omega-\\Sigma(k,\\omega)-\\varepsilon_{\\vec{k}}+i\\delta}$ (9a). \n\nFor a SCS, G(ω,~k) = Zk,ωω + ε~k Z2 k,ω(ω2 − ∆2 k,ω) − ε 2 ~k + iδsgn(ω) (9b)\n\n$$F(\\omega,\\vec{k})=\\frac{Z_{k,\\omega}\\Delta_{k,\\omega}}{Z_{k,\\omega}^{2}(\\omega^{2}-\\Delta_{k,\\omega}^{2})-\\varepsilon_{\\vec{k}}^{2}+i\\delta s g n(\\omega)}\\,.$$\n\nwhere Zk,ω = 1 − Σ(k,ω) ω , and ∆k,ω, is the SC gap. Following earlier works31,33, we assume that the fermionic self-energy Σ(k, ω) predominantly depends on frequency and approximate Σ(k, ω) ≈ Σ(ω) and also neglect the frequency dependence of the gap, i.e., approximate ∆k,ω by a d−wave ∆k. The lattice dispersion ε~k is taken from Ref. 38. To calculate WK, one has to evaluate the Kubo term in Eq.3 wherein the distribution function n~k , is calculated from\n\n$$n(\\varepsilon_{\\vec{k}})=-2\\int_{-\\infty}^{0}\\frac{d\\omega}{2\\pi}\\,G^{\\prime\\prime}(\\omega,\\vec{k})\\qquad\\qquad(10)$$\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe ~k-summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing R d 2k = dΩkdǫkνǫk,Ωk and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W(ωc) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute WK in NS and SCS. This will tell us about the magnitude of ∆W(ωc = ∞). We next compute the conductivity σ(ω) using the equations listed above, find W(ωc) and ∆W(ωc) and compare ∆f(ωc) and ∆WK.\n\nFor simplicity and also for comparisons with earlier studies, for BCSI, EB, and MFLI models we assumed that the gap is just a constant along the FS. For CB model, we used a d−wave gap and included into consideration the fact that, if a CB is a spin fluctuation, its propagator develops a resonance when the pairing gap is d−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "this term becomes\n\n$$-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\cdot(3/4)[3/16+(\\tau^{x}/2-1/4)^{2}]$$\n \n$$=-(\\lambda^{2})/(32J_{\\rm cluster})\\cdot(2-\\tau_{k}^{x}).$$\n\n]\n\nAnother second order perturbation term r 2λ 2 PjkSk2 · (Sj3 × Sj4)(1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk)Sk2 · (Sj3 × Sj4)Pjk can be computed in the similar way and gives the result −(r 2 λ 2 )/(32Jcluster) · (2 − τ x j ).\n\nFor one of the cross term\n\n$$\\begin{array}{l}{{r\\,\\lambda^{2}\\,{\\mathcal{P}}_{j k}{\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4})(1-{\\mathcal{P}}_{j k})}}\\\\ {{\\times\\,{[0-H_{\\mathrm{cluster}~j}-H_{\\mathrm{cluster}~k}]}^{-1}}}\\\\ {{\\times\\,(1-{\\mathcal{P}}_{j k}){\\mathbf{S}}_{k2}\\cdot({\\mathbf{S}}_{j3}\\times{\\mathbf{S}}_{j4}){\\mathcal{P}}_{j k}}}\\end{array}$$\n\nWe can use the previous argument for both cluster j and k, so (1−PAB)[0−Hcluster j−Hcluster k] −1 (1−Pjk) can be replace by c-number (−2Jcluster) −1 . This term becomes\n\n$$-\\frac{r\\,\\lambda^{2}}{2J_{\\mathrm{cluster}}}{\\mathcal{P}}_{j k}[{\\bf S}_{j2}\\cdot({\\bf S}_{k3}\\times{\\bf S}_{k4})][{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j3})]{\\mathcal{P}}_{j k}.$$\n\nSpin rotation symmetry again helps to separate the terms for cluster j and k, and we get −(r λ2 )/(32Jcluster)· τ z j τ z k .\n\nThe other cross term r λ2 PjkSk2 · (Sj3 × Sj4)(1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk)Sj2 · (Sk3 × Sk4)Pjk gives the same result.\n\nIn summary the second order perturbation from λ[Sj2 · (Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)] is\n\n$$-\\frac{r\\,\\lambda^{2}}{16J_{\\mathrm{cluster}}}\\cdot\\tau_{j}^{z}\\,\\tau_{k}^{z}+\\frac{\\lambda^{2}}{32J_{\\mathrm{cluster}}}(\\tau_{k}^{x}+r^{2}\\,\\tau_{j}^{x}-2r^{2}-2).$$\n\n- 1 Alexei Kitaev, Ann. Phys. (N.Y.) 321, 2 (2006).\n- 2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys. Rev. Lett. 98, 087204 (2007).\n- 3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math. Theor. 41, 075001 (2008).\n- 4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev. Lett. 99, 196805 (2007).\n- 5 Yue Yu, Nucl. Phys. B 799, 345 (2008).\n- 6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84, 57002 (2008).\n- 7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80, 125415 (2009).\n- 8 Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017 (2009).\n- 9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett. 100, 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel, Phys. Rev. B 78, 245121 (2008); S. Dusuel, K.P. Schmidt, J. Vidal, and R.L. Zaffino, Phys. Rev. B 78, 125102 (2008).\n- 10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett. 99, 247203 (2007).\n- 11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76, 180404(R) (2007).\n- 12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys. Rev. Lett. 102, 217202 (2009).\n- 13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79, 214440\n\nUsing this result we can choose the following perturbation on z-links,\n\n$$\\begin{array}{r}{{\\lambda_{z}\\,H_{\\mathrm{perturbation,}z}}}\\\\ {{=\\lambda_{z}[\\mathbf{S}_{j2}\\cdot(\\mathbf{S}_{k3}\\times\\mathbf{S}_{k4})+\\mathrm{sgn}(J_{z})\\cdot\\mathbf{S}_{k2}\\cdot(\\mathbf{S}_{j3}\\times\\mathbf{S}_{j4})]}}\\\\ {{\\quad-|J_{z}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}}\\end{array}$$\n\nwith λz = 4p |Jz|Jcluster, r = sgn(Jz) is the sign of Jz. The last term on the right-hand-side is to cancel the nontrivial terms (r 2 τ x j + τ x k )λ 2 z/(32Jcluster) from the second order perturbation of the first term. Up to second order perturbation this will produce −Jzτ z j τ z k interactions.\n\nFinally we have been able to reduce the high order interactions to at most three spin terms, the Hamiltonian Hmagnetic is\n\n$$\\begin{aligned} \nH_{\\text{magnetic}} = & \\sum_{j} H_{\\text{cluster}j} + \\sum_{x-\\text{links}} \\lambda_{x} H_{\\text{perturbation}x} \\\\ \n& + \\sum_{y-\\text{links}} \\lambda_{y} H_{\\text{perturbation}y} \\\\ \n& + \\sum_{z-\\text{links}} \\lambda_{z} H_{\\text{perturbation}z} \n\\end{aligned}$$\n\nwhere Hcluster j are given by (2), λx,y,z Hperturbation x,y,z are given above. Plug in relevant equations we get (16) in Subsection IV B.\n\n(2009).\n\n- 14 Congjun Wu, Daniel Arovas, Hsiang-Hsuan Hung, Phys. Rev. B 79, 134427 (2009).\n- 15 Shinsei Ryu, Phys. Rev. B 79, 075124 (2009).\n- 16 G. Baskaran, G. Santhosh, R. Shankar, arXiv:0908.1614 (2009).\n- 17 L.-M. Duan, E. Demler, M. D. Lukin, Phys. Rev. Lett. 91, 090402 (2003).\n- 18 A. Micheli, G. K. Brennen, P. Zoller, Nature Physics 2, 341 (2006).\n- 19 J. Q. You, Xiao-Feng Shi, Xuedong Hu, Franco Nori, Phys. Rev. B 81, 014505 (2010).\n- 20 G. Jackeli, G. Khaliullin, Phys. Rev. Lett. 102, 017205 (2009).\n- 21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys. 69, 5200 (1991).\n- 22 K. A. Chao, J. Spa lek, A. M. Ole´s, Phys. Rev. B 18, 3453 (1978).\n- 23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev. B 37, 9753 (1988).\n- 24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math. Phys. 123, 53 (1989).\n- 25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93, 217202 (2004).", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0266.pdf" - }, - { - "text": "form\n\n$$J^{\\prime}(Q_{1}^{E}f_{1}^{E}+Q_{2}^{E}f_{2}^{E})$$\n\nwhere J ′ is the derivative of Heisenberg coupling Jcluster between two spins ℓ and m with respect to their distance rℓm, J ′ = dJcluster/drℓm; QE 1,2 are the generalized coordinates of these two modes; and the functions f E 1,2 are\n\n$$\\begin{array}{r l}{f_{2}^{E}}&{{}=(1/2)(\\mathbf{S}_{2}\\cdot\\mathbf{S}_{4}+\\mathbf{S}_{1}\\cdot\\mathbf{S}_{3}-\\mathbf{S}_{1}\\cdot\\mathbf{S}_{4}-\\mathbf{S}_{2}\\cdot\\mathbf{S}_{3}),}\\\\ {f_{1}^{E}}&{{}={\\sqrt{1/12}}(\\mathbf{S}_{1}\\cdot\\mathbf{S}_{4}+\\mathbf{S}_{2}\\cdot\\mathbf{S}_{3}+\\mathbf{S}_{2}\\cdot\\mathbf{S}_{4}+\\mathbf{S}_{1}\\cdot\\mathbf{S}_{3}),}\\\\ {}&{}&{{}-2\\mathbf{S}_{1}\\cdot\\mathbf{S}_{2}-2\\mathbf{S}_{3}\\cdot\\mathbf{S}_{4}).}\\end{array}$$\n\nAccording to TABLE I we have f E 1 = −( √ 3/2)τ x and f E 2 = (√ 3/2)τ y . Then the coupling becomes\n\n$$(\\sqrt{3}/2)J^{\\prime}(-Q_{1}^{E}\\,\\tau^{x}+Q_{2}^{E}\\,\\tau^{y})\\qquad\\qquad(12)$$\n\nThe spin-lattice(SL) Hamiltonian on a single cluster j is [equation (1.8) in Ref.35],\n\n$$H_{\\rm cluster\\ \\it j,\\ SL}=H_{\\rm cluster\\ \\it j}+\\frac{k}{2}(Q_{1j}^{E})^{2}+\\frac{k}{2}(Q_{2j}^{E})^{2}\\tag{13}$$\n \n$$-\\frac{\\sqrt{3}}{2}J^{\\prime}(Q_{1j}^{E}\\tau_{j}^{x}-Q_{2j}^{E}\\tau_{j}^{y}),$$\n\nwhere k > 0 is the elastic constant for these phonon modes, J ′ is the spin-lattice coupling constant, QE 1j and QE 2j are the generalized coordinates of the QE 1 and QE 2 distortion modes of cluster j, Hcluster j is (2). As already noted in Ref.35, this model does not really break the pseudo-spin rotation symmetry of a single cluster.\n\nNow we put two clusters j and k together, and include a perturbation λ Hperturbation to the optical phonon Hamiltonian,\n\n$$\\begin{array}{c}{{H_{j k,\\mathrm{SL}}=H_{\\mathrm{cluster}\\ j,\\ \\mathrm{SL}}+H_{\\mathrm{cluster}\\ k,\\ \\mathrm{SL}}}}\\\\ {{\\qquad\\qquad+\\lambda\\,H_{\\mathrm{perturbation}}[Q_{1j}^{E},Q_{2j}^{E},Q_{1k}^{E},Q_{2k}^{E}]}}\\end{array}$$\n\nwhere λ (in fact λ/k) is the expansion parameter.\n\nConsider the perturbation Hperturbation = QE 1j · QE 1k , which means a coupling between the QE 1 distortion modes of the two tetrahedra. Integrate out the optical phonons, at lowest non-trivial order, it produces a term (3 J ′2 λ)/(4 k 2 ) τ x j · τ x k . This can be seen by minimizing separately the two cluster Hamiltonians with respect to QE 1 , which gives QE 1 = (√ 3 J ′ )/(2 k)τ x , then plug this into the perturbation term. Thus we have produced the Jx term in the Kitaev model with Jx = −(3 J ′2 λ)/(4 k 2 ).\n\nSimilarly the perturbation Hperturbation = QE 2j · QE 2k will generate (3 J ′2 λ)/(4 k 2 ) τ y j · τ y k at lowest non-trivial order. So we can make Jy = −(3 J ′2 λ)/(4 k 2 ).\n\nThe τ z j · τ z k coupling is more difficult to get. We treat it as −τ x j τ y j · τ x k τ y k . By the above reasoning, we need an anharmonic coupling Hperturbation = QE 1jQE 2j · QE 1kQE 2k . It will produce at lowest non-trivial order (9 J ′4 λ)/(16 k 4 ) τ x j τ y j · τ x k τ y k . Thus we have Jz = (9 J ′4 λ)/(16 k 4 ).\n\nFinally we have made up a spin-lattice model HSL, which involves only Sℓ ·Sm interaction for physical spins,\n\n$$\\begin{array}{c}{{H_{\\mathrm{SL}}=\\sum_{\\mathrm{cluster}}H_{\\mathrm{cluster,~SL}}+\\sum_{x-\\mathrm{links}}\\lambda_{x}\\,Q_{1j}^{E}\\cdot Q_{1k}^{E}}}\\\\ {{+\\sum_{y-\\mathrm{links}}\\lambda_{y}\\,Q_{2j}^{E}\\cdot Q_{2k}^{E}}}\\\\ {{+\\sum_{z-\\mathrm{links}}\\lambda_{z}\\,Q_{1j}^{E}Q_{2j}^{E}\\cdot Q_{1k}^{E}Q_{2k}^{E}}}\\end{array}$$\n\nwhere QE 1j is the generalized coordinate for the QE 1 mode on cluster j, and QE 1k , QE 2j , QE 2k are similarly defined; λx,y = −(4Jx,yk 2 )/(3J ′2 ) and λz = (16Jzk 4 )/(9J ′4 ); the single cluster spin-lattice Hamiltonian Hcluster, SL is (13).\n\nCollect the results above we have the spin-lattice Hamiltonian HSL explicitly written as,\n\nHSL = X cluster j h (Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4) 2 + k 2 (Q E 1j ) 2 + k 2 (Q E 2j ) 2 + J ′ Q E 1j Sj1 · Sj4 + Sj2 · Sj3 + Sj2 · Sj4 + Sj1 · Sj3 − 2Sj1 · Sj2 − 2Sj3 · Sj4 √ 12 + Q E 2j Sj2 · Sj4 + Sj1 · Sj3 − Sj1 · Sj4 − Sj2 · Sj3 2 i − X x−links 4Jxk 2 3J ′2 Q E 1j · Q E 1k − X y−links 4Jyk 2 3J ′2 Q E 2j · Q E 2k + X z−links 16Jzk 4 9J ′4 Q E 1jQ E 2j · Q E 1kQ E 2k (14)\n\nThe single cluster spin-lattice Hamiltonian [first three lines in (14)] is quite natural. However we need some harmonic(on x- and y-links of honeycomb lattice) and anharmonic coupling (on z-links) between optical phonon", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0266.pdf" - }, - { - "text": "$$\\int\\frac{d\\cos\\theta}{2}|{\\cal M}_{2}|^{2}\\ =\\ \\lambda_{N}^{4}\\left(\\frac{\\partial\\Psi}{\\partial h}\\right)^{4}\\left(-8-I_{22}+J_{22}\\ln\\left|\\frac{A+2b}{A-2b}\\right|\\right),\\tag{100}$$\n\n$$\\int\\frac{d\\cos\\theta}{2}\\mathcal{M}_{1}\\mathcal{M}_{2}^{*}=4m_{N}\\lambda_{N}^{3}\\left(\\frac{\\partial\\Psi}{\\partial h}\\right)^{2}\\left(\\frac{\\partial\\Psi}{\\partial h}\\frac{i}{s-M_{h}^{2}+iM_{h}\\Gamma_{h}}i\\lambda_{hhh}+\\frac{\\partial\\Psi}{\\partial H}\\frac{i}{s-M_{H}^{2}+iM_{H}\\Gamma_{H}}i\\lambda_{Hhh}\\right)$$\n \n$$\\left(-4+\\frac{s-4m_{N}^{3}+A}{2b}\\ln\\left|\\frac{A+2b}{A-2b}\\right|\\right),\\tag{39}$$\n\nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear above are defined as\n\n$$I_{22}(s)\\,\\equiv\\,4\\frac{(A+2a)^{2}-2(s+4m_{N}^{2})A-s(A+m_{N}^{2})-3m_{N}^{2}(s-4m_{N}^{2})}{A^{2}-4b^{2}},$$\n (B10)\n\nJ22(s, mh) ≡ 1 Ab 2A(A + 2a) − A(s + 4m2 N ) + A 2 − 4a 2 − (s − 2m2 N )(m2 N − m2 h )\n\n$$+3m_{N}^{2}(s-4m_{N}^{2}))\\,,$$\n (B11)\n\n$$A(s,m_{h})\\ \\equiv\\ -\\frac{s}{2}+m_{h}^{2},$$\n (B12)\n\n$$b(s,m_{N},m_{h})\\,\\equiv\\,\\sqrt{\\frac{s}{4}-m_{h}^{2}}\\sqrt{\\frac{s}{4}-m_{N}^{2}}.$$\n (B13)\n\n#### Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n$$\\langle\\sigma v\\rangle\\ =\\ \\frac{1}{m_{N}^{2}}\\left[w(s)-\\frac{3}{2}\\left(2w(s)-4m_{N}^{2}\\frac{dw}{ds}\\right)\\frac{T}{m_{N}}\\right]\\right]_{s=4m_{N}^{2}}$$\n (C1)\n\n$$=\\left.6\\ \\frac{dw}{ds}\\right|_{s=4m_{N}^{2}}\\frac{T}{m_{N}},$$\n (C2)\n\nwith\n\n$$4w(s)\\equiv\\int d\\mathrm{LIPS}\\sum|{\\cal M}|^{2}=\\frac{1}{8\\pi}\\sqrt{\\frac{s-4m_{\\mathrm{final}}^{2}}{s}}\\int\\frac{d\\cos\\theta}{2}\\sum|{\\cal M}|^{2},\\tag{3}$$\n\nwhere mfinal is the mass of final state particle.\n\n- [1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in the Universe, Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), p 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity, Proceedings of Workshop,", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "divergence between the approximate posterior *q*(*s*) and the exact posterior, which is also sometimes called the perceptual divergence:\n\n$$D_{\\rm KL}[q(s)\\|p(s|o)]=\\sum_{s}q(s)\\ln\\frac{q(s)}{p(s|o)}\\tag{2}$$\n\nIt is a property of the KL divergence that the two distributions are identical when *D*KL[*q*(*s*)∥*p*(*s*|*o*)] = 0. Minimising this divergence then corresponds to approximating the exact posterior *p*(*s*|*o*) with *q*(*s*). We cannot evaluate this divergence directly since the exact posterior is still unknown. We therefore replace the expression of the exact posterior with the right-hand side of Equation (1). Note that here we use the joint likelihood *p*(*o*,*s*) notation, fraction rule *a b c* = *a b* ∗ *c* and logarithmic rule ln(*a* ∗ *b*) = ln *a* + ln *b*:\n\n$$\\sum_{s}q(s)\\ln\\frac{q(s)}{\\frac{p(o,s)}{p(o)}}=\\sum_{s}q(s)\\ln\\frac{q(s)}{p(o,s)}+\\ln p(o)\\tag{3}$$\n\nWe can now rewrite the first term of the right-hand side as the KL divergence of the approximate posterior from the joint likelihood, which is equal to the expression used in Equation (2):\n\n$$D_{\\rm KL}[q(s)\\|p(s|o)]=D_{\\rm KL}[q(s)\\|p(o,s)]+\\ln p(o)\\tag{4}$$\n\nWe now define the *VFE* (F[*q*(*s*), *o*]) as the KL divergence of the approximate posterior from the joint likelihood. The VFE is only a function of *q*(*s*) and *o* (and the generative model *m*), and we can therefore calculate it without knowing the model evidence *p*(*o*):\n\n$${\\cal F}\\triangleq D_{\\rm KL}[q(s)\\|p(o,s)]=\\sum_{s}q(s)\\ln\\frac{q(s)}{p(o,s)}\\tag{5}$$\n\nThe probability-weighted sum can be rewritten as an expectation, and the joint likelihood can be decomposed into a prior and a likelihood:\n\n$$\\mathcal{F}\\triangleq\\mathbb{E}_{q(s)}\\bigg{[}\\ln\\frac{q(s)}{p(o,s)}\\bigg{]}=\\mathbb{E}_{q(s)}[\\ln q(s)-\\ln p(o|s)-\\ln p(s)]\\tag{6}$$\n\nWe can now combine our definition of *VFE* with Equation (4):\n\n$$D_{\\rm KL}[q(s)\\|p(s|o)]={\\cal F}[q(s),o]+\\ln p(o)\\tag{7}$$\n\nFinally, we can reorganise this equation to show that the VFE is the sum of the divergence of the approximation posterior and exact posterior (if we could perform exact inference, this is what we would obtain) and the surprise ℑ = − ln(*p*(*o*)) (the negative log model evidence):\n\n$$\\mathcal{F}[q(s),o]=\\underbrace{D_{\\text{KL}}[q(s)\\|p(s|o)]}_{\\text{Divergence}}\\underbrace{-\\ln p(o)}_{\\text{Surprise}}\\tag{8}$$\n\nSince the KL divergence is non-negative, the *VFE* becomes an upper bound on the surprise:\n\n$${\\cal F}[q(s),o]\\geq-\\ln p(o)\\tag{9}$$\n\nBy rearranging the parts of this expression, we can express the *VFE* as a balance between the complexity and accuracy, where the accuracy is how well the model predicts observation, and the complexity is how much the beliefs need to change in order to maintain a high accuracy:", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "# Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λ Hperturbation = λ[Sj1 · Sk1 + r(Sj2 · Sk2)], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of Hperturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k. Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk) can be replaced by a c-number (−2Jcluster) −1 . Therefore the perturbation up to second order is\n\n$$-\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\,{\\mathcal{P}}_{j k}(H_{\\mathrm{perturbation}})^{2}{\\mathcal{P}}_{j k}$$\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes (a, b = x, y, z),\n\n$$\\begin{array}{c}{{-\\,\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\sum_{a,b}\\left[\\mathcal{P}_{j}S_{j1}^{a}S_{j1}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k1}^{b}\\mathcal{P}_{k}\\right]}}\\\\ {{\\quad+2r\\,\\mathcal{P}_{j}S_{j1}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k2}^{b}\\mathcal{P}_{k}}}\\\\ {{\\quad+r^{2}\\,\\mathcal{P}_{j}S_{j2}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k2}^{a}S_{k2}^{b}\\mathcal{P}_{k}\\right]}}\\end{array}$$\n\nThen use the fact that PjS a jℓS b jmPj = δab(1/3)Pj(Sjℓ · Sjm)Pj by spin rotation symmetry, the perturbation becomes\n\n$$-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+2r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2})({\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}$$\n \n$$=-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+(r/2)\\tau_{j}^{x}\\tau_{k}^{x}-r/2$$\n \n$$-r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}.$$\n\nSo we can choose −(r λ2 )/(12Jcluster) = −Jx, and include the last intra-cluster Sj1 ·Sj2 + Sk1 ·Sk2 term in the first order perturbation.\n\nThe perturbation on x-links is then (not unique),\n\n$\\lambda_{x}\\,H_{\\rm perturbation}$, $x=\\lambda_{x}[{\\bf S}_{j1}\\cdot{\\bf S}_{k1}+{\\rm sgn}(J_{x})\\cdot({\\bf S}_{j2}\\cdot{\\bf S}_{k2})]$ \n \n$-J_{x}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2})$\n\nwith λx = p 12|Jx| · Jcluster, and r = sgn(Jx) is the sign of Jx. The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on ylinks, λ Hperturbation = λ[Sj1 ·(Sk3 − Sk4) + r Sk1 ·(Sj3 − Sj4)]. Following similar procedures we get the second order perturbation from this term\n\n− λ 2 6Jcluster h 9 + 9r 2 8 + 2r Pjk[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki = − λ 2 6Jcluster h 9 + 9r 2 8 + 2r (3/4)τ y j τ y k − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki\n\nSo we can choose −(r λ2 )/(4Jcluster) = −Jy, and include the last intra-cluster Sk3 · Sk4 + r 2 Sj3 · Sj4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y-links (not unique),\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster, r = sgn(Jy) is the sign of Jy. The τ z τ z term is again more difficult to get. We use\n\nj k the representation of τ z by spin-chirality (6). And consider the following perturbation\n\n$$H_{\\mathrm{perturbation}}={\\bf S}_{j2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})+r\\,{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})$$\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\n$$\\begin{array}{l}{{\\lambda^{2}\\,{\\mathcal{P}}_{j k}{\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4})(1-{\\mathcal{P}}_{j k})}}\\\\ {{\\ \\times\\left[0-H_{\\mathrm{cluster}\\ j}-H_{\\mathrm{cluster}\\ k}\\right]^{-1}}}\\\\ {{\\ \\times\\left(1-{\\mathcal{P}}_{j k}\\right){\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4}){\\mathcal{P}}_{j k}}}\\end{array}$$\n\nFor the cluster j part we can use the same arguments as before, the Hcluster j can be replaced by a c-number Jcluster. For the cluster k part, consider the fact that Sk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4], the action of Sk3 ×Sk4 on physical singlet states of k will also only produce spin-1 state. So we can replace the Hcluster k in the denominator by a c-number Jcluster as well. Use spin rotation symmetry to separate the j and k parts, this term simplifies to\n\n− λ 2 6Jcluster PjSj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk. Use (S) 2 = 3/4 and (Sk3 × Sk4) · (Sk3 × Sk4) = X a,b (S a k3S b k4S a k3S b k4 − S a k3S b k4S b k3S a k4 ) = (Sk3 · Sk3)(Sk4 · Sk4) − X a,b S a k3S b k3 [δab/2 − S a k4S b k4 ] = 9/16 + (Sk3 · Sk4)(Sk3 · Sk4) − (3/8)", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "$$\\mathcal{F}[q(s),o]=\\underbrace{D_{\\text{KL}}[q(s)||p(s)]}_{\\text{Complexity}}-\\underbrace{\\mathbb{E}_{q(s)}[\\ln p(o|s)]}_{\\text{Accuracy}}\\tag{10}$$\n\nSince the *VFE* can be calculated (Equation (5)), it can be used as a target for minimisation. This allows us to choose the approximate posterior *q*(*s*) that is associated with the smallest *VFE*; since the surprise does not depend on *q*(*s*), minimising the *VFE* this way must necessarily reduce the divergence between the approximate and exact posterior. We now, as is usually performed in variational inference, introduce a mean-field approximation [35] so that the joint approximate posterior *q*(*st*) factorises across time steps *t* ∈ *T* and hidden state factors *f* ∈ *F*:\n\n$$q(s)=q(s_{1},s_{2},\\ldots,s_{T})=\\prod_{t=1}^{T}q(s_{t})\\tag{11}$$\n\n$$q(s_{t})=q(s_{t}^{1},s_{t}^{2},\\ldots,s_{t}^{F})=\\prod_{f=1}^{F}q(s_{t}^{f})\\tag{12}$$\n\nThe factorisation into hidden state factors allows us to calculate the VFE separately for each factor *f* and sum them to obtain the total VFE. The factorisation in time allows us to calculate the time-specific VFE as in Equation (6) using the predictive posterior ln *p*(*st* | *st*−1, *ut*−1) from the last time step as the prior:\n\n$${\\cal F}_{t}=\\mathbb{E}_{q(s_{t})}[\\ln q(s_{t})-\\ln p(o_{t}\\mid s_{t})-\\ln p(s_{t}\\mid s_{t-1},u_{t-1})]\\tag{13}$$\n\nwhich is the value we intend to minimise. Various methods exist for minimising the *VFE*; the one used in pymdp, from which we drew much of our inspiration, is Coordinate Ascent Variational Inference (CAVI) [35], where the fixed points of the *VFE* are solved for with coordinate descent (also known as fixed-point iteration (FPI) [23]). This is also the algorithm currently available in ActiveInference.jl. We correspondingly use a coordinate descent update to find the factorised approximate posterior *q*(*s f t* ) that minimises the timedependent VFE F*t* , and therefore optimises for the time-specific variational posterior *q*(*st*). To obtain the coordinate descent update, we start by taking the derivative of F*t* with respect to *q*(*s f t* ) and setting the derivative to zero [23]:\n\n$$\\frac{\\partial\\mathcal{F}_{t}}{\\partial q(s^{\\prime}_{t})}=\\ln q(s^{\\prime}_{t})+1-\\mathbb{E}_{q^{\\prime}\\circ f}[\\ln P(o_{t}\\mid s_{t})]-\\ln\\biggl{(}\\mathbb{E}_{p(s^{\\prime}_{t-1},u^{\\prime}_{t-1})}\\Bigl{[}P(s^{\\prime}_{t}\\mid s^{\\prime}_{t-1},u^{\\prime}_{t-1})\\Bigr{]}\\biggr{)}=0\\tag{14}$$\n\nSolving for *q*(*s f t* ) yields\n\n$$\\ln q(s_{t}^{f})=\\mathbb{E}_{q^{\\prime}\\lor t}\\big{[}\\ln P(o_{t}\\mid s_{t})\\big{]}+\\ln\\bigg{(}\\mathbb{E}_{P(s_{t-1}^{f},u_{t-1}^{f})}\\Big{[}P\\big{(}s_{t}^{f}\\mid s_{t-1}^{f},u_{t-1}^{f}\\big{)}\\Big{]}\\bigg{)}-1\\tag{15}$$\n\nwhich leads us to the coordinate descent update equation:\n\n$$q^{*}(s_{t}^{f})=\\sigma\\bigg{(}\\mathbb{E}_{q^{\\vee}|\\sqrt{\\ln P(o_{t}\\mid s_{t})}}+\\ln\\bigg{(}\\mathbb{E}_{P(s_{t-1}^{f},u_{t-1}^{f})}\\Big{[}P(s_{t}^{f}\\mid s_{t-1}^{f},u_{t-1}^{f})\\Big{]}\\bigg{)}\\bigg{)}\\tag{16}$$\n\nwhere E *q i*\\ *f* denotes the expectation over *q*(*s*) for factor *i*, where the posterior over states in the other factors *f* are kept constant. By iteratively solving (16), the FPI scheme will eventually find a local optimum and converge to a solution for the variational posterior. By default, ActiveInference uses 10 iterations or stops when *∂Ft* < 0.001. This posterior then comprises the AIF agent's belief about the state of the environment, and therefore, its perception.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "in a given band is compensated by an appropriate change of the spectral weight in other bands such that the total spectral weight, integrated over all bands, is conserved, as in Eq. (1). Still, non-conservation of the spectral weight within a given band is an interesting phenomenon as the degree of non-conservation is an indicator of relevant energy scales in the problem. Indeed, when relevant energy scales are much smaller than the Fermi energy, i.e., changes in the conductivity are confined to a near vicinity of a Fermi surface (FS), one can expand εk near kF as εk = vF (k − kF ) + (k − kF ) 2/(2mB) + O(k − kF ) 3 and obtain ∇2 k~x ε~k ≈ 1/mB [this approximation is equivalent to approximating the density of states (DOS) by a constant]. Then WK becomes πne2/(2mB) which does not depend on temperature. The scale of the temperature dependence of WK is then an indicator how far in energy the changes in conductivity extend when, e.g., a system evolves from a normal metal to a superconductor. Because relevant energy scales increase with the interaction strength, the temperature dependence of WK is also an indirect indicator of whether a system is in a weak, intermediate, or strong coupling regime.\n\nIn a conventional BCS superconductor the only relevant scales are the superconducting gap ∆ and the impurity scattering rate Γ. Both are generally much smaller than the Fermi energy, so the optical integral should be almost T -independent, i.e., the spectral weight lost in a superconducting state at low frequencies because of gap opening is completely recovered by the zero-frequency δfunction. In a clean limit, the weight which goes into a δ−function is recovered within frequencies up to 4∆. This is the essence of FGT sum rule 2,3. In a dirty limit, this scale is larger, O(Γ), but still WK is T -independent and there was no \"violation of sum rule\".\n\nThe issue of sum rule attracted substantial interest in the studies of high Tc cuprates5–18,21–26 in which pairing is without doubts a strong coupling phenomenon. From a theoretical perspective, the interest in this issue was originally triggered by a similarity between WK and the kinetic energy K = 2P ε~k n~k . 18–20 For a model with a simple tight binding cosine dispersion εk ∝ (cos kx + cos ky), d 2 ε~k d k2 x ∼ −ε~k and WK = −K. For a more complex dispersion there is no exact relation between WK and K, but several groups argued 17,27,28 that WK can still be regarded as a good monitor for the changes in the kinetic energy. Now, in a BCS superconductor, kinetic energy increases below Tc because nk extends to higher frequencies (see Fig.2). At strong coupling, K not necessary increases because of opposite trend associated with the fermionic self-energy: fermions are more mobile in the SCS due to less space for scattering at low energies than they are in the NS. Model calculations show that above some coupling strength, the kinetic energy decreases below Tc 29. While, as we said, there is no one-to-one correspondence between K and WK, it is still likely that, when K decreases, WK increases.\n\nA good amount of experimental effort has been put into\n\naddressing the issue of the optical sum rule in the c−axis7 and in-plane conductivities 8–16 in overdoped, optimally doped, and underdoped cuprates. The experimental results demonstrated, above all, outstanding achievements of experimental abilities as these groups managed to detect the value of the optical integral with the accuracy of a fraction of a percent. The analysis of the change of the optical integral between normal and SCS is even more complex because one has to (i) extend NS data to T < Tc and (ii) measure superfluid density with the same accuracy as the optical integral itself.\n\nThe analysis of the optical integral showed that in overdoped cuprates it definitely decreases below Tc, in consistency with the expectations at weak coupling11. For underdoped cuprates, all experimental groups agree that a relative change of the optical integral below Tc gets much smaller. There is no agreement yet about the sign of the change of the optical integral : Molegraaf et al.8 and Santander-Syro et al.9 argued that the optical integral increases below Tc, while Boris et al.10 argued that it decreases.\n\nTheoretical analysis of these results21,22,25,28,30 added one more degree of complexity to the issue. It is tempting to analyze the temperature dependence of WK and relate it to the observed behavior of the optical integral, and some earlier works25,28,30 followed this route. In the experiments, however, optical conductivity is integrated only up to a certain frequency ωc, and the quantity which is actually measured is\n\n$$W(\\omega_{c})=\\int_{0}^{\\omega_{c}}\\,Re\\,\\sigma(\\Omega)\\,d\\Omega=W_{K}+f(\\omega_{c})$$\n \n$$f(\\omega_{c})=-\\int_{\\omega_{c}}^{\\prime\\,\\infty^{\\prime}}\\,Re\\,\\sigma(\\Omega)\\,d\\Omega\\tag{4}$$\n\nThe Kubo formula, Eq. (3) is obtained assuming that the second part is negligible. This is not guaranteed, however, as typical ωc ∼ 1 − 2eV are comparable to the bandwidth.\n\nThe differential sum rule ∆W is also a sum of two terms\n\n$$\\Delta W(\\omega_{c})=\\Delta W_{K}+\\Delta f(\\omega_{c})\\tag{5}$$\n\nwhere ∆WK is the variation of the r.h.s. of Eq. 3, and ∆f(ωc) is the variation of the cutoff term. Because conductivity changes with T at all frequencies, ∆f(ωc) also varies with temperature. It then becomes the issue whether the experimentally observed ∆W(ωc) is predominantly due to \"intrinsic\" ∆WK, or to ∆f(ωc). [A third possibility is non-applicability of the Kubo formula because of the close proximity of other bands, but we will not dwell on this.]\n\nFor the NS, previous works21,22 on particular models for the cuprates indicated that the origin of the temperature dependence of W(ωc) is likely the T dependence of the cutoff term f(ωc). Specifically, Norman et. al.22 approximated a fermionic DOS by a constant (in which", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "What does Kitaev show about spin- 1/2 model?", - "target_page": 1, - "target_passage": "spin- 1/2 model can be mapped to a model with one Majo- rana fermion per site coupled to Ising gauge fields on the links", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1: The honeycomb lattice for the Kitaev model. Filled and open circles indicate two sublattices. x, y, z label the links along three different directions used in (1).\n\nderived as well. There have been several proposals to open the fermion gap for the non-Abelian phase without spoiling exact solvability4,6. And many generalizations to other(even 3D) lattices have been developed in the last few years10–16. All these efforts have significantly enriched our knowledge of exactly solvable models and quantum phases of matter.\n\nHowever, in the original Kitaev model and its later generalizations in the form of spin models, spin rotation symmetry is explicitly broken. This makes them harder to realize in solid state systems. There are many proposals to realized the Kitaev model in more controllable situations, e.g. in cold atom optical lattices17,18, or in superconducting circuits19. But it is still desirable for theoretical curiosity and practical purposes to realize the Kitaev-type models in spin rotation invariant systems.\n\nIn this paper we realize the Kitaev honeycomb lattice model as the low energy Hamiltonian for a spin rotation invariant system. The trick is not to use the physical spin as the spin in the Kitaev model, instead the spin-1/2 in Kitaev model is from some emergent two-fold degenerate low energy states in the elementary unit of physical system. This type of idea has been explored recently by Jackeli and Khaliullin20, in which the spin-1/2 in the Kitaev model is the low energy Kramers doublet created by strong spin-orbit coupling of t2g orbitals. In the model presented below, the Hilbert space of spin-1/2 in the Kitaev model is actually the two dimensional spin singlet sector of four antiferromagnetically coupled spin-1/2 moments, and the role of spin-1/2 operators(Pauli matrices) in the Kitaev model is replaced by certain combinations of Sj ·Sk [or the spin-chirality Sj ·(Sk ×Sℓ)] between the four spins.\n\nOne major drawback of the model to be presented is that it contains high order spin interactions(involves up to six or eight spins), thus is still unnatural. However it opens the possibility to realize exotic (exactly solvable) models from spin-1/2 Hamiltonian with spin rotation invariant interactions. We will discuss two possible routes to reduce this artificialness through controlled perturbative expansions, by coupling to optical phonons or by magnetic couplings between the elementary units.\n\nThe outline of this paper is as follows. In Section II we will lay out the pseudo-spin-1/2 construction. In Sec-\n\nFIG. 2: Left: the physical spin lattice for the model (8). The dash circles are honeycomb lattice sites, each of which is actually a cluster of four physical spins. The dash straight lines are honeycomb lattice bonds, with their type x, y, z labeled. The interaction between clusters connected by x, y, z bonds are the Jx,y,z terms in (8) or (9) respectively. Note this is not the 3-12 lattice used in Ref.9,10. Right: enlarged picture of the clusters with the four physical spins labeled as 1, . . . , 4. Thick solid bonds within one cluster have large antiferromagnetic Heisenberg coupling Jcluster.\n\ntion III the Kitaev model will be explicitly constructed using this formalism, and some properties of this construction will be discussed. In Section IV we will discuss two possible ways to generate the high order spin interactions involved in the construction of Section III by perturbative expansions. Conclusions and outlook will be summarized in Section V.\n\n# II. FORMULATION OF THE PSEUDO-SPIN-1/2 FROM FOUR-SPIN CLUSTER.\n\nIn this Section we will construct the pseudo-spin-1/2 from a cluster of four physical spins, and map the physical spin operators to pseudo-spin operators. The mapping constructed here will be used in later Sections to construct the effective Kitaev model. In this Section we will work entirely within the four-spin cluster, all unspecified physical spin subscripts take values 1, . . . , 4.\n\nConsider a cluster of four spin-1/2 moments(called physical spins hereafter), labeled by S1,...,4, antiferromagnetically coupled to each other (see the right bottom part of FIG. 2). The Hamiltonian within the cluster(up to a constant) is simply the Heisenberg antiferromagnetic(AFM) interactions,\n\n$$H_{\\rm cluster}=\\left(J_{\\rm cluster}/2\\right)\\left({\\bf S}_{1}+{\\bf S}_{2}+{\\bf S}_{3}+{\\bf S}_{4}\\right)^{2}\\tag{2}$$\n\nThe energy levels should be apparent from this form: one group of spin-2 quintets with energy 3Jcluster, three groups of spin-1 triplets with energy Jcluster, and two spin singlets with energy zero. We will consider large positive", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "# Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin Rotation Invariant System\n\nFa Wang1\n\n1Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamiltonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low energy effective Hamiltonian is exact, without truncation errors in traditional perturbation series expansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and contains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model is represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet sector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin correlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this model. This exact construction is quite general and can be used to make other interesting spin-1/2 models from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the high order spin interactions from more natural couplings, which involves perturbative expansions thus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\n## Contents\n\n| I. Introduction. | 1 |\n| --- | --- |\n| II. Formulation of the Pseudo-spin-1/2 from | |\n| Four-spin Cluster. | 2 |\n| III. Realization of the Kitaev Model. | 3 |\n| IV. Generate the High Order Physical Spin | |\n| Interactions by Perturbative Expansion. | 5 |\n| A. Generate the High Order Terms by Coupling | |\n| to Optical Phonon. | 5 |\n| B. Generate the High Order Terms by Magnetic | |\n| Interactions between Clusters. | 7 |\n| V. Conclusions. | 8 |\n| Acknowledgments | 8 |\n| A. Coupling between Distortions of a | |\n| Tetrahedron and the Pseudo-spins | 8 |\n| B. Derivation of the Terms Generated by | |\n| Second Order Perturbation of Inter-cluster | |\n| Magnetic Interactions | 9 |\n| References | 10 |\n\n#### I. INTRODUCTION.\n\nKitaev's exactly solvable spin-1/2 honeycomb lattice model1 (noted as the Kitaev model hereafter) has inspired great interest since its debut, due to its exact solvability, fractionalized excitations, and the potential to realize non-Abelian anyons. The model simply reads\n\n$$H_{\\rm Kitaev}=-\\sum_{x-{\\rm links}\\ }J_{x}\\tau_{j}^{x}\\tau_{k}^{x}-\\sum_{y-{\\rm links}\\ }J_{y}\\tau_{j}^{y}\\tau_{k}^{y}$$\n \n$$-\\sum_{z-{\\rm links}\\ }J_{z}\\tau_{j}^{z}\\tau_{k}^{z}$$\n\nwhere τ x,y,z are Pauli matrices, and x, y, z-links are defined in FIG. 1. It was shown by Kitaev1 that this spin-1/2 model can be mapped to a model with one Majorana fermion per site coupled to Ising gauge fields on the links. And as the Ising gauge flux has no fluctuation, the model can be regarded as, under each gauge flux configuration, a free Majorana fermion problem. The ground state is achieved in the sector of zero gauge flux through each hexagon. The Majorana fermions in this sector have Dirac-like gapless dispersion resembling that of graphene, as long as |Jx|, |Jy|, and |Jz| satisfy the triangular relation, sum of any two of them is greater than the third one1 . It was further proposed by Kitaev1 that opening of fermion gap by magnetic field can give the Ising vortices non-Abelian anyonic statistics, because the Ising vortex will carry a zero-energy Majorana mode, although magnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand the properties of the Kitaev model. For example, several groups have pointed out that the fractionalized Majorana fermion excitations may be understood from the more familiar Jordan-Wigner transformation of 1D spin systems2,3. The analogy between the non-Abelian Ising vortices and vortices in p + ip superconductors has been raised in serveral works4–7. Exact diagonalization has been used to study the Kitaev model on small lattices8 . And perturbative expansion methods have been developed to study the gapped phases of the Kitaev-type models9 .\n\nMany generalizations of the Kitaev model have been", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "chirality interactions in cold atom optical lattices has been proposed38 .\n\nOur model (8) is achieved at second order of the perturbation series. Higher order terms become truncation errors but may be controlled by small parameters λx,y,z/Jcluster ∼ p |Jx,y,z|/Jcluster.\n\n### V. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model1 as the exact low energy effective Hamiltonian of a spin-1/2 model [equations (8) or (9)] with spin-rotation and time reversal symmetry. The spin in Kitaev model is represented as the pseudo-spin in the two-fold degenerate spin singlet subspace of a cluster of four antiferromagnetically coupled spin-1/2 moments. The physical spin model is a honeycomb lattice of such four-spin clusters, with certain inter-cluster interactions. The machinery for the exact mapping to pseudo-spin Hamiltonian was developed (see e.g. TABLE I), which is quite general and can be used to construct other interesting (exactly solvable) spin-1/2 models from spin rotation invariant systems.\n\nIn this construction the pseudo-spin correlations in the Kitaev model will be mapped to dimer or spin-chirality correlations in the physical spin system. The corresponding picture of the fractionalized Majorana fermion excitations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical spin interactions, which is undesirable for practical implementation. We described two possible approaches to reduce this problem: generating the high order spin interactions by perturbative expansion of the coupling to optical phonon, or the magnetic coupling between clusters. This perturbative construction will introduce truncation error of perturbation series, which may be controlled by small expansion parameters. Whether these constructions can be experimentally engineered is however beyond the scope of this study. It is conceivable that other perturbative expansion can also generate these high order spin interactions, but this possibility will be left for future works.\n\n#### Acknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek Kim and Arun Paramekanti for inspiring discussions, and Todadri Senthil for critical comments. The author is supported by the MIT Pappalardo Fellowship in Physics.\n\n# Appendix A: Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref.35 the couplings of all tetrahedron distortion modes to the spin system. And convert them to pseudo-spin notation in the physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron, the spin Hamiltonian becomes\n\n$$H_{\\rm cluster},\\ {\\rm SL}=(J_{\\rm cluster}/2)(\\sum_{\\ell}{\\bf S}_{\\ell})^{2}+J^{\\prime}\\sum_{\\ell Jz (16/9)[Sj2 · (Sj3 × Sj4)][Sk2 · (Sk3 × Sk4)] − X x−links Jx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) − X y−links Jy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)] (8)\n\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\n\nH = X j (Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4) 2 − X x−links Jx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) − X y−links Jy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)] − X z−links Jz (−4/3)(2Sj3 · Sj4 + 1/2)[Sj1 · (Sj3 − Sj4)](2Sk3 · Sk4 + 1/2)[Sk1 · (Sk3 − Sk4)] (9)\n\nThis model, in terms of physical spins S, has full spin rotation symmetry and time-reversal symmetry. A pseudo-magnetic field term P j ~h · ~τj term can also be included under this mapping, however the resulting Kitaev model with magnetic field is not exactly solvable. It is quite curious that such a formidably looking Hamiltonian (8), with biquadratic and six-spin(or eight-spin) terms, has an exactly solvable low energy sector.\n\nP We emphasize that because the first intra-cluster term cluster Hcluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this model without truncation errors of perturbation theories, namely no (|Jx,y,z|/Jcluster) 2 or higher order terms will be generated under the projection to low energy cluster singlet space. This is unlike, for example, the t/U expansion of the half-filled Hubbard model22,23, where at lowest t 2/U order the effective Hamiltonian is the Heisenberg model, but higher order terms (t 4/U3 etc.) should in principle still be included in the low energy effective Hamiltonian for any finite t/U. Similar comparison can be made to the perturbative expansion studies of the Kitaev-type models by Vidal et al.9 , where the low energy effective Hamiltonians were obtained in certian anisotropic (strong bond/triangle) limits. Although the spirit of this work, namely projection to low energy sector, is the same as all previous perturbative approaches to effective Hamiltonians.\n\nNote that the original Kitaev model (1) has threefold rotation symmetry around a honeycomb lattice site, combined with a three-fold rotation in pseudo-spin space (cyclic permutation of τ x , τ y , τ z ). This is not apparent in our model (8) in terms of physical spins, under the current representation of τ x,y,z. We can remedy this by using a different set of pseudo-spin Pauli matrices τ ′x,y,z in (7),\n\n$$\\begin{array}{l}{{\\tau^{\\prime x}=\\sqrt{1/3}\\tau^{z}+\\sqrt{2/3}\\tau^{x},}}\\\\ {{\\tau^{\\prime y}=\\sqrt{1/3}\\tau^{z}-\\sqrt{1/6}\\tau^{x}+\\sqrt{1/2}\\tau^{y},}}\\\\ {{\\tau^{\\prime z}=\\sqrt{1/3}\\tau^{z}-\\sqrt{1/6}\\tau^{x}-\\sqrt{1/2}\\tau^{y}}}\\end{array}$$\n\nWith proper representation choice, they have a symmetric form in terms of physical spins,\n\n$$\\tau^{\\prime x}=-(4/3){\\bf S}_{2}\\cdot({\\bf S}_{3}\\times{\\bf S}_{4})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{2}+1/2)$$\n \n$$\\tau^{\\prime y}=-(4/3){\\bf S}_{3}\\cdot({\\bf S}_{4}\\times{\\bf S}_{2})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{3}+1/2)$$\n \n$$\\tau^{\\prime z}=-(4/3){\\bf S}_{4}\\cdot({\\bf S}_{2}\\times{\\bf S}_{3})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{4}+1/2)\\tag{10}$$\n\nSo the symmetry mentioned above can be realized by a three-fold rotation of the honeycomb lattice, with a cyclic permutation of S2, S3 and S4 in each cluster. This is in fact the three-fold rotation symmetry of the physical spin lattice illustrated in FIG. 2. However this more symmetric representation will not be used in later part of this paper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "Another note to take is that it is not necessary to have such a highly symmetric cluster Hamiltonian (2). The mappings to pseudo-spin-1/2 should work as long as the ground states of the cluster Hamiltonian are the two-fold degenerate singlets. One generalization, which conforms the symmetry of the lattice in FIG. 2, is to have\n\n$$H_{\\rm cluster}=(J_{\\rm cluster}/2)(r\\cdot{\\bf S}_{1}+{\\bf S}_{2}+{\\bf S}_{3}+{\\bf S}_{4})^{2}\\tag{11}$$\n\nwith Jcluster > 0 and 0 < r < 3. However this is not convenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its low energy states are entirely in the space that each of the clusters is a physical spin singlet (called cluster singlet subspace hereafter). Therefore physical spin correlations are strictly confined within each cluster. The excitations carrying physical spin are gapped, and their dynamics are 'trivial' in the sense that they do not move from one cluster to another. But there are non-trivial low energy physical spin singlet excitations, described by the pseudospins defined above. The correlations of the pseudo-spins can be mapped to correlations of their corresponding physical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation becomes chirality-chirality correlation, or four-dimer correlation. It will be interesting to see the corresponding picture of the exotic excitations in the Kitaev model, e.g. the Majorana fermion and the Ising vortex. However this will be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liquid with spin gap (∼ Jcluster), an extremely short-range resonating valence bond(RVB) state, from a model with spin rotation and time reversal symmetry. However it should be noted that the unit cell of this model contains an even number of spin-1/2 moments (so does the original Kitaev model) which does not satisfy the stringent definition of spin liquid requiring odd number of electrons per unit cell. Several parent Hamiltonians of spin liquids have already been constructed. See for example, Ref.24–27 .\n\n# IV. GENERATE THE HIGH ORDER PHYSICAL SPIN INTERACTIONS BY PERTURBATIVE EXPANSION.\n\nOne major drawback of the present construction is that it involves high order interactions of physical spins[see (8) and (9)], thus is 'unnatural'. In this Section we will make compromises between exact solvability and naturalness. We consider two clusters j and k and try to generate the Jx,y,z interactions in (7) from perturbation series expansion of more natural(lower order) physical spin interactions. Two different approaches for this purpose will be laid out in the following two Subsections. In Subsection IV A we will consider the two clusters as two tetrahedra, and couple the spin system to certain optical phonons, further coupling between the phonon modes\n\nFIG. 3: Illustration of the tetragonal to orthorhombic Q E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective view of the tetrahedron. 1, . . . , 4 label the spins. Arrows indicate the motion of each spin under the distortion mode. (b) Top view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the desired high order spin interactions. In Subsection IV B we will introduce certain magnetic, e.g. Heisenberg-type, interactions between physical spins of different clusters, at lowest order(second order) of perturbation theory the desired high order spin interactions can be achieved. These approaches involve truncation errors in the perturbation series, thus the mapping to low energy effect Hamiltonian will no longer be exact. However the error introduced may be controlled by small expansion parameters. In this Section we denote the physical spins on cluster j(k) as j1, . . . , j4 (k1, . . . , k4), and denote pseudo-spins on cluster j(k) as ~τj (~τk).\n\n# A. Generate the High Order Terms by Coupling to Optical Phonon.\n\nIn this Subsection we regard each four-spin cluster as a tetrahedron, and consider possible optical phonon modes(distortions) and their couplings to the spin system. The basic idea is that the intra-cluster Heisenberg coupling Jcluster can linearly depend on the distance between physical spins. Therefore certain distortions of the tetrahedron couple to certain linear combinations of Sℓ · Sm. Integrating out phonon modes will then generate high order spin interactions. This idea has been extensively studied and applied to several magnetic materials28–34. More details can be found in a recent review by Tchernyshyov and Chern35. And we will frequently use their notations. In this Subsection we will use the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins 1, . . . , 4. The general distortions of this tetrahedron can be classified by their symmetry (see for example Ref.35). Only two tetragonal to orthorhombic distortion modes, QE 1 and QE 2 (illustrated in FIG. 3), couple to the pseudospins defined in Section II. A complete analysis of all modes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "modes of neighboring tetrahedra. And these coupling constants λx,y,z need to be tuned to produce Jx,y,z of the Kitaev model. This is still not easy to implement in solid state systems. At lowest non-trivial order of perturbative expansion, we do get our model (9). Higher order terms in expansion destroy the exact solvability, but may be controlled by the small parameters λx,y,z/k.\n\n# B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\nIn this Subsection we consider more conventional perturbations, magnetic interactions between the clusters, e.g. the Heisenberg coupling Sj · Sk with j and k belong to different tetrahedra. This has the advantage over the previous phonon approach for not introducing additional degrees of freedom. But it also has a significant disadvantage: the perturbation does not commute with the cluster Heisenberg Hamiltonian (2), so the cluster singlet subspace will be mixed with other total spin states. In this Subsection we will use the spin-chirality representation (6) for τ z .\n\nAgain consider two clusters j and k. For simplicity of notations define a projection operator Pjk = PjPk, where Pj,k is projection into the singlet subspace of cluster j and k, respectively, Pj,k = P s=±1 |τ z j,k = sihτ z j,k = s|. For a given perturbation λ Hperturbation with small parameter λ (in factor λ/Jcluster is the expansion parameter), lowest two orders of the perturbation series are\n\n$$\\lambda\\,{\\cal P}_{jk}H_{\\rm perturbation}{\\cal P}_{jk}+\\lambda^{2}\\,{\\cal P}_{jk}H_{\\rm perturbation}(1-{\\cal P}_{jk})$$\n \n$$\\times[0-H_{\\rm cluster}\\ j-H_{\\rm cluster}\\ k]^{-1}(1-{\\cal P}_{jk})H_{\\rm perturbation}{\\cal P}_{jk}\\tag{15}$$\n\nWith proper choice of λ and Hperturbation we can generate\n\nthe desired Jx,y,z terms in (8) from the first and second order of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z ℓ converts the cluster spin singlet states |τ z = ±1i into spin-1 states of the cluster. This can be checked by explicit calculations and will not be proved here. For all the perturbations to be considered later, the above mentioned fact can be exploited to replace the factor [0 − Hcluster j − Hcluster k] −1 in the second order perturbation to a c-number (−2Jcluster) −1 .\n\nThe detailed calculations are given in Appendix B. We will only list the results here.\n\nThe perturbation on x-links is given by\n\n$$\\begin{array}{c}{{\\lambda_{x}\\,H_{\\mathrm{perturbation,~}x}=\\lambda_{x}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\mathrm{sgn}(J_{x})\\cdot(\\mathbf{S}_{j2}\\cdot\\mathbf{S}_{k2})]}}\\\\ {{-\\,J_{x}(\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{j2}+\\mathbf{S}_{k1}\\cdot\\mathbf{S}_{k2}).}}\\end{array}$$\n\nwhere λx = p 12|Jx| · Jcluster, sgn(Jx) = ±1 is the sign of Jx.\n\nThe perturbation on y-links is\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster. The perturbation on z-links is\n\n$\\lambda_{z}\\,H_{\\rm perturbation}$, $z$ \n \n$=\\lambda_{z}[{\\bf S}_{j2}\\cdot({\\bf S}_{k3}\\times{\\bf S}_{k4})+{\\rm sgn}(J_{z})\\cdot{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})]$ \n \n$-|J_{z}|({\\bf S}_{j3}\\cdot{\\bf S}_{j4}+{\\bf S}_{k3}\\cdot{\\bf S}_{k4})$. \n \n\nwith λz = 4p |Jz| · Jcluster. The entire Hamiltonian Hmagnetic reads explicitly as,\n\nHmagnetic = X cluster j (Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4) 2 + X x−links p 12|Jx| · Jcluster- Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2) − Jx(Sj1 · Sj2 + Sk1 · Sk2) + X y−links q 4|Jy| · Jcluster- Sj1 · (Sk3 − Sk4) + sgn(Jy)Sk1 · (Sj3 − Sj4) − |Jy|(Sj3 · Sj4 + Sk3 · Sk4) + X z−links 4 p |Jz| · Jcluster- Sj2 · (Sk3 × Sk4) + sgn(Jz)Sk2 · (Sj3 × Sj4) − |Jz|(Sj3 · Sj4 + Sk3 · Sk4) . (16)\n\nIn (16), we have been able to reduce the four spin interactions in (8) to inter-cluster Heisenberg interactions, and the six-spin interactions in (8) to inter-cluster spinchirality interactions. The inter-cluster Heisenberg couplings in Hperturbation x,y may be easier to arrange. The inter-cluster spin-chirality coupling in Hperturbation z explicitly breaks time reversal symmetry and is probably harder to implement in solid state systems. However spin-chirality order may have important consequences in frustrated magnets36,37, and a realization of spin", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "Jcluster limit. So only the singlet sector remains in low energy.\n\nThe singlet sector is then treated as a pseudo-spin-1/2 Hilbert space. From now on we denote the pseudo-spin-1/2 operators as T = (1/2)~τ, with ~τ the Pauli matrices. It is convenient to choose the following basis of the pseudo-spin\n\n$$\\tau^{z}=\\pm1\\rangle=\\frac{1}{\\sqrt{6}}\\Big{(}|\\uparrow\\downarrow\\uparrow\\uparrow\\rangle+\\omega^{-\\tau^{z}}|\\uparrow\\downarrow\\uparrow\\rangle+\\omega^{\\tau^{z}}|\\uparrow\\uparrow\\uparrow\\rangle$$\n \n$$+|\\uparrow\\uparrow\\downarrow\\downarrow\\rangle+\\omega^{-\\tau^{z}}|\\uparrow\\downarrow\\uparrow\\downarrow\\rangle+\\omega^{\\tau^{z}}|\\uparrow\\downarrow\\uparrow\\uparrow\\rangle\\Big{)}\\tag{3}$$\n\nwhere ω = e 2πi/3 is the complex cubic root of unity, | ↓↓↑↑i and other states on the right-hand-side(RHS) are basis states of the four-spin system, in terms of S z quantum numbers of physical spins 1, . . . , 4 in sequential order. This pseudo-spin representation has been used by Harris et al. to study magnetic ordering in pyrochlore antiferromagnets21 .\n\nWe now consider the effect of Heisenberg-type interactions Sj · Sk inside the physical singlet sector. Note that since any Sj · Sk within the cluster commutes with the cluster Hamiltonian Hcluster (2), their action do not mix physical spin singlet states with states of other total physical spin. This property is also true for the spinchirality operator used later. So the pseudo-spin Hamiltonian constructed below will be exact low energy Hamiltonian, without truncation errors in typical perturbation series expansions.\n\nIt is simpler to consider the permutation operators Pjk ≡ 2Sj · Sk + 1/2, which just exchange the states of the two physical spin-1/2 moments j and k (j 6= k). As an example we consider the action of P34,\n\n$$P_{34}|\\tau^{z}=-1\\rangle=\\frac{1}{\\sqrt{6}}\\Big{(}|\\downarrow\\uparrow\\uparrow\\rangle+\\omega|\\uparrow\\uparrow\\downarrow\\rangle+\\omega^{2}|\\uparrow\\uparrow\\downarrow\\uparrow\\rangle$$\n \n$$+|\\uparrow\\uparrow\\downarrow\\downarrow\\rangle+\\omega|\\uparrow\\downarrow\\uparrow\\rangle+\\omega^{2}|\\uparrow\\downarrow\\uparrow\\downarrow\\rangle\\Big{)}$$\n \n$$=|\\tau^{z}=+1\\rangle$$\n\nand similarly P34|τ z = −1i = |τ z = +1i. Therefore P34 is just τ x in the physical singlet sector. A complete list of all permutation operators is given in TABLE I. We can choose the following representation of τ x and τ y ,\n\n$$\\begin{split}\\tau^{x}&=P_{12}=2\\mathbf{S}_{1}\\cdot\\mathbf{S}_{2}+1/2\\\\ \\tau^{y}&=(P_{13}-P_{14})/\\sqrt{3}=(2/\\sqrt{3})\\mathbf{S}_{1}\\cdot(\\mathbf{S}_{3}-\\mathbf{S}_{4})\\end{split}\\tag{4}$$\n\nMany other representations are possible as well, because several physical spin interactions may correspond to the same pseudo-spin interaction in the physical singlet sector, and we will take advantage of this later.\n\nFor τ z we can use τ z = −iτx τ y , where i is the imaginary unit,\n\n$$\\tau^{z}=-i(2/\\sqrt{3})(2{\\bf S}_{1}\\cdot{\\bf S}_{2}+1/2){\\bf S}_{1}\\cdot({\\bf S}_{3}-{\\bf S}_{4})\\quad(5)$$\n\n| physical spin | pseudo-spin | | | |\n| --- | --- | --- | --- | --- |\n| P12, and P34 τ | x | | | |\n| P13, and P24 | x + (√ −(1/2)τ | | 3/2)τ | y |\n| P14, and P23 | x − −(1/2)τ | √ ( | 3/2)τ | y |\n| −χ234, χ341, −χ412, and χ123 ( | √ z 3/4)τ | | | |\n\nTABLE I: Correspondence between physical spin operators and pseudo-spin operators in the physical spin singlet sector of the four antiferromagnetically coupled physical spins. Pjk = 2Sj ·Sk + 1/2 are permutation operators, χjkℓ = Sj ·(Sk ×Sℓ) are spin-chirality operators. Note that several physical spin operators may correspond to the same pseudo-spin operator.\n\nHowever there is another simpler representation of τ z , by the spin-chirality operator χjkℓ = Sj · (Sk × Sℓ). Explicit calculation shows that the effect of S2 ·(S3 × S4) is −( √ 3/4)τ z in the physical singlet sector. This can also be proved by using the commutation relation [S2 ·S3, S2 · S4] = iS2 · (S3 × S4). A complete list of all chirality operators is given in TABLE I. Therefore we can choose another representation of τ z ,\n\n$$\\tau^{z}=-\\chi_{234}/(\\sqrt{3}/4)=-(4/\\sqrt{3}){\\bf S}_{2}\\cdot({\\bf S}_{3}\\times{\\bf S}_{4})\\qquad(6)$$\n\nThe above representations of τ x,y,z are all invariant under global spin rotation of the physical spins.\n\nWith the machinery of equations (4), (5), and (6), it will be straightforward to construct various pseudo-spin-1/2 Hamiltonians on various lattices, of the Kitaev variety and beyond, as the exact low energy effective Hamiltonian of certain spin-1/2 models with spin-rotation symmetry. In these constructions a pseudo-spin lattice site actually represents a cluster of four spin-1/2 moments.\n\n#### III. REALIZATION OF THE KITAEV MODEL.\n\nIn this Section we will use directly the results of the previous Section to write down a Hamiltonian whose low energy sector is described by the Kitaev model. The Hamiltonian will be constructed on the physical spin lattice illustrated in FIG. 2. In this Section we will use j, k to label four-spin clusters (pseudo-spin-1/2 sites), the physical spins in cluster j are labeled as Sj1, . . . , Sj4.\n\nApply the mappings developed in Section II, we have the desired Hamiltonian in short notation,\n\n$$H=\\sum_{\\begin{subarray}{c}\\text{cluster}\\\\ \\text{cluster}\\end{subarray}}H_{\\text{cluster}}-\\sum_{x-\\text{links}}J_{x}\\tau_{j}^{x}\\tau_{k}^{x}\\tag{7}$$\n \n$$-\\sum_{\\begin{subarray}{c}y-\\text{links}\\end{subarray}}J_{y}\\tau_{j}^{y}\\tau_{k}^{y}-\\sum_{z-\\text{links}}J_{z}\\tau_{j}^{z}\\tau_{k}^{z}$$\n\nwhere j, k label the honeycomb lattice sites thus the fourspin clusters, Hcluster is given by (2), τ x,y,z should be replaced by the corresponding physical spin operators in (4) and (5) or (6), or some other equivalent representations of personal preference.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - }, - { - "text": "# Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λ Hperturbation = λ[Sj1 · Sk1 + r(Sj2 · Sk2)], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of Hperturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k. Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 − Pjk)[0 − Hcluster j − Hcluster k] −1 (1 − Pjk) can be replaced by a c-number (−2Jcluster) −1 . Therefore the perturbation up to second order is\n\n$$-\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\,{\\mathcal{P}}_{j k}(H_{\\mathrm{perturbation}})^{2}{\\mathcal{P}}_{j k}$$\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes (a, b = x, y, z),\n\n$$\\begin{array}{c}{{-\\,\\frac{\\lambda^{2}}{2J_{\\mathrm{cluster}}}\\sum_{a,b}\\left[\\mathcal{P}_{j}S_{j1}^{a}S_{j1}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k1}^{b}\\mathcal{P}_{k}\\right]}}\\\\ {{\\quad+2r\\,\\mathcal{P}_{j}S_{j1}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k1}^{a}S_{k2}^{b}\\mathcal{P}_{k}}}\\\\ {{\\quad+r^{2}\\,\\mathcal{P}_{j}S_{j2}^{a}S_{j2}^{b}\\mathcal{P}_{j}\\cdot\\mathcal{P}_{k}S_{k2}^{a}S_{k2}^{b}\\mathcal{P}_{k}\\right]}}\\end{array}$$\n\nThen use the fact that PjS a jℓS b jmPj = δab(1/3)Pj(Sjℓ · Sjm)Pj by spin rotation symmetry, the perturbation becomes\n\n$$-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+2r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2})({\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}$$\n \n$$=-\\frac{\\lambda^{2}}{6J_{\\rm cluster}}\\Big{[}\\frac{9+9r^{2}}{16}+(r/2)\\tau_{j}^{x}\\tau_{k}^{x}-r/2$$\n \n$$-r\\,{\\cal P}_{jk}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2}){\\cal P}_{jk}\\Big{]}.$$\n\nSo we can choose −(r λ2 )/(12Jcluster) = −Jx, and include the last intra-cluster Sj1 ·Sj2 + Sk1 ·Sk2 term in the first order perturbation.\n\nThe perturbation on x-links is then (not unique),\n\n$\\lambda_{x}\\,H_{\\rm perturbation}$, $x=\\lambda_{x}[{\\bf S}_{j1}\\cdot{\\bf S}_{k1}+{\\rm sgn}(J_{x})\\cdot({\\bf S}_{j2}\\cdot{\\bf S}_{k2})]$ \n \n$-J_{x}({\\bf S}_{j1}\\cdot{\\bf S}_{j2}+{\\bf S}_{k1}\\cdot{\\bf S}_{k2})$\n\nwith λx = p 12|Jx| · Jcluster, and r = sgn(Jx) is the sign of Jx. The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on ylinks, λ Hperturbation = λ[Sj1 ·(Sk3 − Sk4) + r Sk1 ·(Sj3 − Sj4)]. Following similar procedures we get the second order perturbation from this term\n\n− λ 2 6Jcluster h 9 + 9r 2 8 + 2r Pjk[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki = − λ 2 6Jcluster h 9 + 9r 2 8 + 2r (3/4)τ y j τ y k − (3/2)Pjk(Sk3 · Sk4 + r 2 Sj3 · Sj4)Pjki\n\nSo we can choose −(r λ2 )/(4Jcluster) = −Jy, and include the last intra-cluster Sk3 · Sk4 + r 2 Sj3 · Sj4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y-links (not unique),\n\n$$\\begin{array}{r}{\\lambda_{y}\\,H_{\\mathrm{perturbation,}\\,y}}\\\\ {=\\lambda_{y}[\\mathbf{S}_{j1}\\cdot\\mathbf{S}_{k1}+\\operatorname{sgn}(J_{y})\\cdot(\\mathbf{S}_{j3}-\\mathbf{S}_{j4})\\cdot(\\mathbf{S}_{k3}-\\mathbf{S}_{k4})]}\\\\ {\\quad-|J_{y}|(\\mathbf{S}_{j3}\\cdot\\mathbf{S}_{j4}+\\mathbf{S}_{k3}\\cdot\\mathbf{S}_{k4})}\\end{array}$$\n\nwith λy = p 4|Jy| · Jcluster, r = sgn(Jy) is the sign of Jy. The τ z τ z term is again more difficult to get. We use\n\nj k the representation of τ z by spin-chirality (6). And consider the following perturbation\n\n$$H_{\\mathrm{perturbation}}={\\bf S}_{j2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})+r\\,{\\bf S}_{k2}\\cdot({\\bf S}_{j3}\\times{\\bf S}_{j4})$$\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\n$$\\begin{array}{l}{{\\lambda^{2}\\,{\\mathcal{P}}_{j k}{\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4})(1-{\\mathcal{P}}_{j k})}}\\\\ {{\\ \\times\\left[0-H_{\\mathrm{cluster}\\ j}-H_{\\mathrm{cluster}\\ k}\\right]^{-1}}}\\\\ {{\\ \\times\\left(1-{\\mathcal{P}}_{j k}\\right){\\mathbf{S}}_{j2}\\cdot({\\mathbf{S}}_{k3}\\times{\\mathbf{S}}_{k4}){\\mathcal{P}}_{j k}}}\\end{array}$$\n\nFor the cluster j part we can use the same arguments as before, the Hcluster j can be replaced by a c-number Jcluster. For the cluster k part, consider the fact that Sk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4], the action of Sk3 ×Sk4 on physical singlet states of k will also only produce spin-1 state. So we can replace the Hcluster k in the denominator by a c-number Jcluster as well. Use spin rotation symmetry to separate the j and k parts, this term simplifies to\n\n− λ 2 6Jcluster PjSj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk. Use (S) 2 = 3/4 and (Sk3 × Sk4) · (Sk3 × Sk4) = X a,b (S a k3S b k4S a k3S b k4 − S a k3S b k4S b k3S a k4 ) = (Sk3 · Sk3)(Sk4 · Sk4) − X a,b S a k3S b k3 [δab/2 − S a k4S b k4 ] = 9/16 + (Sk3 · Sk4)(Sk3 · Sk4) − (3/8)", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 10: (colors online) Equilibrium probability distribution of the energy for the thickness n = 8 for some temperatures around TN (8), (a), and TC(8), (b), respectively.\n\nopposite magnetization. We can thus confidently assert that, regardless of the underlying lattice structure, by decreasing the number of the out-of-plane interactions, for thicknesses close to the helical bulk pitch, the block\n\n- 1 Frustrated spin Systems, edited by H. T. Diep (World Scientific, 2004).\n- 2 H. Kawamura, J. Phys.: Cond. Matt. 10, 4707 (1998).\n- 3 T. Kimura et al., Nature (London) 426, 55 (2003).\n- 4 F. Cinti et al., Phys. Rev. Lett. 100, 057203 (2008).\n- 5 J.H. Park, S. Onoda, N. Nagaosa, and J. H. Han, Phys. Rev. Lett. 101, 167202 (2008), and references therein.\n- 6 S. W. Cheong and M. Mostovoy, Nature Materials (London) 6, 13 (2007).\n- 7 Minhyea Lee, W. Kang, Y. Onose, Y. Tokura, and N. P. Ong, Phys. Rev. Lett. 102, 186601 (2009)\n- 8 P. Pedrazzini et al., Phys. Rev. Lett. 98, 047204 (2007).\n- 9 H. Kawamura and M. S. Li, Phys. Rev. Lett. 87, 187204 (2001).\n- 10 P. J. Jensen, and A. R. Mackintosh, Rere Earth Magnetism (Structure and Excitations), Clarendon Press, Oxford (1991).\n- 11 S. Konings, C. Schuessler-Langeheine, H. Ott, E. Weschke, E. Schierle, J. B. Goedkoop, arXiv 0707.2765v2\n- 12 P.J. Jensen, and K.H. Bennemann, Surface Science Reports 61, 129 (2006).\n- 13 E. Weschke, et al., Phys. Rev. Lett. 93, 157204 (2004).\n- 14 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 78, 020402(R) (2008).\n- 15 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 79,\n\nphase is replaced by a quasi-FM configuration in the intermediate temperature range TN (n) < T < TC(n) .\n\nAs a final issue we address the problem of the order of the transitions observed at TN (n) and TC(n), respectively. In particular, we focus our attention to the thickness ranges where the chiral order parameter is relevant, i.e. regions i) and ii) as defined at the beginning of this Section. In Fig. 10 the equilibrium probability distribution of the energy for temperatures around TN (8) (Fig. 10a) and TC(8) (Fig. 10b) is plotted: for both temperatures, no double peak structure is observed, so that we have no direct indication for a first order transition even if, according to precedent studies of Loison and Diep17,18, the presence of a first-order transition at TN (n), cannot be completely excluded, as it could reveal itself only when the lateral dimension L are much larger than the largest correlation length. The same conclusion about the order of transition is reached for any other investigated film thickness, as the energy probability distribution shape does not qualitatively change. This findings agree with the results we got in previous MC simulations discussed in Ref. 15, so that we may conclude that the order of the observed transitions is not affected by the range of interactions.\n\n134420 (2009).\n\n- 16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. D'Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, and J. Jensen, Physica B 159, 93 (1989).\n- 17 H. T. Diep, Phys. Rev. B 39, 397 (1989).\n- 18 D. Loison, Physica A 275, 207 (2000).\n- 19 N. Metropolis, et al., J. Chem. Phys. 21, 1087 (1953).\n- 20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58, 2394 (1987).\n- 21 D. P. Landau, and K. Binder, A Guide to Monte Carlo Simulation in Statistical Physics, Cambridge University Press, Cambridge (2000).\n- 22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Methods in Statistical Physics, Clarendon Press, Oxford (1999).\n- 23 B. Efron, The Annals of Statistics 7, 1 (1979).\n- 24 P. M. Chaikin, T. C. Lubensky Principles of condensed matter physics, Cambridge University Press, New York (1995).\n- 25 K. Binder, Z. Phys. B 43, 119 (1981). K. Binder, Phys. Rev. Lett. 47, 693 (1981).\n- 26 Such observable has been obtained from instantaneous evaluation of the structure factor during the stochastic process, and subsequently statistically analyzed as all the other macroscopic quantities.", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "How can fractionalised Majorana fermion excitations be understood?", - "target_page": 1, - "target_passage": "from the more familiar Jordan-Wigner transformation of 1D spin systems", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "FIG. 4: Top - a conductivity plot for the BCSI case in the presence of a lattice. The parameters are ∆ = 30 meV , Γ = 3.5 meV . Bottom – the behavior of Kubo sums. Note that (a) the spectral weight in the NS is always greater in the SCS, (b) the spectral weight decreases with Γ, and (c) the difference between NS and SCS decreases as Γ increases.\n\nlittle variation of ∆W(ωc) at above 0.1 − 0.3eV what implies that for larger ωc, ∆W(ωc) ≈ ∆WK >> ∆f(ωc).\n\nTo make this more quantitative, we compare in Fig. 6 ∆W(ωc) obtained for a constant DOS, when ∆W(ωc) = ∆f(ωc), and for the actual lattice dispersion, when ∆W(ωc) = ∆WK + ∆f(ωc). In the clean limit there is obviously little cutoff dependence beyond 0.1eV , i.e., ∆f(ωc) is truly small, and the difference between the two cases is just ∆WK. In the dirty limit, the situation is similar, but there is obviously more variation with ωc, and ∆f(ωc) becomes truly small only above 0.3eV . Note also that the position of the dip in ∆W(ωc) in the clean limit is at a larger ωc in the presence of the lattice than in a continuum.\n\n#### B. The Einstein boson model\n\nWe next consider the case of electrons interacting with a single boson mode which by itself is not affected by superconductivity. The primary candidate for such mode is an optical phonon. The imaginary part of the NS self energy has been discussed numerous times in the literature. We make one simplifying assumption – approximate the DOS by a constant in calculating fermionic self-energy. We will, however, keep the full lattice dispersion in the calculations of the optical integral. The advantage of this\n\nFIG. 5: The evolution of optical integral in NS(top) and SCS(bottom) for BCSI case. Plots are made for clean limit (solid lines, Γ = 3.5 meV ) and dirty limit (dashed lines, Γ = 150 meV ) for ∆ = 30 meV . Observe that (a) W(0) = 0 in the NS, but has a non-zero value in the SCS because of the δ-function (this value decreases in the dirty limit), and (b) the flat region in the SCS is due to the fact that σ ′ (ω) = 0 for Ω < 2∆. Also note that ∼ 90 − 95% of the spectral weight is recovered up to 1eV\n\napproximation is that the self-energy can be computed analytically. The full self-energy obtained with the lattice dispersion is more involved and can only be obtained numerically, but its structure is quite similar to the one obtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\n$$\\Sigma(i\\omega)=-\\frac{i}{2\\pi}\\lambda_{n}\\int d\\epsilon_{k}d(i\\Omega)\\chi(i\\Omega)G(\\epsilon_{k},i\\omega+i\\Omega)\\tag{13}$$\n\nwhere\n\n$$\\chi(i\\Omega)=\\frac{\\omega_{0}^{2}}{\\omega_{0}^{2}-(i\\Omega)^{2}}\\tag{14}$$\n\nand λn is a dimensionless electron-boson coupling. Integrating and transforming to real frequencies, we obtain\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,\\Theta(|\\omega|-\\omega_{o})$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{o}\\,log\\left|\\frac{\\omega+\\omega_{o}}{\\omega-\\omega_{o}}\\right|\\tag{15}$$\n\nIn the SCS, we obtain for ω < 0\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{\\pi}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "high-energy fermions and is an input for the low-energy theory. Below we follow Refs. 31,33 and assume that the momentum dependence of a collective boson is flat near (π, π). The self energy within such model has been worked out consistently in Ref. 31,33. In the normal state\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{sf}\\,log\\left(1+\\frac{\\omega^{2}}{\\omega_{sf}^{2}}\\right)$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\lambda_{n}\\omega_{sf}\\,arctan\\frac{\\omega}{\\omega_{sf}}\\tag{19}$$\n\nwhere λn is the spin-fermion coupling constant, and ωsf is a typical spin relaxation frequency of overdamped spin collective excitations with a propagator\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Omega}{\\omega_{s f}}}\\qquad\\qquad(20)$$\n\nwhere χQ is the uniform static susceptibility. If we use Ornstein-Zernike form of χ(q) and use either Eliashberg 45 or FLEX computational schemes48, we get rather similar behavior of Σ as a function of frequency and rather similar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in the fact that the coupling λ and the bosonic frequency ωsf are related: λ scales as ξ 2 , where ξ is the bosonic mass (the distance to a bosonic instability), and ωsf ∝ ξ −2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf does not depend on ξ and is the overall dimensional scale for boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This gap affects fermionic self-energy in two ways: directly, via the change of the dispersion of an intermediate boson in the exchange process involving a CB, and indirectly, via the change of the propagator of a CB. We remind ourselves that the dynamics of a CB comes from a particlehole bubble which is indeed affected by ∆.\n\nThe effect of a d−wave pairing gap on a CB has been discussed in a number of papers, most recently in31. In a SCS a gapless continuum described by Eq. (20) transforms into a gaped continuum, with a gap about 2∆ and a resonance at ω = ω0 < 2∆, where for a d−wave gap we define ∆ as a maximum of a d−wave gap.\n\nThe spin susceptibility near (π, π) in a superconductor can generally be written up as\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Pi(\\Omega)}{\\omega_{s f}}}\\qquad\\qquad(21)$$\n\nwhere Π is evaluated by adding up the bubbles made out of two normal and two anomalous Green's functions. Below 2∆, Π(Ω) is real (∼ Ω 2/∆ for small Ω), and the resonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At frequencies larger than 2∆, Π(Ω) has an imaginary part, and this gives rise to a gaped continuum in χ(Ω).\n\nThe imaginary part of the spin susceptibility around the resonance frequency ω0 is31\n\n$$\\chi^{\\prime\\prime}(q,\\Omega)=\\frac{\\pi Z_{o}\\omega_{0}}{2}\\delta(\\Omega-\\omega_{0})\\tag{22}$$\n\nwhere Zo ∼ 2 ωsfχ0/ ∂Π ∂ω |Ω=ω0 . The imaginary part of the spin susceptibility describing a gaped continuum exists for for Ω ≥ 2∆ and is\n\n$$\\chi^{^{\\prime\\prime}}(q,\\Omega)=I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{4\\Delta^{2}}{\\Omega}D(\\frac{4\\Delta^{2}}{\\Omega^{2}})+i\\Omega K_{2}(1-\\frac{4\\Delta^{2}}{\\Omega^{2}})\\right)}\\right]$$\n\n$$\\approx I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{\\pi\\Delta^{2}}{\\Omega}+i\\frac{\\pi}{2}\\Omega\\right)\\right]}\\ \\mathrm{for}\\ \\Omega>>2\\Delta\\ \\ \\ \\ (23)$$\n\nIn Eq. (23) D(x) = K1(x)−K2(x) x , and K1(x) and K2(x) are Elliptic integrals of first and second kind. The real part of χ is obtained by Kramers-Kr¨onig transform of the imaginary part.\n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the self-energy one obtains Σ′′(ω) in a SCS state as a sum of two terms31\n\nwhere,\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=\\Sigma^{\\prime\\prime}_{A}(\\omega)+\\Sigma^{\\prime\\prime}_{B}(\\omega)\\tag{24}$$\n\n$$\\Sigma_{A}^{\\prime\\prime}(\\omega)=\\frac{\\pi Z_{o}}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$\n\ncomes from the interaction with the resonance and\n\n$$\\Sigma_{B}^{\\prime\\prime}(\\omega)=-\\lambda_{n}\\int_{2\\Delta}^{|E|}dx\\,Re\\,\\frac{\\omega+x}{\\sqrt{(\\omega+x)^{2}-\\Delta^{2}}}\\,\\frac{\\frac{\\omega}{\\omega_{\\omega}}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)}{\\left[1-\\frac{4\\Delta^{2}}{\\omega_{\\omega}\\,I}D\\left(\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}+\\left[\\frac{x}{\\omega_{\\omega}\\,I}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}}\\tag{25}$$\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 21: Distribution functions n(ǫ) for CB model for λ = 1 and λ = 7 and a constant ωsf = 26 meV . We set ∆ = 30meV . For smaller λ (top), quasiparticles near the FS are well defined as indicated by the well pronounced jump in n(ǫ). For λ = 7, n(ǫ) is rather smooth implying that a coherence is almost lost. Some irregularities is the SCS distribution function are due to finite sampling in the frequency domain. The irregularities disappear when finer mesh for frequencies is chosen.\n\nshows up in the optical gap), where as in the BCSI case it would have always begun from 2∆. In Fig 18 we plot the Kubo sums WK vs coupling λ. We see that for all λ, WK in the NS stays larger than in the SCS. Fig 19 shows the cutoff dependence of the optical integrals W(ωc) for λ = 1 separately in the NS and the SCS. We again see that only about 73% of the Kubo sum is recovered up to the bandwidth of 1 eV indicating that there is a significant amount left to recover beyond this energy scale. Fig 20 shows ∆W for the two different couplings. We see that, for both λ's, there is only one zero-crossing for the ∆W curve, and ∆W is negative at larger frequencies. The only difference between the two plots is that for larger coupling the dip in ∆W gets 'shallower'. Observe also that the solid line in Fig. 20 is rather far away from the dashed line at ωc > 1meV , which indicates that, although ∆W(ωc) in this region has some dependence on ωc, still the largest part of ∆W(ωc) is ∆WK, while the contribution from ∆f(ωc) is smaller.\n\nFIG. 22: Top – conductivity at a larger value of ωsf λ (ωsf = 26 meV ,λ = 7) consistent with the one used in Ref.33). Bottom – ∆W with and without lattice. Observe that the frequency of zero crossing of ∆W enhances compared to the case of a smaller λωsf and becomes comparable to the bandwidth. At energies smaller than the bandwidth, ∆W > 0, as in the Norman- P´epin model.\n\nFIG. 23: Kinetic energy difference between the SCS and the NS, δKE We set λ to be either λ = 1 or λ = 10 and varied ωsf thus changing the overall prefactor in the self-energy. At weak coupling (λ = 1) the behavior is BCS-like – δKE is positive and increases with the overall factor in the self-energy. At strong coupling (λ = 7), δKE shows a reverse trend at larger ωsf .\n\nThe negative sign of ∆W(ωc) above a relatively small ωc ∼ 0.1 − 0.2eV implies that the 'compensating' effect from the fermionic self-energy on ∆W is not strong enough to overshadow the decrease of the optical integral in the SCS due to gap opening. In other words,the CB model displays the same behavior as BCSI, EB, and", - "page_start": 12, - "page_end": 12, - "source_file": "1001.0764.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆WK – the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ. For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW(ωc) to the increase of λ is merely the consequence of the fact that above we kept λωsf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ′ = λω, Σ\" = λ 2ω 2/(λωsf ), and both Σ′ and Σ′′ increase with λ if we keep λωsf constant. But at frequencies larger than ωsf , which we actually probe by ∆W(ωc), the selfenergy essentially depends only on λωsf , and increasing λ but keeping λωsf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λωsf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ ≫ 1 but also the normal state ΣNS(ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ωsf and re-did the calculation of the conductivities and optical integrals. The results for σ(ω) and ∆W(ωc) are presented in Fig. 22. We found the same behavior as before, i.e., ∆WK is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆W(ωc). In particular, for the same λ and ωsf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0.8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆W(ωc) changes sign can well be larger than the bandwidth of 1eV in which case ∆W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆WK becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆W(ωc) is predominantly governed by ∆f(ωc), i.e. by the cut-off term.50 The implication is that, to first approximation, ∆WK can be neglected and positive ∆W(wc) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆W(ωc) and the behavior of the difference of the kinetic energy between the SCS and the NS, δKE. We computed the kinetic energy as a function of λωsf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS like- δKE > 0 and increases with increasing λωsf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λωsf and eventually changes sign. The behavior of δKE at a truly strong coupling is consistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆W(ωc) at a truly strong coupling is correlated with the non-BCS behavior of δKE. At the same time, the behavior of δW(ωc) is obviously not driven by the kinetic energy as eventually δW(ωc) changes sign and become negative. Rather, the increase in the frequency range where ∆W(ωc) remains positive and non-BCS behavior of δKE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n### III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W(ωc) ∝ R ωc o σ(ω)dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆WK = ∆W(∞) between the normal and superconducting states and what is the behavior of W(ωc) and ∆W(ωc) at finite ωc. In a weak coupling BCS superconductor, ∆W(ωc) is positive at ωc < 2∆ due to a contribution from superfluid density, but becomes negative at larger ωc, and approach a negative value of ∆WK. Our study was motivated by fascinating optical experiments on the cuprates7–10. In overdoped cuprates, there is clear indication11 that ∆W(ωc) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued8,9 that ∆W integrated up to the bandwidth remains positive, while the other group argued10 that it is negative.\n\nThe reasoning why ∆WK may potentially change sign at strong coupling involves the correlation between −WK and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence −WK increases, and ∆WK is negative. At strong coupling, there is a counter effect – fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆WK is negative, but how it evolves with ωc and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW(ωc) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆W(ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "Another note to take is that it is not necessary to have such a highly symmetric cluster Hamiltonian (2). The mappings to pseudo-spin-1/2 should work as long as the ground states of the cluster Hamiltonian are the two-fold degenerate singlets. One generalization, which conforms the symmetry of the lattice in FIG. 2, is to have\n\n$$H_{\\rm cluster}=(J_{\\rm cluster}/2)(r\\cdot{\\bf S}_{1}+{\\bf S}_{2}+{\\bf S}_{3}+{\\bf S}_{4})^{2}\\tag{11}$$\n\nwith Jcluster > 0 and 0 < r < 3. However this is not convenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its low energy states are entirely in the space that each of the clusters is a physical spin singlet (called cluster singlet subspace hereafter). Therefore physical spin correlations are strictly confined within each cluster. The excitations carrying physical spin are gapped, and their dynamics are 'trivial' in the sense that they do not move from one cluster to another. But there are non-trivial low energy physical spin singlet excitations, described by the pseudospins defined above. The correlations of the pseudo-spins can be mapped to correlations of their corresponding physical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation becomes chirality-chirality correlation, or four-dimer correlation. It will be interesting to see the corresponding picture of the exotic excitations in the Kitaev model, e.g. the Majorana fermion and the Ising vortex. However this will be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liquid with spin gap (∼ Jcluster), an extremely short-range resonating valence bond(RVB) state, from a model with spin rotation and time reversal symmetry. However it should be noted that the unit cell of this model contains an even number of spin-1/2 moments (so does the original Kitaev model) which does not satisfy the stringent definition of spin liquid requiring odd number of electrons per unit cell. Several parent Hamiltonians of spin liquids have already been constructed. See for example, Ref.24–27 .\n\n# IV. GENERATE THE HIGH ORDER PHYSICAL SPIN INTERACTIONS BY PERTURBATIVE EXPANSION.\n\nOne major drawback of the present construction is that it involves high order interactions of physical spins[see (8) and (9)], thus is 'unnatural'. In this Section we will make compromises between exact solvability and naturalness. We consider two clusters j and k and try to generate the Jx,y,z interactions in (7) from perturbation series expansion of more natural(lower order) physical spin interactions. Two different approaches for this purpose will be laid out in the following two Subsections. In Subsection IV A we will consider the two clusters as two tetrahedra, and couple the spin system to certain optical phonons, further coupling between the phonon modes\n\nFIG. 3: Illustration of the tetragonal to orthorhombic Q E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective view of the tetrahedron. 1, . . . , 4 label the spins. Arrows indicate the motion of each spin under the distortion mode. (b) Top view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the desired high order spin interactions. In Subsection IV B we will introduce certain magnetic, e.g. Heisenberg-type, interactions between physical spins of different clusters, at lowest order(second order) of perturbation theory the desired high order spin interactions can be achieved. These approaches involve truncation errors in the perturbation series, thus the mapping to low energy effect Hamiltonian will no longer be exact. However the error introduced may be controlled by small expansion parameters. In this Section we denote the physical spins on cluster j(k) as j1, . . . , j4 (k1, . . . , k4), and denote pseudo-spins on cluster j(k) as ~τj (~τk).\n\n# A. Generate the High Order Terms by Coupling to Optical Phonon.\n\nIn this Subsection we regard each four-spin cluster as a tetrahedron, and consider possible optical phonon modes(distortions) and their couplings to the spin system. The basic idea is that the intra-cluster Heisenberg coupling Jcluster can linearly depend on the distance between physical spins. Therefore certain distortions of the tetrahedron couple to certain linear combinations of Sℓ · Sm. Integrating out phonon modes will then generate high order spin interactions. This idea has been extensively studied and applied to several magnetic materials28–34. More details can be found in a recent review by Tchernyshyov and Chern35. And we will frequently use their notations. In this Subsection we will use the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins 1, . . . , 4. The general distortions of this tetrahedron can be classified by their symmetry (see for example Ref.35). Only two tetragonal to orthorhombic distortion modes, QE 1 and QE 2 (illustrated in FIG. 3), couple to the pseudospins defined in Section II. A complete analysis of all modes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "FIG. 2: Distribution functions in four cases (a) BCSI model, where one can see that for ε > 0, SC>NS implying KE increases in the SCS. (b) The original MFLI model of Ref. 30, where for ε > 0, SCNS, implying KE increases in the SCS. Observe that in the impurity-free CB model there is no jump in n(ǫ) indicating lack of fermionic coherence. This is consistent with ARPES39\n\n#### A. The BCS case\n\nIn BCS theory the quantity Z(ω) is given by\n\n$$Z_{B C S I}(\\omega)=1+\\frac{\\Gamma}{\\sqrt{\\Delta^{2}-(\\omega+i\\delta)^{2}}}\\qquad(11)$$\n\nand\n\n$$\\Sigma_{B C S I}(\\omega)=\\omega\\left(Z(\\omega)-1\\right)=i\\Gamma\\frac{\\omega}{\\sqrt{(\\omega+i\\delta)^{2}-\\Delta^{2}}}\\ \\ \\ (12)$$\n\nThis is consistent with having in the NS, Σ = iΓ in accordance with Eq 6. In the SCS, Σ(ω) is purely imaginary for ω > ∆ and purely real for ω < ∆. The self-energy has a square-root singularity at ω = ∆.\n\nIt is worth noting that Eq.12 is derived from the integration over infinite band. If one uses Eq.6 for finite band, Eq.12 acquires an additional frequency dependence at large frequencies of the order of bandwidth (the low frequency structure still remains the same as in Eq.12). In principle, in a fully self-consistent analysis, one should indeed evaluate the self-energy using a finite bandwidth. In practice, however, the self-energy at frequencies of order bandwidth is generally much smaller than ω and contribute very little to optical conductivity which predominantly comes from frequencies where the self-energy is comparable or even larger than ω. Keeping this in mind, below we will continue with the form of self-energy derived form infinite band. We use the same argument for all four models for the self-energy.\n\nFor completeness, we first present some well known results about the conductivity and optical integral for a constant DOS and then extend the discussion to the case where the same calculations are done in the presence of a particular lattice dispersion.\n\nFIG. 3: The BCSI case with a dispersion linearized around the Fermi surface. Evolution of the difference of optical integrals in the SCS and the NS with the upper cut-off ωc Observe that the zero crossing point increases with impurity scattering rate Γ and also the 'dip' spreads out with increasing Γ. ∆ = 30 meV\n\nFor a constant DOS, ∆W(ωc) = WSC (ωc) − WNS(ωc) is zero at ωc = ∞ and Kubo sum rule reduces to FGT sum rule. In Fig. 3 we plot for this case ∆W(ωc) as a function of the cutoff ωc for different Γ′ s. The plot shows the two well known features: zero-crossing point is below 2∆ in the clean limit Γ << ∆ and is roughly 2Γ in the dirty limit21,40 The magnitude of the 'dip' decreases quite rapidly with increasing Γ. Still, there is always a point of zero crossing and ∆W(ωc) at large ωc approaches zero from below.\n\nWe now perform the same calculations in the presence of lattice dispersion. The results are summarized in Figs 4,5, and 6.\n\nFig 4 shows conductivities σ(ω) in the NS and the SCS and Kubo sums WK plotted against impurity scattering Γ. We see that the optical integral in the NS is always greater than in the SCS. The negative sign of ∆WK is simply the consequence of the fact that nk is larger in the NS for ǫk < 0 and smaller for ǫk < 0, and ∇2 ε~k closely follows −ε~k for our choice of dispersion38), Hence nk is larger in the NS for ∇2 ε~k > 0 and smaller for ∇2 ε~k < 0 and the Kubo sum rule, which is the integral of the product of nk and ∇2 ε~k (Eq. 3), is larger in the normal state.\n\nWe also see from Fig. 4 that ∆WK decreases with Γ reflecting the fact that with too much impurity scattering there is little difference in nk between NS and SCS.\n\nFig 5 shows the optical sum in NS and SCS in clean and dirty limits (the parameters are stated in the figure). This plot shows that the Kubo sums are almost completely recovered by integrating up to the bandwidth of 1eV : the recovery is 95% in the clean limit and ∼ 90% in the dirty limit. In Fig 6 we plot ∆W(ωc) as a function of ωc in clean and dirty limits. ∆W(∞) is now non-zero, in agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "chirality interactions in cold atom optical lattices has been proposed38 .\n\nOur model (8) is achieved at second order of the perturbation series. Higher order terms become truncation errors but may be controlled by small parameters λx,y,z/Jcluster ∼ p |Jx,y,z|/Jcluster.\n\n### V. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model1 as the exact low energy effective Hamiltonian of a spin-1/2 model [equations (8) or (9)] with spin-rotation and time reversal symmetry. The spin in Kitaev model is represented as the pseudo-spin in the two-fold degenerate spin singlet subspace of a cluster of four antiferromagnetically coupled spin-1/2 moments. The physical spin model is a honeycomb lattice of such four-spin clusters, with certain inter-cluster interactions. The machinery for the exact mapping to pseudo-spin Hamiltonian was developed (see e.g. TABLE I), which is quite general and can be used to construct other interesting (exactly solvable) spin-1/2 models from spin rotation invariant systems.\n\nIn this construction the pseudo-spin correlations in the Kitaev model will be mapped to dimer or spin-chirality correlations in the physical spin system. The corresponding picture of the fractionalized Majorana fermion excitations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical spin interactions, which is undesirable for practical implementation. We described two possible approaches to reduce this problem: generating the high order spin interactions by perturbative expansion of the coupling to optical phonon, or the magnetic coupling between clusters. This perturbative construction will introduce truncation error of perturbation series, which may be controlled by small expansion parameters. Whether these constructions can be experimentally engineered is however beyond the scope of this study. It is conceivable that other perturbative expansion can also generate these high order spin interactions, but this possibility will be left for future works.\n\n#### Acknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek Kim and Arun Paramekanti for inspiring discussions, and Todadri Senthil for critical comments. The author is supported by the MIT Pappalardo Fellowship in Physics.\n\n# Appendix A: Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref.35 the couplings of all tetrahedron distortion modes to the spin system. And convert them to pseudo-spin notation in the physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron, the spin Hamiltonian becomes\n\n$$H_{\\rm cluster},\\ {\\rm SL}=(J_{\\rm cluster}/2)(\\sum_{\\ell}{\\bf S}_{\\ell})^{2}+J^{\\prime}\\sum_{\\ell Jz (16/9)[Sj2 · (Sj3 × Sj4)][Sk2 · (Sk3 × Sk4)] − X x−links Jx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) − X y−links Jy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)] (8)\n\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\n\nH = X j (Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4) 2 − X x−links Jx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) − X y−links Jy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)] − X z−links Jz (−4/3)(2Sj3 · Sj4 + 1/2)[Sj1 · (Sj3 − Sj4)](2Sk3 · Sk4 + 1/2)[Sk1 · (Sk3 − Sk4)] (9)\n\nThis model, in terms of physical spins S, has full spin rotation symmetry and time-reversal symmetry. A pseudo-magnetic field term P j ~h · ~τj term can also be included under this mapping, however the resulting Kitaev model with magnetic field is not exactly solvable. It is quite curious that such a formidably looking Hamiltonian (8), with biquadratic and six-spin(or eight-spin) terms, has an exactly solvable low energy sector.\n\nP We emphasize that because the first intra-cluster term cluster Hcluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this model without truncation errors of perturbation theories, namely no (|Jx,y,z|/Jcluster) 2 or higher order terms will be generated under the projection to low energy cluster singlet space. This is unlike, for example, the t/U expansion of the half-filled Hubbard model22,23, where at lowest t 2/U order the effective Hamiltonian is the Heisenberg model, but higher order terms (t 4/U3 etc.) should in principle still be included in the low energy effective Hamiltonian for any finite t/U. Similar comparison can be made to the perturbative expansion studies of the Kitaev-type models by Vidal et al.9 , where the low energy effective Hamiltonians were obtained in certian anisotropic (strong bond/triangle) limits. Although the spirit of this work, namely projection to low energy sector, is the same as all previous perturbative approaches to effective Hamiltonians.\n\nNote that the original Kitaev model (1) has threefold rotation symmetry around a honeycomb lattice site, combined with a three-fold rotation in pseudo-spin space (cyclic permutation of τ x , τ y , τ z ). This is not apparent in our model (8) in terms of physical spins, under the current representation of τ x,y,z. We can remedy this by using a different set of pseudo-spin Pauli matrices τ ′x,y,z in (7),\n\n$$\\begin{array}{l}{{\\tau^{\\prime x}=\\sqrt{1/3}\\tau^{z}+\\sqrt{2/3}\\tau^{x},}}\\\\ {{\\tau^{\\prime y}=\\sqrt{1/3}\\tau^{z}-\\sqrt{1/6}\\tau^{x}+\\sqrt{1/2}\\tau^{y},}}\\\\ {{\\tau^{\\prime z}=\\sqrt{1/3}\\tau^{z}-\\sqrt{1/6}\\tau^{x}-\\sqrt{1/2}\\tau^{y}}}\\end{array}$$\n\nWith proper representation choice, they have a symmetric form in terms of physical spins,\n\n$$\\tau^{\\prime x}=-(4/3){\\bf S}_{2}\\cdot({\\bf S}_{3}\\times{\\bf S}_{4})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{2}+1/2)$$\n \n$$\\tau^{\\prime y}=-(4/3){\\bf S}_{3}\\cdot({\\bf S}_{4}\\times{\\bf S}_{2})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{3}+1/2)$$\n \n$$\\tau^{\\prime z}=-(4/3){\\bf S}_{4}\\cdot({\\bf S}_{2}\\times{\\bf S}_{3})+\\sqrt{2/3}(2{\\bf S}_{1}\\cdot{\\bf S}_{4}+1/2)\\tag{10}$$\n\nSo the symmetry mentioned above can be realized by a three-fold rotation of the honeycomb lattice, with a cyclic permutation of S2, S3 and S4 in each cluster. This is in fact the three-fold rotation symmetry of the physical spin lattice illustrated in FIG. 2. However this more symmetric representation will not be used in later part of this paper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "Figure 4.32. Spin Characteristics", - "page_start": 327, - "page_end": 327, - "source_file": "00-80T-80.pdf" - }, - { - "text": "FIG. 15: Top – σ(ω) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: iΓ term transforms into √ Γ −ω2+∆2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom – the behavior of Kubo sum with Γ. Observe that W(ωc) in the NS is larger than in the SCS.\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ωc for the \"corrected\" MFLI model. Now ∆W(ωc) is negative above some frequency. Parameters are same as in the Fig 15.\n\nmodel, where WK is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to √ Γ −ω2+∆2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state without first deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆WK < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆WK and of the kinetic energy 43. It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n#### D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel31,44,45. This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below Tc because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆WK. Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of WK in a SCS. If this increase exceeds a conventional loss of WK due to a gap opening, the total ∆WK may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = (π, π). This version of a CB boson is commonly known as a spin-fermion model. This model yields dx2−y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates39 and the peak-dip-hump structure in the ARPES profile in the SCS31,32,46,47. In our analysis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "# Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin Rotation Invariant System\n\nFa Wang1\n\n1Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamiltonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low energy effective Hamiltonian is exact, without truncation errors in traditional perturbation series expansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and contains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model is represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet sector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin correlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this model. This exact construction is quite general and can be used to make other interesting spin-1/2 models from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the high order spin interactions from more natural couplings, which involves perturbative expansions thus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\n## Contents\n\n| I. Introduction. | 1 |\n| --- | --- |\n| II. Formulation of the Pseudo-spin-1/2 from | |\n| Four-spin Cluster. | 2 |\n| III. Realization of the Kitaev Model. | 3 |\n| IV. Generate the High Order Physical Spin | |\n| Interactions by Perturbative Expansion. | 5 |\n| A. Generate the High Order Terms by Coupling | |\n| to Optical Phonon. | 5 |\n| B. Generate the High Order Terms by Magnetic | |\n| Interactions between Clusters. | 7 |\n| V. Conclusions. | 8 |\n| Acknowledgments | 8 |\n| A. Coupling between Distortions of a | |\n| Tetrahedron and the Pseudo-spins | 8 |\n| B. Derivation of the Terms Generated by | |\n| Second Order Perturbation of Inter-cluster | |\n| Magnetic Interactions | 9 |\n| References | 10 |\n\n#### I. INTRODUCTION.\n\nKitaev's exactly solvable spin-1/2 honeycomb lattice model1 (noted as the Kitaev model hereafter) has inspired great interest since its debut, due to its exact solvability, fractionalized excitations, and the potential to realize non-Abelian anyons. The model simply reads\n\n$$H_{\\rm Kitaev}=-\\sum_{x-{\\rm links}\\ }J_{x}\\tau_{j}^{x}\\tau_{k}^{x}-\\sum_{y-{\\rm links}\\ }J_{y}\\tau_{j}^{y}\\tau_{k}^{y}$$\n \n$$-\\sum_{z-{\\rm links}\\ }J_{z}\\tau_{j}^{z}\\tau_{k}^{z}$$\n\nwhere τ x,y,z are Pauli matrices, and x, y, z-links are defined in FIG. 1. It was shown by Kitaev1 that this spin-1/2 model can be mapped to a model with one Majorana fermion per site coupled to Ising gauge fields on the links. And as the Ising gauge flux has no fluctuation, the model can be regarded as, under each gauge flux configuration, a free Majorana fermion problem. The ground state is achieved in the sector of zero gauge flux through each hexagon. The Majorana fermions in this sector have Dirac-like gapless dispersion resembling that of graphene, as long as |Jx|, |Jy|, and |Jz| satisfy the triangular relation, sum of any two of them is greater than the third one1 . It was further proposed by Kitaev1 that opening of fermion gap by magnetic field can give the Ising vortices non-Abelian anyonic statistics, because the Ising vortex will carry a zero-energy Majorana mode, although magnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand the properties of the Kitaev model. For example, several groups have pointed out that the fractionalized Majorana fermion excitations may be understood from the more familiar Jordan-Wigner transformation of 1D spin systems2,3. The analogy between the non-Abelian Ising vortices and vortices in p + ip superconductors has been raised in serveral works4–7. Exact diagonalization has been used to study the Kitaev model on small lattices8 . And perturbative expansion methods have been developed to study the gapped phases of the Kitaev-type models9 .\n\nMany generalizations of the Kitaev model have been", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "Another note to take is that it is not necessary to have such a highly symmetric cluster Hamiltonian (2). The mappings to pseudo-spin-1/2 should work as long as the ground states of the cluster Hamiltonian are the two-fold degenerate singlets. One generalization, which conforms the symmetry of the lattice in FIG. 2, is to have\n\n$$H_{\\rm cluster}=(J_{\\rm cluster}/2)(r\\cdot{\\bf S}_{1}+{\\bf S}_{2}+{\\bf S}_{3}+{\\bf S}_{4})^{2}\\tag{11}$$\n\nwith Jcluster > 0 and 0 < r < 3. However this is not convenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its low energy states are entirely in the space that each of the clusters is a physical spin singlet (called cluster singlet subspace hereafter). Therefore physical spin correlations are strictly confined within each cluster. The excitations carrying physical spin are gapped, and their dynamics are 'trivial' in the sense that they do not move from one cluster to another. But there are non-trivial low energy physical spin singlet excitations, described by the pseudospins defined above. The correlations of the pseudo-spins can be mapped to correlations of their corresponding physical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation becomes chirality-chirality correlation, or four-dimer correlation. It will be interesting to see the corresponding picture of the exotic excitations in the Kitaev model, e.g. the Majorana fermion and the Ising vortex. However this will be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liquid with spin gap (∼ Jcluster), an extremely short-range resonating valence bond(RVB) state, from a model with spin rotation and time reversal symmetry. However it should be noted that the unit cell of this model contains an even number of spin-1/2 moments (so does the original Kitaev model) which does not satisfy the stringent definition of spin liquid requiring odd number of electrons per unit cell. Several parent Hamiltonians of spin liquids have already been constructed. See for example, Ref.24–27 .\n\n# IV. GENERATE THE HIGH ORDER PHYSICAL SPIN INTERACTIONS BY PERTURBATIVE EXPANSION.\n\nOne major drawback of the present construction is that it involves high order interactions of physical spins[see (8) and (9)], thus is 'unnatural'. In this Section we will make compromises between exact solvability and naturalness. We consider two clusters j and k and try to generate the Jx,y,z interactions in (7) from perturbation series expansion of more natural(lower order) physical spin interactions. Two different approaches for this purpose will be laid out in the following two Subsections. In Subsection IV A we will consider the two clusters as two tetrahedra, and couple the spin system to certain optical phonons, further coupling between the phonon modes\n\nFIG. 3: Illustration of the tetragonal to orthorhombic Q E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective view of the tetrahedron. 1, . . . , 4 label the spins. Arrows indicate the motion of each spin under the distortion mode. (b) Top view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the desired high order spin interactions. In Subsection IV B we will introduce certain magnetic, e.g. Heisenberg-type, interactions between physical spins of different clusters, at lowest order(second order) of perturbation theory the desired high order spin interactions can be achieved. These approaches involve truncation errors in the perturbation series, thus the mapping to low energy effect Hamiltonian will no longer be exact. However the error introduced may be controlled by small expansion parameters. In this Section we denote the physical spins on cluster j(k) as j1, . . . , j4 (k1, . . . , k4), and denote pseudo-spins on cluster j(k) as ~τj (~τk).\n\n# A. Generate the High Order Terms by Coupling to Optical Phonon.\n\nIn this Subsection we regard each four-spin cluster as a tetrahedron, and consider possible optical phonon modes(distortions) and their couplings to the spin system. The basic idea is that the intra-cluster Heisenberg coupling Jcluster can linearly depend on the distance between physical spins. Therefore certain distortions of the tetrahedron couple to certain linear combinations of Sℓ · Sm. Integrating out phonon modes will then generate high order spin interactions. This idea has been extensively studied and applied to several magnetic materials28–34. More details can be found in a recent review by Tchernyshyov and Chern35. And we will frequently use their notations. In this Subsection we will use the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins 1, . . . , 4. The general distortions of this tetrahedron can be classified by their symmetry (see for example Ref.35). Only two tetragonal to orthorhombic distortion modes, QE 1 and QE 2 (illustrated in FIG. 3), couple to the pseudospins defined in Section II. A complete analysis of all modes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "chirality interactions in cold atom optical lattices has been proposed38 .\n\nOur model (8) is achieved at second order of the perturbation series. Higher order terms become truncation errors but may be controlled by small parameters λx,y,z/Jcluster ∼ p |Jx,y,z|/Jcluster.\n\n### V. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model1 as the exact low energy effective Hamiltonian of a spin-1/2 model [equations (8) or (9)] with spin-rotation and time reversal symmetry. The spin in Kitaev model is represented as the pseudo-spin in the two-fold degenerate spin singlet subspace of a cluster of four antiferromagnetically coupled spin-1/2 moments. The physical spin model is a honeycomb lattice of such four-spin clusters, with certain inter-cluster interactions. The machinery for the exact mapping to pseudo-spin Hamiltonian was developed (see e.g. TABLE I), which is quite general and can be used to construct other interesting (exactly solvable) spin-1/2 models from spin rotation invariant systems.\n\nIn this construction the pseudo-spin correlations in the Kitaev model will be mapped to dimer or spin-chirality correlations in the physical spin system. The corresponding picture of the fractionalized Majorana fermion excitations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical spin interactions, which is undesirable for practical implementation. We described two possible approaches to reduce this problem: generating the high order spin interactions by perturbative expansion of the coupling to optical phonon, or the magnetic coupling between clusters. This perturbative construction will introduce truncation error of perturbation series, which may be controlled by small expansion parameters. Whether these constructions can be experimentally engineered is however beyond the scope of this study. It is conceivable that other perturbative expansion can also generate these high order spin interactions, but this possibility will be left for future works.\n\n#### Acknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek Kim and Arun Paramekanti for inspiring discussions, and Todadri Senthil for critical comments. The author is supported by the MIT Pappalardo Fellowship in Physics.\n\n# Appendix A: Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref.35 the couplings of all tetrahedron distortion modes to the spin system. And convert them to pseudo-spin notation in the physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron, the spin Hamiltonian becomes\n\n$$H_{\\rm cluster},\\ {\\rm SL}=(J_{\\rm cluster}/2)(\\sum_{\\ell}{\\bf S}_{\\ell})^{2}+J^{\\prime}\\sum_{\\ell 0, Θ(*t*) = 1/2 for *t* = 0, and Θ(*t*) = 0 for *t* < 0]. *T* is the free drift time of the atoms, and τ is the interacting time between the atom and one cavity.\n\nBy the standard way [25], we can get the Heisenberg-Langevin equations of the motion for the single-atom and filed operators. By introducing the macroscopic atomic operator, *M*(*t*) = −*i* P *j* Γ*j*(*t*)σ *j* − (*t*), *Na*(*t*) = P *j* Γ*j*(*t*)σ *j aa*(*t*), *Nb*(*t*) = P *j* Γ*j*(*t*)σ *j bb*(*t*), the dynamic equations for the field and macroscopic atomic operators yield\n\n$$\\dot{a}(t)=-\\frac{\\kappa}{2}a(t)+gM(t)+F_{\\kappa}(t),\\tag{3}$$\n\n$$\\dot{N}_{a}(t)=R(1-A_{0}+A_{1}-A_{2})-(\\gamma_{a}+\\gamma^{\\prime}_{a})N_{a}(t)\\tag{4}$$\n \n$$-g[M^{\\dagger}(t)a(t)+a^{\\dagger}(t)M(t)]+F_{a}(t),$$\n\n$$\\dot{N}_{b}(t)=-R(B_{0}-B_{1}+B_{2})-\\gamma_{b}N_{b}(t)+\\gamma_{a}^{\\prime}N_{a}(t)\\tag{5}$$\n \n$$+g[a^{\\dagger}(t)M(t)+M^{\\dagger}(t)a(t)]+F_{b}(t),$$\n\n$$\\dot{M}(t)=-R(C_{0}-C_{1}+C_{2})-\\gamma_{ab}M(t)\\tag{6}$$\n \n$$+g[N_{a}(t)-N_{b}(t)]a(t)+F_{M}(t),$$\n\nwhere the macroscopic noise operators are defined as\n\n$$F_{a}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)-R(1-A_{0}+A_{1}-A_{2})+\\sum_{j}\\Gamma_{j}(t)f_{a}^{j}(t),$$\n \n \n\n$$F_{a}(t)=\\sum\\dot{\\Gamma}_{j}(t)\\sigma_{a}^{j}(t)+R(R_{1}-R_{1}+R_{2})+\\sum\\Gamma_{j}(t)f_{a}^{j}(t).$$\n\n$$F_{b}(t)=\\sum_{j}\\dot{\\Gamma}_{j}(t)\\sigma_{b}^{j}(t)+R(B_{0}-B_{1}+B_{2})+\\sum_{j}\\Gamma_{j}(t)f_{b}^{j}(t),$$\n\n$$F_{M}(t)=-i\\sum_{j}\\dot{\\Gamma}_{j}(t)\\hat{\\sigma}_{-}^{j}(t)+R(C_{0}-C_{1}+C_{2})-i\\sum_{j}\\Gamma_{j}(t)f_{\\sigma}^{j}(t),$$\n\nwith *A*0 = D σ *j a* (*tj* + τ) E *q* , *A*1 = D σ *j a* (*tj* + τ + *T*) E *q* , *A*2 = D σ *j a* (*tj* + 2τ + *T*) E *q* , *B*0 = D σ *j b* (*tj* + τ) E *q* , *B*1 = D σ *j b* (*tj* + τ + *T*) E *q* , *B*2 = D σ *j b* (*tj* + 2τ + *T*) E *q* , *C*0 = D −*i*σ *j* − (*tj* + τ) E *q* , *C*1 = D −*i*σ *j* − (*tj* + τ + *T*) E *q* , *C*2 = D −*i*σ *j* − (*tj* + 2τ + *T*) E *q* . *R* is the mean pumping rate, which is defined in [26]. It is very easy to check that the average values of the above Langevin forces are all zero.\n\nBy using the above definitions of the noise operators, we find the correlation functions of macroscopic noise forces can be generally written in the form\n\n$$\\langle F_{k}(t)F_{l}(t^{\\prime})\\rangle$$\n \n$$=D^{(0)}_{kl}\\delta(t-t^{\\prime})+D^{(1)}_{kl}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+D^{(2)}_{kl}\\delta(t-t^{\\prime}+\\tau)+D^{(3)}_{kl}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+D^{(4)}_{kl}\\delta(t-t^{\\prime}+\\tau+T)+D^{(5)}_{kl}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+D^{(6)}_{kl}\\delta(t-t^{\\prime}+2\\tau+T)+D^{(7)}_{kl}\\delta(t-t^{\\prime}-T)$$\n \n$$+D^{(8)}_{kl}\\delta(t-t^{\\prime}+T),\\tag{7}$$\n\nwhere *D* (*i*) *kl* (*k*, *l* = *a*, *b*, *M*, *M*† ; *i* = 0, 1, 2) are the quantum diffusion coefficients.\n\n*c-number correlation functions:* By choosing some particular ordering for products of atomic and field operators, one could derive the c-number stochastic Langevin equations from the quantum Langevin equations derived above, and all of the dynamic equations for c-number stochastic variables are the same as in [26]. The differences are from the correlation functions. On the other hand, we convert the quantum noise operators into the c-number noise variables *F*˜ *k*(*t*)(*k* = *a*, *b*, *M*, *M*† ), whose correlation functions are expressed as\n\n$$\\left\\langle\\tilde{F}_{k}(t)\\tilde{F}_{k}(t^{\\prime})\\right\\rangle$$\n \n$$=\\tilde{D}_{kl}^{(0)}\\delta(t-t^{\\prime})+\\tilde{D}_{kl}^{(1)}\\delta(t-t^{\\prime}-\\tau)$$\n \n$$+\\tilde{D}_{kl}^{(2)}\\delta(t-t^{\\prime}+\\tau)+\\tilde{D}_{kl}^{(3)}\\delta(t-t^{\\prime}-\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(4)}\\delta(t-t^{\\prime}+\\tau+T)+\\tilde{D}_{kl}^{(5)}\\delta(t-t^{\\prime}-2\\tau-T)$$\n \n$$+\\tilde{D}_{kl}^{(6)}\\delta(t-t^{\\prime}+2\\tau+T)+\\tilde{D}_{kl}^{(7)}\\delta(t-t^{\\prime}-T)$$\n \n$$+\\tilde{D}_{kl}^{(8)}\\delta(t-t^{\\prime}+T),\\tag{8}$$\n\nwhere *D*˜ (*i*) *kl* are the c-number Langevin diffusion coefficients, related to quantum Langevin diffusion coefficients *D* (*i*) *kl* as in [27].\n\n*Steady-state solutions:* The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ*max* ≪ *T* −1 ≪ τ −1 ≪ κ/2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the effect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n$$\\left|\\tilde{A}_{ss}\\right|^{2}=\\frac{R(1-A_{0}+A_{1}-A_{2})}{\\kappa}=\\frac{R(B_{0}-B_{1}+B_{2})}{\\kappa},$$\n \n \n\n$$\\tilde{N}_{ass}=\\frac{R\\tau}{2}\\left[1+\\frac{C_{0}-C_{1}+C_{2}}{g\\tau}\\sqrt{\\frac{R(B_{0}-B_{1}+B_{2})}{R(B_{0}-B_{1}+B_{2})}}\\right],$$", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "FIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75− 80% of the spectral weight is recovered up to 1eV .\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ωc. Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆W has not yet reached ∆WK up to the bandwidth. The dashed line is the FGT result.\n\nThis clearly affects nk because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at ǫ < 0, nk in a superconductor is larger than nk in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆W(ωc) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of WK with Γ for the original MFLI model at very small α = 0.05. We set ω1 = ∆ = 32 meV . Observe the inconsistency with WK in the BCSI model in Fig 4.\n\nFIG. 14: The special case of α = 1.5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆WK is still positive, but ∆W(ωc) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆W(ωc) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α. Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ′′ has a square-root singularity at ω = ∆ + ωo (with ωo = 0). Meanwhile Σ′′ in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0.05. We see that the optical integral WK in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "high-energy fermions and is an input for the low-energy theory. Below we follow Refs. 31,33 and assume that the momentum dependence of a collective boson is flat near (π, π). The self energy within such model has been worked out consistently in Ref. 31,33. In the normal state\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=-\\frac{1}{2}\\,\\lambda_{n}\\omega_{sf}\\,log\\left(1+\\frac{\\omega^{2}}{\\omega_{sf}^{2}}\\right)$$\n \n \n\n$$\\Sigma^{\\prime}(\\omega)=-\\lambda_{n}\\omega_{sf}\\,arctan\\frac{\\omega}{\\omega_{sf}}\\tag{19}$$\n\nwhere λn is the spin-fermion coupling constant, and ωsf is a typical spin relaxation frequency of overdamped spin collective excitations with a propagator\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Omega}{\\omega_{s f}}}\\qquad\\qquad(20)$$\n\nwhere χQ is the uniform static susceptibility. If we use Ornstein-Zernike form of χ(q) and use either Eliashberg 45 or FLEX computational schemes48, we get rather similar behavior of Σ as a function of frequency and rather similar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in the fact that the coupling λ and the bosonic frequency ωsf are related: λ scales as ξ 2 , where ξ is the bosonic mass (the distance to a bosonic instability), and ωsf ∝ ξ −2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf does not depend on ξ and is the overall dimensional scale for boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This gap affects fermionic self-energy in two ways: directly, via the change of the dispersion of an intermediate boson in the exchange process involving a CB, and indirectly, via the change of the propagator of a CB. We remind ourselves that the dynamics of a CB comes from a particlehole bubble which is indeed affected by ∆.\n\nThe effect of a d−wave pairing gap on a CB has been discussed in a number of papers, most recently in31. In a SCS a gapless continuum described by Eq. (20) transforms into a gaped continuum, with a gap about 2∆ and a resonance at ω = ω0 < 2∆, where for a d−wave gap we define ∆ as a maximum of a d−wave gap.\n\nThe spin susceptibility near (π, π) in a superconductor can generally be written up as\n\n$$\\chi(q\\sim Q,\\Omega)=\\frac{\\chi_{Q}}{1-i\\frac{\\Pi(\\Omega)}{\\omega_{s f}}}\\qquad\\qquad(21)$$\n\nwhere Π is evaluated by adding up the bubbles made out of two normal and two anomalous Green's functions. Below 2∆, Π(Ω) is real (∼ Ω 2/∆ for small Ω), and the resonance emerges at Ω = ω0 at which Π(ω0) = ωsf . At frequencies larger than 2∆, Π(Ω) has an imaginary part, and this gives rise to a gaped continuum in χ(Ω).\n\nThe imaginary part of the spin susceptibility around the resonance frequency ω0 is31\n\n$$\\chi^{\\prime\\prime}(q,\\Omega)=\\frac{\\pi Z_{o}\\omega_{0}}{2}\\delta(\\Omega-\\omega_{0})\\tag{22}$$\n\nwhere Zo ∼ 2 ωsfχ0/ ∂Π ∂ω |Ω=ω0 . The imaginary part of the spin susceptibility describing a gaped continuum exists for for Ω ≥ 2∆ and is\n\n$$\\chi^{^{\\prime\\prime}}(q,\\Omega)=I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{4\\Delta^{2}}{\\Omega}D(\\frac{4\\Delta^{2}}{\\Omega^{2}})+i\\Omega K_{2}(1-\\frac{4\\Delta^{2}}{\\Omega^{2}})\\right)}\\right]$$\n\n$$\\approx I m\\left[\\frac{\\chi_{0}}{1-\\frac{1}{\\omega_{s f}}\\left(\\frac{\\pi\\Delta^{2}}{\\Omega}+i\\frac{\\pi}{2}\\Omega\\right)\\right]}\\ \\mathrm{for}\\ \\Omega>>2\\Delta\\ \\ \\ \\ (23)$$\n\nIn Eq. (23) D(x) = K1(x)−K2(x) x , and K1(x) and K2(x) are Elliptic integrals of first and second kind. The real part of χ is obtained by Kramers-Kr¨onig transform of the imaginary part.\n\nSubstituting Eq 6 for χ(q, Ω) into the formula for the self-energy one obtains Σ′′(ω) in a SCS state as a sum of two terms31\n\nwhere,\n\n$$\\Sigma^{\\prime\\prime}(\\omega)=\\Sigma^{\\prime\\prime}_{A}(\\omega)+\\Sigma^{\\prime\\prime}_{B}(\\omega)\\tag{24}$$\n\n$$\\Sigma_{A}^{\\prime\\prime}(\\omega)=\\frac{\\pi Z_{o}}{2}\\,\\lambda_{n}\\omega_{o}\\,R e\\left(\\frac{\\omega+\\omega_{o}}{\\sqrt{(\\omega+\\omega_{o})^{2}-\\Delta^{2}}}\\right)$$\n\ncomes from the interaction with the resonance and\n\n$$\\Sigma_{B}^{\\prime\\prime}(\\omega)=-\\lambda_{n}\\int_{2\\Delta}^{|E|}dx\\,Re\\,\\frac{\\omega+x}{\\sqrt{(\\omega+x)^{2}-\\Delta^{2}}}\\,\\frac{\\frac{\\omega}{\\omega_{\\omega}}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)}{\\left[1-\\frac{4\\Delta^{2}}{\\omega_{\\omega}\\,I}D\\left(\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}+\\left[\\frac{x}{\\omega_{\\omega}\\,I}K_{2}\\left(1-\\frac{4\\Delta^{2}}{x^{2}}\\right)\\right]^{2}}\\tag{25}$$\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "What is the Oxbridge Academy email?", - "target_page": 59, - "target_passage": "Email: info@oxbridgeacademy.co.za", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa twitter.com/oxbridgeEdu www.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offering skills courses, national qualifications, and internationally recognised courses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our students' needs by recruiting industry-expert tutors to provide academic assistance via telephone and e-mail, as well as by designing our study material in such a way that it is clear, simple, and easy for our students to understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\n### CONTACT NUMBERS:\n\nTel: 021 1100 200 Tel:+2721 883 2454 (international) Fax: 086 111 2121 Fax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585 Email: info@oxbridgeacademy.co.za\n\nPostal Address: PO Box 12723, Die Boord, Stellenbosch, 7613\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section 31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## A Summary of the Registration Process at Oxbridge Academy\n\n#### SEND YOUR REGISTRATION FORM\n\nSend your registration form to the registrations office at Oxbridge Academy via one of the following channels:\n\nFax: 086 262 5550 Post: PO Box 12723, Die Boord, 7613 E-mail: registrar@oxbridgeacademy.co.za\n\n#### FILL IN THE REGISTRATION FORM\n\n**2**\n\nThe registration form follows an easy-to-complete four step layout.\n\n#### IF YOU ARE REGISTERING FOR an ICB, or NATED COURSE\n\nmake sure to indicate your preferred exam centre.\n\n**3**\n\nAs soon as your details have been captured on our system you will receive confirmation of your registration via e-mail or SMS\n\n#### ATTACH THE FOLLOWING DOCUMENTS **6**\n\n- 1. Copy of your ID\n- 2. Proof of highest grade passed\n- 3. Proof of other qualifications\n- 4. Proof of payment\n\n**5**\n\n#### IF YOU ARE UNDER 18, OR IF YOU ARE UNEMPLOYED\n\nmake sure that your parent/guardian/guarantor signs the form.\n\n**4**\n\nPAY YOUR REGISTRATION FEE", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 1 – SELECT YOUR COURSE\n\n| Oxbridge Academy Short Course: Marketing Management |\n| --- |\n| ADV101 |\n\nBefore you start filling in the registration form, you need to choose your course. Once you've identified the course that you would like to study, remember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on the relevant detailed course information page on our website. Have a look at the example in the screenshot below (the course name and course code are circled in red):\n\n| 021 110 0200 |\n| --- |\n| HOME ABOUT US COURSES s excellence in education |\n| Oxbridge Academy Short Course: Marketing Management |\n| Home / Oxbridge Academy snore |\n| This short course is designed to introduce you to the field of marketing management. It will equip you with the knowledge and skills you need to define the marketing concept, apply marketing decision-making, and explain marketing opportunities. |\n| Course code: |\n| ADV101 |\n| Accreditation status: |\n| This is an Oxbridge Academy Skills Course. |\n\nPlease make sure to check the accreditation status of your chosen course. Some of our courses are non-credit bearing skills development courses, which are neither accredited by external bodies nor registered on the NQF. Please go to our website: *oxbridgeacademy.co.za* for more information about our skills development courses.", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 5:\n\n## TIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a daunting experience. Not only do you need to choose a course, but you also need to make sure that you:\n\n- meet the entry requirements\n- meet the deadlines\n- fill in the forms correctly\n- send the forms to the right address\n- include all the necessary attachments\n\nTo make the college registration process easier for you, we've compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general tips that will be relevant to the application and registration processes at other colleges.\n\n#### **There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:**\n\n- **1.** Select Your Course\n- **2.** Fill in Your Student Details\n- **3.** Select Your Delivery Option\n- **4.** Pay Your Registration Fee and Send in Your Form", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 4 – PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\n| Registration fee payable upon registration either by cheque, postal order, bank deposit, electronic transfer or ATM deposit. Enclose the registration fee when submitting this form and we will send you a Welcome Pack that includes your 1st Study Unit, Success Study Guide and Student card. International students will be required to pay a deposit of R2400. | |\n| --- | --- |\n| * Attach proof of payment | |\n| IF YOU ARE: (A) YOUNGER THAN 18 YEARS OR (B) UNEMPLOYED | |\n| Parent/Guarantor Details | |\n| I approve and confirm this application. | |\n| Name: | Relation to student: |\n| ID No: | |\n| Cell No: | |\n| Home No: | Parent/Guardian/Guarantor Signature: |\n\nDifferent courses have different registration fees. Please check the course fees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to find out how much you need to pay to register for your chosen course, and pay this amount using the banking details provided at the bottom of the registration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign this section of the form to state that they are aware of your registration with Oxbridge Academy, and that they do not have any objections. If you are unemployed, you will need a guarantor to sign this section of the form. Your parent or guarantor will be held responsible if you miss any of your payments in relation to your course fees.", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage or retrieval system, without prior permission in writing from the publisher. Subject to any applicable licensing terms and conditions in the case of electronically supplied publications, a person may engage in fair dealing with a copy of this publication for his or her personal or private use, or his or her research or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and to acknowledge the use of copyright material. Should any infringement of copyright have occurred, please contact the publisher, and every effort will be made to rectify omissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015", - "page_start": 1, - "page_end": 1, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 7:\n\n## HOW TO ASK FOR HELP FROM YOUR TUTOR\n\nAs a student, you are going to experience times when you need help with your studies. You might be unsure about an assignment question, you might be confused by a particular concept, or you might be stressed about the upcoming exams.\n\nAnd if you are studying via distance learning (www.oxbridgeacademy.co. za/distance-learning/), where you don't have any face-to-face interaction with lecturers, you will need to rely on your tutors for the necessary academic support.", - "page_start": 32, - "page_end": 32, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 8:\n\n### TIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\nDepending on which course you study, you will either be assessed by means of written assignments, or through a combination of written assignments and exams. Assignments not only help to deepen your understanding of the work, but they often also count toward your final mark.\n\nIt is therefore important that you put effort into your assignments, and that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of how to go about completing your assignments, or that you might be afraid of failure.\n\nIf you are an Oxbridge Academy student, we'd like you to know that we are here to help you every step of the way, and that we will give you the opportunity to resubmit your assignments if you don't achieve a pass mark the first time around.", - "page_start": 36, - "page_end": 36, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n#### 1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment guidelines will be provided in your \"Success\" Study Guide. Specific instructions will also be included at the beginning of each of your assignments.\n\n#### 2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you focus on answering the right questions, instead of providing irrelevant information.\n\n#### 3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count toward the mark that you receive for your assignment.\n\n#### 4. Use your course material and other external sources to find answers to the assignment questions.\n\nBut make sure to use your own words – don't just copy. You need to show the person marking your assignment that you have developed a sound understanding of the subject.\n\n#### 5. When you use external resources, remember to reference them properly, and to include them in a bibliography.\n\nIf you don't, you may be guilty of plagiarism (www.oxforddictionaries. com/definition/english/plagiarism), which is a serious offence.\n\n6. Always hand in your own work, and make sure that you use your own words when you formulate your answers.\n\n#### 7. When it comes to essay questions:\n\n- Plan/outline your answer before doing the final draft.\n- Remember that essays have titles, introductions, bodies, and conclusions.\n- Use headings and paragraphs to structure your answer.", - "page_start": 37, - "page_end": 37, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### IN THIS E-BOOK, WE'LL BE HELPING YOU TO:\n\n- Develop your basic English language skills.\n- Improve your English grammar.\n\nApply your language and communication skills in a business contexT. (www.oxbridgeacademy.co.za/find-a- course/business-administrationcourses/)\n\n> *\"Grammar is a litmus test. If job hopefuls can't distinguish between 'to' and too', their applications go into the bin\"*\n\nKyle Wiens, CEO of iFixit\n\n*\"Grammar often seems to be a low priority in education. Are school undervaluing grammar, given that employers may rule out applications with sloppy writing?\"*\n\nThe New York Times", - "page_start": 5, - "page_end": 5, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "When is it necessary to use a host multipathing driver for load balancing?", - "target_page": 340, - "target_passage": "For load balancing and access redundancy on the host side, the use of a host multipathing driver is required in the following situations: Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize system nodes Protection from a host HBA failure (if two HBAs are in use) Protection from fabric failures if the host is connected through two HBAs to two separate fabrics Provide load balancing across the host HBA", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- -Balanced host load across HBA ports\nIf the host has more than one HBA port per fabric, zone each host port with a separate group of Storwize V7000 ports.\n\n- -Balanced host load across Storwize V7000 ports\nTo obtain the best overall performance of the subsystem and to prevent overloading, the load of each Storwize V7000 port should be equal. Assuming a similar load is generated by each host, you can achieve this balance by zoning approximately the same number of host ports to each Storwize V7000 port.\n\nFigure 3-4 on page 56 shows an example of a balanced zoning configuration that was created by completing the following steps:\n\n- 1. Divide ports on the I/O Group into two disjoint sets, such that each set contains two ports from each I/O Group node, each connected to a different fabric.\nFor consistency, use the same port number on each I/O Group node. The example that is shown in Figure 3-4 on page 56 assigns ports 1 and 4 to one port set, and ports 2 and 3 to the second set.\n\nBecause the I/O Group nodes have four FC ports each, two port sets are created.\n\n- 2. Divide hosts attached to the I/O Group into two equally numerous groups.\nIn general, for I/O Group nodes with more than four ports, divide the hosts into as many groups as you created sets in step 1.\n\n- 3. Map each host group to exactly one port set.\n- 4. Zone all hosts from each group to the corresponding set of I/O Group node ports.\n\nThe host connections in the example on Figure 3-4 on page 56 are defined in the following manner:\n\n- Hosts in group one are always zoned to ports 1 and 4 on both nodes.\n- Hosts in group two are always zoned to ports 2 and 3 on both nodes of the I/O Group.\n\n**Tip:** Create an alias for the I/O Group port set. This step makes it easier to correctly zone hosts to the correct set of I/O Group ports. It also makes host group membership visible in the FC switch configuration.\n\nThe use of this schema provides four paths to one I/O Group for each host, and helps to maintain an equal distribution of host connections on Storwize V7000 ports.\n\n**Tip:** To maximize performance from the host point of view, distribute volumes that are mapped to each host between both I/O Group nodes.", - "page_start": 76, - "page_end": 76, - "source_file": "sg247938.pdf" - }, - { - "text": "*Figure 3-4 Overview of four-path host zoning*\n\nWhen possible, use the minimum number of paths that are necessary to achieve a sufficient level of redundancy. For the Storwize V7000 environment, no more than four paths per I/O Group are required to accomplish this layout.\n\nAll paths must be managed by the multipath driver on the host side. Make sure that the multipath driver on each server can handle the number of paths required to access all volumes mapped to the host.\n\nFor hosts that use four HBAs/ports with eight connections to an I/O Group, use the zoning schema that is shown in Figure 3-5 on page 57. You can combine this schema with the previous four-path zoning schema.", - "page_start": 77, - "page_end": 77, - "source_file": "sg247938.pdf" - }, - { - "text": "- -Number of paths per host multipath device\nThe maximum supported number of paths per multipath device that is visible on the host is eight. Although the IBM Subsystem Device Driver Path Control Module (SDDPCM), related products, and most vendor multipathing software can support more paths, the Storwize V7000 expects a maximum of eight paths. In general, you see only an effect on performance from more paths than eight. Although the IBM Spectrum Virtualize can work with more than eight paths, this design is technically unsupported.\n\n- -Do not intermix dissimilar array types or sizes\nAlthough the IBM Spectrum Virtualize supports an intermix of differing storage within storage pools, it is best to always use the same array model, Redundant Array of Independent Disks (RAID) mode. RAID size (RAID 5 6+P+S does not mix well with RAID 6 14+2), and drive speeds.\n\nRules and guidelines are no substitution for monitoring performance. Monitoring performance can provide a validation that design expectations are met, and identify opportunities for improvement.\n\n# **IBM Spectrum Virtualize performance perspectives**\n\nIBM Spectrum Virtualize software was developed by the IBM Research Group. It is designed to run on commodity hardware (mass-produced Intel-based processors [CPUs] with mass-produced expansion cards) and to provide distributed cache and a scalable cluster architecture. One of the main goals of this design was to use refreshes in hardware. Currently, the Storwize V7000 cluster is scalable up to eight nodes (four control enclosures).\n\nThe performance is near linear when nodes are added into the cluster until performance eventually becomes limited by the attached components. Although virtualization provides significant flexibility in terms of the components that are used, it does not diminish the necessity of designing the system around the components so that it can deliver the level of performance that you want.\n\nThe key item for planning is your SAN layout. Switch vendors have slightly different planning requirements, but the goal is that you always want to maximize the bandwidth that is available to the Storwize V7000 ports. The Storwize V7000 is one of the few devices that can drive ports to their limits on average; therefore, it is imperative that you put significant thought into planning the SAN layout.\n\nEssentially, performance improvements are gained by selecting the most appropriate internal disk drive types, spreading the workload across a greater number of back-end resources when using external storage, and adding more caching. These capabilities are provided by the Storwize V7000 cluster. However, the performance of individual resources eventually becomes the limiting factor.", - "page_start": 762, - "page_end": 762, - "source_file": "sg247938.pdf" - }, - { - "text": "*Figure 3-5 Overview of eight-path host zoning*\n\nFor more information, see Chapter 8, \"Hosts\" on page 317.\n\n# **3.6.6 Zoning considerations for Metro Mirror and Global Mirror**\n\nThe SAN configurations that use intercluster Metro Mirror and Global Mirror relationships require the following other switch zoning considerations:\n\n- -Review the latest requirements and recommendations at this website.\n- - If two ISLs are connecting the sites, split the ports from each node between the ISLs. That is, exactly one port from each node must be zoned across each ISL.\n- - Local clustered system zoning continues to follow the standard requirement for all ports on all nodes in a clustered system to be zoned to one another.\n\nWhen designing zoning for a geographically dispersed solution, consider the effect of the cross-site links on the performance of the local system.\n\n**Important:** Be careful when you perform the zoning so that ports that are dedicated for intra-cluster communication are *not* used for Host/Storage traffic in the 8-port and 12-port configurations.\n\nThe use of mixed port speeds for intercluster communication can lead to port congestion, which can negatively affect the performance and resiliency of the SAN. Therefore, it is not supported.", - "page_start": 78, - "page_end": 78, - "source_file": "sg247938.pdf" - }, - { - "text": "# **3.6.5 Host zones**\n\nHost must be zoned to the I/O Group to access volumes that are presented by this I/O Group.\n\nThe preferred zoning policy is to create a separate zone for each host HBA port, and place exactly one port from each node in each I/O group that the host accesses in this zone. For deployments with more than 64 hosts defined in the system, this host zoning scheme is mandatory.\n\nIf you plan to use NPIV, see the other host zoning requirements at that available at this website.\n\nWhen a dual-core SAN design is used, it is a requirement that no internode communications use the ISL link. When you create host zones in this type of configuration, ensure that each system port in the host zone is attached to the same Fibre Channel switch.\n\nConsider the following rules for zoning hosts with the Storwize V7000:\n\n- -HBA to Storwize V7000 port zones\nPlace each host's HBA in a separate zone with exactly one port from each node in each I/O group that the host accesses.\n\nIt is not prohibited to zone host's HBA to one port from every node in the cluster, but it does reduce the maximum number of hosts that can be attached to the system.\n\n**Number of paths:** For *n* + 1 redundancy, use the following number of paths:\n\n- - With two HBA ports, zone HBA ports to Storwize V7000 ports 1:2 for a total of four paths.\n- - With four HBA ports, zone HBA ports to Storwize V7000 ports 1:1 for a total of four paths.\n- - Optional (*n*+2 redundancy): With four HBA ports, zone HBA ports to Storwize V7000 ports 1:2 for a total of eight paths.\n\nHere, the term *HBA port* is used to describe the SCSI initiator and *Storwize V7000 port* to describe the SCSI target.\n\n- -Maximum host paths per logical unit (LU)\nFor any volume, the number of paths through the SAN from the Storwize V7000 nodes to a host must not exceed eight. For most configurations, four paths to an I/O Group are sufficient.\n\n**Important:** The maximum number of host paths per LUN must not exceed eight.\n\nAnother way to control the number of paths between hosts and the Storwize V7000 is to use *port mask*. The port mask is an optional parameter of the **mkhost** and **chhost** commands. The port-mask configuration has no effect on iSCSI connections.\n\nFor each login between a host Fibre Channel port and node Fibre Channel port, the node examines the port mask for the associated host object. It then determines whether access is allowed (port mask bit for specific port is set) or denied (port mask bit is cleared).\n\nIf access is denied, the node responds to SCSI commands as though the HBA WWPN is unknown. The port mask is 64 bits. Valid mask values range from all zeroes (no ports enabled) to all ones (all ports enabled). For example, a mask of 0011 enables port 1 and port 2. The default value is all 1s.", - "page_start": 75, - "page_end": 75, - "source_file": "sg247938.pdf" - }, - { - "text": "# **3.12.1 Queue depth**\n\nTypically, hosts issue subsequent I/O requests to storage systems without waiting for completion of previous ones. The number of outstanding requests is called *queue depth*. Sending multiple I/O requests in parallel (asynchronous I/O) provides significant performance benefits compared to sending them one-by-one (synchronous I/O). However, if the number of queued requests exceeds the maximum that is supported by the storage controller, you experience performance degradation.\n\nTherefore, for large storage networks, plan for setting correct SCSI commands queue depth on your hosts. For this purpose, a large storage network is defined as one that contains at least 1000 volume mappings. For example, a deployment with 50 hosts with 20 volumes mapped to each of them is considered a large storage network. For more information about the queue depth calculations, search for \"Queue depth in large SANs\" at this IBM Knowledge Center web page.\n\n# **3.12.2 Offloaded data transfer**\n\nIf your Windows hosts are configured to use Microsoft Offloaded Data Transfer (ODX) to offload the copy workload to the storage controller, consider the benefits of this technology against extra load on storage controllers. The benefits and effects of enabling ODX are especially prominent in Microsoft Hyper-V environments with ODX enabled.\n\n# **3.13 Host mapping and LUN masking**\n\nHost mapping is similar in concept to LUN mapping or masking. LUN mapping is the process of controlling which hosts have access to specific LUs within the disk controllers. LUN mapping is typically done at the storage system level. Host mapping is done at the software level.\n\nLUN masking is usually implemented in the device driver software on each host. The host has visibility of more LUNs than it is intended to use. The device driver software masks the LUNs that are not to be used by this host. After the masking is complete, only some disks are visible to the operating system. The system can support this type of configuration by mapping all volumes to every host object and by using operating system-specific LUN masking technology. However, the default (and preferred) system behavior is to map only those volumes that the host is required to access.\n\nThe act of mapping a volume to a host makes the volume accessible to the WWPNs or iSCSI names such as iSCSI qualified names (IQNs) or extended-unique identifiers (EUIs) that are configured in the host object.\n\n# **3.13.1 Planning for large deployments**\n\nEach I/O Group can have up to 512 host objects defined. This limit is the same whether hosts are attached by using FC, iSCSI, or a combination of both. To allow more than 512 hosts to access the storage, you must divide them into groups of 512 hosts or less, and map each group to single I/O Group only. This approach allows you to configure up to 2048 host objects on a system with four I/O Groups (eight nodes).\n\nFor best performance, split each host group into two sets. For each set, configure the preferred access node for volumes presented to the host set to one of the I/O Group nodes. This approach helps to evenly distribute load between the I/O Group nodes.", - "page_start": 92, - "page_end": 92, - "source_file": "sg247938.pdf" - }, - { - "text": "The following numbers correspond to the numbers that are shown in Figure 11-91 on page 527:\n\n- -(1) The first write is performed from the host to LBA X.\n- - (2) The host is provided acknowledgment that the write completed even though the mirrored write to the auxiliary volume is not yet complete.\n- -(1') and (2') occur asynchronously with the first write.\n- - (3) The second write is performed from the host also to LBA X. If this write occurs before (2'), the write is written to the journal file.\n- -(4) The host is provided acknowledgment that the second write is complete.\n\n#### **Delay simulation**\n\nGlobal Mirror provides a feature that enables a delay simulation to be applied on writes that are sent to the auxiliary volumes. With this feature tests can be done to detect colliding writes, also it provides the capability to test an application before the full deployment. The feature can be enabled separately for each of the intracluster or intercluster Global Mirrors.\n\nBy using the **chsystem** command, the delay setting can be setup and with the **lssystem** command the delay can be checked. The gm_intra_cluster_delay_simulation field expresses the amount of time that intracluster auxiliary I/Os are delayed. The gm_inter_cluster_delay_simulation field expresses the amount of time that intercluster auxiliary I/Os are delayed. A value of zero disables the feature.\n\n**Tip:** If you are experiencing repeated problems with the delay on your link, make sure that the delay simulator was properly disabled.\n\n# **11.6.13 Using Change Volumes with Global Mirror**\n\nGlobal Mirror is designed to achieve an RPO as low as possible so that data is as up-to-date as possible. This design places several strict requirements on your infrastructure. In certain situations with low network link quality, congested hosts, or overloaded hosts, you might be affected by multiple 1920 congestion errors.\n\nCongestion errors happen in the following primary situations:\n\n- -At the source site through the host or network\n- -In the network link or network path\n- -At the target site through the host or network\n\nGlobal Mirror has functionality that is designed to address the following conditions, which might negatively affect certain Global Mirror implementations:\n\n- -The estimation of the bandwidth requirements tends to be complex.\n- -Ensuring that the latency and bandwidth requirements can be met is often difficult.\n- -Congested hosts on the source or target site can cause disruption.\n- -Congested network links can cause disruption with only intermittent peaks.\n\nTo address these issues, *Change Volumes* were added as an option for Global Mirror relationships. Change volumes use the FlashCopy functionality, but they cannot be manipulated as FlashCopy volumes because they are for a special purpose only. Change volumes replicate point-in-time images on a cycling period. The default is 300 seconds.", - "page_start": 549, - "page_end": 549, - "source_file": "sg247938.pdf" - }, - { - "text": "When configuring multiple masters, the cluster installation process supports the native HA method. This method uses the native HA master capabilities that are built into OpenShift Container Platform and can be combined with any Load Balancing solution.\n\nIf a host is defined in the [lb] section of the inventory file, Ansible installs and configures HAProxy automatically as the load balancing solution. If no host is defined, it is assumed that you pre-configured an external load balancing solution of your choice to balance the master API (port 8443) on all master hosts.\n\n**Note:** The HAProxy Load Balancer is intended to demonstrate the API server's HA mode and is not recommended for production environments. If you are deploying to a cloud provider, Red Hat recommends deploying a cloud-native TCP-based Load Balancer or take other steps to provide a highly available load balancer.\n\n#### **DNS**\n\nDNS service is an important component in the Red Hat OpenShift Container Platform environment. Regardless of the provider of DNS, an organization is required to have certain records in place to serve the various Red Hat OpenShift Container Platform components.\n\nConsidering the Load Balancer values for the Red Hat OpenShift Container Platform master service and infrastructure nodes running router Pods are known beforehand, entries must be configured into the DNS before starting the deployment procedure.\n\n#### *DNS for OpenShift applications*\n\nApplications that are served by OpenShift are accessible by the router on ports 80/TCP and 443/TCP. The router uses a wildcard record to map all host names under a specific sub domain to the same IP address without requiring a separate record for each name. This process allows Red Hat OpenShift Container Platform to add applications with arbitrary names if they are under that sub domain.\n\nFor example, a wildcard record for *.apps.example.com causes DNS name lookups for app1.apps.example.com and app2.apps.example.com to both return the same IP address: 9.109.x.y. All traffic is forwarded to the OpenShift Infrastructure Nodes (Routers). The Routers examine the HTTP headers of the queries and forward them to the correct destination.\n\nWith a load-balancer host address of 9.109.x.y, the wildcard DNS record for *.apps.example.com resolves IP address 9.109.x.y.\n\nA simple DNS round-robin resolution can be used to spread traffic across infrastructure nodes.\n\nFor production environments, it is recommended to have more advanced load balancing capabilities to distribute the traffic among the OpenShift Routers. In those cases, an external Load Balancer is used.\n\n#### **OpenShift Software Defined Networking (SDN)**\n\nRed Hat OpenShift Container Platform offers the ability to specify how pods communicate with each other. This process can be done by using Red Hat provided Software-defined networks (SDN) or a third-party SDN.\n\nDeciding on the suitable internal network for an Red Hat OpenShift Container Platform step is a crucial step. Unfortunately, no correct answer exists regarding the suitable pod network to chose because this choice varies based on the specific scenario requirements for how a Red Hat OpenShift Container Platform environment is to be used.", - "page_start": 109, - "page_end": 109, - "source_file": "sg248459.pdf" - }, - { - "text": "Table 3-5 lists the amount of heartbeat traffic (in megabits per second) that is generated by various sizes of clustered systems.\n\n| Storwize V7000 System 1 | | Storwize V7000 System 2 | | |\n| --- | --- | --- | --- | --- |\n| | 2 nodes | 4 nodes | 6 nodes | 8 nodes |\n| 2 nodes | 5 | 06 | 06 | 06 |\n| 4 nodes | 6 | 10 | 11 | 12 |\n| 6 nodes | 6 | 11 | 16 | 17 |\n| 8 nodes | 6 | 12 | 17 | 21 |\n\n*Table 3-5 Intersystem heartbeat traffic in Mbps*\n\nThese numbers estimate the amount of traffic between the two clustered systems when no I/O is taking place to mirrored volumes. Half of the data is sent by each of the systems. The traffic is divided evenly over all available intercluster links. Therefore, if you have two redundant links, half of this traffic is sent over each link.\n\nThe bandwidth between sites must be sized to meet the peak workload requirements. You can estimate the peak workload requirement by measuring the maximum write workload averaged over a period of 1 minute or less, and adding the heartbeat bandwidth. Statistics must be gathered over a typical application I/O workload cycle, which might be days, weeks, or months, depending on the environment in which the Storwize V7000 is used.\n\nWhen planning the inter-site link, consider also the initial sync and any future resync workloads. It might be worthwhile to secure additional link bandwidth for the initial data synchronization.\n\nIf the link between the sites is configured with redundancy so that it can tolerate single failures, you must size the link so that the bandwidth and latency requirements are met even during single failure conditions.\n\nWhen planning the inter-site link, make a careful note whether it is dedicated to the inter-cluster traffic or is going to be used to carry any other data. Sharing link with other traffic (for example, cross-site IP traffic) might reduce the cost of creating the inter-site connection and improve link utilization. However, doing so might affect the links' ability to provide the required bandwidth for data replication.\n\nVerify carefully that the devices that you plan to use to implement the intercluster link are supported.\n\n# **Cluster configuration**\n\nIf you configure replication services, you might decide to dedicate ports for intercluster communication, intracluster traffic, or both. In that case, make sure that your cabling and zoning reflects that decision. Also, such dedicated ports are inaccessible for host or back-end storage traffic, so plan your volume mappings and hosts and back-end storage connections accordingly.", - "page_start": 98, - "page_end": 98, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 12-4 Horizontal and vertical scaling with multiple LPARs\n\nThis scenario is in organizations with large systems, such as AIX or z/OS, that are installed and that have enough available capacity to support the required Content Manager OnDemand workload. One advantage of this configuration is that you can control the priority of work and computer resource distribution to each of the LPARs, such as the number of processors or the processing priority (depending on the computer system/operating system architecture) that is allocated to each of the LPARs. So, for example, load jobs can be assigned a low priority during the day when the focus is on data retrieval and a high priority during the night when the focus is on data loading.\n\nThis setup supports horizontal scalability by using multiple technologies as appropriate. The main constraint is that clients must have access to all systems through TCP/IP.\n\n# **12.2.6 Multiple server configuration rules**\n\nThe following general rules apply when you configure multiple Content Manager OnDemand servers. In all cases, for additional guidance, see the appropriate Content Manager OnDemand documentation or contact Content Manager OnDemand Lab Services.\n\n- -Each Content Manager OnDemand server has its own set of configuration files.\n- - The parameters in all configuration files must be set so that all of the servers are part of the same instance.\n- - The Content Manager OnDemand clients connect to the IP address listening port of the Content Manager OnDemand server (library server module).\n- - The documents are retrieved from the various object servers based on the location information that is returned by the library server. This retrieval is transparent to the client systems.\n- -Parallel load processes must have separate temp directories.\n\nFigure 12-5 on page 292 depicts this configuration type.", - "page_start": 314, - "page_end": 314, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "Which orbiting instrument provides near-continuous full-sky coverage in the hard X-ray/low-energy gamma-ray range?", - "target_page": 1, - "target_passage": "Gamma ray Burst Monitor", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi\n\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\nA. Camero-Arranz\n\nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\nE. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\nM.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n### I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It consists of 12 NaI detectors 500 in diameter by 0.500 thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 500 in diameter by 500 thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140◦ , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ±35◦ slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26.5 ◦ , individual occultation steps last for ∼10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T(t) = exp[−µ(E)A(h)], where µ(E) is the mass attenuation coefficient of gamma rays at energy E in air and A(h) is the air mass along the line of sight at a given altitude h(t). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5σ after ∼ 490 days of observations, and one transient source.\n\n#### III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n#### A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBM CTIME data do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "| | | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Flux | Error | Signif. | Flux | Error | Signif. | Flux | Error | Signif. |\n| | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\nTABLE I: Fluxes and Significance in High Energy Bands\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in modified Julian days.\n\nwill use the GBM CSPEC data with their finer energy bins to obtain a fit to the spectrum and compare the power law index to that measured by Integral.\n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with the compact object likely being a black hole. Swift discovered this source when it observed a large flare in July of 2005. The source did not return to quiescence but settled into a low intensity hard state [14]. BATSE occultation measurements from 1991- 2000 showed no significant emission from this source above 25 keV [15]. The GBM results show that this source is still in a hard state, with significant emission above 100 keV. We will continue to monitor this\n\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale is in modified Julian days.\n\nsource while it is in the hard state, with longer observations potentially verifying significant emission above 300 keV.\n\n#### B. Transient Source\n\nThe new transient black hole candidate XTE J1752-223 rose from undetectable on 2009 October 24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab (25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and 330 ± 100 mCrab (100 - 300 keV) on 2009 November 2 [2, 16]. The light curve is variable, especially in the", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. Stecker et al. 1996, ApJ, 473, L75\n- [8] P. Giommi et al. 2005, A&A, 434, 385\n- [9] S. Turriziani et al. 2007, A&A, 472, 699\n- [10] L. Costamante 2006, arXiv:0612709\n- [11] P. Padovani et al. 2002, ApJ, 581, 895\n- [12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n- [13] A.A. Abdo et al. 2009, ApJ, 700, 597\n- [14] V.A. Acciari et al. 2008, ApJ, 684, L73\n- [15] V.A. Acciari et al. 2009, ApJ, 707, 612\n- [16] V.A. Acciari et al. 2009, ApJ, 690, L126\n- [17] V.A. Acciari et al. 2009, ApJ, 693, L104\n- [18] L.C. Reyes 2009, arXiv:0907.5175\n- [19] R.A. Ong 2009, ATel, 1941\n- [20] R.A. Ong et al. 2009, ATel, 2272\n- [21] V.A. Acciari et al. 2009, ApJ, 708, L100\n- [22] R.A. Ong et al. 2009, ATel, 2301\n- [23] R.A. Ong et al. 2009, ATel, 2260\n- [24] R.A. Ong et al. 2009, ATel, 2309\n- [25] W. Benbow 2009, arXiv:0908.1412\n- [26] V.A. Acciari et al. 2009, ApJ, submitted\n- [27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n- [28] V.A. Acciari et al. 2009, ApJ, in press\n- [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1.8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.\n\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What is Cyg X-1?", - "target_page": 3, - "target_passage": "is a HMXB and one of the first systems determined to contain a black hole", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1.8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.\n\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "| | | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Flux | Error | Signif. | Flux | Error | Signif. | Flux | Error | Signif. |\n| | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\nTABLE I: Fluxes and Significance in High Energy Bands\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in modified Julian days.\n\nwill use the GBM CSPEC data with their finer energy bins to obtain a fit to the spectrum and compare the power law index to that measured by Integral.\n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with the compact object likely being a black hole. Swift discovered this source when it observed a large flare in July of 2005. The source did not return to quiescence but settled into a low intensity hard state [14]. BATSE occultation measurements from 1991- 2000 showed no significant emission from this source above 25 keV [15]. The GBM results show that this source is still in a hard state, with significant emission above 100 keV. We will continue to monitor this\n\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale is in modified Julian days.\n\nsource while it is in the hard state, with longer observations potentially verifying significant emission above 300 keV.\n\n#### B. Transient Source\n\nThe new transient black hole candidate XTE J1752-223 rose from undetectable on 2009 October 24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab (25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and 330 ± 100 mCrab (100 - 300 keV) on 2009 November 2 [2, 16]. The light curve is variable, especially in the", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T(t) = exp[−µ(E)A(h)], where µ(E) is the mass attenuation coefficient of gamma rays at energy E in air and A(h) is the air mass along the line of sight at a given altitude h(t). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5σ after ∼ 490 days of observations, and one transient source.\n\n#### III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n#### A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBM CTIME data do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "FIG. 3. (color online) (a) Polarization-averaged Mn L 2 , 3 spectrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured in remanence at 2 K; (c) XMCD spectra measured under a 1000 Oe applied field at 2 K; (d) XMCD spectrum measured under a 2000 Oe applied field at 300 K. XMCD spectra are obtained using TEY (thick red lines) and FY (thin blue lines) detection.", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2449.pdf" - }, - { - "text": "# Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi\n\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\nA. Camero-Arranz\n\nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\nE. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\nM.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n### I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It consists of 12 NaI detectors 500 in diameter by 0.500 thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 500 in diameter by 500 thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140◦ , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ±35◦ slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26.5 ◦ , individual occultation steps last for ∼10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "significant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.\n\nThe shift in originating traffic is the result of implementing software capable of identifying actual interstate and intrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate and intrastate traffic types by the interexchange carriers.\n\nThe following table shows the access traffic minutes of use for the two years of 2003 and 2002.\n\n| Minutes of use (in thousands) | 2003 2003 | | | 2002 2002 2002 | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| (net of intercompany usage) | | | | | | | |\n| | Originating Originating | | Terminating Terminating | Originating Originating | Originating | Terminating | Terminating Terminating |\n| Interstate | 29,373 | | 87,539 | 42,929 | 42,929 | 63,959 | 63,959 |\n| Intrastate | 37,190 | | 49,103 | 22,684 | 22,684 | 36,712 | 36,712 |\n| Total | 66,563 | | 136,642 | 65,613 | 65,613 | 100,671 | 100,671 |\n| Access revenue (in thousands) | 2003 2003 | | | | 2002 2002 | 2002 | |\n| (net of intercompany usage) | As reported As reported | | Pro forma Pro forma | As reported As reported | As reported | Pro forma | Pro forma Pro forma |\n| Traffic sensitive (1) | $ 4,274 | | $ 4,974 | $ 4,676 | $ 4,676 | $ 3,976 | $ 3,976 |\n| Special access revenues | | 1,606 | 1,606 | 1,247 | 1,247 | 1,247 | 1,247 |\n| Carrier common line settlement | 5,750 | | 5,750 | 4,978 | 4,978 | 4,978 | 4,978 |\n| Total | 11,630 $ | | $ 12,330 | $ 10,901 | $ 10,901 | $ 10,201 | $ 10,201 |\n\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing dispute adjustment and the impact of the NECA settlement adjustments.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "#### Defining Momentum for Our Industry\n\nThe gaming industry in America is maturing, and international expansion, while exciting in select markets, remains challenging. As a result, your company has pursued a growth strategy that calls for maximizing the assets we currently own and seeking prudent development opportunities and strategic acquisitions.\n\nUpon completion of our merger with Mandalay, MGM MIRAGE will be the world's leading gaming and leisure company. The combination will result in a wellcapitalized company uniquely situated to invest in its current portfolio in addition to creating new projects in the United States and around the world.\n\nWe believe this is an outstanding transaction for the shareholders of both companies. With this acquisition, we will own, operate and have investments in 28 properties throughout Nevada, Mississippi, Illinois, Michigan, and New Jersey.\n\nThe combined company will have an asset portfolio which includes some of the most widely recognized brand names in the world. These properties cater to a broad customer base, ranging from value-oriented to the ultrahigh end. Each resort provides a unique customer experience through its specific personality and combination of amenities.\n\n**FIX** BELLAGIO Classic American fare using the freshest fish, meat, and poultry cooked to order on a wood-burning grill. Costa Rican Padouk wood inspires a warm environment in a unique, vibrant design.\n\n*Mystère*\n\n® by Cirque du Soleil®\n\nWe also will have at Mandalay Bay the fifth largest convention center in the United States, providing the company with a great resource to further develop the business travel and convention market.\n\nBut the bricks and mortar tell only part of the story of this transaction. At the heart of Mandalay is its people. Mandalay employees at all levels are energetic and talented and will be a tremendous asset to us. Together, we will become a family in excess of 70,000 people committed to delivering the best possible experiences for our guests. The transaction also will create unparalleled opportunities for our entire family of employees.\n\nIn short, this groundbreaking transaction creates unstoppable momentum for all stakeholders in the MGM MIRAGE family.\n\n#### Defining Momentum in our Properties\n\nIn 2004, your company invested over $690 million of capital in the creation of new restaurants, clubs, shows and nightspots as well as the development of strategic enhancements to existing amenities. These investments generated exceptional returns in a time when competition for the entertainment dollar has never been higher.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "#### **Note 14. Segment Reporting (Continued)**\n\n| Holding | | | Telco | | CATV | ShenTel | | Leasing | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Operating revenues - external: | | | | (in thousands) | | | | | |\n| 2003 $ | - | | $ 22,729 | $ | 4,433 | $ 6,897 | | $ 14 | |\n| 2002 | - | | 22,461 | | 4,358 | 6,312 | | | 20 |\n| 2001 | - | | 21,599 | | 3,810 | 5,078 | | | 25 |\n| Operating revenues - internal: | | | | | | | | | |\n| 2003 $ | - | $ | 3,062 | $ | 24 | $ | 307 | $ | - |\n| 2002 | - | | 2,888 | | 5 | | 349 | | - |\n| 2001 | - | | 2,532 | | 2 | | 362 | | - |\n| Depreciation and amortization: | | | | | | | | | |\n| 2003 $ | 196 | $ | 4,279 | $ | 777 | $ | 410 | $ | - |\n| 2002 | 196 | | 3,798 | | 718 | | 414 | | - |\n| 2001 | 196 | | 3,609 | | 1,354 | | 472 | | - |\n| Operating income (loss): | | | | | | | | | |\n| 2003 $ | (726) (726 | $ | 11,927 11,927 | $ | 890 | $ 1,469 | | $ | 4 |\n| 2002 | (555) | | 11,908 | | 1,145 | | 776 | | 11 |\n| 2001 | (504) | | 12,321 | | 54 | | 168 | | 10 |\n| Non-operating income less expenses: | | | | | | | | | |\n| 2003 $ | 4,275 | $ | (151) | $ | (31) | $ | 9 | $ | 1 |\n| 2002 | 4,966 | | (474) | | (23) | | (93) | | 1 |\n| 2001 | 3,804 | | 646 | | (184) | (36) | | | 1 |\n| Interest expense: | | | | | | | | | |\n| 2003 $ | 3, 070 3,070 | $ | 443 | $ | 514 | $ | 171 | $ | - |\n| 2002 | 3,540 | | 662 | | 583 | | 165 | | - |\n| 2001 | 2,664 | | 1,428 | | 690 | | 237 | | - |\n| Income tax expense (benefit) from continuing operations: | | | | | | | | | |\n| 2003 $ | 29 | $ | 4,268 | $ | 146 | $ | 501 | $ | 2 |\n| 2002 | (3,363) | | 3,237 | | 198 | | 191 | | 5 |\n| 2001 | 5,117 | | 4,373 | | (312) | (32) | | | 4 |\n| Income (loss) from continuing operations: | | | | | | | | | |\n| 2003 $ | 7 | $ | 7,064 | $ | 200 | $ | 805 | $ | 3 |\n| 2002 | (5,771) | | 7,536 | | 341 | | 327 | | 8 |\n| 2001 | 8,463 | | 7,167 | | (509) | (73) | | | 7 |\n| Income from discontinued operations, net of taxes: | | | | | | | | | |\n| 2003 $ | - - | $ | 12 | $ | - | $ | - | $ | - |\n| 2002 | - - | | 72 | | 2 | | - | | - |\n| 2001 | - - | | 72 | | 2 | | - | | - |\n| Net income (loss) including cumulative effect | | | | | | | | | |\n| 2003 $ | 7 | $ | 7,076 | $ | 200 | $ | 805 | $ | 3 |\n| 2002 | (5,771) | | 7,608 | | 343 | | 327 | | 8 |\n| 2001 | 8,463 | | 7,239 | | (507) | | (73) | | 7 |\n| Total assets: | | | | | | | | | |\n| 2003 | $141,658 | | $ 57,533 | | $ 10,340 | $ 6,721 | | $188 | |\n| 2002 | 112,765 | | 59,554 | | 10,961 | 6,255 | | | 187 |\n| 2001 | 114,280 | | 56,090 | | 11,480 | 5,373 | | | 254 |\n\nSelected financial data for each segment is as follows:", - "page_start": 37, - "page_end": 37, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549**\n\n#### **FORM 10-K**\n\n**(Mark One)**\n\n#### **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 31, 2015**\n\n**or**\n\n**TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n**For the transition period from ___________ to___________**\n\n**Commission file number 001-15059**\n\n# **NORDSTROM, INC.**\n\n(Exact name of registrant as specified in its charter)\n\n(State or other jurisdiction of incorporation or organization)\n\n**1617 Sixth Avenue, Seattle, Washington 98101**\n\n(Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **206-628-2111**\n\nSecurities registered pursuant to Section 12(b) of the Act:\n\n**Common stock, without par value New York Stock Exchange**\n\nTitle of each class Name of each exchange on which registered\n\nSecurities registered pursuant to Section 12(g) of the Act: **None**\n\nIndicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES NO\n\nIndicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. YES NO\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES NO\n\nIndicate by check mark whether the registrant has submitted electronically and posted on its corporate Website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). YES NO\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of \"large accelerated filer,\" \"accelerated filer\" and \"smaller reporting company\" in Rule 12b-2 of the Exchange Act.\n\nLarge accelerated filer Accelerated filer\n\nNon-accelerated filer (Do not check if a smaller reporting company) Smaller reporting company\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). YES NO\n\nAs of August 1, 2014 the aggregate market value of the Registrant's voting and non-voting stock held by non-affiliates of the Registrant was approximately $10.6 billion using the closing sales price on that day of $68.95. On March 2, 2015, 190,405,729 shares of common stock were outstanding.\n\n#### **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Proxy Statement for the 2015 Annual Meeting of Shareholders scheduled to be held on May 5, 2015 are incorporated into Part III.\n\n**Washington 91-0515058** (I.R.S. Employer Identification No.)", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What satellite is the Gamma Ray Burst Observatory on?", - "target_page": 1, - "target_passage": " Fermi satellite", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi\n\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\nA. Camero-Arranz\n\nFundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\nE. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\nM.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n### I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It consists of 12 NaI detectors 500 in diameter by 0.500 thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 500 in diameter by 500 thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140◦ , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ±35◦ slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26.5 ◦ , individual occultation steps last for ∼10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "| | | 50 - 100 keV | | | 100 - 300 keV | | | 300 - 500 keV | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Flux | Error | Signif. | Flux | Error | Signif. | Flux | Error | Signif. |\n| | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) | | (mCrab) (mCrab) | (σ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\nTABLE I: Fluxes and Significance in High Energy Bands\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in modified Julian days.\n\nwill use the GBM CSPEC data with their finer energy bins to obtain a fit to the spectrum and compare the power law index to that measured by Integral.\n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with the compact object likely being a black hole. Swift discovered this source when it observed a large flare in July of 2005. The source did not return to quiescence but settled into a low intensity hard state [14]. BATSE occultation measurements from 1991- 2000 showed no significant emission from this source above 25 keV [15]. The GBM results show that this source is still in a hard state, with significant emission above 100 keV. We will continue to monitor this\n\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale is in modified Julian days.\n\nsource while it is in the hard state, with longer observations potentially verifying significant emission above 300 keV.\n\n#### B. Transient Source\n\nThe new transient black hole candidate XTE J1752-223 rose from undetectable on 2009 October 24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab (25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and 330 ± 100 mCrab (100 - 300 keV) on 2009 November 2 [2, 16]. The light curve is variable, especially in the", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T(t) = exp[−µ(E)A(h)], where µ(E) is the mass attenuation coefficient of gamma rays at energy E in air and A(h) is the air mass along the line of sight at a given altitude h(t). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5σ after ∼ 490 days of observations, and one transient source.\n\n#### III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ��� 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n#### A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBM CTIME data do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1.8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.\n\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "When in present-day Poland did the first shift away from earlier ancestry occur?", - "target_page": 3, - "target_passage": "in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "## **Fig. 3 | Time transects across six geographical regions in Europe.**\n\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze Age to the present day in Poland (**a**), southeastern Europe (**b**), central Europe (**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample locations of all available ancient genomes with at least 0.5× coverage from\n\nmedieval individuals (*P* ≪ 1 × 10−32). Instead, the majority of individuals from medieval Poland can be modelled only as a mixture of ancestries related to Roman Iron Age Lithuania, which is similar to ancestries of individuals from middle to late Bronze Age Poland (44%, 95% confidence interval 36–51%), an ancestry component related to Hungarian Scythians or Slovakian La Tène individuals (49%, 95% confidence interval 41–57%) and potentially a minority component of ancestry related to Sarmatians from the Caucasus (*P* = 0.13) (Fig. 2c). Four out of twelve individuals from medieval Poland, three of whom are from the late Viking Age6 , carried detectable Scandinavian-related ancestry. Some of the ancestry detected in individuals from later medieval Poland may have persisted during the late first millennium ce in the cremating portion of the population, but regardless, this points to large-scale ancestry transformation in medieval Poland (Fig. 3a). Future data could shed light on the extent to which this reflects the influence of groups speaking Slavic languages in the region.\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same MDS model as in Fig. 2a for each time period. For each geographic region, the early medieval period is highlighted in orange and the area in the MDS corresponding to Scandinavian and central European ancestries is highlighted in an orange box.\n\nIn present-day Slovakia, individuals associated with the Iron Age La Tène period appear close to Hungarian Scythians in the two dimensions of our MDS analysis, and are modelled as a mixture of central and eastern European ancestry. However, a first-century ce burial of a 50–60-year-old woman from Zohor is modelled only with Scandinavian-related ancestry, providing evidence of ancestry related to the Scandinavian EIA appearing southwest of the range of the Wielbark archaeological complex5,57 (Fig. 3b). Later early medieval individuals from Slovakia have partial Scandinavian-related ancestry, providing evidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related ancestry components in several burials dating to the sixth century ce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). This is consistent with the original study10, which reported affinity to present-day groups from northwestern Europe (GBR, CEU and FIN in the 1000 Genomes Project (1000GP))10 but which we can resolve with", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "# **High-resolution genomic history of early medieval Europe**\n\nhttps://doi.org/10.1038/s41586-024-08275-2\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\nCheck for updates\n\n**Leo Speidel1,2,3** ✉**, Marina Silva1 , Thomas Booth1 , Ben Raffield4 , Kyriaki Anastasiadou1 , Christopher Barrington5 , Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1** ✉\n\nMany known and unknown historical events have remained below detection thresholds of genetic studies because subtle ancestry changes are challenging to reconstruct. Methods based on shared haplotypes1,2 and rare variants3,4 improve power but are not explicitly temporal and have not been possible to adopt in unbiased ancestry models. Here we develop Twigstats, an approach of time-stratifed ancestry analysis that can improve statistical power by an order of magnitude by focusing on coalescences in recent times, while remaining unbiased by population-specifc drift. We apply this framework to 1,556 available ancient whole genomes from Europe in the historical period. We are able to model individual-level ancestry using preceding genomes to provide high resolution. During the frst half of the frst millennium ce, we observe at least two diferent streams of Scandinavian-related ancestry expanding across western, central and eastern Europe. By contrast, during the second half of the frst millennium ce, ancestry patterns suggest the regional disappearance or substantial admixture of these ancestries. In Scandinavia, we document a major ancestry infux by approximately 800 ce, when a large proportion of Viking Age individuals carried ancestry from groups related to central Europe not seen in individuals from the early Iron Age. Our fndings suggest that time-stratifed ancestry analysis can provide a higher-resolution lens for genetic history.\n\nAncient genome sequencing has revolutionized our ability to reconstruct expansions, migrations and admixture events in the ancient past and understand their impact on human genetic variation today. However, tracing history using genetic ancestry has remained challenging, particularly in historical periods for which the richest comparative information from history and archaeology often exists. This is because ancestries in many geographical regions are often so similar as to be statistically indistinguishable with current approaches. One example is northern and central Europe since the start of the Iron Age around 500 bce, a period for which many long-standing questions remain, such as the nature of large-scale patterns of human migration during the fourth to sixth centuries ce, their impact on the Mediterranean world and later patterns of human mobility during the Viking Age (around 750–1050 ce).\n\nSeveral recent studies have documented substantial mobility and genetic diversity in these time periods, suggesting stable population structure despite high mobility5 , and have revealed genetic variation in Viking Age Scandinavia6–8 , early medieval England3,9 , early medieval Hungary10,11 and Iron Age and medieval Poland12. However, previous studies mostly used large modern cohorts to study ancestry change through time and space. This is because the differentiation between Iron Age groups in central and northern Europe is an order of magnitude lower (fixation index (*F*ST) = 0.1–0.7%; Extended Data Fig. 1) than, for example, the more commonly studied hunter-gatherer, early farmer and steppe-pastoralist groups that shaped the ancestry landscape of Stone Age and Bronze Age Europe13–16 (*F*ST = 5–9% (refs. 13,17)). Modern populations provide more power to detect differences, but their genetic affinity to ancient individuals may be confounded by later gene flow, that is, after the time of the ancient individual(s)18. The most principled approach is thus to build ancestry models in which source and 'outgroup/reference' populations are older than, or at least contemporary with, the target genome or group that we are trying to model18. However, this has been challenging, due to the limited statistical power offered by the thousands-fold lower sample sizes and reduced sequence quality of ancient genomes.\n\nReconstructing genetic histories and ancestry models from ancient DNA (aDNA) data commonly uses methods based on *f*-statistics13,19–22. Their popularity is rooted in a number of favourable properties, such as enabling analyses of lower-quality aDNA data, relative robustness to ascertainment and theoretical guarantees of unbiasedness, including in the presence of population bottlenecks21,23. Approaches derived from *f*-statistics, such as qpAdm13, are close to unique in enabling the unbiased fitting of admixture models, including identifying the number of such events and the closest representatives of sources13,14,23. However, *f*-statistics have not always had sufficient power to reconstruct events that involve closely related ancestries, despite increasing sample sizes6,24. Methods that identify haplotypes, or shared segments of DNA that are not broken down by recombination, have previously been shown to have more power than those using individual\n\n1 Ancient Genomics Laboratory, Francis Crick Institute, London, UK. 2 Genetics Institute, University College London, London, UK. 3 iTHEMS, RIKEN, Wako, Japan. 4 Department of Archaeology and Ancient History, Uppsala University, Uppsala, Sweden. 5 Bioinformatics and Biostatistics, Francis Crick Institute, London, UK. 6 Centre for Palaeogenetics, Stockholm University, Stockholm, Sweden. 7 Department of Archaeology and Classical Studies, Stockholm University, Stockholm, Sweden. 8 Department of History, King's College London, London, UK. ✉e-mail: leo.speidel@riken.jp; pontus.skoglund@crick.ac.uk", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "higher resolution using earlier genomes. Several other individuals from these Longobard burials (Longobard_earlyMED(II)) show no detectable ancestry from northern Europe and, instead, are more closely related to Iron Age groups in continental central Europe, putatively representing descendants of local people buried in a Longobard style. Our results are consistent with attestations that the Longobards originated in the areas of present-day northern Germany or Denmark, but that by the sixth century ce they incorporated multiple different cultural identities, and mixed ancestries. Present-day populations of Hungary do not appear to derive detectable ancestry from early medieval individuals from Longobard contexts, and are instead more similar to Scythian-related ancestry sources (Extended Data Fig. 6), consistent with the later impact of Avars, Magyars and other eastern groups58.\n\nIn southern Germany, the genetic ancestry of individuals from early medieval Bavaria probably associated with the historical Germanic-language-speaking Baiuvarii59 cannot be modelled as deriving ancestry solely from earlier groups in Iron Age central Germany (*P* ≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the fifth century ce59, but their origins remain unresolved. Our current best model indicates a mixture with ancestry derived from EIA Peninsular Scandinavia and central Europe, suggesting an expansion of Scandinavian-related ancestry producing a regional ancestry shift (Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ancestries appear by the Late Antiquity (approximately fourth century ce), where a clear diversification of ancestry can be observed compared with preceding time periods (Fig. 3d). However, no individuals with near 100% Scandinavian ancestry can be observed in the sampling data available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a tight cluster in our MDS analysis (Fig. 3e), shifted relative to available preceding Bronze Age individuals from Ireland and Orkney, and adjacent to, but distinct from, available individuals in Iron Age and Roman central Europe. However, two first- to second-century ce burials from a Roman military fortress site in Austria (Klosterneuburg)5 carry ancestry that is currently indistinguishable from Iron Age or Roman populations of Britain, to the exclusion of other groups (qpWave cladality *P* = 0.11). One option is that they had ancestry from Britain; alternatively, currently unsampled populations from western continental Europe carried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between ancestries from Iron Age Britain and northern Europe in early medieval England9 , halving standard errors from 9% with SNPs to 4% when using time stratification (point estimates 80% and 79% Iron Age Britain-related ancestry, respectively). We used this improved resolution to demonstrate that an earlier Roman individual (6DT3) dating to approximately second to fourth century ce from the purported gladiator or military cemetery at Driffield Terrace in York (Roman *Eboracum*), England60, who was previously identified as an ancestry outlier61,62, specifically carried approximately 25% EIA Scandinavian Peninsula-related ancestry (Fig. 2c). This documents that people with Scandinavian-related ancestry already were in Britain before the fifth century ce, after which there was a substantial influx associated with Anglo-Saxon migrations9 . Although it is uncertain whether this individual was a gladiator or soldier, individuals and groups from northern Europe are indeed recorded in Roman sources both as soldiers and as enslaved gladiators63,64.\n\nAcross Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups—the one with individuals primarily from the northern parts of Scandinavia in the EIA—with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from EIA southern Scandinavia—as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain—or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n### **Influx into pre-Viking Age Scandinavia**\n\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 ce–300 ce) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century ce (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected (*P* = 1 × 10−17 using Twigstats; *P* = 7.5 × 10−4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 ce–300 ce)6 , an individual from the southern tip of Sweden (around 500 ce)16, individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 ce)7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium ce.\n\nTo assess the full extent of the impact of this ancestry influx into Scandinavia, we next aimed to understand the ancestry of individuals in Scandinavia during the Viking Age. Previous studies have suggested that there was a diversity of ancestries in Scandinavia during this period6,7,65, due to increased maritime mobility, but have not reported per-individual ancestry estimates based on preceding ancestry. We analysed each individual's ancestry using a rotational qpAdm scheme (Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which showed increased power in distinguishing models when restricted to recent coalescences with Twigstats (more than 80% of accepted one-source models in Twigstats were also accepted one-source models using all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across Scandinavia. In Denmark, 25 out of 53 Viking Age individuals had detectable (*z-*score > 1) central European-related ancestry (CentralEurope. IronRoman or Portugal.IronRoman) in their best accepted qpAdm models. In Sweden 20 out of 62 individuals had detectable central European-related ancestry, concentrated almost entirely in southern regions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed in only 2 out of 24 individuals, indicating a wide-ranging impact of incoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "(including one with ancestry related to Britain) are part of the majority strontium values, consistent with them having grown up locally. By contrast, the six most clearly non-local individuals based on the stable isotopes all have 50% or more EIA Scandinavian Peninsula-related ancestry, although three individuals with wholly EIA Scandinavian Peninsula-related ancestry also had local values. This suggests that the presence of central European-related ancestry was not a transient phenomenon, but an ancestry shift that occurred at some point after about 500 ce, the period to which individuals from the massacre site at Sandby Borg ringfort on Öland were dated; these individuals all have strictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is that the massacre at Sandby Borg could represent conflict associated with movements of people that contributed to later ancestry change, although other scenarios are possible and further synthesis of biomolecular and archaeological data is necessary to test this hypothesis.\n\n### **Viking Age mobility into Scandinavia**\n\nPrevious studies had suggested a major influx of ancestry related to Britain into Viking Age Scandinavia6,7 . Although we detect this ancestry in some individuals (7 individuals in Norway, 14 in Denmark and 14 in Sweden), including some individuals whose ancestry appears to be entirely derived from Iron Age Britain, its overall impact appears reduced compared with previous reports. Our analysis indicates a proportionally larger impact of ancestry from Iron Age Britain in northern Norway, with southern Scandinavia predominantly influenced by continental central European ancestries (Fig. 4d). We hypothesize that our estimates of ancestry from Britain are reduced relative to previous studies because ancestry related to Britain and continental central Europe may have been indistinguishable. This could be due to a lack of statistical power to distinguish these closely related sources with standard methods, as well as through potential biases introduced by using modern surrogate populations that have since been influenced by later gene flow (such as gene flow into Britain). We illustrate this by replicating the analyses previously described6,7 (Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such as Kärda in southern Sweden carried ancestry from southern Europe6 . In our models, two Kärda individuals fit with central European-related ancestry, but none of the individuals has a substantial proportion of ancestry related to southern European sources (Extended Data Fig. 9). Instead, we detect ancestry from southern European sources in only three individuals from Scandinavia, and in relatively small proportions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources from Eastern Europe (present-day Lithuania and Poland), concentrated in southeastern parts of Sweden, particularly the island of Gotland (14 individuals; Fig. 4a). This is consistent with previous genetic studies6,7 . We find that this ancestry is enriched in male individuals (Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. The closest match tends to be Roman Iron Age Lithuanian genomes associated with Balts, which would be consistent with mobility across the Baltic Sea, but we caution that the geographical representation of available genomes is still limited.\n\n### **Viking Age expansion from Scandinavia**\n\nTraditionally, historical perspectives on what is now often referred to as the Viking diaspora placed an emphasis on the movements and settlements of population groups from various parts of Scandinavia67. Our explorative MDS analysis again indicates mixed ancestries related to the Scandinavian EIA, with regional differences that point to varied local admixture (Fig. 4e and Extended Data Fig. 10).\n\nIn Britain, most of the individuals recovered from the two late Viking Age mass graves identified at Ridgeway Hill, Dorset, and St John's College, Oxford6 , show ancestries typical of those seen in Viking Age southern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age individuals in the Faroe Islands, Iceland and Greenland carry ancestry from the Scandinavian Peninsula, with several individuals showing the continental central Europe-related ancestry signal found in southern Scandinavia (Fig. 4f) and others who share substantial ancestry with Iron Age Britain. In contrast to previous hypotheses68, we found a marginal enrichment of ancestry related to Britain and Ireland in men (15 out of 17 men and 3 out of 6 women with at least one accepted model involving Iron or Roman Age Britain as source; Fisher's exact test *P* = 0.089) (Extended Data Fig. 7c,e). However, sampling of additional individuals to improve distinction between early English- and Norse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking Age burial from Ukraine, and these ancestries are overrepresented in Viking Age burials from present-day Russia. At Staraya Ladoga in western Russia, we observe several individuals with EIA Scandinavian Peninsula-related ancestry and at least one individual dated to the eleventh century with apparent ancestry related to Iron Age Britain. The relative absence of Iron Age central European ancestry, which was largely restricted to southern Scandinavia during the Viking Age, is thus indicative that these individuals may have originated in the central/ northern parts of Sweden or Norway, where Viking Age individuals show the most similar ancestry profiles to them.\n\n### **Conclusions**\n\nOur approach, Twigstats, transfers the power advantage of haplotypebased approaches to a fully temporal framework, which is applicable to *f*-statistics and enables previously unavailable unbiased and time-stratified analyses of admixture. We demonstrated that Twigstats enables fine-scale quantitative modelling of ancestry proportions, revealing wide-ranging ancestry changes that affect northern and central Europe during the Iron, Roman and Viking ages. We reveal evidence of the southward and/or eastward expansion of individuals who probably spoke Germanic languages and who had Scandinavian-related ancestry in the first half of the first millennium ce. We note that 'Scandinavian-related' in this context relates to the ancient genomes available, and so it is entirely possible that these processes were driven, for example, from regions in northern-central Europe. This could be consistent with the attraction of the greater wealth, which tended to build up among Rome's immediate neighbours and may have played a major role in vectors of migration internal to communities in Europe who lived beyond the Roman frontier52. Later, patterns of gene flow seem to have turned northwards, with the spread of Iron Age Central Europe-related ancestry into Scandinavia. Overall, our approach can be used for the reconstruction of new high-resolution genetic histories around the world.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41586-024-08275-2.\n\n- 1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using dense haplotype data. *PLoS Genet.* **8**, 11–17 (2012).\n- 2. Hellenthal, G. et al. A genetic atlas of human admixture history. *Science* **343**, 747–751 (2014).\n- 3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British migration history. *Nat. Commun.* **7**, 10408 (2016).\n- 4. Flegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and North America. *Nature* **570**, 236–240 (2019).\n- 5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high mobility. *eLife* **13**, e79714 (2024).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup *f*3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. **b**, The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in **a**. The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. **c**, Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries ce56. Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries ce, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable shown in black boxes. Sources are highlighted in **a** and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01, unless a −log10[*P* value] is shown next to the model. If models satisfy *P* > 0.05, we show all such models; otherwise, we show only the model with the largest *P* value. **d**, The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in **c** that have a feasible model (*P* > 0.01). In **c**,**d**, we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region12. With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason why this is a principled approach despite the 1000GP groups post-dating the ancient individuals is that if a group of ancient individuals are truly homogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group method with arithmetic mean) on −log10[*P* values] obtained from qpwave between all pairs of individuals and cut the resulting dendrogram at a height corresponding to a *P* value of 0.01. We then further subdivide clusters by requiring all samples to be within 500 years of the mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data Fig. 1d, we run this algorithm on samples from Iron and Roman Age Europe (Supplementary Table 1). We retain groups that have at least three individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Peninsula, approximately separating northern from southern Scandinavia, three clusters in Poland and Ukraine that separate samples temporally between the early and later Bronze Age, a cluster combining the Hungarian Scythian and Slovakian La Tène-associated individuals, and a cluster each for Iron and Roman Age Portugal, Italy and Lithuania. In present-day Austria, Germany and France, this approach identifies three clusters, with each cluster spanning multiple archaeological sites in different countries, indicating genetic diversity in this region in the first millennium ce. Encouragingly, these clusters separate in our non-parametric MDS analysis (Fig. 2a), indicating that we are capturing real genetic differences between groups using this approach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale structure in Neolithic Europe (Extended Data Fig. 5b), we aimed to select individuals in Neolithic Europe who have not yet been affected by the arrival of Steppe ancestry and do not show excess hunter-gatherer ancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and Western Hunter-gatherers as source groups and reference groups according to a previously proposed qpAdm setup46 (Supplementary Table 1). For this analysis, we infer ancestry using qpAdm applied to 1.2 million SNP sites of imputed genomes. We retain only Neolithic individuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or proportion <0.25 for Western Hunter-gatherer ancestry.\n\n#### **Reporting summary**\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n#### **Data availability**\n\nAll aDNA data used in this study were publicly available, and accession codes are listed in Supplementary Table 1.\n\n### **Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub (https://github.com/leospeidel/twigstats), and detailed documentation, as well as example data, is available at https://leospeidel.github. io/twigstats/. The code has also been deposited at Zenodo (https:// zenodo.org/records/13833120) 76. 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P.S. was supported by the European Molecular Biology Organization, the Vallee Foundation, the European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis Crick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research Council and the Wellcome Trust. B.R. was supported by the Swedish Research Council (2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S. and P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S., M.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n#### **Additional information**\n\n**Supplementary information** The online version contains supplementary material available at https://doi.org/10.1038/s41586-024-08275-2.\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or Pontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other, anonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer reports are available.\n\n**Reprints and permissions information** is available at http://www.nature.com/reprints.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - }, - { - "text": "- 6. Margaryan, A. et al. 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Imputed genomes and haplotype-based analyses of the Picts of early medieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and the modern people of the UK. *PLoS Genet.* **19**, e1010360 (2023).\n- 63. Symmachus, Letters 2. 46.1-2. *WordPress* https://aleatorclassicus.wordpress.com/2011/08/ 19/symmachus-letters-2-46-1-2/ (2011).\n- 64. Emperor, J. *The Works of the Emperor Julian* (translator Wright, W. C.) Vol. 1 (Project Gutenberg, 2015); https://www.gutenberg.org/ebooks/48664.\n- 65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration patterns in a Viking Age town. *Curr. Biol.* **28**, 2730–2738 (2018).\n- 66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the Iron Age. *J. Archaeol. Sci. Rep.* **12**, 183–196 (2017).\n- 67. Sawyer, P. H. *The Age of the Vikings* (St. Martin's Press, 1972).\n- 68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of Iceland. *Am. J. Hum. Genet.* **67**, 697–717 (2000).\n- 69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment of strontium by means of Bayesian mixing analysis. *J. Archaeol. Sci.* **64**, 30–45 (2015).\n\n**Publisher's note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n**Open Access** This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate\n\ncredit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.\n\n© The Author(s) 2025", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 1 | Collection of ancient genomes used in this study. a**, Ancient DNA samples included in this study (Supplementary Table 1). Samples older than 3000 BCE are shown at 3000 BCE. **b**, Map showing mean coordinates of groups in the Iron, Early Modern, and Viking Ages. **c**, Source groups used in qpAdm modelling of Metal Age and early Medieval Europe (Figs. 2, 3 and 4),\n\nshowing sample ages. Sample sizes are shown in grey boxes. **d**, *F*ST between Metal Age and early Medieval groups computed using popstats77 using options --FST --informative. Sample sizes are shown in brackets and we show one standard error.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed3.pdf" - }, - { - "text": "when migration rates are high (and, therefore, *F*ST is low), indicating that Twigstats is better powered to detect such scenarios of continued migration. Encouragingly, a model that involves the two immediately adjacent populations is selected in all replicates as the 'best' model (highest qpAdm *P* value) using Twigstats, whereas this is the case in only 80% (migration rate of 0.001) and 30% (migration rate of 0.005) of all replicates using regular qpAdm.\n\n**Neanderthal admixture and deep structure simulation.** Our simulation in Extended Data Fig. 5d emulates Neanderthal admixture, in which Neanderthals and ancestors of modern humans split 25,000 generations ago and admixture occurs 2,000 generations ago. The resulting admixed non-African-like population coexists with the non-admixed African-like population until the present day. Furthermore, two Neanderthal populations split from each other 7,000 generations ago, which can be interpreted as emulating the Altai and Vindija Neanderthal populations, with Vindija being closer to the admixing source.\n\nWe simulate an alternative model with two subgroups emulating ancestral modern humans in Africa that have a non-zero symmetric migration rate, ranging from 4 × 10−5 to 2 × 10−4 per generation, up until 3,000 generations before present. One of these subgroups gives rise to a present-day African-like population, while the other gives rise to a present-day non-African-like population. We further sample two Neanderthal populations that split 7,000 generations ago and merge 25,000 generations ago with the same ancestral modern human subgroup that will eventually give rise to a non-African-like population.\n\nWe simulate whole genomes with human-like recombination rates and a mutation rate of 1.25 × 10−8 mutations per base per generation. Diploid effective population sizes are set to 10,000 except on the Neanderthal lineage, in which it is set to 3,000. We sample 2 haploid sequences for each Neanderthal population and 20 haploid sequences for the target admixed population and African non-admixed population.\n\n**Fine-scale structure simulation.** Our simulation in Extended Data Fig. 5a emulates the emergence of a fine-scale population structure and is adapted from ref. 39. In this simulation, populations split 100 generations ago into 25 subpopulations followed by a period in which individuals are allowed to migrate at a rate of 0.01 between adjacent populations in a 5 × 5 grid. The diploid effective population size is 500 in each of the 25 populations, and 10,000 in the ancestral population. We simulate ten replicates of chromosome 10, with a human-like mutation rate of 1.25 × 10−8 and hotspot recombination map. We sample two diploid individuals from each population. Furthermore, we sample 100 individuals from an ancestral population that splits from the 25 target populations 100 generations ago, before the emergence of structure in these 25 populations. Relate trees are inferred assuming true mutation rates, recombination rates and average coalescence rates across all samples.\n\n**Ancient sample selection.** A full list of ancient genomes can be found in Supplementary Table 1. Published ancient shotgun genomes provided by refs. 7,8 were only available aligned against the GRCh38 reference sequence. These data were realigned to the GRCh37d5 reference sequence using bwa aln (v. 0.7.17-r1188).\n\nWe select genomes with average autosomal coverage above 0.5×, except for VK518, which has previously been suggested to be of Saami ancestry6 and which had a coverage of 0.438. We included VK518 in our panel to capture this ancestry. Genomes above a coverage cut-off of 0.5× have previously been shown to result in reliable imputation results72. We exclude samples with evidence of contamination. We remove any duplicate individuals, such as individuals who were resequenced, choosing the file with the highest coverage. We then filter out any relatives annotated in the Allen Ancient DNA Resource v. 54.127, retaining the individual with the highest coverage in each family clade.\n\nOur final dataset includes 1,556 ancient genomes.\n\n**Imputation of ancient genomes.** We follow the recommended pipeline of GLIMPSE73 and first call genotype likelihoods for each genome in the 1000GP, segregating sites using bcftools mpileup with filter -q 20, -Q 20 and -C 50. We subsequently impute each genome separately using GLIMPSE v. 1.1.1 using the 1000GP phase 3 reference panel74 downloaded from https://ftp.1000genomes.ebi.ac.uk/vol1/ftp/release/20130502/. These imputed genomes are merged into a single VCF (variant call format) for further downstream processing.\n\nWe filter any site for which more than 2% of sites have an imputation posterior of less than 0.8 and retain all remaining sites so as not to have any missing genotypes at individual SNPs.\n\n**Relate-inferred genealogies.** We merge imputed ancient genomes with a subset of the 1000GP dataset, including all European populations (CEU, Utah residents with northern and western European ancestry; CHB, Han Chinese in Bejing, China; FIN, Finnish in Finland; GBR, British in England and Scotland; BS, Iberian populations in Spain; TSI, Toscani in Italy, YRI, Yoruba in Ibadan, Nigeria). We create a second dataset in which we merge imputed genomes with the Simons Genome Diversity Project75 (SGDP) downloaded from https://sharehost.hms. harvard.edu/genetics/reich_lab/sgdp/phased_data2021/. These two datasets contain, respectively, a total of 2,270 and 1,834 modern and ancient individuals.\n\nWe then infer genealogies for the joint dataset of ancient and modern genomes using Relate v. 1.2.1. We restrict our analysis to transversions only and assume a mutation rate of 4 × 10−9 mutations per base per generation and input sample dates as shown in Supplementary Table 1. We use coalescences rates pre-inferred for the 1000GP and SGDP datasets.\n\n**MDS analysis.** We compute *f*2-statistics using the Twigstats function f2_blocks_from_Relate between all pairs of individuals and between all individuals and an outgroup (Han Chinese people in SGDP) using the Relate genealogies of SGDP modern and imputed ancient genomes. We set the argument *t* to specify a time cut-off and set the argument use_muts to FALSE to compute these *f*-statistics on branches of the genealogy and to TRUE to compute these only on the mutations. We use these to compute *f*3(outgroup, indiv1, indiv2) = 0.5 × (*f*2(outgroup, indiv1) + *f*2(outgroup, indiv2) *− f*2(indiv1, indiv2)) for every pair of individuals, and store 1 *− f*3(outgroup, indiv1, indiv2) in a symmetric *N* × *N* matrix (where *N* is the number of individuals) for which we then compute an MDS using the R function cmdscale.\n\n**qpAdm modelling.** In brief, qpAdm models are a generalization of *f*4-ratios, for which one-, two- and three-source models can be tested as hypotheses and admixture components and their s.e. obtained with a block jackknife13. A qpAadm model is fully specified by a set of putative source groups and additional 'outgroups' that are used to distinguish source ancestries. We used a rotating approach in which we iteratively selected a subset of source groups and used all remaining putative sources as outgroups. This approach penalizes models where true contributing sources are used as outgroups. With sufficient statistical power, qpAdm models will be statistically rejected if true contributing sources are used as outgroups. If statistical power is more limited, several models will fit the data, but the correct model is expected to be preferred over wrong models. Throughout, we use the Relate genealogies of SGDP modern and imputed ancient genomes in our qpAdm modelling and first compute *f*2-statistics using the Twigstats function f2_blocks_from_Relate between all populations involved, which we then feed to the ADMIXTOOLS2 package70.\n\n**Clustering using qpwave.** To overcome challenges with hand-curating source groups used in qpAdm modelling, we follow ref. 5 and run qpwave using Twigstats between pairs of ancient individuals. We use Han Chinese individuals from Beijing and five European populations from the 1000GP as reference groups. This approach tests whether two", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed3.pdf" - }, - { - "text": "reduces standard errors (s.e.) by up to tenfold and potentially more, depending on sample sizes and details of the genetic history model. The approach does not produce detectable bias in estimates of admixture proportions (Fig. 1b–d and Extended Data Fig. 3). Furthermore, we demonstrate that computing *f*-statistics on genotypes ascertained for young mutation ages produce a power gain nearly equal to that produced when using full genealogies in many examples, while adding flexibility by allowing lower-quality genomes to be grafted onto a genealogy reconstructed with higher-quality genomes31.\n\nWe further confirm with simulations that genealogy-based *f*-statistics estimates are robust to sequencing and phase-switch errors of expected magnitude (Extended Data Fig. 3b). In fact, although sequence errors can affect SNP-based population-genetic approaches substantially, errors can be 'corrected' in genealogies as they take all variants in a region into account32.\n\nPrevious studies have suggested ascertaining rare mutations as a proxy for recent history3,4 , but we show that this approach is prone to bias when effective population sizes vary between populations, and that using full time-restricted genealogies is both unbiased and more powerful (Fig. 1b and Extended Data Fig. 3). We attribute this to the observation that mutation age is not fully predictive of allele frequency (Extended Data Fig. 4) and that the genealogy-based approach gains power from the inclusion also of higher-frequency young mutations that 'tag' recent coalescences by closely pre-dating them. We demonstrate that a widely used 'chromosome painting' approach, and any conceptually similar modelling based on identity by descent, that finds the nearest neighbours between chromosomal segments in a sample and model groups using a non-negative least squares of genome-wide painting profiles2 is also prone to bias, when source groups have undergone strong drift since the admixture event (Fig. 1b and Extended Data Fig. 3b).\n\nWe next test the Twigstats time-restricted genealogy approach on a range of empirical examples. First, we boost pairwise outgroup *f*3-statistics44 to quantify fine-scale population structure; we demonstrate this improvement using a previously proposed simulation39 (Extended Data Fig. 5a). When applied to published genomes from Neolithic Europe (Methods and Supplementary Table 1), we can replicate the previously suggested fine-scale structure between individuals buried in megalithic structures in Ireland compared with others45, a relationship that is not apparent from SNP data alone (Extended Data Fig. 5b). For the well-studied example of three major ancestries contributing to prehistoric Europe, that is, Mesolithic hunter-gatherers, early farmers and steppe populations13–16, we obtain unbiased estimates and an approximately 20% improvement in standard errors in an already well-powered qpAdm model46 (Extended Data Fig. 5c).\n\nFinally, we demonstrate that Twigstats can be used to resolve competing models of punctual admixture and long-standing gene flow, or constrain the time of admixture. For instance, it has previously been suggested that long-standing deep structure and gene flow between Neanderthals and early modern humans in Africa may produce genetic patterns that resemble a punctual admixture event some 60,000 years ago47–49, casting doubt on the model of Neanderthal admixture into ancestors of Eurasians49–51. However, whereas such long-standing deep substructure would confound SNP-based *f*-statistics to produce patterns similar to Neanderthal admixture, we demonstrate, in simulations, that Twigstats can clearly distinguish this history from recent admixture (Extended Data Fig. 5d). Application of Twigstats on empirical whole genomes produces results inconsistent with deep substructure alone, but consistent with punctual admixture.\n\n### **Ancestry models of early medieval Europe**\n\nHaving demonstrated that the Twigstats approach can effectively improve resolution and statistical power to test ancestry models and estimate proportions, we turn to the history of early medieval Europe. In the first half of the first millennium ce, Roman historians such as Tacitus and Ammianus Marcellinus described the geographical distribution and movements of groups beyond the imperial frontier and suggested a potential role for them in the fall of the western Roman Empire52. However, the exact nature and scale of these historically attested demographic phenomena—and their genetic impact have been questioned53, and have been difficult to test with genetic approaches owing to the close relations shared between many groups that were ostensibly involved. Less is understood at further distances from the Roman frontier owing to a lack of historical accounts. The improved statistical power of time-restricted ancestry in Twigstats thus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supplementary Table 1), we first need a broad characterization of the ancestry of the earlier sources from the early Iron Age (EIA) and Roman periods. We use hierarchical UPGMA clustering based on pairwise clade testing between all individuals, and formally test the cladality of proposed ancestry groups with qpWave5 (cladality in this sense means whether they are consistent with being symmetrically related to all other tested groups; Methods). This resulted in a set of model ancestry sources that included Iron Age and Roman Britain (*n* = 11), the Iron Age of central European regions of mostly Germany, Austria and France (*n* = 10), Roman Portugal (*n* = 4), Roman Italy (*n* = 10), Iron Age Lithuania (*n* = 5), the EIA Scandinavian Peninsula (Sweden and Norway, *n* = 10) and several other more eastern groups dating to the Bronze Age and EIA (*n* = 25) (Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm approach54 to narrow down the set of contributing sources from this larger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling (MDS) on outgroup-*f*3 statistics44 computed using Twigstats, the results of which do not depend on any modelling assumptions and which show increased resolution compared with conventional outgroup-*f*3 statistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). Encouragingly, the MDS model supports regional fine-scale genetic structures reflected in our source groups, such as the separation of predominantly Norwegian and northern Swedish EIA individuals from southern Peninsular Scandinavia (Fig. 2a); this relationship is not detected without Twigstats. In this MDS analysis, we note a close affinity of wide-ranging individuals from Portugal, France, Germany, Austria and Britain. We hypothesize that this corresponds to areas associated with the Celtic-speaking world, and that their close genetic affinity is due to earlier expansions. Sparse sampling limits our understanding of the full extent of regional ancestry variation in central Europe and some other regions, but the continental ancestries differentiated in the MDS model suggests that major ancestry variation across Europe in this period is relatively well captured.\n\n### **Expansions of Scandinavian-like ancestry**\n\nWe assembled time transects using available aDNA data across several geographical regions in Europe, and infer their ancestry using a model with the EIA or Roman Iron Age sources previously defined (shown in Fig. 2a). Our modelling provides direct evidence of individuals with ancestry originating in northern Germany or Scandinavia appearing across Europe as early as the first century ce (Figs. 2b,c and 3 and Supplementary Table 3).\n\nIn the region of present-day Poland, our analysis suggests several clear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures55 (Fig. 3a). Second, in the first to fifth century ce, individuals associated with Wielbark culture5,12 show an additional strong shift away from the preceding Bronze Age groups, and can only be modelled with a >75% component attributed to the EIA Scandinavian Peninsula. Multiple individuals, especially from earlier Wielbark cemeteries, have approximately 100%", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "How many clusters has the Scandinavian peninsula been divided into thanks to Twigstats?", - "target_page": 12, - "target_passage": "This approach results in two clusters in the Scandinavian Penin- sula, approximately separating northern from southern Scandinavia", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "**Extended Data Fig. 5 | Three examples of applying Twigstats. a** Fine-scale population structure simulation emulating ref. 39 (see Methods for simulation details). First two principal components are computed from pairwise outgroup *f*3 statistics on the genotypes directly and on Relate trees inferred from the 50 target individuals. Labels in plots show the average coordinates of members of that population. For each panel, we calculate a separation index (SI) as in39, which we define as the proportion of individuals for which the closest individual (by the Euclidean distance in PC space) is in the same population. **b**, Fine-scale genetic structure in Neolithic Europe quantified using an MDS calculated on a symmetric matrix that contains all pairwise outgroup *f*3 statistics (outgroup: YRI) between individuals. These are either calculated directly on genotypes or calculated using Twigstats on Relate genealogies with a cutoff of 1000 generations. Individuals were selected by filtering based on Steppe and Western Hunter-gatherer ancestry (Methods). **c**, Admixture proportions inferred using qpAdm with three distal sources of Western\n\nHunter-gatherers, early European farmers, and Yamnaya Steppe people46. We show results for Twigstats-5000. Bias is measured as the difference in admixture proportions obtained from Twigstats-5000 and all SNPs, and we show standard errors of the latter. We plot two standard errors around the mean. The standard error improvement shown is one minus the ratio of standard errors obtained from Twigstats-5000 and using all SNPs. **d**, Neanderthal admixture proportion inferred using an *f*4-ratio of the form *f*4(outgroup, Altai, target, Mbuti)/*f*4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic variation data from the Simon's Genome Diversity Project (SGDP)75 and use the high-coverage Altai and Vindija Neanderthals78,79. We also compute equivalent *f*4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years ago and a second simulation involving no Neanderthal admixture but deep structure that leads to a similar inference unless deep coalescences are ignored by Twigstats. We plot two standard errors around the mean.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup *f*3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. **b**, The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in **a**. The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. **c**, Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries ce56. Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries ce, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable shown in black boxes. Sources are highlighted in **a** and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01, unless a −log10[*P* value] is shown next to the model. If models satisfy *P* > 0.05, we show all such models; otherwise, we show only the model with the largest *P* value. **d**, The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in **c** that have a feasible model (*P* > 0.01). In **c**,**d**, we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region12. With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "#### **Extended Data Fig. 9 | Ancestry models of Viking Age individuals in Scandinavia. a**, MDS of each Scandinavian Viking group plotted on top of\n\npreceding Iron age and Roman individuals. **b**, All accepted qpAdm models using Twigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, and Norway, computed in a rotational qpAdm with source groups identical to Fig. 4. We only retain models with feasible admixture proportions, standard errors of <0.25, and show models with 1 source and a p-value greater than 0.01\n\nor otherwise with 2 sources and a p-value greater than 0.01. If several models satisfy p > 0.05, we show all such models, otherwise we select the model with the largest p-value. The -log10 p-values are shown to the left of each model. We combine models involving related sources, if they exist, by averaging their respective admixture proportions, standard errors, and p-values. We plot one standard error.", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 4 | Ancestry in the Viking world. a**, Map showing ancestry carried by Scandinavian Viking Age individuals as inferred using the best-fitting qpAdm model. These are chosen by either choosing the one-source model with largest *P* value and *P* > 0.01 or the two-source model with the largest *P* value and *P* > 0.01. Extended Data Fig. 7 shows the same map with all accepted models. **b**, Stable isotope data indicating the geology of childhood origin. The histogram shows the ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland69. For individuals included in our ancestry modelling, we plot Iron Age central European-related ancestry against their stable isotope values (grey circles, *r* = −0.39, *P* = 0.075). Shared area corresponds to the 95% confidence band\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When considered collectively, the individuals who show evidence of central European-related ancestry are mostly observed in regions historically within the Danish sphere of influence and rule. Currently, no such individuals, for example, are noted in eastern central Sweden, which was a focus of regional power of the Svear (Fig. 4a). The difference in distribution could suggest that the central European-related ancestry was more common in regions dominated by the historical Götar and groups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent with mobility during the lifetime of the individuals or, alternatively, around the regression line. **c**, The ancestry shift observed in Viking Age Danish groups using qpAdm on all SNPs or Twigstats. We show the best one-source and all two-source models with *P* > 0.05. For models with *P* < 0.05, the −log10[*P* value] is shown under the plot. Sample sizes for each group are shown in brackets. **d**, The ancestry proportion across Viking Age individuals in Denmark, Sweden and Norway grouped by latitude. **e**, Viking Age genetic variation (grey circles) visualized on the same MDS as in Fig. 2a,b. **f**, The best-fitting qpAdm ancestry model for far-flung Viking individuals. Detailed models for all individuals are shown in Extended Data Figs. 9 and 10. In **c** and **f**, we show one s.e. Rotating qpAdm sources are marked in bold in the key.\n\nthat of established groups, we focused on the island of Öland in southeast Sweden, where 23 individuals for whom we could reconstruct ancestry portraits also had associated strontium stable isotope data66. Strontium isotope data from dental enamel reflect the geology of the region where an individual grew to maturity, and there are considerable differences in expectations between Öland and many other regions in northern Europe. The full range of strontium isotope ratios in 109 individuals show two modes, a majority group with low ratios and a second minority group with high ratios falling outside the expected range of local fauna (Fig. 4b). Among 23 individuals with genomes in our data, all 5 individuals with 100% ancestry relating to central Europe", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 10 | Ancestry models of farflung Viking individuals. a**, MDS of each farflung Viking group plotted on top of preceding Iron age and Roman individuals. **b**, All accepted qpAdm models using Twigstats-1000 for\n\nevery non-Scandinavian Viking individual computed in a rotational qpAdm with source groups identical to Fig. 4. We plot one standard error.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 7 | Ancestry estimates stratified by genetic sex. a**, Map showing ancestry carried by each Scandinavian Viking age individual. **b**, Ancestry proportions across individuals grouped by Latitude and genetic sex. **c**, Odds ratio and p-values calculated using a two-sided Fisher's exact test on the number of males and females carrying each ancestry in Viking Age Denmark, Sweden, Norway, Iceland, and Gotland. **d**, *F4* values of the form *f*4(Scandinavian_Peninsula_ EIA(I), alternative source group, males in Viking group, females in Viking group) computed using all SNPs and Twigstats. A significantly positive value is\n\nevidence of attraction of females with pop2 or males with Scandinavian_ Peninsula_EIA(I). Number of males and females is shown in each facet title and we restrict to groups with at least four males and females. We plot one standard error. **e**, Map showing 'farflung' Viking individuals grouped by ancestry and genetic sex. In contrast to Fig. 4a and d where we showed results for the 'best' qpAdm model, here in panels **a**, **b, c,** and **e**, an individual is assigned an ancestry group, if it has **any** accepted model (p > 0.01) where that ancestry features.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 1 | Twigstats performance on simulated data.a**, A diagram of the Twigstats approach. We first construct genealogies from genetic variation data and then use Twigstats to compute *f*2-statistics between pairs of groups to be used by ADMIXTOOLS2. **b**, Admixture proportions inferred from an *f*4-ratio statistic or non-negative least squares method. Source groups P1 and P2 split 250 generations ago and mix 50 generations ago, where P2 contributes proportion *α* and P1 contributes 1 − *α*. Effective population sizes are equal and constant except for a recent bottleneck in P2 (see Methods for simulation details). The Twigstats cut-off is set to 500 generations, the rare variant cut-off is set to 5%, and we additionally infer admixture proportions by generating 'first coalescence profiles' for each population and modelling PX as a mixture\n\nof sources P1 and P2 using non-negative least squares (NNLS) (Methods). We sample 20 haploid sequences from each population. Data are mean ± 2 s.e. around the point estimate. **c**, The fold improvement of s.e. relative to the genotype case as a function of the Twigstats cut-off time, for the same simulation as in **b** and averaged across different true admixture proportions. The dashed line shows the best fold improvement of s.e. when ascertaining genotypes by frequency, when evaluated at different frequency cut-offs. **d**, The optimal Twigstats cut-off, defined as the largest reduction in s.e. relative to the genotype case, as a function of source split time in simulations using true trees. The dashed line indicates our theoretical prediction (Supplementary Note).\n\nsingle-nucleotide polymorphism (SNP) markers, but this information has not been accessible in combination with the advantages of *f*-statistics2,6,25,26. Furthermore, the overwhelming majority of available aDNA is from a panel of 1.2 million SNPs27, and few clear advantages have been demonstrated for analysis of the more than 50 million SNPs available with whole-genome shotgun data.\n\nOne class of methods that use haplotype information is full genealogical tree inference28,29, which can now readily be applied to many thousands of modern and ancient whole genomes30–35. Such methods have been successfully applied to boost the detection of positive selection32,36–38, population structure31,33,35,39, geographical locations of ancestors34,40, demography31,32 and mutation rate changes31. Genealogical trees can be thought of as containing essentially full, time-resolved information about genetic ancestry, including information typically captured by recent haplotype sharing or identity by descent. Genetic ancestry here refers to the full collection of genetic ancestors of individuals41, and genealogical trees reveal how and when these are shared across individuals. By contrast, rare variant ascertainment, haplotypes or chromosome blocks can be thought of as subsets or summaries of the information available in genealogies.\n\nHere, we propose an approach that we refer to as 'time-stratified ancestry analysis' to boost the statistical power of *f*-statistics several-fold by using inferred genome-wide genealogies (Fig. 1a) and apply our method to reconstruct the genetic history of northern and central Europe from around 500 bce to 1000 ce.\n\n### **Genealogies improve ancestry modelling**\n\nBy definition, *f*-statistics count the occurrence of local genealogical relationships that are implied by how mutations are shared between individuals42. This inherent relationship between *f*-statistics and local genealogies makes it straightforward to compute *f*-statistics directly on inferred genealogies43. Instead of computing *f*-statistics on observed mutations, they are now calculated on the inferred branches of these genealogies, some of which may not be directly tagged by mutations but are inferred by resolving the local haplotype structure (Methods).\n\nWe develop mathematical theory and simulate a simple admixture model, in which the ancestry proportion is constrained in a single ratio of two *f*4-statistics19, to test this approach (Fig. 1b and Supplementary Note). While unbiased, we find that using *f*-statistics computed on genealogies by itself does not yet yield a large improvement in statistical power to quantify admixture events. However, we show, through both theoretical prediction and simulation, that large improvements in power can be gained without bias by restricting to recent coalescences, which are most informative for recent admixture events (Fig. 1c,d and Extended Data Figs. 2 and 3). We show that coalescences older than the time of divergence of the sources carry no information with respect to the admixture event and only add noise to the *f*-statistics. Excluding these therefore increases statistical power, without introducing bias, in principle.\n\nWe implement this idea of studying the 'twigs' of gene trees in a tool, Twigstats (Fig. 1a and Methods), which we demonstrate in simulations", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason why this is a principled approach despite the 1000GP groups post-dating the ancient individuals is that if a group of ancient individuals are truly homogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group method with arithmetic mean) on −log10[*P* values] obtained from qpwave between all pairs of individuals and cut the resulting dendrogram at a height corresponding to a *P* value of 0.01. We then further subdivide clusters by requiring all samples to be within 500 years of the mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data Fig. 1d, we run this algorithm on samples from Iron and Roman Age Europe (Supplementary Table 1). We retain groups that have at least three individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Peninsula, approximately separating northern from southern Scandinavia, three clusters in Poland and Ukraine that separate samples temporally between the early and later Bronze Age, a cluster combining the Hungarian Scythian and Slovakian La Tène-associated individuals, and a cluster each for Iron and Roman Age Portugal, Italy and Lithuania. In present-day Austria, Germany and France, this approach identifies three clusters, with each cluster spanning multiple archaeological sites in different countries, indicating genetic diversity in this region in the first millennium ce. Encouragingly, these clusters separate in our non-parametric MDS analysis (Fig. 2a), indicating that we are capturing real genetic differences between groups using this approach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale structure in Neolithic Europe (Extended Data Fig. 5b), we aimed to select individuals in Neolithic Europe who have not yet been affected by the arrival of Steppe ancestry and do not show excess hunter-gatherer ancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and Western Hunter-gatherers as source groups and reference groups according to a previously proposed qpAdm setup46 (Supplementary Table 1). For this analysis, we infer ancestry using qpAdm applied to 1.2 million SNP sites of imputed genomes. We retain only Neolithic individuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or proportion <0.25 for Western Hunter-gatherer ancestry.\n\n#### **Reporting summary**\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n#### **Data availability**\n\nAll aDNA data used in this study were publicly available, and accession codes are listed in Supplementary Table 1.\n\n### **Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub (https://github.com/leospeidel/twigstats), and detailed documentation, as well as example data, is available at https://leospeidel.github. io/twigstats/. The code has also been deposited at Zenodo (https:// zenodo.org/records/13833120) 76. All scripts to reproduce simulations, and to run Relate on imputed ancient genomes, and downstream analyses, including computation of *f*-statistics and running qpAdm models, are available through GitHub (https://github.com/leospeidel/ twigstats_paper).\n\n- 70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting complex models of population history to *f*-statistics. *eLife* **12**, e85492 (2023).\n- 71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and genealogical analysis for large sample sizes. *PLoS Comput. Biol.* **12**, e1004842 (2016).\n- 72. da Mota, B. S. et al. Imputation of ancient human genomes. *Nat. Commun.* **14**, 3660 (2023).\n- 73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation of low-coverage sequencing data using large reference panels. *Nat. Genet.* **53**, 120–126 (2021).\n- 74. The 1000 Genomes Project Consortium. A global reference for human genetic variation. *Nature* **526**, 68–74 (2015).\n- 75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse populations. *Nature* **538**, 201–206 (2016).\n- 76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. *Zenodo* https://doi.org/10.5281/zenodo. 13833119 (2024).\n- 77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. *Nature* **525**, 104–108 (2015).\n- 78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains. *Nature* **505**, 43–49 (2014).\n- 79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. *Science* **358**, 655–658 (2017).\n\n**Acknowledgements** L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z). P.S. was supported by the European Molecular Biology Organization, the Vallee Foundation, the European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis Crick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research Council and the Wellcome Trust. B.R. was supported by the Swedish Research Council (2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S. and P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S., M.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n#### **Additional information**\n\n**Supplementary information** The online version contains supplementary material available at https://doi.org/10.1038/s41586-024-08275-2.\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or Pontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other, anonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer reports are available.\n\n**Reprints and permissions information** is available at http://www.nature.com/reprints.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 2 | Twigstats optimal cutoff. a**, Theoretically computed z-score of *f*4(PO,P1,PX,P2) at a single genomic locus (Supplementary Note), assuming PX is admixted between P1 and P2 at time 0.004 (in units of 2*N*e generations), e.g. corresponding to 100 generations with 2*N*e of 25,000. Sources split at time 0.02. **b**, The theoretical fold-improvement of the best Twigstats z-score of *f*4(PO,P1,PX,P2) relative to the z-score obtained with\n\nregular *f*4-statistics. We use the same parameters as in **a**, but vary source split times to illustrate the improved power for mixtures involving more closely related groups. **c**, The optimal Twigstats cutoff time as a function of the source split time and the ratio between the optimal cutoff time and source split time. **d**, Comparison of z-scores computed using Twigstats to the corresponding theoretical values shown in **a**.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed3.pdf" - }, - { - "text": "### **Methods**\n\n#### **Twigstats**\n\nTwigstats takes the Relate32 output format as input and allows the computation of *f*-statistics directly on genealogies, by using the inferred expected number of mutations on each branch as input, which is computed as the product of a prespecified average mutation rate per base per generation, the branch length and the number of bases each tree persists43. Importantly, Twigstats computes *f*2-statistics ascertained by an upper date threshold, such that only branches younger than this threshold are used. If a branch crosses the threshold, we use only the proportion of the branch underneath the threshold. Twigstats additionally enables us to specify a minimum derived allele frequency and lower date threshold. Twigstats can also compute *f*2-statistics on age-ascertained mutations, which is particularly convenient for individuals not built into the genealogies.\n\nThe computed *f*2-statistics are fed into ADMIXTOOLS270 to compute derived statistics. ADMIXTOOLS2 implements computation of genome-wide *f*2-, *f*3- and *f*4-statistics, as well as qpgraph and qpAdm models. We implement the sample size correction as detailed in ref. 21. The *f*2-statistics are computed in blocks, typically of prespecified centimorgan size or of prespecified physical distance. These blocks are used downstream in ADMIXTOOLS2 to compute standard errors using a block-jackknife approach. By default, we compute *f*-statistics only on internal branches and exclude singleton tip branches to increase robustness against sample age.\n\nThe optimal Twigstats time cut-off is a priori unknown; however, we develop a theory that predicts the optimal choice in a simple two-way admixture as a function of the admixture date, source split time and admixture proportion (Supplementary Note). In this case, the optimal cut-off equals approximately 1.4 times the split time between admixing source groups, depending on exact parameters in the model (Fig. 1b,c and Extended Data Fig. 2).\n\n**Non-negative least squares ancestry modelling.** We implement an approach that uses genealogies to emulate the chromosome painting technique of identifying closest genetic relatives along the genome1,2 to fit admixture weights. When applied to true genealogies in simulations, this approach represents an idealized version of this idea.\n\nWe implement this function in Twigstats, which, given known assignment of each sample to a population, identifies, at each position in the genome, the population with which a sample coalesces first. Our implementation takes a list of reference populations as input, such that any coalescences that do not involve these reference populations are ignored when traversing back in time through genealogical trees. If the first coalescence involves multiple different reference populations, this coalescence event will be assigned to each population with a weight proportional to the number of samples in each population involved in that event.\n\nWe then implement a second function in Twigstats to compute, for each target population and putative source populations, the proportion of the genome 'painted' by each of the reference populations. Given *k* reference populations, we denote by **a***i* the vector of length *k* storing these proportions for population *i*. We fitted our target population as a mixture of putative source populations using a non-negative least squares approach that finds a solution to the optimization problem min || − || 0≤*Σ***β**ℓ≤1 **a A** target **β** 2, where **A** is a matrix storing **a**ℓ for putative source populations as its column vectors with ℓ indexing source populations and **β** are non-negative mixture weights.\n\n**Admixture simulations.** We use msprime71 to simulate genetic variation data to test our approach. All simulation scripts are available at https://github.com/leospeidel/twigstats_paper.\n\n*f***4-ratio admixture simulation.** Our simulation in Fig. 1b and Extended Data Fig. 3b simulates five populations named PI, PO, P1, P2 and PX, where PO splits from all other populations 10,000 generations ago, P1 and P2 represent two proxy source groups that split from each other at 250 generations or 500 generations ago, PI splits from P1 100 generations ago and PX emerges from a pulse admixture between P1 and P2 50 generations ago. All populations have a constant diploid population size of 5,000, a variable human-like recombination map, in which our simulation only covers chromosome 1, and a human-like mutation rate of 1.25 × 10−8 mutations per base per generation. We additionally have a modified simulation with a lower mutation rate of 4 × 10−9 mutation per base per generation, emulating a transversions-only dataset, and a simulation in which P2 has a diploid population size of 1,000 in the last 50 generations, emulating a recent bottleneck in this population. We sample 20 haploid sequences from all populations. The 'large sample size' simulation samples 100 haploid sequences from all populations.\n\n*f***4-ratio admixture simulation with genotype and phasing errors.** We emulate the data quality we expect in imputed ancient genomes (Extended Data Fig. 3b). We implement a simple error model in which every haploid genotype at any segregating site can switch with a certain error probability. We can theoretically compute the predicted squared correlation coefficient (*r* 2 ) between the true simulated genotypes and the genotypes that include error, stratified by minor allele frequency, to generate a plot similar to those used for evaluating imputation accuracy using downsampled high-coverage ancient genomes72 (Extended Data Fig. 3a). As imputation accuracy varies for each individual in real settings, we randomly sample the error probability for each individual uniformly between 1 × 10−4 and 1 × 10−3 (errors per SNP per haplotype). This yields *r* 2 curves that are comparable to those observed in real data. We additionally simulate a high error case, for which we sample error probabilities between 1 × 10−3 and 1 × 10−2.\n\nIn real settings, we are additionally required to computationally phase genomes. We emulate this by combining two haploid sequences to construct a diploid individual. We then computationally rephase these diploid individuals without a reference panel. This approach is expected to result in suboptimal phasing and should therefore be well suited to test robustness to phase-switch errors.\n\n**qpAdm simulation.** Our simulation in Extended Data Fig. 3c uses the simulation model and script provided with ref. 23, although we changed this script to use the human hotspot recombination map. We simulate only chromosome 1. In the original simulation model, admixing sources split 1,200 generations ago, with admixture occurring 40 generations ago. We additionally simulate a version in which all population split times and admixture times are reduced by a factor of 5. We sample 20 haploid sequences per population.\n\n**Stepping-stone separation by distance simulation.** We adapt the simulation model provided previously23 to simulate a stepping-stone model of nine populations organized on a 1D grid, in which individuals are able to migrate between adjacent populations (Extended Data Fig. 3d). We changed this script to use the human hotspot recombination map and simulate only chromosome 1. We simulate under migration rates of 0.001 and 0.005, corresponding to average *F*ST values of 0.01 and 0.002, respectively23. We sample 20 haploid sequences per population. We then fitted population 4 using pairs of other populations as sources in a rotational qpAdm scheme such that unused populations are assigned to the reference set.\n\nWe expect that this simulation model violates qpAdm assumptions of no (or limited) gene flow after admixture between sources and reference groups. Consistent with this idea, qpAdm models are rejected (*P* = 4 × 10−38 for migration rates of 0.001 and *P* = 5 × 10−8 for migration rates of 0.005) when using Twigstats with a cut-off of 1,000 generations. However, these are not rejected using regular qpAdm, including", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "What are the cultures with which the Wielbark culture is associated?", - "target_page": 4, - "target_passage": "linked to the later Chernyakhov cul- ture to the southeast and to early Goths", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "higher resolution using earlier genomes. Several other individuals from these Longobard burials (Longobard_earlyMED(II)) show no detectable ancestry from northern Europe and, instead, are more closely related to Iron Age groups in continental central Europe, putatively representing descendants of local people buried in a Longobard style. Our results are consistent with attestations that the Longobards originated in the areas of present-day northern Germany or Denmark, but that by the sixth century ce they incorporated multiple different cultural identities, and mixed ancestries. Present-day populations of Hungary do not appear to derive detectable ancestry from early medieval individuals from Longobard contexts, and are instead more similar to Scythian-related ancestry sources (Extended Data Fig. 6), consistent with the later impact of Avars, Magyars and other eastern groups58.\n\nIn southern Germany, the genetic ancestry of individuals from early medieval Bavaria probably associated with the historical Germanic-language-speaking Baiuvarii59 cannot be modelled as deriving ancestry solely from earlier groups in Iron Age central Germany (*P* ≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the fifth century ce59, but their origins remain unresolved. Our current best model indicates a mixture with ancestry derived from EIA Peninsular Scandinavia and central Europe, suggesting an expansion of Scandinavian-related ancestry producing a regional ancestry shift (Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ancestries appear by the Late Antiquity (approximately fourth century ce), where a clear diversification of ancestry can be observed compared with preceding time periods (Fig. 3d). However, no individuals with near 100% Scandinavian ancestry can be observed in the sampling data available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a tight cluster in our MDS analysis (Fig. 3e), shifted relative to available preceding Bronze Age individuals from Ireland and Orkney, and adjacent to, but distinct from, available individuals in Iron Age and Roman central Europe. However, two first- to second-century ce burials from a Roman military fortress site in Austria (Klosterneuburg)5 carry ancestry that is currently indistinguishable from Iron Age or Roman populations of Britain, to the exclusion of other groups (qpWave cladality *P* = 0.11). One option is that they had ancestry from Britain; alternatively, currently unsampled populations from western continental Europe carried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between ancestries from Iron Age Britain and northern Europe in early medieval England9 , halving standard errors from 9% with SNPs to 4% when using time stratification (point estimates 80% and 79% Iron Age Britain-related ancestry, respectively). We used this improved resolution to demonstrate that an earlier Roman individual (6DT3) dating to approximately second to fourth century ce from the purported gladiator or military cemetery at Driffield Terrace in York (Roman *Eboracum*), England60, who was previously identified as an ancestry outlier61,62, specifically carried approximately 25% EIA Scandinavian Peninsula-related ancestry (Fig. 2c). This documents that people with Scandinavian-related ancestry already were in Britain before the fifth century ce, after which there was a substantial influx associated with Anglo-Saxon migrations9 . Although it is uncertain whether this individual was a gladiator or soldier, individuals and groups from northern Europe are indeed recorded in Roman sources both as soldiers and as enslaved gladiators63,64.\n\nAcross Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups—the one with individuals primarily from the northern parts of Scandinavia in the EIA—with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from EIA southern Scandinavia—as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain—or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n### **Influx into pre-Viking Age Scandinavia**\n\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 ce–300 ce) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century ce (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected (*P* = 1 × 10−17 using Twigstats; *P* = 7.5 × 10−4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 ce–300 ce)6 , an individual from the southern tip of Sweden (around 500 ce)16, individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 ce)7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium ce.\n\nTo assess the full extent of the impact of this ancestry influx into Scandinavia, we next aimed to understand the ancestry of individuals in Scandinavia during the Viking Age. Previous studies have suggested that there was a diversity of ancestries in Scandinavia during this period6,7,65, due to increased maritime mobility, but have not reported per-individual ancestry estimates based on preceding ancestry. We analysed each individual's ancestry using a rotational qpAdm scheme (Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which showed increased power in distinguishing models when restricted to recent coalescences with Twigstats (more than 80% of accepted one-source models in Twigstats were also accepted one-source models using all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across Scandinavia. In Denmark, 25 out of 53 Viking Age individuals had detectable (*z-*score > 1) central European-related ancestry (CentralEurope. IronRoman or Portugal.IronRoman) in their best accepted qpAdm models. In Sweden 20 out of 62 individuals had detectable central European-related ancestry, concentrated almost entirely in southern regions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed in only 2 out of 24 individuals, indicating a wide-ranging impact of incoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason why this is a principled approach despite the 1000GP groups post-dating the ancient individuals is that if a group of ancient individuals are truly homogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group method with arithmetic mean) on −log10[*P* values] obtained from qpwave between all pairs of individuals and cut the resulting dendrogram at a height corresponding to a *P* value of 0.01. We then further subdivide clusters by requiring all samples to be within 500 years of the mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data Fig. 1d, we run this algorithm on samples from Iron and Roman Age Europe (Supplementary Table 1). We retain groups that have at least three individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Peninsula, approximately separating northern from southern Scandinavia, three clusters in Poland and Ukraine that separate samples temporally between the early and later Bronze Age, a cluster combining the Hungarian Scythian and Slovakian La Tène-associated individuals, and a cluster each for Iron and Roman Age Portugal, Italy and Lithuania. In present-day Austria, Germany and France, this approach identifies three clusters, with each cluster spanning multiple archaeological sites in different countries, indicating genetic diversity in this region in the first millennium ce. Encouragingly, these clusters separate in our non-parametric MDS analysis (Fig. 2a), indicating that we are capturing real genetic differences between groups using this approach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale structure in Neolithic Europe (Extended Data Fig. 5b), we aimed to select individuals in Neolithic Europe who have not yet been affected by the arrival of Steppe ancestry and do not show excess hunter-gatherer ancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and Western Hunter-gatherers as source groups and reference groups according to a previously proposed qpAdm setup46 (Supplementary Table 1). For this analysis, we infer ancestry using qpAdm applied to 1.2 million SNP sites of imputed genomes. We retain only Neolithic individuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or proportion <0.25 for Western Hunter-gatherer ancestry.\n\n#### **Reporting summary**\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n#### **Data availability**\n\nAll aDNA data used in this study were publicly available, and accession codes are listed in Supplementary Table 1.\n\n### **Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub (https://github.com/leospeidel/twigstats), and detailed documentation, as well as example data, is available at https://leospeidel.github. io/twigstats/. The code has also been deposited at Zenodo (https:// zenodo.org/records/13833120) 76. All scripts to reproduce simulations, and to run Relate on imputed ancient genomes, and downstream analyses, including computation of *f*-statistics and running qpAdm models, are available through GitHub (https://github.com/leospeidel/ twigstats_paper).\n\n- 70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting complex models of population history to *f*-statistics. *eLife* **12**, e85492 (2023).\n- 71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and genealogical analysis for large sample sizes. *PLoS Comput. Biol.* **12**, e1004842 (2016).\n- 72. da Mota, B. S. et al. Imputation of ancient human genomes. *Nat. Commun.* **14**, 3660 (2023).\n- 73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation of low-coverage sequencing data using large reference panels. *Nat. Genet.* **53**, 120–126 (2021).\n- 74. The 1000 Genomes Project Consortium. A global reference for human genetic variation. *Nature* **526**, 68–74 (2015).\n- 75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse populations. *Nature* **538**, 201–206 (2016).\n- 76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. *Zenodo* https://doi.org/10.5281/zenodo. 13833119 (2024).\n- 77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. *Nature* **525**, 104–108 (2015).\n- 78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains. *Nature* **505**, 43–49 (2014).\n- 79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. *Science* **358**, 655–658 (2017).\n\n**Acknowledgements** L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z). P.S. was supported by the European Molecular Biology Organization, the Vallee Foundation, the European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis Crick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research Council and the Wellcome Trust. B.R. was supported by the Swedish Research Council (2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S. and P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S., M.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n#### **Additional information**\n\n**Supplementary information** The online version contains supplementary material available at https://doi.org/10.1038/s41586-024-08275-2.\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or Pontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other, anonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer reports are available.\n\n**Reprints and permissions information** is available at http://www.nature.com/reprints.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - }, - { - "text": "## **Fig. 3 | Time transects across six geographical regions in Europe.**\n\n**a**–**f**, Ancestry change visualized over a time transect spanning from the Bronze Age to the present day in Poland (**a**), southeastern Europe (**b**), central Europe (**c**), Italy (**d**), Britain and Ireland (**e**) and Scandinavia (**f**). The maps show sample locations of all available ancient genomes with at least 0.5× coverage from\n\nmedieval individuals (*P* ≪ 1 × 10−32). Instead, the majority of individuals from medieval Poland can be modelled only as a mixture of ancestries related to Roman Iron Age Lithuania, which is similar to ancestries of individuals from middle to late Bronze Age Poland (44%, 95% confidence interval 36–51%), an ancestry component related to Hungarian Scythians or Slovakian La Tène individuals (49%, 95% confidence interval 41–57%) and potentially a minority component of ancestry related to Sarmatians from the Caucasus (*P* = 0.13) (Fig. 2c). Four out of twelve individuals from medieval Poland, three of whom are from the late Viking Age6 , carried detectable Scandinavian-related ancestry. Some of the ancestry detected in individuals from later medieval Poland may have persisted during the late first millennium ce in the cremating portion of the population, but regardless, this points to large-scale ancestry transformation in medieval Poland (Fig. 3a). Future data could shed light on the extent to which this reflects the influence of groups speaking Slavic languages in the region.\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same MDS model as in Fig. 2a for each time period. For each geographic region, the early medieval period is highlighted in orange and the area in the MDS corresponding to Scandinavian and central European ancestries is highlighted in an orange box.\n\nIn present-day Slovakia, individuals associated with the Iron Age La Tène period appear close to Hungarian Scythians in the two dimensions of our MDS analysis, and are modelled as a mixture of central and eastern European ancestry. However, a first-century ce burial of a 50–60-year-old woman from Zohor is modelled only with Scandinavian-related ancestry, providing evidence of ancestry related to the Scandinavian EIA appearing southwest of the range of the Wielbark archaeological complex5,57 (Fig. 3b). Later early medieval individuals from Slovakia have partial Scandinavian-related ancestry, providing evidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related ancestry components in several burials dating to the sixth century ce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). This is consistent with the original study10, which reported affinity to present-day groups from northwestern Europe (GBR, CEU and FIN in the 1000 Genomes Project (1000GP))10 but which we can resolve with", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. a**, Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup *f*3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. **b**, The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in **a**. The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. **c**, Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries ce56. Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries ce, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable shown in black boxes. Sources are highlighted in **a** and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01, unless a −log10[*P* value] is shown next to the model. If models satisfy *P* > 0.05, we show all such models; otherwise, we show only the model with the largest *P* value. **d**, The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in **c** that have a feasible model (*P* > 0.01). In **c**,**d**, we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region12. With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "#### **Extended Data Fig. 9 | Ancestry models of Viking Age individuals in Scandinavia. a**, MDS of each Scandinavian Viking group plotted on top of\n\npreceding Iron age and Roman individuals. **b**, All accepted qpAdm models using Twigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, and Norway, computed in a rotational qpAdm with source groups identical to Fig. 4. We only retain models with feasible admixture proportions, standard errors of <0.25, and show models with 1 source and a p-value greater than 0.01\n\nor otherwise with 2 sources and a p-value greater than 0.01. If several models satisfy p > 0.05, we show all such models, otherwise we select the model with the largest p-value. The -log10 p-values are shown to the left of each model. We combine models involving related sources, if they exist, by averaging their respective admixture proportions, standard errors, and p-values. We plot one standard error.", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed3.pdf" - }, - { - "text": "| Reporting on sex and gender | We use DNA sequenced from archaeological remains and have inferred the genetic sex where possible. |\n| --- | --- |\n| Reporting on race, ethnicity, or other socially relevant | We have grouped ancient DNA samples by expert assigned archaeological context, by time period, by geographic location and by genetic clustering. |\n| groupings | |\n| Population characteristics | We have included samples from Western and Central Eurasia spanning the last 10,000 years. |\n| Recruitment | We used publicly available ancient DNA samples. These are subject to sampling bias, that may arise for instance due to burial context. In particular, current technologies are unable to extract DNA from cremation burials which have been frequent in |\n| | some cultural contexts. |\n| Ethics oversight | N/A |\n\n|\n| |\n\n| Sample size | We aimed to compile a close to exhaustive list of ancient genomes with Western and Central Eurasian ancestries and then filtered by |\n| --- | --- |\n| | sequencing technology (shotgun sequencing), sequencing coverage (>0.5x), and excluded close relatives. Our final dataset comprised 1,151 |\n| | genomes in total. |\n| Data exclusions | We only used samples that were sequenced genome-wide to an average sequencing coverage of 0.5x. We excluded close relatives. |\n| Replication | We conducted two replication analyses of previous work (Extended Data Figure 8) to make sure our findings are consistent with current |\n| | knowledge. We conducted non-parametric and parametric modeling to confirm that our findings are robust to some modeling assumptions. |\n| Randomization | We ran ancestry models both on a per individual basis, as well as grouping individuals according to archaeological context provided by the |\n| | reference and as detailed in SI Table 1. To select source groups in our ancestry modelling, we used a clustering approach described in the |\n| | Methods section. |\n| Blinding | We used existing data and so blinding was not possible. |", - "page_start": 23, - "page_end": 23, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 5 | Three examples of applying Twigstats. a** Fine-scale population structure simulation emulating ref. 39 (see Methods for simulation details). First two principal components are computed from pairwise outgroup *f*3 statistics on the genotypes directly and on Relate trees inferred from the 50 target individuals. Labels in plots show the average coordinates of members of that population. For each panel, we calculate a separation index (SI) as in39, which we define as the proportion of individuals for which the closest individual (by the Euclidean distance in PC space) is in the same population. **b**, Fine-scale genetic structure in Neolithic Europe quantified using an MDS calculated on a symmetric matrix that contains all pairwise outgroup *f*3 statistics (outgroup: YRI) between individuals. These are either calculated directly on genotypes or calculated using Twigstats on Relate genealogies with a cutoff of 1000 generations. Individuals were selected by filtering based on Steppe and Western Hunter-gatherer ancestry (Methods). **c**, Admixture proportions inferred using qpAdm with three distal sources of Western\n\nHunter-gatherers, early European farmers, and Yamnaya Steppe people46. We show results for Twigstats-5000. Bias is measured as the difference in admixture proportions obtained from Twigstats-5000 and all SNPs, and we show standard errors of the latter. We plot two standard errors around the mean. The standard error improvement shown is one minus the ratio of standard errors obtained from Twigstats-5000 and using all SNPs. **d**, Neanderthal admixture proportion inferred using an *f*4-ratio of the form *f*4(outgroup, Altai, target, Mbuti)/*f*4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic variation data from the Simon's Genome Diversity Project (SGDP)75 and use the high-coverage Altai and Vindija Neanderthals78,79. We also compute equivalent *f*4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years ago and a second simulation involving no Neanderthal admixture but deep structure that leads to a similar inference unless deep coalescences are ignored by Twigstats. We plot two standard errors around the mean.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed3.pdf" - }, - { - "text": "(including one with ancestry related to Britain) are part of the majority strontium values, consistent with them having grown up locally. By contrast, the six most clearly non-local individuals based on the stable isotopes all have 50% or more EIA Scandinavian Peninsula-related ancestry, although three individuals with wholly EIA Scandinavian Peninsula-related ancestry also had local values. This suggests that the presence of central European-related ancestry was not a transient phenomenon, but an ancestry shift that occurred at some point after about 500 ce, the period to which individuals from the massacre site at Sandby Borg ringfort on Öland were dated; these individuals all have strictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is that the massacre at Sandby Borg could represent conflict associated with movements of people that contributed to later ancestry change, although other scenarios are possible and further synthesis of biomolecular and archaeological data is necessary to test this hypothesis.\n\n### **Viking Age mobility into Scandinavia**\n\nPrevious studies had suggested a major influx of ancestry related to Britain into Viking Age Scandinavia6,7 . Although we detect this ancestry in some individuals (7 individuals in Norway, 14 in Denmark and 14 in Sweden), including some individuals whose ancestry appears to be entirely derived from Iron Age Britain, its overall impact appears reduced compared with previous reports. Our analysis indicates a proportionally larger impact of ancestry from Iron Age Britain in northern Norway, with southern Scandinavia predominantly influenced by continental central European ancestries (Fig. 4d). We hypothesize that our estimates of ancestry from Britain are reduced relative to previous studies because ancestry related to Britain and continental central Europe may have been indistinguishable. This could be due to a lack of statistical power to distinguish these closely related sources with standard methods, as well as through potential biases introduced by using modern surrogate populations that have since been influenced by later gene flow (such as gene flow into Britain). We illustrate this by replicating the analyses previously described6,7 (Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such as Kärda in southern Sweden carried ancestry from southern Europe6 . In our models, two Kärda individuals fit with central European-related ancestry, but none of the individuals has a substantial proportion of ancestry related to southern European sources (Extended Data Fig. 9). Instead, we detect ancestry from southern European sources in only three individuals from Scandinavia, and in relatively small proportions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources from Eastern Europe (present-day Lithuania and Poland), concentrated in southeastern parts of Sweden, particularly the island of Gotland (14 individuals; Fig. 4a). This is consistent with previous genetic studies6,7 . We find that this ancestry is enriched in male individuals (Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. The closest match tends to be Roman Iron Age Lithuanian genomes associated with Balts, which would be consistent with mobility across the Baltic Sea, but we caution that the geographical representation of available genomes is still limited.\n\n### **Viking Age expansion from Scandinavia**\n\nTraditionally, historical perspectives on what is now often referred to as the Viking diaspora placed an emphasis on the movements and settlements of population groups from various parts of Scandinavia67. Our explorative MDS analysis again indicates mixed ancestries related to the Scandinavian EIA, with regional differences that point to varied local admixture (Fig. 4e and Extended Data Fig. 10).\n\nIn Britain, most of the individuals recovered from the two late Viking Age mass graves identified at Ridgeway Hill, Dorset, and St John's College, Oxford6 , show ancestries typical of those seen in Viking Age southern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age individuals in the Faroe Islands, Iceland and Greenland carry ancestry from the Scandinavian Peninsula, with several individuals showing the continental central Europe-related ancestry signal found in southern Scandinavia (Fig. 4f) and others who share substantial ancestry with Iron Age Britain. In contrast to previous hypotheses68, we found a marginal enrichment of ancestry related to Britain and Ireland in men (15 out of 17 men and 3 out of 6 women with at least one accepted model involving Iron or Roman Age Britain as source; Fisher's exact test *P* = 0.089) (Extended Data Fig. 7c,e). However, sampling of additional individuals to improve distinction between early English- and Norse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking Age burial from Ukraine, and these ancestries are overrepresented in Viking Age burials from present-day Russia. At Staraya Ladoga in western Russia, we observe several individuals with EIA Scandinavian Peninsula-related ancestry and at least one individual dated to the eleventh century with apparent ancestry related to Iron Age Britain. The relative absence of Iron Age central European ancestry, which was largely restricted to southern Scandinavia during the Viking Age, is thus indicative that these individuals may have originated in the central/ northern parts of Sweden or Norway, where Viking Age individuals show the most similar ancestry profiles to them.\n\n### **Conclusions**\n\nOur approach, Twigstats, transfers the power advantage of haplotypebased approaches to a fully temporal framework, which is applicable to *f*-statistics and enables previously unavailable unbiased and time-stratified analyses of admixture. We demonstrated that Twigstats enables fine-scale quantitative modelling of ancestry proportions, revealing wide-ranging ancestry changes that affect northern and central Europe during the Iron, Roman and Viking ages. We reveal evidence of the southward and/or eastward expansion of individuals who probably spoke Germanic languages and who had Scandinavian-related ancestry in the first half of the first millennium ce. We note that 'Scandinavian-related' in this context relates to the ancient genomes available, and so it is entirely possible that these processes were driven, for example, from regions in northern-central Europe. This could be consistent with the attraction of the greater wealth, which tended to build up among Rome's immediate neighbours and may have played a major role in vectors of migration internal to communities in Europe who lived beyond the Roman frontier52. Later, patterns of gene flow seem to have turned northwards, with the spread of Iron Age Central Europe-related ancestry into Scandinavia. Overall, our approach can be used for the reconstruction of new high-resolution genetic histories around the world.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41586-024-08275-2.\n\n- 1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using dense haplotype data. *PLoS Genet.* **8**, 11–17 (2012).\n- 2. Hellenthal, G. et al. A genetic atlas of human admixture history. *Science* **343**, 747–751 (2014).\n- 3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British migration history. *Nat. Commun.* **7**, 10408 (2016).\n- 4. Flegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and North America. *Nature* **570**, 236–240 (2019).\n- 5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high mobility. *eLife* **13**, e79714 (2024).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Extended Data Fig. 1 | Collection of ancient genomes used in this study. a**, Ancient DNA samples included in this study (Supplementary Table 1). Samples older than 3000 BCE are shown at 3000 BCE. **b**, Map showing mean coordinates of groups in the Iron, Early Modern, and Viking Ages. **c**, Source groups used in qpAdm modelling of Metal Age and early Medieval Europe (Figs. 2, 3 and 4),\n\nshowing sample ages. Sample sizes are shown in grey boxes. **d**, *F*ST between Metal Age and early Medieval groups computed using popstats77 using options --FST --informative. Sample sizes are shown in brackets and we show one standard error.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed3.pdf" - }, - { - "text": "**Fig. 4 | Ancestry in the Viking world. a**, Map showing ancestry carried by Scandinavian Viking Age individuals as inferred using the best-fitting qpAdm model. These are chosen by either choosing the one-source model with largest *P* value and *P* > 0.01 or the two-source model with the largest *P* value and *P* > 0.01. Extended Data Fig. 7 shows the same map with all accepted models. **b**, Stable isotope data indicating the geology of childhood origin. The histogram shows the ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland69. For individuals included in our ancestry modelling, we plot Iron Age central European-related ancestry against their stable isotope values (grey circles, *r* = −0.39, *P* = 0.075). Shared area corresponds to the 95% confidence band\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When considered collectively, the individuals who show evidence of central European-related ancestry are mostly observed in regions historically within the Danish sphere of influence and rule. Currently, no such individuals, for example, are noted in eastern central Sweden, which was a focus of regional power of the Svear (Fig. 4a). The difference in distribution could suggest that the central European-related ancestry was more common in regions dominated by the historical Götar and groups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent with mobility during the lifetime of the individuals or, alternatively, around the regression line. **c**, The ancestry shift observed in Viking Age Danish groups using qpAdm on all SNPs or Twigstats. We show the best one-source and all two-source models with *P* > 0.05. For models with *P* < 0.05, the −log10[*P* value] is shown under the plot. Sample sizes for each group are shown in brackets. **d**, The ancestry proportion across Viking Age individuals in Denmark, Sweden and Norway grouped by latitude. **e**, Viking Age genetic variation (grey circles) visualized on the same MDS as in Fig. 2a,b. **f**, The best-fitting qpAdm ancestry model for far-flung Viking individuals. Detailed models for all individuals are shown in Extended Data Figs. 9 and 10. In **c** and **f**, we show one s.e. Rotating qpAdm sources are marked in bold in the key.\n\nthat of established groups, we focused on the island of Öland in southeast Sweden, where 23 individuals for whom we could reconstruct ancestry portraits also had associated strontium stable isotope data66. Strontium isotope data from dental enamel reflect the geology of the region where an individual grew to maturity, and there are considerable differences in expectations between Öland and many other regions in northern Europe. The full range of strontium isotope ratios in 109 individuals show two modes, a majority group with low ratios and a second minority group with high ratios falling outside the expected range of local fauna (Fig. 4b). Among 23 individuals with genomes in our data, all 5 individuals with 100% ancestry relating to central Europe", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "What do the timescales during which high-amplitude flaring events occur in blazars indicate?", - "target_page": 1, - "target_passage": "that much of the en- ergy is being produced deep within the jet on small, sub-parsec scales", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. Stecker et al. 1996, ApJ, 473, L75\n- [8] P. Giommi et al. 2005, A&A, 434, 385\n- [9] S. Turriziani et al. 2007, A&A, 472, 699\n- [10] L. Costamante 2006, arXiv:0612709\n- [11] P. Padovani et al. 2002, ApJ, 581, 895\n- [12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n- [13] A.A. Abdo et al. 2009, ApJ, 700, 597\n- [14] V.A. Acciari et al. 2008, ApJ, 684, L73\n- [15] V.A. Acciari et al. 2009, ApJ, 707, 612\n- [16] V.A. Acciari et al. 2009, ApJ, 690, L126\n- [17] V.A. Acciari et al. 2009, ApJ, 693, L104\n- [18] L.C. Reyes 2009, arXiv:0907.5175\n- [19] R.A. Ong 2009, ATel, 1941\n- [20] R.A. Ong et al. 2009, ATel, 2272\n- [21] V.A. Acciari et al. 2009, ApJ, 708, L100\n- [22] R.A. Ong et al. 2009, ATel, 2301\n- [23] R.A. Ong et al. 2009, ATel, 2260\n- [24] R.A. Ong et al. 2009, ATel, 2309\n- [25] W. Benbow 2009, arXiv:0908.1412\n- [26] V.A. Acciari et al. 2009, ApJ, submitted\n- [27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n- [28] V.A. Acciari et al. 2009, ApJ, in press\n- [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "detailed variability analysis for one of two reasons: (1) too few data points or (2) flux measurement uncertainties on the order of the amplitude of observed variability. It is important to note that, due to discrepancies between the sampling frequency in both bands, the variability indices for the 850µm band may be artificially depressed due to the fact that there are not always corresponding measurements at higher frequencies during flaring epochs.\n\n## **3.2. First-Order Continuous Autoregression**\n\nWe follow the method of Kelly et al. [9], who model quasar optical light curves as a continuous time firstorder autoregressive process (CAR(1)) in order to extract characteristic time scales and the amplitude of flux variations. Although flaring behavior is not typically thought of as an autoregressive process, we find that the light curves are well-fit by the models and therefore adopt the method here to study blazar submillimeter light curves.\n\nThe CAR(1) process is described by a stochastic differential equation [9],\n\n$$d S(t)\\,=\\,{\\frac{1}{\\tau}}S(t)\\,d t+\\sigma{\\sqrt{d t}}\\,\\epsilon\\left(t\\right)+b\\,d t,\\qquad(3)$$\n\nassociated with a power spectrum of the form\n\n$$P_{X}(f)\\,=\\,\\frac{2\\sigma^{2}\\tau^{2}}{1+(2\\pi\\tau f)^{2}}.\\qquad\\qquad(4)$$\n\nIn equations 3 and 4, τ is called the \"relaxation time\" of the process S(t) and is identified by the break in PX(f). The power spectrum appears flat for timescales longer than this and falls off as 1/f 2 for timescales shorter than the characteristic timescale of the process.\n\nTaking the logarithm of the blazar light curve (in Jy) to be S(t), we adopt τ (in days) as the characteristic timescale of variability, after which the physical process \"forgets\" about what has happened at time lags of greater than τ . The two other relevant parameters, σ and µ = b/a, are the overall amplitude of variability and the logarithm of mean value of the light curve, respectively.\n\nIn the routine, we construct an autoregressive model for the light curves for a minimum of 100,000 iterations and calculate the value of τ from the break in the power spectrum in each instance. Due to the limited number of observations in the 850µm band, we performed this autoregressive analysis only for the 1mm light curves, which typically have more than 10 points per light curve.\n\nThis method yielded some surprising results. In Figure 3, we see that the BL Lacs and FSRQs exhibit virtually no difference in characteristic timescale, with\n\nFigure 3: Characteristic timescale (days) versus submillimeter luminosity (erg s−1 ) in the 1mm band for all objects. Physically, τ represents a \"relaxation timescale\", the timescale beyond which events are no longer correlated.\n\nboth classes extending across a large range in τ . Because of the uncertainty for objects with shorter characteristic timescales, it is hard to draw any definitive conclusions about the differences between classes. It is important to note that τ does not necessarily represent a flaring timescale, which is a behavior that typically operates on a scale of ∼10–100 days and not on the longer timescales we see in τ .\n\n## **4. CONNECTION WITH GAMMA-RAYS**\n\nIn general, we find that in the submillimeter, we are observing these blazars at or near the peak of the synchrotron component (αS ∼ 0), but that Fermidetected sources have more negative energy spectral indices overall than Fermi-nondetected sources. In Figure 4, we see that while the majority of Fermi blazars are observed on the rising part of the synchrotron component (at lower energies than the peak), all of the objects have very steeply falling γ-ray energy spectral indexes, putting the γ-ray peak at lower energies than the observed Fermi band. Knowing that we are not observing the synchrotron and γ-ray components at analagous points in the spectrum may allow us to better understand the magnetic field in the parsec-scale jet region and the population of external photons that is being upscattered to γ-rays.\n\nIn Figure 5, the ratio between Lγ and νLν,1mm reflects the division between BL Lacs and FSRQs as well", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 8: XTEJ1752-223 light curve. Horizontal scale is in modified Julian days.\n\n- [1] C. Meegan et al., Ap. J. 702, 791 (2009).\n- [2] C. Wilson-Hodge et al. (2010), these proceedings.\n- [3] B. A. Harmon et al., Ap. J. Suppl. 138, 149 (2002).\n- [4] B. A. Harmon et al., Ap. J. Suppl. 154, 585 (2004).\n- [5] G. L. Case et al., in The First GLAST Symposium, edited by S. Ritz, P. Michelson, and C. Meegan (2007), vol. 921 of AIP Conf. Proceedings, p. 538.\n- [6] J. Tueller et al. (2010), ap. J. Suppl., (to be published), astro-ph/0903.3037.\n- [7] J. C. Ling and W. A. Wheaton, Ap. J. 598, 334 (2003).\n- [8] E. Jourdain and J. P. Roques, Ap. J. 704, 17 (2009).\n- [9] H. Steinle et al., Astron. and Astrophys. 330, 97\n\n12-25 keV band, where the flux initially rose to about 240 mCrab (2009 Oct 25-28), suddenly dropped to non-detectable on 2009 October 29-30, then rose again during the period 2009 October 31 to November 2. As of mid December 2009, the source remains in a high intensity state. The light curve is shown for the period MJD 54700-55200, again with 1-day resolution, in Fig. 8. The fluxes for XTE J1752-223 in Table 1 are given are for the interval of flaring activity, TJD 55130-55180.\n\n#### Acknowledgments\n\nThis work is supported by the NASA Fermi Guest Investigator program. At LSU, additional support is provided by NASA/Louisiana Board of Regents Cooperative Agreement NNX07AT62A.\n\n(1998).\n\n- [10] M. McConnell et al., Ap. J. 523, 928 (2000).\n- [11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. Astrophys. Suppl. 5, 80 (2005).\n- [12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. 5, 341 (2005).\n- [13] L. Bouchet et al., Ap. J. 693, 1871 (2009).\n- [14] M. C. Bell et al., Ap. J. 659, 549 (2007).\n- [15] G. L. Case et al. (2010), to be submitted.\n- [16] C. Wilson-Hodge et al., Astron. Telegram 2280 (2009).", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0955.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "Where is the Submillimeter Array?", - "target_page": 1, - "target_passage": "near the summit of Mauna Ke", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "## **References**\n\n- [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series, edited by F. A. Aharonian and H. J. V¨olk (2001), vol. 558 of American Institute of Physics Conference Series, pp. 275–288.\n- [2] M. Sikora, in Blazar Demographics and Physics, edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series, pp. 95–104.\n- [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437, 91 (1994).\n- [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616, L1 (2004).\n- [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies, edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series, p. 234.\n\n- [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175, 97 (2008).\n- [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700, 597 (2009).\n- [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485, 51 (2008).\n- [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698, 895 (2009).\n- [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675, 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T(t) = exp[−µ(E)A(h)], where µ(E) is the mass attenuation coefficient of gamma rays at energy E in air and A(h) is the air mass along the line of sight at a given altitude h(t). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1.5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5σ after ∼ 490 days of observations, and one transient source.\n\n#### III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n#### A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBM CTIME data do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "- 26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72, 064413 (2005).\n- 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter, Phys. Rev. Lett. 99, 097202 (2007); R. Thomale, E. Kapit, D. F. Schroeter, and M. Greiter, Phys. Rev. B 80, 104406 (2009).\n- 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev. Lett. 88, 067203 (2002).\n- 29 F. Becca, F. Mila, Phys. Rev. Lett. 89, 037204 (2002).\n- 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93, 197203 (2004).\n- 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72, 024449 (2005).\n- 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n\nB 74, 060405(R) (2006).\n\n- 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys. Rev. B 74, 134409 (2006).\n- 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100, 077201 (2008).\n- 35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n- 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y. Tokura, Science 291, 2573 (2001).\n- 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413 (1989); X. G. Wen, Phys. Rev. B 40, 7387 (1989).\n- 38 Dimitris I. Tsomokos, Juan Jos´e Garc´ıa-Ripoll, Nigel R. Cooper, Jiannis K. Pachos, Phys. Rev. A 77, 012106 (2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "How many blazars were observed by the SMA in either band during the three months August-October 2008?", - "target_page": 2, - "target_passage": "only 129 of the SMA blazars", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850µm observations, and the open triangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0.03 ≤ z ≤ 2.19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## **2.1. Submillimeter Properties**\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\n$$\\nu_{e}L_{\\nu_{e}}=4\\pi D_{\\mathrm{L}}^{2}{\\frac{\\nu_{\\mathrm{obs}}F_{\\mathrm{obs}}}{1+z}},\\qquad\\qquad(1)$$\n\nwhere DL is the luminosity distance, νobs is the frequency of the observed band, and Fobs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850µm), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the \"tail\" to the left is populated by objects with errors larger than the intrinsic variability.\n\nflux (in erg cm−2 s −1 Hz−1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H0 = 71 km s−1 Mpc−1 , ΩM = 0.27, and Λ = 0.73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of αγ, we define spectral energy index as νFν = ν −αS and calculate αS from the average of the energy spectral indices over the corresponding three months. We only calculate αS for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850µm during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n## **3.1. Variability Index**\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\n$$V\\,=\\,\\frac{(F_{\\rm max}-\\sigma_{F_{\\rm max}})-(F_{\\rm min}+\\sigma_{F_{\\rm min}})}{(F_{\\rm max}-\\sigma_{F_{\\rm max}})+(F_{\\rm min}+\\sigma_{F_{\\rm min}})}\\tag{2}$$\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "# **Submillimeter Variability and the Gamma-ray Connection in** *Fermi* **Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA* A. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August–October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ-ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ-ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submillimeter Array1 (SMA) at 1mm and 850µm, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ-ray indices and luminosities.\n\n## **2.** *SMA* **BLAZARS**\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850µm windows, achieving spatial resolution as fine as 0.25\" at 850µm. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and\n\n1The Submillimeter Array is a joint project between the Smithsonian Astrophysical Observatory and the Academia Sinica Institute of Astronomy and Astrophysics and is funded by the Smithsonian Institution and the Academia Sinica.\n\n2http://sma1.sma.hawaii.edu/callist/callist.html", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "### **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼750 h and ∼250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- A VHE blazar discovery program (∼200 h / yr): Each year ∼10 targets are selected to receive ∼10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- A target-of-opportunity (ToO) observation program (∼50 h / yr): VERITAS blazar observations can be triggered by either a VERI-TAS blazar discovery, a VHE flaring alert (>2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- Multi-wavelength (MWL) studies of VHE blazars (∼50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n# **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ-rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles (−8 ◦ < δ < 72◦ ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0.3. To further the study of the\n\nEBL a few objects having a large (z > 0.3) are also included in the target list. The target list includes:\n\n- All nearby (z < 0.3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- The X-ray brightest HBL (z < 0.3) in the recent Sedentary [8] and ROXA [9] surveys.\n- Four distant (z > 0.3) BL Lac objects recommended by [5, 10].\n- Several FSRQ recommended as potential VHE emitters in [6, 11].\n- All nearby (z < 0.3) blazars detected by EGRET [12].\n- All nearby (z < 0.3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- All sources (|b| > 10◦ ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ-ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERI-TAS blazar discovery program.\n\n### **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ-ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES 0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-ITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (ΓVHE ∼ 4.1). RGB J0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around αS ∼ 0.\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ-ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ-ray component than during its \"low state\". 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\neConf C091122\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ-ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "| Object | | Class Redshift |\n| --- | --- | --- |\n| M 87 | FR I | 0.004 |\n| Mkn 421 | HBL | 0.030 |\n| Mkn 501 | HBL | 0.034 |\n| 1ES 2344+514 | HBL | 0.044 |\n| 1ES 1959+650 | HBL | 0.047 |\n| W Comae† | IBL | 0.102 |\n| RGB J0710+591† | HBL | 0.125 |\n| H 1426+428 | HBL | 0.129 |\n| 1ES 0806+524† | HBL | 0.138 |\n| 1ES 0229+200 | HBL | 0.139 |\n| 1ES 1218+304 | HBL | 0.182 |\n| RBS 0413† | HBL | 0.190 |\n| 1ES 0502+675† | HBL | 0.341 |\n| 3C 66A† | IBL | 0.444? |\n| PKS 1424+240† | IBL | ? |\n| VER J0521+211† | ? | ? |\n\nTable I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n(∼5.5σ; 3% Crab flux above 300 GeV; ΓVHE ∼ 2.7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-092 . These data resulted in the discovery of VHE gamma-rays (>270γ, ∼6σ) at a flux (>200 GeV) of ∼2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERI-TAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES 0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object (z = 0.341) detected in the VHE band. In addition, VER J0521+211, likely associated with the radio-loud AGN RGB J0521.8+2112, was detected by VERTAS in ∼4 h of observations in October 2009 [23]. These observations were motivated by its identification as a >30 GeV γ-ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VER J0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n### **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ-ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ-rays, corresponding to a statistical significance of 4.8σ, observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected (>5σ), by VERITAS does not show a significant excess (∼120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with ΓVHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n# **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (2009- 10 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VER-ITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered\n\n2RBS 0413 was observed further by VERITAS in Fall 2009.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "# arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n\n# **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E>100 GeV) γ-ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ-rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n### **1. Introduction**\n\nActive galactic nuclei are the most numerous class of identified VHE γ-ray sources. These objects emit non-thermal radiation across ∼20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ-ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ-rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH (∼2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ-rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ-rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼100 GeV, an energy resolution of ∼15%, an angular resolution of ∼0.1◦ , and a sensitivity yielding a 5σ detection of a 1% Crab Nebula flux object in <30 hours1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.\n\n1A VERITAS telescope was relocated during Summer 2009, increasing the array's sensitivity by a factor ∼1.3.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar \"state\", with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n- BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n- Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τrest < 500 days.\n- The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n- FSRQs exhibit higher ratios of γ-ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL Lacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ-ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τrest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n- 1ES 1218+304: This HBL flared during VER-ITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n- 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n- W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an external-Compton (EC) component in an SSC interpretation.\n- 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n- Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n- RGB J0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n- PKS 1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n### **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ-rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both \"quiescent\" and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VER-ITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0.3 < z < 0.7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collaborating institutions in the construction and operation of the instrument.\n\n### **References**\n\n- [1] F. Aharonian et al. 2007, ApJ, 664, L71\n- [2] F. Aharonian et al. 2006, Nature, 440, 1018\n- [3] F. Aharonian et al. 2007, A&A, 475, L9\n- [4] J. Holder, et al. 2008, AIPC, 1085, 657\n- [5] L. Costamante & G. Ghisellini 2002, A&A, 384, 56\n- [6] E.S. Perlman 2000, AIPC, 515, 53\n- [7] F.W. Stecker et al. 1996, ApJ, 473, L75\n- [8] P. Giommi et al. 2005, A&A, 434, 385\n- [9] S. Turriziani et al. 2007, A&A, 472, 699\n- [10] L. Costamante 2006, arXiv:0612709\n- [11] P. Padovani et al. 2002, ApJ, 581, 895\n- [12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n- [13] A.A. Abdo et al. 2009, ApJ, 700, 597\n- [14] V.A. Acciari et al. 2008, ApJ, 684, L73\n- [15] V.A. Acciari et al. 2009, ApJ, 707, 612\n- [16] V.A. Acciari et al. 2009, ApJ, 690, L126\n- [17] V.A. Acciari et al. 2009, ApJ, 693, L104\n- [18] L.C. Reyes 2009, arXiv:0907.5175\n- [19] R.A. Ong 2009, ATel, 1941\n- [20] R.A. Ong et al. 2009, ATel, 2272\n- [21] V.A. Acciari et al. 2009, ApJ, 708, L100\n- [22] R.A. Ong et al. 2009, ATel, 2301\n- [23] R.A. Ong et al. 2009, ATel, 2260\n- [24] R.A. Ong et al. 2009, ATel, 2309\n- [25] W. Benbow 2009, arXiv:0908.1412\n- [26] V.A. Acciari et al. 2009, ApJ, submitted\n- [27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n- [28] V.A. Acciari et al. 2009, ApJ, in press\n- [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "## **References**\n\n- [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series, edited by F. A. Aharonian and H. J. V¨olk (2001), vol. 558 of American Institute of Physics Conference Series, pp. 275–288.\n- [2] M. Sikora, in Blazar Demographics and Physics, edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series, pp. 95–104.\n- [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437, 91 (1994).\n- [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616, L1 (2004).\n- [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies, edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series, p. 234.\n\n- [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175, 97 (2008).\n- [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700, 597 (2009).\n- [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485, 51 (2008).\n- [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698, 895 (2009).\n- [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675, 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "How big is the Mermaid fleet?", - "target_page": 12, - "target_passage": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## MERMAID FLEET", - "page_start": 25, - "page_end": 25, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings. SEAGOING OPERATIONS\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\n#### DAMPIER BASE\n\n8\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n**•**\n\n**•**\n\n- A wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Mermaid's principal activities during the course of the Financial Year were:\n\nPRINCIPAL ACTIVITIES\n\nOperating crewed vessel charters; **•**\n\nVessel manning, management and logistics;\n\n- **•**\n**•**\n\nOperating supply base facilities; and\n\n- Equipment hire. **•**\nOther than detailed in the Chairman's Report set out at pages 1 and 2 of this report and/or in the Operations Review set out on pages 3 to 9 of this report, (together the \"Chairman's and Operations Reviews\"), there have been no significant changes to these activities during the Financial Year.\n\nIn respect of the financial year ended 30 June 1999, as detailed in the directors' report for that financial year, a final dividend of 1.25 cents per share, franked to 100 per cent at 36 per cent corporate income tax rate, was paid to the holders of fully paid ordinary shares on 1 November 1999. DIVIDEND\n\nIn respect of the financial year ended 30 June 2000 the directors have not recommended the payment of a dividend.\n\nA review of operations for the Financial Year and the results of those operations are set out in the Chairman's and Operations Reviews.\n\nREVIEW OF OPERATIONS\n\n2 9\n\nThe Chairman's and Operations Reviews set out the matters which have had a significant effect on the state of affairs of Mermaid. Other than those matters there were no significant changes in the state of affairs of Mermaid during the Financial Year. SIGNIFIC ANT CHANGES IN THE STATE OF AFFAIRS\n\nOn 25 August 2000 the Company announced that it had reached two agreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company at an issue price of 30 cents each (Shares). SUBSEQUENT EVENTS\n\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000 Shares by 29 September 2000, followed by, if approved of by shareholders at the Company's annual general meeting, a further 3,441,666 within 7 days of that meeting.\n\nOn Mr Bradley being appointed a Director of the Company, in order to comply with the", - "page_start": 32, - "page_end": 32, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "vessels engaged in routine offshore logistics tasks operate fully laden with 7.4 m draft which means there will be very few occasions when the largest vessels in the industry have to make a tide dependent entry or departure through the Mermaid channel. Further the Mermaid Base will not suffer operational disadvantages experienced by the adjacent Woodshed Base or nearby Damper Public Wharf in terms of entry and departure draft restrictions.\n\nThe function and purpose of Berth 1 will be:\n\n- To service the larger offshore supply boat market on a fast turnaround basis.\n- To receive and offload very heavy ro/ro cargoes up to 1500 tonne delivered by ocean going heavy lift ships and barges.\n- To handle inbound and outbound cargoes related to major offshore pipe lay projects.\n- To receive and efficiently load reel ships used for deep water small diameter pipelay.\n\nThe wharf will be an earth filled structure with steel sheet pile faces and concrete capping beam surround. Most of the construction will be performed using land based equipment working from the core of the earth filled system.\n\nMuch effort has gone into a design concept which allows very large cranes (>100 tonne capacity) to operate without restriction on the wharf.\n\nThe separation between Berth 1 and Berth 2 is such to allow Road Train Triples (the max allowable) to turn unassisted on the wharf.\n\n#### **C. QUAY WALL (BERTH 2)**\n\nThe inner berth, Berth 2 has a minimum depth alongside of 5.0 m allowing unrestricted operation of all the Mermaid fleet, and the majority of other vessels servicing the offshore oil/gas industry and mineral ports. This berth will offer excellent weather protection for small and medium size vessels.\n\n#### **D. BREAKWATER.**\n\nThe rubble mount type breakwater will be an extension of the wharf, constructed using core and armor rock largely won from excavations on the Base. The excavations created will become depositories for dredge spoil.\n\nBecause the storm surge associated with major cyclones can be up to 7 m above chart datum (low tide), before imposing the wave height, a fully protective breakwater is not practical. The", - "page_start": 14, - "page_end": 14, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## MERMAID MARINE AUSTRALIA LIMITED A.C.N. 083 185 693\n\n#### CORPORATE DIRECTORY\n\n#### *Directors*\n\nAlan Birchmore, Chairman Mark Bradley, Director, CEO James Carver, Executive Director Derrice Dillon, Executive Director Jeff Mews, Non-Executive Director Richard Reid, Non-Executive Director\n\n#### *Company Secretary*\n\nBrendan Gore Neil Roberts\n\n#### REGISTERED OFFICE\n\nEagle Jetty, 20 Mews Road, Fremantle, Western Australia 6160. Telephone: 61 8 9431 7431 Facsimile: 61 8 9431 7432 Email: corporate@mermaidmarine.com.au Internet Site: www.mermaidmarine.com.au", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "*The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.*\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n#### **F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage. 1 3\n\n> MERMAID MARINE AUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "During 2000 Mermaid Marine formed a new business unit Mermaid Labour and Management Limited. The focus of this unit will be labour supply and industrial relations management to the marine, offshore construction industry and onshore resources projects in the NW of Australia. The Directors and Management of the new entity are very experienced, well known and regarded by the industry in general. The company has high expectations for Mermaid Labour and Management Limited. MERMAID LABOUR AND MANAGEMENT LIMITED\n\n#### SAFETY\n\nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have responsibility.\n\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company's accreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid's quality assurance and compliance team continues with a continuous day to day effort to improve our health, safety and environmental performance. Stringent charterer requirements, which are a pre requisite of increased vessel usage, must be met to the letter and are the subject of regular and demanding audits. Although time consuming and expensive, we are grateful to certain of the large producers, who while demanding the highest levels of compliance, have also been prepared to give their time, sharing their safety expertise with us and in that way assisting in the very major advances our company has made in this all important area.\n\nAt the time of writing this report, Mermaid had accumulated 348 days without a Lost Time Injury. A fine achievement and a continuing record.", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## CHAIRMAN ' S REPORT\n\nDirector of the Clough Group and a highly experienced and talented executive. Richard has appointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with engineering qualifications and associated business skills to assist him.\n\nCaptain Jim Carver, Mermaid's founder continues to play a significant role in Mermaid's operations, paying particular attention to our business at sea. Under 20 years of Jim's leadership, Mermaid developed an enviable reputation as a \"can do\" company, and in our drive for new engineering expertise and professionalism, we have no intention of allowing that attitude to be lost.\n\nLast year we identified Broome as our next strategic position. No oil and gas work had been supported out of Broome for seventeen years and with the valuable cooperation and assistance of the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first client. The base was then established early this year.\n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven months operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support of their current drilling programs. All the holes drilled from the Broome Base have been designated as commercial finds by the explorers and the very major increase in the reserves at Brecknock, Woodside's permit 500 kilometres north of Broome creates optimism for future production based in the Broome area.\n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu Undan project operated by Phillips, is well advanced and will impact Darwin's offshore activity quite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with Perkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping is synonymous with Darwin's history. Set up by V.B. Perkins in the late 40's, it has grown to significant size, operating its ships across the top of Australia and into South East Asia. There are many synergies which Mermaid shares with Perkins and we look forward to developing our Darwin business in close association with that fine old Company.\n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early in the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to be paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour hire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General Manager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director. With their reputation and talent added to Mermaid's experienced team, this labour hire company has become a significant force and can be expected to be in the final when major labour hire contracts are let.", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### OVERVIEW\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine Australia Ltd (\"Company\") and its controlled entities, experienced a 43% turnover reduction from last year. The result was almost entirely due to a heavy fall in oil prices, which reached their low of US$10 in February 1999, leading to the lowest level of offshore activity for many years. In September 1999 Mermaid exercised its option to acquire the utility vessel \"Mermaid Achiever\" for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister for the Environment for the development of a supply and engineering base at Dampier (Dampier Base). Since that time a detailed environmental management system has been produced for final approval and as a guide to daily environmental management and compliance. Refinements to the design have proceeded, together with the preparation of bid packages and negotiations with Banks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough Engineering will see an extremely robust balance sheet, with cash on hand approaching $10 million. As construction commences at Dampier, a level of project finance will be arranged providing a comfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They are dealt with in detail under following headings.\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax profit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease of 43% over the previous period. Fixed cost reductions enabled the Company to ride out the market reversal with a minimal loss and positive operating cash before capex of $1.6m. This result, achieved against a major drop in turnover, was possible through a vigorous attack on overheads, which included more beneficial ownership costs, insurance savings, management salary savings, including voluntary sacrifice from certain senior executives in recognition of the tighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the Company to a high level of fixed costs. The vessels were valuable earners and the transfer of the Mermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved to be the right decision for all market conditions. Although there have been no contracts yet let for work of any significance by producers on the North West Shelf, underlying day to day activity has returned. Expressions of interest for major project work have been issued and as an indication of better trading conditions, an unaudited profit of $496,721 has been recorded for the two months to 31st August 2000. The trend has continued in September.\n\n#### FINANCIAL", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### CHAIRMAN ' S REPORT\n\nMermaid Marine made great progress during the year to 30th June 2000, even though trading reflected low levels of activity in the North West. Prospects over recent months have rapidly improved, with a great deal of large project work in prospect. The Prospectus concept of building our business within the triangle of oil and gas reserves found between Timor, Exmouth and Darwin, is proven and has become even more relevant.\n\nRich in gas, the region is rapidly becoming Australia's powerhouse and the focus of new resource processing industries. In a statement made in only August this year, the Shell Oil Company identified gas as that Company's premier future fuel, due to its high environmental qualifications and portability. The Federal Government, also recognising the environmental advantages of gas, has identified that liquified natural gas in particular, as a greenhouse solution rather than a problem and has effectively exempted the gas industry from Kyoto protocol restraints.\n\nWoodside Petroleum has announced the signing of Memorandums of understanding for substantial gas contracts to a range of companies planning to establish their production in the Pilbara. At the time of writing this report, firm Letters of Intent were also foreshadowed for substantial increases in LNG production, specifically to Japan and prospects are high for further export sales to China, Singapore and India.\n\nProviding marine support for such expansion has been our principle source of earnings, but Mermaid will enjoy a larger and more diversified income stream once development of the Base at Dampier is completed. The project, demonstrated in more detail later in this report, will revolutionise our Company and drive significant changes in the way offshore producers are serviced in the North West of Australia.\n\nCoinciding with a start of Base construction, we were successful in attracting Mr Mark Bradley, formerly Managing Director of Clough Offshore, to join us as Mermaid's Chief Executive. As reported by the Age newspaper, our new Chief Executive has put his money where his mouth is, offering a personal investment of $2 million for equity in our company. Mark has had an extremely successful career with McDermotts and Clough Offshore. He will now drive the development of a much stronger engineering capability at Mermaid, through which, whether in joint venture or alone, we intend to be more closely involved as direct participants in North West Shelf work.\n\nImmediately following Mark Bradley's decision, his old employer, Clough Engineering, also expressed a desire to become a shareholder, subscribing $3 million for new equity. The influence that the direct involvement of Mark Bradley and Clough Engineering will have in our company's future should not be underestimated. At this time when we welcome Mark as a Director and shareholder, we are also pleased to announce the appointment of Mr Richard Reid, finance", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "What was the budget for the expansion of Dampier Base?", - "target_page": 14, - "target_passage": "a capital budget of $13m", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Work on Dampier Base expansion commenced on 9 October and will be largely complete by June 2001, involving a capital budget of $13m. B ASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT\n\nThe principle activities and facility developments involved in the expansion are:\n\n#### **A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance channel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of dredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) and a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management requirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial dredging tool using the experience gained from the earlier Woodside project. The layout of the Base has been very much driven by the desire to avoid or minimize blasting while fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart datum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n#### **B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main berth to accommodate a wider range of vessels than originally contemplated. The berth is now located in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are now four vessels operating in the region with 12,000 to 18,000 hp. When design commenced there were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide (MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "- A slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle most of the 60 vessels currently working in the region, a considerable number, but one which will rise over coming years. First class engineering facilities have been planned and highly experienced management recruited. Alternative slipways offering comparable capacity are only to be found in Darwin or Fremantle, a sea journey of approximately 1000 miles from this operational region. Australia has emerged as a centre of excellence with respect to vessel repair work, the Dampier facility will both benefit from and protect that valuable reputation. **•**\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The major oilfield services company Halliburton, have been attracted to the base as a tenant and a $1.1m purpose built building is being constructed for their use. Negotiations are also proceeding with other groups who recognise the unique advantages of operating from this strategically positioned Base. Rental income and associated revenues such as plant and labour hire will contribute significantly to the overall economics of the facility.\n\n- Protected moorings for cyclone shelter will be established inside the breakwater for long term lease to local tug operators. The demand arises from serious vessel and crew safety considerations. The Dampier Port Authority are reluctant to see the continued use of cyclone moorings in the Harbour, not only for safety reasons, but for environmental concerns as well. Oil spills are not acceptable under any circumstances and will be avoided whatever the cost. Tug owners share similar concerns, but in addition they need to remain in a position of readiness for crews and equipment to resume their important functions immediately following a cyclonic event. The number of specific purpose spread moorings, detailed on the adjacent plan will total 10 in the first phase of construction, a limit which will be assisted by an ability to remove vessels up to 100 tonnes from the water by wharf crane for tie down on cradles.\n**•**\n\n**•**\n\nConstruction of the Dampier Base commenced on the 9th October this year, with an expectation that all major elements of the project will be largely completed within 12 months.\n\n*The \"Clough Challenge\" Barge - Shallow Water Construction Support Barge in the East Spar Field*", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings. SEAGOING OPERATIONS\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\n#### DAMPIER BASE\n\n8\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n**•**\n\n**•**\n\n- A wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "*The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.*\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n#### **F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage. 1 3\n\n> MERMAID MARINE AUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "| | | Note | Consolidated | Company | |\n| --- | --- | --- | --- | --- | --- |\n| | | 2000 | 1999 | 2000 | 1999 |\n| | | $ | $ | $ | $ |\n| (b) | Operating Leases | | | | |\n| | Not later than 1 year | 171,733 | 80,306 | – | – |\n| | Later than 1 year but | | | | |\n| | not later than 2 years | 166,130 | 80,306 | – | – |\n| | Later than 2 years but | | | | |\n| | not later than 5 years | 351,955 | 169,173 | – | – |\n| | Later than 5 years | 640,247 | 684,402 | – | – |\n| | Aggregate lease expenditure | | | | |\n| | contracted for at balance date | 1,330,065 | 1,014,187 | – | – |\n| | Aggregate expenditure commitments | | | | |\n| | comprise: | | | | |\n| | Office rental commitments | 442,705 | 71,895 | – | – |\n| | Supply base rental commitments | 861,022 | 905,177 | – | – |\n| | Other | 26,338 | 37,115 | – | – |\n| | | 1,330,065 | 1,014,187 | – | – |\n\nDuring the year Mermaid Marine relocated their Corporate Office. Office rental commitments contains the rental payable under the balance of the lease for Mermaid's former corporate office. This has been sublet for the balance of the term of the lease at a rental equal to the rental payable by Mermaid under the lease of $46,250. The new location is committed under a 5 plus 5 year lease term.\n\nSupply base rental commitments represents the lease of the King Bay Supply Base for a term of 21 years commencing 1 January 1999 with an option to renew the term for a further period of 21 years.\n\nThe Lessee is obliged to obtain all necessary approvals by 31 December 2000 for certain development of works (\"Development Works\") and to subsequently perform the works within 3 years.\n\nThe Development Works planned include breakwater, dredged basin, cyclone moorings, slipway, quay wall and industrial buildings.\n\nIf the Development Works are not completed within the prescribed period, the Lessor has the right (unless it is satisfied that the non completion was due principally to matters beyond the Company's control) to vary the Lease by retaking 2.3 hectares at the western extremity of the site.\n\nThe approved use of the site is for the purpose of conducting a multi purpose marine service facility and supply base including but not limited to open and covered laydown and storage, warehousing, production and storage of drilling mud and other drilling supplies, operating and maintaining vessels and floating plant together with associated docking, maintenance and engineering works. Any other uses require the prior written consent of the Lessor.\n\nRestrictions apply to the assignment or subletting of the site (or any part) without prior consent of the Lessor, although that consent cannot unreasonably be withheld (subject to \"usual\" prudential requirements common to leases in Western Australia).", - "page_start": 54, - "page_end": 54, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "the consumption of cubic yards of available airspace. These costs include all costs to acquire and construct a site including excavation, natural and synthetic liners, construction of leachate collection systems, installation of methane gas collection and monitoring systems, installation of groundwater monitoring wells, and other costs associated with the acquisition and development of the site. Obligations associated with Ñnal capping, closure and post-closure are capitalized, and amortized on a units-of-consumption basis as airspace is consumed.\n\nCost and airspace estimates are developed annually by engineers. These estimates are used by our operating and accounting personnel to annually adjust our rates used to expense capitalized costs. Changes in these estimates primarily relate to changes in available airspace, inÖation and applicable regulations. Changes in available airspace include changes in design and changes due to the addition of airspace lying in expansion areas that we believe have a probable likelihood of being permitted.\n\nOur operations are managed and reviewed through Ñve regions which we designate as our reportable segments. From 2003 to 2004, operating income increased in our Eastern, Southern and Western regions due to an overall increase in revenue resulting from the successful execution of our growth strategy. In the Central region, increased revenue was oÅset by weak economic conditions and an increase in costs related to the longhaul transport of waste by third-party vendors. In the Southwestern region, revenue growth was impeded by the closure of a landÑll and the completion of a special waste contract during 2003. The decrease in costs for Corporate Entities from 2003 to 2004 is primarily due to a decrease in self-insurance expense.\n\n### **2004 Financial Objectives**\n\nIn January 2004, we publicly announced our objectives for the year. These objectives included the following:\n\n- ' Generating free cash Öow of approximately $340 million.\n- ' Using our free cash Öow to repurchase shares of our common stock under our $200.0 million share repurchase program approved by our board of directors in October 2003 and continuing to pay quarterly cash dividends.\n- ' Generating diluted earnings per share of $1.50 to $1.55.\n- ' Growing revenue from core operations by 3%, with approximately 2% attributable to price increases and 1% attributable to volume growth.\n- ' Purchasing approximately $275 million of property and equipment.\n\n### **2004 Business Performance**\n\nDuring 2004, we achieved our earnings per share objective and exceeded our internal growth, free cash Öow and share repurchase objectives.\n\nOur internal growth from core operations for 2004 was 5.9%, with 2.3% from price increases and 3.6% from volume growth. During 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. We experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our core volume growth was also positively impacted by the hurricanes. In addition, our geographic mix of business, which is concentrated in high growth markets, positively impacted our operating results. As a result, during 2004 we were able to exceed the internal growth objectives we established at the beginning of the year.\n\nDuring 2004, our operating margins improved, primarily due to lower self-insurance expense. This beneÑt was partially oÅset by increased costs for fuel, labor and subcontracting costs associated with the long-haul transport of waste by third party vendors. The net expansion in our operating margin allowed us to achieve diluted earnings per share of $1.53 during the year ended December 31, 2004.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\nKillam spent $1,482 per unit for the year ended December 31, 2013, compared to $1,683 per unit for the year ended December 31, 2012. Approximately 40% of the capital spend during the year was invested in suite renovations. The increase year‑over‑year was a result of unit upgrades to improve quality and increase occupancy, increase yields on properties identified for repositioning, and support the Company's commitment to increasing unit quality to maximize rental increases.\n\nAs an example, in 2013 the Company has been actively working to reposition Brentwood Apartments, a 45‑year old, 240‑unit, property located in Halifax, that was acquired in 2012. The Company identified that significant value could be created at this property by improving the quality of the units and generating increased NOI through higher rents. Unit upgrades have averaged $15,000 per unit and have consisted of new appliances, flooring and kitchen and bathroom upgrades. The Company has achieved a corresponding lift in rents of approximately 15% on the 53 units it has completed to date. Based on a 5‑year project timeline, with 20% of the units renovated each year, the Company expects to see the return on the total investment improve 145 bps from 6.25% to 7.70%.\n\nKillam has also invested in suite renovations to reposition an Ottawa portfolio acquired in 2012. Kitchen, bathroom, flooring and appliance upgrades have improved the quality of the Ottawa units, leading to a 1,100 bps increase in occupancy in the past 12 months. Excluding the repositioning of the Brentwood and the Ottawa portfolio in 2013, suite renovation costs would have been $6.0 million, or a 21% increase from 2012.\n\nThe Company has also identified additional properties in the Atlantic region as well as Ontario for repositioning and will continue to invest in upgrades where these higher yields can be achieved. One such property identified for 2014 is Shaunslieve, the 154‑unit property adjacent to S2 in Halifax. Killam expects to recover the renovation costs through increased rental rates. Capital spend on appliances increased in 2013 as well, which was directly correlated to the increased suite renovation work.\n\nBoiler and heating equipment costs have decreased significantly in 2013, as the Company converted twenty properties to natural gas in 2012, compared to one in 2013.\n\nThe majority of the remaining capital expenditures during 2013 related to exterior building repairs, including roofing and balcony upgrades, brick replacement and exterior facade upgrades. The timing of capital spending is influenced by tenant turnover, market conditions, and individual property requirements, causing variability. In addition, the length of time that Killam has owned a property and the age of the property also influences the capital requirements.\n\n## **Average Capital Spend Per Unit by Building Age**\n\nAs the above chart highlights, the capital spend per unit is less for newer properties, averaging $364 per unit in 2013, compared to $2,248 per unit for buildings over 40 years old. This analysis excludes capital spending on development and energy projects. Killam's continual focus on developing and acquiring new properties aids in maintaining lower capital requirements on a per unit basis. 20% of Killam's apartments as of December 31, 2013, have been built in the past ten years.\n\nKillam expects to invest approximately $22 million to $24 million during 2014 on apartment portfolio capital investments.", - "page_start": 50, - "page_end": 50, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "#### Table of Contents\n\nOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased by $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and increased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.\n\nSee Note 9, Income Taxes, to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q for further details.\n\n#### Liquidity and Capital Resources\n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash we generate from our core operations enables us to fund ongoing operations and production, our research and development projects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing manufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and autonomy and other artificial intelligence enabled products.\n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we will be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing operations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we may choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and may decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time determine that it is in our best interests to voluntarily repay certain indebtedness early.\n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month period following September 30, 2024, as well as in the long-term.\n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of liquidity to meet such needs.\n\n#### Material Cash Requirements\n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of components and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in the precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do not have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of purchase orders beyond such period is difficult to accurately project.\n\nAs discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis of Financial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook —Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capital expenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each of the following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York and Gigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Results of Operations—Liquidity and Capital Resources—Material Cash Requirements in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nAs of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount of indebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, Debt, to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.\n\n#### Sources and Conditions of Liquidity\n\nOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used vehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equity offerings, when applicable.", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\nConsistent with the Company's strategy to continue to add to its portfolio through developments, a second project in St. John's was started during the second half of 2013 within close proximity to Bennett House. The design and site planning for the 101‑unit complex is completed and construction commenced at the end of the third quarter of 2013. In order to generate higher returns, the Company has approved a lower per unit development cost. The Company has spent $7.1 million on this project to date including the cost of land and has satisfied the equity component in order to obtain construction financing. Management expects an all cash yield of approximately 6% on this project.\n\nKillam acquired land in Cambridge in early 2013, which consisted of a 5.2 acre site and developed a two‑phase plan for development for 244 units. Phase one will include 122 units and construction commenced in the fourth quarter of 2013, with development expected to be completed in the spring of 2015. The Company has already contributed $6.0 million to phase one of the project, which represents approximately 82% of the required equity contribution and the expected yield on this project is approximately 6%.\n\n## **Capital Improvements**\n\nKillam invests capital to maintain and improve the operating performance of its properties. During the year ended December 31, 2013, Killam invested a total of $21.6 million in its portfolio, compared to $22.5 million in 2012.\n\nFor the years ended December 31,\n\n| | 2013 | 2012 | % Change |\n| --- | --- | --- | --- |\n| Apartments | $18,100 | $19,039 | (4.9)% |\n| MHCs | 3,505 | 3,345 | 4.8% |\n| Other | 42 | 84 | (50.0)% |\n| | $21,647 | $22,468 | (3.7)% |\n\n## **Apartments ‑ Capital Spend**\n\nA summary of the capital spend on the apartment segment is included below:\n\nFor the years ended December 31,\n\n| | 2013 | 2012 | % Change |\n| --- | --- | --- | --- |\n| Building improvements | $8,545 | $9,353 | (8.6)% |\n| Suite renovations | 7,390 | 4,945 | 49.4% |\n| Land improvements | 53 | 1,374 | (96.1)% |\n| Boilers and heating equipment | 371 | 1,902 | (80.5)% |\n| Appliances | 1,188 | 808 | 47.0% |\n| Parking lots | 133 | 211 | (37.0)% |\n| Equipment | 211 | 237 | (11.0)% |\n| Other | 209 | 209 | ‑% |\n| Total capital spend | $18,100 | $19,039 | (11.6)% |\n| Average number of units outstanding | 12,210 | 11,312 | 7.9% |\n| Capital spend per unit | $1,482 | $1,683 | (11.9)% |\n\nKillam estimates that $450 per unit of the capital spending relates to maintenance capital, and the remainder relates to value enhancing upgrades. Maintenance capital varies with market conditions and relates to investments that are not expected to lead to an increase in NOI, or increased efficiency, of a building; however, it is expected to extend the life of a building. Examples of maintenance capital include roof and structural repairs and are in addition to regular repairs and maintenance costs that are expensed to NOI. Value enhancing upgrades are investments in the properties that are expected to result in higher rents and/or increased efficiencies. This includes unit and common area upgrades and energy investments, such as natural gas conversions.", - "page_start": 49, - "page_end": 49, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **MHCs ‑ Capital Spend**\n\nA summary of the capital spend on the MHC segment is included below:\n\nFor the years ended December 31,\n\n| | 2013 | 2012 | % Change |\n| --- | --- | --- | --- |\n| Water & sewer upgrades | $2,212 | $1,812 | 22.1% |\n| Roads and paving | 255 | 421 | (39.4)% |\n| Equipment | 21 | 36 | (41.7)% |\n| Other | 465 | 527 | (11.8)% |\n| Site expansion and land improvements | 552 | 549 | 0.5% |\n| Total capital spend ‑ MHCs | $3,505 | $3,345 | 4.8% |\n| Average number of units outstanding | 7,207 | 8,251 | (12.7)% |\n| Capital spend per unit | $486 | $405 | 20.0% |\n\nManagement expects to spend between $300 and $400 in capital per MHC site on an annual basis. As with the apartment portfolio, a portion of the MHC capital is considered maintenance capital and a portion is value enhancing. Management estimates that $100 per unit is maintenance capital, including costs to support the existing infrastructure, and the remaining amount increases the value of the properties, with improved roadways, ability to accommodate future expansion, and community enhancements, such as the addition of playgrounds. The cost of most capital projects will be recovered through above guideline increases in the provinces with rent control, leading to increased NOI for the investment.\n\nFor the year ended December 31, 2013, Killam spent $2.2 million on water and sewer upgrades, an increase of 22.1% over 2012 due to the installation of several new water systems and upgrades to existing water and sewer infrastructure. This capital work fluctuates from year‑to‑year with only $1.8 million invested in 2012 but $3.1 million in 2011. The high water upgrade costs in 2013 resulted in the per unit MHC spend being above Killam's expectation of $300 ‑ $400 per year.\n\nAs with the apartment portfolio, the timing of capital spending changes based on requirements at each community. Killam expects to invest $1 million to $2 million during 2014 on capital improvements across the MHC portfolio.\n\n## **Liquidity and Capital Resources**\n\nThe Company's sources of capital are cash generated from operating activities, credit facilities, mortgage financing and refinancing, and equity and debt issuances. The Company's primary use of capital includes property acquisitions and developments, major property improvements, recurring property maintenance, debt principal and interest payments, and payment of dividends. The Company anticipates meeting all current and future obligations with current cash and cash equivalents, cash flow generated from operations and conventional mortgage refinancing and that the Company will be able to obtain financing on reasonable terms.\n\nKillam's ability to grow through acquisitions and development will be dependent on the ability to access mortgage debt, construction financing and to raise equity in the capital markets. Killam had cash on hand of $27.7 million at December 31, 2013, primarily as a result of the net proceeds of $42.6 million related to the sale of the ten MHC properties in the fourth quarter of 2013. Killam utilized part of the sale proceeds to retire a $10 million vendor take‑back (\"VTB\") loan and acquire additional properties, and expects to redeploy the remaining funds during the first quarter of 2014. Based on 60% debt on acquisitions, the Company expects to complete an additional $60 million in accretive apartment acquisitions. The Company also has $139.3 million in debt maturing during 2014 and expects to generate approximately $50 million in surplus cash to be used for its 2014 capital program and to fund additional acquisitions throughout the year.", - "page_start": 51, - "page_end": 51, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "When did Mermaid Marine Service Base in the Port of Broome start?", - "target_page": 22, - "target_passage": "1 February 2000", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "BROOME SUPPLY BASE\n\nMermaid Marine services base at the Port of Broome (Broome Base) commenced operations on 1 February 2000 when the first ship containing drill pipe for Inpex Browse Ltd arrived from Japan.\n\nAs a result of Mermaid's efforts in establishing the Broome Base, Inpex Browse Ltd., BHP Petroleum and Woodside have used Broome as their base for drilling a total of four (4) offshore wells.\n\nIt is presently expected that at least six (6) exploration wells will be drilled in the area during 2001. The Base now employs as many as ten (10) staff up from the three (3) who commenced in February 2000. Excellent management and staff competence are the prime factors, which have delivered the smooth start up and continued success at Broome.\n\n*The Mermaid Broome Supply Base certified Impex, Woodside and BHP Petroleum exploration program during 2000.*\n\nThe base is currently secured on a come and go lease arrangement, located on Port premises adjacent to the wharf gates. Although convenient, with an excellent cyclone proof building, the site has limitations in terms of size and slope. An area more suitable for our long term needs has been optioned from Port authorities and discussions will proceed with our clients this year to determine their precise needs.\n\nThe success of Browse Basin wells drilled this year, strong developments in the energy sector and the intention of operators to base their 2001 operations in Broome, have encouraged the Board to consider further investment to ensure that capability keeps pace with demand and that we leave no reason for competitors to offer more or better.\n\nThe offshore waters of the Northern Territory, the Zone of Co-Operation (ZOCA) between Australia and Timor, and the Commonwealth Territory of Ashmore and Cartier host approximately 35% of the exploration and development budgets of Australian offshore oil and gas industry. DARWIN BASE\n\n> Two large projects are under study or implementation in these waters; the Phillips Petroleum Bayu-Undang Project and the Woodside Sunrise Troubador Project.\n\n> Two large petrochemical projects are under study for the Darwin area based upon pipelines from the Timor Sea gas resources of the projects above.\n\n> Darwin will within 3 years be the northern terminus of the Australian national rail system with the completion of the Alice Springs Darwin rail link, further expanding its role in Australia's economy.", - "page_start": 21, - "page_end": 21, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings. SEAGOING OPERATIONS\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\n#### DAMPIER BASE\n\n8\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n**•**\n\n**•**\n\n- A wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "*The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.*\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n#### **F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage. 1 3\n\n> MERMAID MARINE AUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### OVERVIEW\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine Australia Ltd (\"Company\") and its controlled entities, experienced a 43% turnover reduction from last year. The result was almost entirely due to a heavy fall in oil prices, which reached their low of US$10 in February 1999, leading to the lowest level of offshore activity for many years. In September 1999 Mermaid exercised its option to acquire the utility vessel \"Mermaid Achiever\" for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister for the Environment for the development of a supply and engineering base at Dampier (Dampier Base). Since that time a detailed environmental management system has been produced for final approval and as a guide to daily environmental management and compliance. Refinements to the design have proceeded, together with the preparation of bid packages and negotiations with Banks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough Engineering will see an extremely robust balance sheet, with cash on hand approaching $10 million. As construction commences at Dampier, a level of project finance will be arranged providing a comfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They are dealt with in detail under following headings.\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax profit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease of 43% over the previous period. Fixed cost reductions enabled the Company to ride out the market reversal with a minimal loss and positive operating cash before capex of $1.6m. This result, achieved against a major drop in turnover, was possible through a vigorous attack on overheads, which included more beneficial ownership costs, insurance savings, management salary savings, including voluntary sacrifice from certain senior executives in recognition of the tighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the Company to a high level of fixed costs. The vessels were valuable earners and the transfer of the Mermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved to be the right decision for all market conditions. Although there have been no contracts yet let for work of any significance by producers on the North West Shelf, underlying day to day activity has returned. Expressions of interest for major project work have been issued and as an indication of better trading conditions, an unaudited profit of $496,721 has been recorded for the two months to 31st August 2000. The trend has continued in September.\n\n#### FINANCIAL", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Darwin is serviced by three marine infrastructure elements.\n\n- a. A public port adjacent to the main business centre, which is destined to be redeveloped as a cruise ship and tourism precinct .\n- b. A group of freehold water front properties on Frances Bay near to the main business center.\n- c. A recently commissioned public port and industrial estate at East Arm some 25 km from the main business district.\n\nDarwin already has an abundance of shore based logistics service providers who operate from onshore industrial estates through publicly owned facilities.\n\nThe Northern Territory Government has sponsored a study to determine the marine infrastructure deficits of the Darwin area. Mermaid has contributed to the study and is monitoring the subsequent planning processes.\n\nRegardless of industry trends, Mermaid has a need for a Darwin Base to service and care for Mermaid vessels working in the area. Too often vessels have been demobilised to Dampier at the conclusion of a contract then being required to return to Darwin within days or weeks for another assignment.\n\nMermaid has decided that needs and opportunities in the north of Australia can be best served by entering a co-operative arrangement with an established Darwin Company. Agreement has therefore been reached with Perkins Shipping Group, who are one of the freehold land owners on Frances Bay.\n\nPerkins Shipping, established in the 1950s is the major coastal shipping service provider in Australia's north, linking Darwin to mining and aboriginal committees from the Kimberly to Gulf of Carpenteria. Additionally Perkins operate services to East Timor, mining operations in Indonesia, as well as Singapore and East Malaysia. The Perkins and Mermaid businesses are different, but complementary, offering benefits to both. The arrangement with Perkins will give Mermaid well placed office facilities, open storage and waterfront access.\n\nOur intention is that Darwin become the third and final mainland entreport to service the Northwestern offshore oil and gas industry together with our other strategically placed facilities at Dampier and Broome.", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### **G. SLIPWAY.**\n\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service our marine industries. Some of this has been due to a historical link with our recent industrial past. This is now behind us, and Australia has now become a centre of excellence with respect to both new building and ship repair, particularly for high tech and specialty vessels.\n\nThe Mermaid slipway will be the third such facility on the western half of the continent , with others located at Fremantle and Darwin.\n\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is structured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between 200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private pleasure craft , naval, scientific and law enforcement vessels are a secondary target.\n\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set by our current inventory of cradles used to support vessel on the slip. The cradles will be progressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne vessels to be side slipped, thereby increasing capacity.\n\nThe slipway location and orientation on the Base has been chosen to maximize the cost and load bearing benefits of having a very high strength granite bedrock as the best possible foundation.\n\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent. Tenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship Repair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns.\n\nMermaid has purchased a very large cyclone rated industrial building frame which will be sited beside the slipway and tenanted by Mermaid engineering and companies which will provide ancillary services related to ship repair.\n\n*The Northwest Shelf is a world scale offshore oil and gas exploration province.*", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## CHAIRMAN ' S REPORT\n\nLabour hire is heavily dependent upon the quality of the personnel database and our intention has been announced to offer training at Dampier, Broome and Darwin for those who live in the North West and wish to work in the offshore industry there. Planning for this new initiative is well advanced and we expect to be running courses for prospective offshore employees in coming months. Although the training program is not directed to any particular community group, it has been encouraging to have active support from Aboriginal leaders in the Kimberley region.\n\nWorld prospects for energy, the need for Australia to add value to its resources, Government initiatives for the support of these activities and environmental imperatives, heavily favour gas, giving every indication that Mermaid Marine's development push has been extremely timely.\n\nIt is also important to draw attention to increased efforts in terms of health, safety and environmental protection. Our workplace is largely at sea, where operations involve natural dangers and the safety of our people is paramount. We also work in a setting where the tasks in which we are involved cast us in the role of environmental caretakers of the sea and coastline.\n\nOver the past twelve months, we have worked even more closely with producers to take this side of our business to the highest possible standard. We are proud of the achievement and at the time of this report, despite the inherent dangers involved in the work, our employees have accrued a record 348 days free of Lost Time Injuries, a tremendous effort.\n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve earnings of at least $100million, with appropriate levels of accompanying profit. That will be addressed through our policy of strategic positioning and development in the North West of Australia, and also by acquisition where merger or purchase will add to our earnings and strengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are well able to pursue and secure our ambitious program.\n\nAlan Birchmore Chairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## MERMAID MARINE AUSTRALIA LIMITED A.C.N. 083 185 693\n\n#### CORPORATE DIRECTORY\n\n#### *Directors*\n\nAlan Birchmore, Chairman Mark Bradley, Director, CEO James Carver, Executive Director Derrice Dillon, Executive Director Jeff Mews, Non-Executive Director Richard Reid, Non-Executive Director\n\n#### *Company Secretary*\n\nBrendan Gore Neil Roberts\n\n#### REGISTERED OFFICE\n\nEagle Jetty, 20 Mews Road, Fremantle, Western Australia 6160. Telephone: 61 8 9431 7431 Facsimile: 61 8 9431 7432 Email: corporate@mermaidmarine.com.au Internet Site: www.mermaidmarine.com.au", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## CHAIRMAN ' S REPORT\n\nDirector of the Clough Group and a highly experienced and talented executive. Richard has appointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with engineering qualifications and associated business skills to assist him.\n\nCaptain Jim Carver, Mermaid's founder continues to play a significant role in Mermaid's operations, paying particular attention to our business at sea. Under 20 years of Jim's leadership, Mermaid developed an enviable reputation as a \"can do\" company, and in our drive for new engineering expertise and professionalism, we have no intention of allowing that attitude to be lost.\n\nLast year we identified Broome as our next strategic position. No oil and gas work had been supported out of Broome for seventeen years and with the valuable cooperation and assistance of the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first client. The base was then established early this year.\n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven months operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support of their current drilling programs. All the holes drilled from the Broome Base have been designated as commercial finds by the explorers and the very major increase in the reserves at Brecknock, Woodside's permit 500 kilometres north of Broome creates optimism for future production based in the Broome area.\n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu Undan project operated by Phillips, is well advanced and will impact Darwin's offshore activity quite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with Perkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping is synonymous with Darwin's history. Set up by V.B. Perkins in the late 40's, it has grown to significant size, operating its ships across the top of Australia and into South East Asia. There are many synergies which Mermaid shares with Perkins and we look forward to developing our Darwin business in close association with that fine old Company.\n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early in the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to be paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour hire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General Manager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director. With their reputation and talent added to Mermaid's experienced team, this labour hire company has become a significant force and can be expected to be in the final when major labour hire contracts are let.", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Work on Dampier Base expansion commenced on 9 October and will be largely complete by June 2001, involving a capital budget of $13m. B ASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT\n\nThe principle activities and facility developments involved in the expansion are:\n\n#### **A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance channel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of dredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) and a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management requirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial dredging tool using the experience gained from the earlier Woodside project. The layout of the Base has been very much driven by the desire to avoid or minimize blasting while fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart datum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n#### **B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main berth to accommodate a wider range of vessels than originally contemplated. The berth is now located in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are now four vessels operating in the region with 12,000 to 18,000 hp. When design commenced there were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide (MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How do I create a new document in Word?", - "target_page": 2, - "target_passage": "Just select File > New", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "Instructions you can edit, share, and print\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will teach you some basics about Word, but this document isn't just for reading. It's for editing too, so you can learn by doing.\n\nFor practice using Word features, watch for Try it text in red throughout this document.\n\nTime saver: If you've only got a minute and you want to see how this works, watch this Video: Welcome to Word.\n\n### Write eloquently, with a little help\n\nWord automatically checks spelling and grammar, and marks misspelled words with a red squiggly underline. Grammatical glitches get a blue double underline.\n\nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write a sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph.\n\nRight-click the text that's marked with underlines, or Press F7. Choose a suggestion to correct the mistakes.", - "page_start": 0, - "page_end": 0, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n### Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\n| Save As | Info | | |\n| --- | --- | --- | --- |\n| New | 1 = OneDrive - Contoso | | |\n| Recent | Open | Enter file name here | |\n| Word Document (*. docx) | Contoso | Save | More options ... |\n| OneDrive - Contoso | Save As | IrvinS@Contoso.com | |\n| Name ↑ | Print | Sites - Contoso | |\n| Share | Attachments | IrvinS@Contoso.com | |\n| Personal | Export | Forms | |\n| OneDrive - Personal | Close | My Stuff | irvinsayers 1@outlook.com |\n\nTry it: Select File > Save As, and then select OneDrive and give this document a name.\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "# Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n# Add visuals with pictures from the web\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, and then search for something, like puppy clip art.\n- 2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you're looking for, to discover **Help** content, or to get more information online.\n\n| print × |\n| --- |\n| Actions |\n| F Print |\n| Print Preview and Print |\n| इ Preview and Print |\n| 트 Print Layout |\n| Get Help on |\n| \"print\" |\n| 10 results |\n| Definition |\n| print [print] |\n| verb. produce (books, newspapers, maqazines, etc.), especially |\n| in large quantities, by a mechanical process involving the trans ... |\n| Find in Document |\n| \"print\" \"print\" 0 results |\n| More search results for \"print\" |\n\n# Share your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\n| Comments | | & Share | |\n| --- | --- | --- | --- |\n| | | | × |\n| Send link | | | |\n| CE Annual Report.docx | | | |\n| Anyone with the link can edit > | | | |\n| lex Wilber × | Add another | | |\n| Message ... | | | |\n| | | Send | |\n| oov link Outlook | | | |\n| Send a copy V | | | |\n\n### Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\n## Next steps with Word\n\n#### **See what's new in Office**\n\nExplore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n#### **Get free training, tutorials, and videos for Office**\n\nReady to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n#### **Send us your feedback**\n\nLove Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "### **CREATING A NEW CHART FROM SCRATCH**\n\nThe easiest way to create a chart is by using the *Recommended Chart* feature. However, you can create a chart yourself from scratch using\n\n*INSERT* tab of the ribbon. This may be faster if you have a specific style of chart in mind.\n\n### **For Your Reference…**\n\nTo *create a chart* from *scratch*:\n\n- 1. Select the range to chart\n- 2. Click on the *INSERT* tab, then click on the appropriate *Insert* command in the *Charts* group\n- 3. Click on the desired chart type\n\n### **Handy to Know…**\n\n- When a chart gallery appears after you've used the *Insert chart* command, you can point over each image in the gallery to see a Live Preview of the chart in the worksheet. This will help you to select the right chart for your needs.", - "page_start": 46, - "page_end": 46, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "```\nC++\n```\nHRESULT HrEndStructNode();\n\n### **HrCreateDoc**\n\nPublisher calls the **HrCreateDoc** method to specify the creation of a new, empty fixedformat document.\n\n```\nC++\nHRESULT HrCreateDoc(\n const WCHAR* wzDocExFile\n);\n```\nPublisher calls the **HrCreateDoc** method at the beginning of the fixed-format export process to specify the creation of an empty fixed-format document. The *wzDocExFile* parameter specifies a name for the output file to which to write the fixed-format document.\n\nFor an add-in implementation, Publisher calls **HrCreateDoc** with the file name that the add-in provided in the call to the **ExportToFixedFormat** method in the Microsoft Office object model. However, because add-ins typically provide configuration UI to allow the user to specify an output file name, the add-in could disregard this file name during the export process.\n\nFor Microsoft Office applications that require the add-in to paginate the document, **HrCreateDoc** is called twice, once at the start of the pagination-calling sequence, and again after the add-in has paginated the document. For more information, see the descriptions for the HrSetPageHeightForPagination method and the HrGetPageBreaks method.\n\n### **HrSetDefaultLcid**\n\nPublisher calls the **HrSetDefaultLcid** method to specify the default locale ID (LCID) for the content to be exported.\n\n```\nC++\nHRESULT HrSetDefaultLcid(\n DWORD lcid\n);\n```", - "page_start": 12, - "page_end": 12, - "source_file": "office-pdf.pdf" - }, - { - "text": "## Give your doc an instant makeover\n\nStyle sets and themes let you completely change the look of your document in an instant. They work best when your document is formatted with styles (so it's good that we fixed that Heading style, above).\n\nTry it: Explore style sets and themes:\n\n- 1. On the Design tab, select Themes, and choose a theme from the drop-down. Notice that the gallery of style sets updates to reflect the theme you picked.\n- 2. Select any theme you like from the drop-down and click to apply.", - "page_start": 5, - "page_end": 5, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "# Get help with Word\n\n| Q Add watermark | |\n| --- | --- |\n| 区 | Watermark |\n| 물 | Insert Picture |\n| E | Insert Rows Above |\n| E | Add a Blank Page |\n| 電 | Insert Rows Below |\n| 2 | Get Help on \"Add watermark\" |\n| 0 | Smart Lookup on \"Add water ... |\n\nThe Tell me search box takes you straight to commands and Help in Word.\n\n#### Try it: Get help:\n\n- 1. Go to Tell me what you want to do at the top of the window.\n- 2. Type what you want to do.\n\nFor example, type:\n\n- Add watermark to quickly get to the watermark command.\n- Help to go to Word help.\n- Training to see the list of Word training courses.\n- What's new for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template, so we can provide content that's truly useful and helpful. Thanks!", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "# **Extending Office PDF Export**\n\nArticle • 11/26/2024\n\n**Summary:** Create a COM add-in for Office 2024, Office LTSC 2024, and Microsoft 365 Version 2408 and later applications with your own logic for exporting to PDF format. The technique described requires knowledge of C++ and COM.\n\n**Applies to:** Excel, OneNote, PowerPoint, Publisher, Visio, and Word in Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 and later.\n\n### **Introduction to the Office (2024) Fixed-Format Export Feature**\n\nThis article explains how third-party software developers can hook in to the fixed-format export feature available in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 and later applications so that they can add their own exporter.\n\nThe applications include built in exporters for Microsoft XML Paper Specification (XPS) and Portable Document Format (PDF). Fixed-file formats expose the content of a document in a paginated form that is both application-independent and platformindependent.\n\nSoftware developers can add their own exporter, by writing an Office add-in that implements the **IMsoDocExporter** COM interface. This article describes **IMsoDocExporter** and its interaction with a hosting Microsoft 365 application, such as Word.\n\nFixed-format export has been available since the Office 2007 release, and this article includes information on the features that are new in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408 releases.\n\nノ **Expand table**\n\n#### **Important**\n\nThe fixed-format export feature is available in all the applications listed in the preceding Applies to section. However, the discussion below uses Publisher as an example application, except in those cases where an explanation is more relevant to a different application.\n\n### **Initializing Add-Ins**", - "page_start": 2, - "page_end": 2, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "Where can I find other Microsoft quick start guides?", - "target_page": 4, - "target_passage": "To download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Quick Start Guide\n\nNew to Word? Use this guide to learn the basics.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "## Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you're looking for, to discover **Help** content, or to get more information online.\n\n| print × |\n| --- |\n| Actions |\n| F Print |\n| Print Preview and Print |\n| इ Preview and Print |\n| 트 Print Layout |\n| Get Help on |\n| \"print\" |\n| 10 results |\n| Definition |\n| print [print] |\n| verb. produce (books, newspapers, maqazines, etc.), especially |\n| in large quantities, by a mechanical process involving the trans ... |\n| Find in Document |\n| \"print\" \"print\" 0 results |\n| More search results for \"print\" |\n\n# Share your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\n| Comments | | & Share | |\n| --- | --- | --- | --- |\n| | | | × |\n| Send link | | | |\n| CE Annual Report.docx | | | |\n| Anyone with the link can edit > | | | |\n| lex Wilber × | Add another | | |\n| Message ... | | | |\n| | | Send | |\n| oov link Outlook | | | |\n| Send a copy V | | | |\n\n### Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\n## Next steps with Word\n\n#### **See what's new in Office**\n\nExplore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n#### **Get free training, tutorials, and videos for Office**\n\nReady to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n#### **Send us your feedback**\n\nLove Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "#### **Exercise 34: Write Your First SWRL Rule**\n\n1. To begin with navigate to or create the SWRLTab. If it doesn't already exist use Window>Tabs>SWRLTab to create and select it. If you don't have the SWRLTab under the Window>Tabs menu then use File>Check for plugins and select the SWRLTab plugin. Remember ifyou do this you need to restart Protégé for the plugin to be available.\n\n_____________________________________________________________________________________\n\n2. The SWRLTab is divided into two main views and then some buttons on the bottom of the tab that relate to DROOLS. The question of when and how to use DROOLS confuses many new users but there is a simple answer: don't use it!11 As you get more experience with SWRL you will start to understand how and when DROOLS is used but for beginners the answer is simple. Think of all those DROOLS buttons as things for power users only. You don't need to use them at all. That is why we installed the Pellet reasoner in section 4.2. The Pellet reasoner supports SWRL and when you run the reasoner it will also automatically run any SWRL rules you have. See the bibliography for a paper on DROOLS.\n\n3. Click on the New button at the bottom of the top view. The other buttons should be grayed out since they only apply if you have at least one rule written. This will give you a new pop-up window to write your rule. In the Name field at the top call the rule: HotDiscountRule. You can skip the comment but if you want to add a comment it is a good habit to get into and you can write something like: Provide a special discount for customers who prefer hot pizzas.\n\n4. Now go to the bottom part of the rule window and start writing the rule. To start you want to bind a parameter to each instance of the Customer class12. To do this all you need to do is to write: Customer(?c). Note that auto-complete should work in this window but sometimes it may not and you may need to type the complete name. Also, you will see various hints or error messages in the Status field as you type which you can mostly ignore for now. E.g., as you type out Customer you will see messages like: Invalid SWRL atom predicate 'Cus' until you complete the name of the Customer class. Those messages can help you understand why your rule won't parse as you develop more rules but for now you should be able to ignore them.\n\n5. Now you want to bind a parameter to the number of Pizzas that each customer has ordered so far. To do that you first add a ^ character. This stands for the logical *and*. I.e., the rule will fire for every set of bindings that satisfy *all* of the expressions in the antecedent. To test the number of Pizzas you use the data property numberOfPizzasPurchased. So at this point your rule should look like: Customer(?c) ^ numberOfPizzasPurchased(?c, ?np).\n\n6. Now we want to test the object property hasSpicinessPreference. The first parameter will also be ?c. I.e., we are iterating through each instance of Customer, binding it to ?c and then testing the values of these properties. However, in this case rather than binding the spiciness preference to a parameter we just want to test if it is equal to the instance of Spiciness Hot. So we directly reference that instance in the expression resulting in: ^ hasSpicinessPreference(?c, Hot).\n\n7. As the last part of the antecedent we want to test that the Customer has purchased more than 1 Pizza. We can use the SWRL math built-in swrlb:greaterThan. Add ^ swrlb:greaterThan(?np, 1) That is the last\n\n11 For more on DROOLS see the paper: M. J. O'Connor (2012). A Pair of OWL 2 RL Reasoners in the bibliography. 12 This isn't actually required. You will get the same result without the Customer(?c) expression but it is a good example of how one can use the names of classes to iterate over their instances with SWRL.", - "page_start": 73, - "page_end": 73, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| Service starters | | 36 |\n| --- | --- | --- |\n| IAM | | 36 |\n| What is Identity and Access Management? | | 36 |\n| Fundamentals | | 37 |\n| Advanced topics | | 45 |\n| Additional resources | | 46 |\n| Next Steps | | 46 |\n| Lambda | | 46 |\n| What is Lambda? | | 47 |\n| Fundamentals | | 48 |\n| Advanced Topics | | 57 |\n| Additional resources | | 60 |\n| Next steps | | 60 |\n| API Gateway | | 61 |\n| What is API Gateway? | | 62 |\n| Fundamentals | | 62 |\n| Advanced Topics | | 67 |\n| Additional resources | | 71 |\n| Next Steps | | 71 |\n| DynamoDB | | 72 |\n| What is DynamoDB? | | 72 |\n| Fundamentals | | 74 |\n| Advanced Topics | | 79 |\n| Additional resources | | 83 |\n| Next steps | | 84 |\n| Learn using a workshop | | 85 |\n| Document history | | 87 |", - "page_start": 3, - "page_end": 3, - "source_file": "serverless-core.pdf" - }, - { - "text": "- - Content Manager OnDemand for z/OS Knowledge Center http://www.ibm.com/support/knowledgecenter/SSQHWE/welcome\n- - Ricoh website for Infoprint product information http://rpp.ricoh-usa.com/\n- - IBM System i Navigator and IBM Navigator for i information http://www.ibm.com/systems/i/software/navigator/\n- - IBM Tivoli Storage Manager home page http://www.ibm.com/software/products/en/tivostormana\n- z/OS information http://www.ibm.com/systems/z/os/zos/\n- - Creating PDF Indexing Parameters Using Floating Triggers http://ibm.co/1FHsXDq\n- - Understanding the ACIF Input Exit for DB2 Content Manager OnDemand http://ibm.co/1UUcCT0\n\n# **Help from IBM**\n\nIBM Support and downloads **ibm.com**/support IBM Global Services **ibm.com**/services", - "page_start": 434, - "page_end": 434, - "source_file": "sg246915.pdf" - }, - { - "text": "### **4. Click on \"Resources\"**\n\nSystem displays several sub-menu items that lead to eLearning and training material as well as to a library of downloadable reports and documents about Open Data.\n\n| | EUROPEAN | | Newsletter FAQ Search Contact Cookies Legal notice Login | | English (en) |\n| --- | --- | --- | --- | --- | --- |\n| | DATA PORTAL | | | Search site content ... | ರ |\n| European Data Portal | | | | | |\n| 1 | What we do - | Data - | Providing Data▼ | Using Data - | Resources - |\n| | eLearning | Training Companion | More Training Material Reports about Open Data | | |\n\n#### **4a. eLearning**\n\nBy clicking on the \"**eLearning**\" sub-menu item and then on the button on the subsequent page, the system switches to the training platform from which 16 training lessons can be directly taken online.", - "page_start": 13, - "page_end": 13, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "For example, in the Dashboard pane, you can open help information that is related to the dashboard-provided information, as shown in Figure 5-19.\n\nSelecting the Help Contents option redirects you to the Storwize V7000 IBM Knowledge Center. However, it requires internet access from the workstation where the management GUI is started.\n\n# **5.3 System View window**\n\nStarting with IBM Spectrum Virtualize release V7.4, the welcome window of the GUI changed from the well-known former Overview/system 3D pane to the new System pane. In V8.2, the system pane was changed again to the new System view pane, and the 3D view was removed, as shown in Figure 5-20.\n\n| Dashboard | System - Overview | | Enclosure Actions V | System Actions V | Configure Remote Support Events | | × |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | Configure | More Info | |\n| 8 Monitoring | System | | | | No Events | | |\n| | Events | | | ✓ Online | | | |\n| Pools | | MTM: 2076-624 | S/N: 7822DFF | > FRU P/N: 31P1854 | | | |\n| | Performance | Front Vlew | | | Component Details | | |\n| Volumes | Background Tasks | | | | Enclosure (Internal) | | |\n| Hosts | | | | | Battery Module 1 配 9 Offline | | ... |\n| | | Drive | | | Recondition needed: No End of life warning: No | | |\n| Copy Services | | Rear View | | | Battery Module 2 글 C Offline | | ... |\n| Access | | . 00 00 | | | Recondition needed: No End of life warning: No | | |\n| | | 111 | 00 . . : | | | | |\n| O Settings | | Node Canister Adapter | Fibre Channel Port | | | | |\n| | | iSCSI Port Technician Port | SAS Port | | | | |\n| | | USB Port Power Supply Unit Internal Components | | | | | |\n| | | | | > | | | |\n\n*Figure 5-20 Opening the Overview pane*\n\nNext, we describe the structure of the pane and how to navigate to various system components to manage them more efficiently and quickly.\n\n# **5.3.1 Content-based organization**\n\nThe following sections describe several view options within the GUI in which you can filter (to minimize the amount of data that is shown on the window), sort, and reorganize the content of the window.", - "page_start": 164, - "page_end": 164, - "source_file": "sg247938.pdf" - }, - { - "text": "# **Other resources**\n\nThe following publications are also relevant as further information sources:\n\n- -*IBM System Storage Master Console: Installation and User's Guide*, GC30-4090\n- - *IBM System Storage Open Software Family SAN Volume Controller: CIM Agent Developers Reference*, SC26-7545\n- - *IBM System Storage Open Software Family SAN Volume Controller: Command-Line Interface User's Guide*, SC26-7544\n- - *IBM System Storage Open Software Family SAN Volume Controller: Configuration Guide*, SC26-7543\n- - *IBM System Storage Open Software Family SAN Volume Controller: Host Attachment Guide*, SC26-7563\n- - *IBM System Storage Open Software Family SAN Volume Controller: Installation Guide*, SC26-7541\n- - *IBM System Storage Open Software Family SAN Volume Controller: Planning Guide*, GA22-1052\n- - *IBM System Storage Open Software Family SAN Volume Controller: Service Guide*, SC26-7542\n- - *IBM System Storage SAN Volume Controller - Software Installation and Configuration Guide,* SC23-6628\n- - *IBM System Storage SAN Volume Controller V6.2.0 - Software Installation and Configuration Guide,* GC27-2286\n- - *IBM System Storage SAN Volume Controller 6.2.0 Configuration Limits and Restrictions*, S1003799\n- -*IBM TotalStorage Multipath Subsystem Device Driver User's Guide*, SC30-4096\n- -*IBM XIV and SVC Best Practices Implementation Guide*\n\nhttp://ibm.co/1bk64gW\n\n- - *Considerations and Comparisons between IBM SDD for Linux and DM-MPIO* http://ibm.co/1CD1gxG\n# **Referenced websites**\n\nThese websites are also relevant as further information sources:\n\n- - IBM Storage home page http://www.ibm.com/systems/storage\n- - SAN Volume Controller supported platform http://ibm.co/1FNjddm\n- - SAN Volume Controller IBM Knowledge Center http://www.ibm.com/support/knowledgecenter/STPVGU/welcome\n- - Cygwin Linux-like environment for Windows http://www.cygwin.com", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "To start one or multiple FlashCopy mappings that do not belong to a consistency group, complete the following steps:\n\n- 1. Open the FlashCopy Consistency Groups, or FlashCopy Mappings window.\n- 2. Right-click the FlashCopy mappings that you want to start and select **Start**, as shown in Figure 11-59.\n\n| + Create FlashCopy Mapping | | = Actions ▼ | ڪ | | | | | | Default | > | Contains V | Fifter | 12 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Mapping Name Source Volume | 个 Flash Time | Status | | Target Volume | | Group | Incremental | Backgroun ... | Clean Progress | | | | Ili |\n| fornap1 ITSO-ApplDB01 | Oct 22, 2018, 2 ... | C Copying | | ITSO-SiteDRDB01 | | | No | 0 | | 100% | | | |\n| fornap0 ITSO-TGT01 | | V Idle | | ITSO-SRC01 | | ITSO-RBRS001 | No | 0 | | 100% | | | |\n| fornap2 ITSO-SF002-Prod | | V Idle | | ITSO-NY001-Dev | .. | | No | 0 | | 100% | | | |\n| | Create FlashCopy Mapping | | | | | | | | | | | | |\n| | Move to Consistency Group | | | | | | | | | | | | |\n| | Remove from Consistency Group | | | | | | | | | | | | |\n| | Start | | | | | | | | | | | | |\n| | Stop | | | | | | | | | | | | |\n| | Rename Mapping | | | | | | | | | | | | |\n| | Delete Mapping | | | | | | | | | | | | |\n| | Show Related Volumes | | | | | | | | | | | | |\n| | | | | | Edit Properties | | | | | | | | |\n\n*Figure 11-59 Starting FlashCopy mappings*\n\nYou can check the FlashCopy state and the progress of the mappings in the Status and Progress columns of the table, as shown in Figure 11-60.\n\n| Mapping Name | Status | Source Volume | Target Volume | Progress | Group | Flash Time Ili |\n| --- | --- | --- | --- | --- | --- | --- |\n| fernap 0 | C Copying | CayManIsland1 | CayManIsland1_01 | 0% | | Oct 12, 2018, 1:46:03 PM |\n| ternap1 | Copying | ITSO_Vol001 | ITSO_Vol001_01 | 16% | | Oct 16, 2018, 10:30:36 PM |\n| fernap2 | ✓ Idle | ITSORS_Flash01_src | ITSORS_Flash01_tgt | 0% | | |\n\n*Figure 11-60 FlashCopy mappings status and progress examples*\n\nFlashCopy Snapshots are dependent on the source volume and should be in a \"copying\" state if the mapping is started.\n\nFlashCopy clones and the first occurrence of FlashCopy backup can take a long time to complete, depending on the size of the source volume and on the copyrate value. The next occurrences of FlashCopy backups are faster because only the changes that were made during two occurrences are copied.\n\nFor more information about FlashCopy starting operations and states, see 11.1.10, \"Starting FlashCopy mappings and Consistency Groups\" on page 450.\n\n# **11.2.17 Stopping FlashCopy mappings**\n\n**Important:** Only FlashCopy mappings that do not belong to a consistency group can be stopped individually. If FlashCopy mappings are part of a consistency group. They can only be stopped together by using the consistency group **stop** command.\n\nThe only reason to stop a FlashCopy mapping is for incremental FlashCopy. When the first occurrence of an incremental FlashCopy is started, a full copy of the source volume is made. When 100% of the source volume is copied, the FlashCopy mapping does not stop automatically and a manual stop can be performed. The target volume is available for read and write operations, during the copy, and after the mapping is stopped.", - "page_start": 516, - "page_end": 516, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How to connect to my Microsoft account from Word?", - "target_page": 2, - "target_passage": " Click File > Account to sign in with your Microsoft account", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n### Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\n| Save As | Info | | |\n| --- | --- | --- | --- |\n| New | 1 = OneDrive - Contoso | | |\n| Recent | Open | Enter file name here | |\n| Word Document (*. docx) | Contoso | Save | More options ... |\n| OneDrive - Contoso | Save As | IrvinS@Contoso.com | |\n| Name ↑ | Print | Sites - Contoso | |\n| Share | Attachments | IrvinS@Contoso.com | |\n| Personal | Export | Forms | |\n| OneDrive - Personal | Close | My Stuff | irvinsayers 1@outlook.com |\n\nTry it: Select File > Save As, and then select OneDrive and give this document a name.\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "# Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n# Add visuals with pictures from the web\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, and then search for something, like puppy clip art.\n- 2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New**, and then select or search for the template you want.\n\n| | New |\n| --- | --- |\n| (n) Home | |\n| New | |\n| Open | |\n| Info | |\n| Save a Copy | |\n| Save as Adobe PDF | Blank document |\n| Print | |\n| Share | Search for online templates Q |\n| Export | Suggested searches Business Cards Flyers Letters Education Resumes and Cover Letters Holiday |\n| Transform | Aa NAME |\n| Clase | Take a tour |\n\n### Access files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n#### Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\n| € | Open | | | | |\n| --- | --- | --- | --- | --- | --- |\n| (2 Home | | | | | |\n| D New | L Recent | | 0 Search | | |\n| | | | Documents Folders | | |\n| Open | 08 | Shared with Me | | | |\n| | Contass | | 13 Name | | Date modified |\n| Info | | OneDrive - Contoso | Pinned | Pin files you want to easily find later. Click the pin icon that appears when you hover over a file. | |\n| Save a Copy | | MeganB@contoso.com | | | |\n| | | | Today | | |\n| Save as Adobe PCC | | Sites - Contoso MeganB@contoso.com | 四元 Connector - Elbow.doco Desktop | | 11/4/2021 3:01 AM |\n| Print | | | | | |\n| Share | This PC | | CE Annual Report.docx W OneDrive - Contoso | | 11/4/2021 2:48 AM |\n| | Add a Place | | | | |\n| Export | | | Older | | |\n| Transform | Browse | | Document (8).doco W | | 10/S/2021 4:48 PM |\n| | | | OneOrive - Contaso | | |\n| Close | | | 8 | Voice Capture Document.docx | 10/5/2021 4:37 PM |\n| | | | OneOrive - Contoso | | |\n| | | | W | Manufacturing and delivery plan.docx Mark 8 Project Team > Research and Development | 9/16/2021 8:28 AM |\n\n### Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.\n\n| Review | View | Help | Acrobat | Table Design | | Layout | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | | | | | 1/2 pt | |\n| | | | | | Shading | Border | | Borders Border |\n| | | | | | | | Styles × | Painter |\n| Table Styles | | | | | | | Borders | 7 |", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "## Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you're looking for, to discover **Help** content, or to get more information online.\n\n| print × |\n| --- |\n| Actions |\n| F Print |\n| Print Preview and Print |\n| इ Preview and Print |\n| 트 Print Layout |\n| Get Help on |\n| \"print\" |\n| 10 results |\n| Definition |\n| print [print] |\n| verb. produce (books, newspapers, maqazines, etc.), especially |\n| in large quantities, by a mechanical process involving the trans ... |\n| Find in Document |\n| \"print\" \"print\" 0 results |\n| More search results for \"print\" |\n\n# Share your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\n| Comments | | & Share | |\n| --- | --- | --- | --- |\n| | | | × |\n| Send link | | | |\n| CE Annual Report.docx | | | |\n| Anyone with the link can edit > | | | |\n| lex Wilber × | Add another | | |\n| Message ... | | | |\n| | | Send | |\n| oov link Outlook | | | |\n| Send a copy V | | | |\n\n### Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\n## Next steps with Word\n\n#### **See what's new in Office**\n\nExplore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n#### **Get free training, tutorials, and videos for Office**\n\nReady to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n#### **Send us your feedback**\n\nLove Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "# Get help with Word\n\n| Q Add watermark | |\n| --- | --- |\n| 区 | Watermark |\n| 물 | Insert Picture |\n| E | Insert Rows Above |\n| E | Add a Blank Page |\n| 電 | Insert Rows Below |\n| 2 | Get Help on \"Add watermark\" |\n| 0 | Smart Lookup on \"Add water ... |\n\nThe Tell me search box takes you straight to commands and Help in Word.\n\n#### Try it: Get help:\n\n- 1. Go to Tell me what you want to do at the top of the window.\n- 2. Type what you want to do.\n\nFor example, type:\n\n- Add watermark to quickly get to the watermark command.\n- Help to go to Word help.\n- Training to see the list of Word training courses.\n- What's new for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template, so we can provide content that's truly useful and helpful. Thanks!", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "### **Bookmarks**\n\nBookmarks are included in the PDF for headings or Word bookmarks depending on the option selected.\n\n## **Availability**\n\nThe information in this article is applicable to the following versions of Word.\n\n- Word for Windows Version 2408 and later.\n- Word for Mac Version 16.89 and later.\n- Word for iOS Version 2.89 and later.\n- Word for Android Build 16.0.18025.XXXXX or later.\n- Word for the web Build 16.0.18025.XXXXX or later.\n\nIt is available to customers with Office 2024 or Office LTSC 2024 and to customers with a Microsoft 365 subscription on Current Channel or Monthly Enterprise Channel. For customers with a Microsoft 365 subscription on Semi-Annual Enterprise Channel it will be available on January 14, 2025.", - "page_start": 60, - "page_end": 60, - "source_file": "office-pdf.pdf" - }, - { - "text": "- f. On the toolbar, click the fourth icon from the right to place the report window back into add mode.\n- 9. Define a field and an index:\n\t- a. Find a text string that can be used to identify the location of the field. The text string needs to contain a sample index value. For example, if you want to extract account number values from the input file, find where the account number is printed on the page.\n\t- b. By using the mouse, draw a box around the text string. Start just outside of the upper-left corner of the string. Click and then drag the mouse toward the lower-right corner of the string. As you drag the mouse, the graphical indexer uses a dotted line to draw a box. After you enclose the text string inside of a box, release the mouse. The graphical indexer highlights the text string inside the box.\n\n**Important:** Use the same principles for collecting fields as collecting the trigger text string in step 8b on page 170. If the fields that must be collected are close together, overlap them with adjacent fields to ensure that the box is as large as possible and to ensure that the data is collected at load time.\n\n- c. Click the Define a Field icon on the toolbar.\n- d. In the Add a Field window, complete the following steps:\n\t- i. On the Field Information tab, verify the attributes of the Index field. For example, the text string that you selected in the report window is displayed under Reference String and the trigger identifies the trigger on which the field is based. Click **Help** for assistance with the options and values that you can specify.\n\t- ii. On the Database Field Attributes tab, verify the attributes of the database field. In the Database Field Name field, enter the name of the application group field into which you want Content Manager OnDemand to store the index value. In the Folder Field Name field, enter the name of the folder field to display in the client search window. Click **Help** for assistance with the other options and values that you can specify.\n\t- iii. Click **OK** to define the field and index.\n- e. To verify the locations of the fields, complete the following steps:\n\t- i. Place the report window into display mode. Blue boxes are drawn around the fields.\n\t- ii. Click the **Select** tool.\n\t- iii. In the Select window, under Fields, double-click **Field 1**. The graphical indexer highlights the text string in the current document. Double-click **Field 1** again. The graphical indexer moves to the next document and highlights the text string.\n\t- iv. Use the Select window to move forward to each document and display the field. Then, return to the first document in the input file.\n- f. Place the report window back into add mode.\n- 10.Click **Create Indexer Parameters and Fields Report** to create the indexer parameter report that the PDF Indexer uses to process the input files that you load into the application. At a minimum, you must have one trigger, one field, and one index. For more information about the indexing parameters, see IBM Content Manager OnDemand - Indexing Reference, SC19-3354.\n- 11.After you define all of the triggers, fields, and indexes, press Esc to close the report window.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - }, - { - "text": "# **Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help you get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team.\n\n**Download** the app for desktop and mobile to access Teams with the best performance anywhere you go.\n\n**Hit the ground running now!** Build confidence by trying things on your own. Go to the meet now button (at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "# **Microsoft 365 PDF Accessibility**\n\nArticle • 11/26/2024\n\nMicrosoft 365 Apps for Windows including Word, Excel, and PowerPoint allow users to export documents in PDF format. Furthermore, add-ins can use the object model to automate PDF export using either the exporter built in to each app or their own exporter that implements the IMsoDocExporter COM interface.\n\nAn important part of exporting to PDF is writing PDF/UA tags that provide the semantic information to preserve the accessibility of the content. This allows people with disabilities to consume the PDF using assistive technologies such as screen readers. This documentation provides details about the PDF/UA tags written by the exporter built in to Word, Excel, and PowerPoint as well as the APIs that add-ins need to implement to provide their own exporter.\n\n### **Extending Office PDF Export**\n\nExtending Office PDF Export\n\n### **Office 2024**\n\nOffice 2024 PDF Accessibility Improvements\n\n### **Excel**\n\nExcel PDF Accessibility\n\nExcel.Workbook.ExportAsFixedFormat\n\n### **PowerPoint**\n\nPowerPoint PDF Accessibility\n\nPowerPoint.Presentation.ExportAsFixedFormat3\n\n### **Word**\n\nWord PDF Accessibility", - "page_start": 0, - "page_end": 0, - "source_file": "office-pdf.pdf" - }, - { - "text": "# **Meeting essentials**\n\n### **Create meetings**\n\n- Select **+ New meeting** or double-click on a time in your calendar to create a new meeting. 1.\n- 2. Add people, a location and any notes.\n- 3. Send your invite.\n\n### **Join meetings**\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n### **Present in meetings**\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n# **Meeting controls**\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\nClick to see who has been invited to the meeting, or to add new people.\n\nUse chat to share files, ideas, and notes.\n\nStay involved without breaking the flow—you can share an emoji reaction to let the presenter know how you feel. Reactions also allow you to raise your hand, which will signal that you'd like an opportunity to speak.\n\nMute and unmute your microphone when you want to speak.\n\nTurn your camera on or off. You can also select the … button near the camera to access audio and video settings.\n\nUse this to share your screen with others.\n\n**Tip** Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "What are the products of Hormel Foods Corporation?", - "target_page": 4, - "target_passage": "meat and other food product", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "# **Hormel Foods Annual Report 2004**\n\n## **Form 10-K (NYSE:HRL)**\n\nPublished: January 23rd, 2004\n\nPDF generated by stocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## **HORMEL FOODS CORPORATION**\n\n#### **Austin, Minnesota**\n\n**Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n## **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n#### **HORMEL FOODS CORPORATION**\n\n## **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements**—October 25, 2003.\n\n**Report of Independent Auditors**\n\n#### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n#### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n## **HORMEL FINANCIAL SERVICES CORPORATION**\n\n**(In Thousands)**\n\n**Note (1)**—Uncollectible accounts written off.\n\n**Note (2)**—Recoveries on accounts previously written off.\n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n#### **LIST OF EXHIBITS**\n\n### **HORMEL FOODS CORPORATION**\n\n2.1(1) Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.)\n\n- 3.1(1) Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Item 1. | BUSINESS |\n| --- | --- |\n| Item 2. | PROPERTIES |\n| Item 3. | LEGAL PROCEEDINGS |\n| Item 4. | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |\n| PART II | |\n| Item 5. | MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS |\n| Item 6. | SELECTED FINANCIAL DATA |\n| Item 7. | MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS |\n| Item 7A. | QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK |\n| Item 8. | FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA |\n| Item 9. | CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE |\n| Item 9A. | CONTROLS AND PROCEDURES |\n| PART III | |\n| Item 10. | DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT |\n| Item 11. | EXECUTIVE COMPENSATION |\n| Item 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER |\n| | MATTERS |\n| Item 13. | CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS |\n| Item 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES |\n| PART IV | |\n| Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K |\n| SIGNATURES | |\n\n#### **PART I**\n\n## **Item 1.** *BUSINESS*\n\n## **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such material is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free of charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, free of charge, under the caption \"Investor.\"\n\n#### **(a)** *General Development of Business*\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## **ANNUAL REPORT ON FORM 10-K**\n\n## **HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n## **FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n## **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n**DELAWARE 41-0319970**\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n**1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680** (Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n**NEW YORK STOCK EXCHANGE** Name of Each Exchange On Which Registered\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n## **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\n**HORMEL FOODS CORPORATION**\n\n**TABLE OF CONTENTS**", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| 3.2(1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on |\n| --- | --- |\n| | Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1(1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain |\n| | outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, |\n| | August 28, 2001, File No. 333-68498.) |\n| 4.2(1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank |\n| | Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3(1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The |\n| | Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4(1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are |\n| | not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1(1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages |\n| | thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report |\n| | on Form 8-K dated October 23, 2003.) |\n| 10.2(1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to |\n| | Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3(1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to |\n| | Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4(1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy |\n| | Statement filed on December 30, 1999, File No. 001-02402.) |\n\n(1) Document has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference.\n\n(2) These Exhibits transmitted via EDGAR.\n\n(3) Management compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003 strengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest companies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages and sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a presence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the Philippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the Philippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the Company have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the beginning of the fiscal year.\n\n## **(b)** *Industry Segment*\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other. The contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by segment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual Stockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n#### **(c)** *Description of Business*\n\n## **Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and canned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\n| Perishable meat | 50.3% | 53.0% | 54.7% |\n| --- | --- | --- | --- |\n| Nonperishable meat | 18.9 | 19.8 | 21.0 |\n| Poultry | 22.1 | 22.6 | 20.3 |\n| Other | 8.7 | 4.6 | 4.0 |\n| | 100.0% | 100.0% | 100.0% |\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution channels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's generalpurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon meats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen processed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and supplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin products. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), Diamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\n\nNo new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned territories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of October 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by common carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, China, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and operate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a royalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n### **Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize the seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog producers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the industry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not eliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### **(d)** *Executive Officers of the Registrant*\n\n| Joel W. Johnson | 60 | Chairman of the Board, President and Chief | 12/08/95 to Present | 1991 |\n| --- | --- | --- | --- | --- |\n| | | Executive Officer | | |\n| Michael J. McCoy | 56 | Executive Vice President and Chief | 10/29/01 to Present | 1996 |\n| | | Financial Officer | | |\n| | | Senior Vice President and Chief Financial | 05/01/00 to 10/28/01 | |\n| | | Officer | | |\n| | | Vice President and Controller | 04/27/98 to 04/30/00 | |\n| | | Vice President and Treasurer | 01/27/97 to 04/26/98 | |\n| Gary J. Ray | 57 | Executive Vice President Refrigerated Foods | 11/01/99 to Present | 1988 |\n| | | Executive Vice President Operations | 07/27/92 to 10/31/99 | |\n| Eric A. Brown | 57 | Group Vice President Prepared Foods | 12/02/96 to Present | 1987 |\n| Steven G. Binder | 46 | Group Vice President Foodservice | 10/30/00 to Present | 1998 |\n| | | Vice President Foodservice | 11/02/98 to 10/29/00 | |\n| | | Director Foodservice Sales | 12/30/96 to 11/01/98 | |\n| Richard A. Bross | 52 | Group Vice President Hormel/President | 10/29/01 to Present | 1995 |\n| | | Hormel Foods International Corporation | | |\n| | | Vice President Hormel/President Hormel | 11/01/99 to 10/28/01 | |\n| | | Foods International Corporation | | |\n| | | Vice President Grocery Products | 01/30/95 to 10/31/99 | |\n| Jeffrey M. Ettinger | 45 | Group Vice President Hormel/President and | 03/03/03 to Present | 1998 |\n| | | Chief Executive Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Group Vice President Hormel/President and | 10/29/01 to 03/02/03 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and | 04/30/01 to 10/28/01 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and Chief | 01/31/00 to 04/29/01 | |\n| | | Executive Officer Jennie-O Foods | | |\n| | | Vice President Hormel/Jennie-O Foods | 11/01/99 to 01/30/00 | |\n| | | Treasurer | 04/27/98 to 10/31/99 | |\n| | | Assistant Treasurer | 11/24/97 to 04/26/98 | |\n\n| Ronald W. Fielding | 50 | Group Vice President Sales Strategy | 06/02/03 to Present | 1997 |\n| --- | --- | --- | --- | --- |\n| | | Group Vice President Meat Products | 11/01/99 to 06/01/03 | |\n| | | Vice President Hormel/President Hormel | 01/27/97 to 10/31/99 | |\n| | | Foods International Corporation | | |\n| James A. Jorgenson | 59 | Senior Vice President Corporate Staff | 11/01/99 to Present | 1990 |\n| | | Vice President Human Resources | 12/30/91 to 10/31/99 | |\n| Mahlon C. Schneider | 64 | Senior Vice President External Affairs and | 11/01/99 to Present | 1990 |\n| | | General Counsel | | |\n| | | Vice President and General Counsel | 11/19/90 to 10/31/99 | |\n| Thomas R. Day | 45 | Vice President Foodservice Sales | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Sales | 11/02/98 to 10/29/00 | |\n| | | Director Dubuque Foods Incorporated | 03/07/94 to 11/01/98 | |\n| | | Foodservice Sales and Marketing | | |\n| Forrest D. Dryden | 60 | Vice President Research and Development | 01/26/87 to Present | 1987 |\n| Jody H. Feragen | 47 | Vice President and Treasurer | 10/29/01 to Present 10/30/00 to | 2000 |\n| | | Treasurer | 10/28/01 | |\n| | | Assistant Treasurer, National Computer | 12/01/95 to 10/30/00 | |\n| | | Systems in Eden Prairie, Minnesota, a | | |\n| | | data collection and software company | | |\n| Dennis B. Goettsch | 50 | Vice President Foodservice Marketing | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Marketing | 10/01/90 to 10/29/00 | |\n| Daniel A. Hartzog | 52 | Vice President Meat Products Sales | 10/30/00 to Present | 2000 |\n| | | Director of Meat Products Business | 07/03/00 to 10/29/00 | |\n| | | Development | | |\n| | | Meat Products Regional Sales Manager | 09/19/88 to 07/02/00 | |", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### **Item 11.** *EXECUTIVE COMPENSATION*\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of Directors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 12.** *SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS*\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and information under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 13.** *CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS*\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 14.** *PRINCIPAL ACCOUNTING FEES AND SERVICES*\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors—Audit Fees\" through \"—Audit Committee Preapproval Policies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **PART IV**\n\n### **Item 15.** *EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K*\n\n- (a) (1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report. (3) List of Exhibits—The response to this portion of Item 15 is submitted as a separate section of this report.\n- (b) The following reports on Form 8-K were filed during the fourth quarter:\n\nForm 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and member of the Board of Directors.\n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003.\n\nForm 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year labor contract.\n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of $150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001.\n\n- (c) The response to this portion of Item 15 is submitted as a separate section of this report.\n- (d) The response to this portion of Item 15 is submitted as a separate section of this report.\n\n## **SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n### **HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON\n\nDate: January 23, 2004\n\nJOEL W. JOHNSON Chairman of the Board, President and Chief Executive Officer\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## B O A R D O F D I R E C T O R S A N D O F F I C E R S\n\n#### **B O A R D O F D I R E C T O R S**\n\n**Stan A. Askren** President, HON INDUSTRIES Inc.\n\n**Gary M. Christensen** Retired President and Chief Executive Officer, Pella Corporation\n\n#### **Cheryl A. Francis**\n\nAdvisor/Consultant Former Executive Vice President and Chief Financial Officer, RR Donnelley & Sons\n\n**Robert L. Katz** President, Robert L. Katz and Associates\n\n**Dennis J. Martin** Chairman, President and Chief Executive Officer, General Binding Corporation\n\n**Jack D. Michaels** Chairman and Chief Executive Officer, HON INDUSTRIES Inc.\n\n### **Joseph Scalzo** Vice President and President, Personal Care Products, The Gillette Company\n\n**Abbie J. Smith** Chaired Professor, The University of Chicago Graduate School of Business\n\n**Richard H. Stanley** Vice Chairman, HON INDUSTRIES Inc. Chairman, SC Companies, Inc. Chairman, Stanley Consultants, Inc.\n\n#### **Brian E. Stern**\n\nPresident, Xerox Supplies Technology Enterprises Xerox Corporation\n\n**Ronald V. Waters, III** Chief Operating Officer, Wm. Wrigley Jr. Company\n\n#### **C O M M I T T E E S O F T H E B O A R D**\n\n*A U D I T* Cheryl A. Francis, Chairperson Dennis J. Martin Ronald V. Waters, III\n\n*H U M A N R E S O U R C E S A N D C O M P E N S A T I O N* Gary M. Christensen, Chairperson Robert L. Katz\n\nAbbie J. Smith\n\n*P U B L I C P O L I C Y A N D C O R P O R A T E G O V E R N A N C E* Richard H. Stanley, Chairperson\n\nJoseph Scalzo Brian E. Stern\n\n**H O N I N D U S T R I E S I N C . O F F I C E R S** \n\n**Jack D. Michaels** Chairman and Chief Executive Officer\n\n**Stan A. Askren** President\n\n**Peter R. Atherton** Vice President and Chief Technology Officer\n\n**Jerald K. Dittmer** Vice President and Chief Financial Officer\n\n**Robert J. Driessnack** Vice President, Controller\n\n**Melinda C. Ellsworth** Vice President, Treasurer and Investor Relations\n\n**Jeffrey D. Fick** Vice President, Member and Community Relations\n\n**Malcolm C. Fields** Vice President and Chief Information Officer\n\n**James I. Johnson** Vice President, General Counsel and Secretary\n\n**Timothy R. Summers** Vice President, Lean Enterprise\n\n#### **S U B S I D I A R I E S**\n\n**David C. Burdakin** Executive Vice President, HON INDUSTRIES, Inc. President, The HON Company\n\n**Brad D. Determan** President, Hearth and Home Technologies Inc.\n\n**Thomas D. Head** Vice President, General Manager, Holga Inc.\n\n**Eric K. Jungbluth** President, Allsteel Inc.\n\n**Donald T. Mead** President, The Gunlocke Company L.L.C.\n\n**Marco V. Molinari** President, International and Business Development\n\n**Jean M. Reynolds** President, Maxon Furniture Inc.\n\n**Thomas A. Tolone** President, Paoli Inc.", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "| /s/ JOEL W. JOHNSON | 1/23/04 | Chairman of the Board, President, Chief Executive Officer and Director |\n| --- | --- | --- |\n| | | (Principal Executive Officer) |\n| JOEL W. JOHNSON | | |\n| /s/ MICHAEL J. | 1/23/04 | Executive Vice President, Chief Financial Officer And Director (Principal Financial and Accounting Officer) |\n| MICHAEL J. McCOY | | |\n| /s/ GARY J. RAY* | 1/23/04 | Executive Vice President Refrigerated Foods And Director |\n| GARY J. RAY | | |\n| /s/ ERIC A. BROWN* | 1/23/04 | Group Vice President Prepared Foods And Director |\n| ERIC A. BROWN | | |\n| /s/ JOHN W. ALLEN* | 1/23/04 | Director |\n| JOHN W. ALLEN | | |\n\n| /s/ JOHN R. BLOCK* | 1/23/04 | Director |\n| --- | --- | --- |\n| JOHN R. BLOCK | | |\n| /s/ WILLIAM S. DAVILA* | 1/23/04 | Director |\n| WILLIAM S. DAVILA | | |\n| /s/ E. PETER GILLETTE JR.* | 1/23/04 | Director |\n| E. PETER GILLETTE JR. | | |\n| /s/ LUELLA G. GOLDBERG* | 1/23/04 | Director |\n| LUELLA G. GOLDBERG | | |\n| /s/ SUSAN I. MARVIN* | 1/23/04 | Director |\n| SUSAN I. MARVIN | | |\n| JOHN L. MORRISON | | Director |\n| /s/ DAKOTA A. PIPPINS* | 1/23/04 | Director |\n| DAKOTA A. PIPPINS | | |\n| /s/ JOHN G. TURNER* | 1/23/04 | Director |\n| JOHN G. TURNER | | |\n| /s/ DR. ROBERT R. WALLER* | 1/23/04 | Director |\n| DR. ROBERT R. WALLER | | |\n| *By: /s/ MICHAEL J. | 1/23/04 | |\n| MICHAEL J. McCOY, | | |\n| as Attorney-In-Fact | | |\n\n#### **ANNUAL REPORT ON FORM 10-K**\n\n**ITEM 15 (a) (1), (2), AND (3) AND ITEM 15 (c) AND (d)**\n\n**LIST OF FINANCIAL STATEMENTS**\n\n## **FINANCIAL STATEMENT SCHEDULE**\n\n#### **LIST OF EXHIBITS**", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Where are Hormel Foods Corporation plants located? ", - "target_page": 5, - "target_passage": "has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## **HORMEL FOODS CORPORATION**\n\n#### **Austin, Minnesota**\n\n**Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n## **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n#### **HORMEL FOODS CORPORATION**\n\n## **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements**—October 25, 2003.\n\n**Report of Independent Auditors**\n\n#### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n#### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n## **HORMEL FINANCIAL SERVICES CORPORATION**\n\n**(In Thousands)**\n\n**Note (1)**—Uncollectible accounts written off.\n\n**Note (2)**—Recoveries on accounts previously written off.\n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n#### **LIST OF EXHIBITS**\n\n### **HORMEL FOODS CORPORATION**\n\n2.1(1) Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.)\n\n- 3.1(1) Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "# **Hormel Foods Annual Report 2004**\n\n## **Form 10-K (NYSE:HRL)**\n\nPublished: January 23rd, 2004\n\nPDF generated by stocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Item 1. | BUSINESS |\n| --- | --- |\n| Item 2. | PROPERTIES |\n| Item 3. | LEGAL PROCEEDINGS |\n| Item 4. | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |\n| PART II | |\n| Item 5. | MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS |\n| Item 6. | SELECTED FINANCIAL DATA |\n| Item 7. | MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS |\n| Item 7A. | QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK |\n| Item 8. | FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA |\n| Item 9. | CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE |\n| Item 9A. | CONTROLS AND PROCEDURES |\n| PART III | |\n| Item 10. | DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT |\n| Item 11. | EXECUTIVE COMPENSATION |\n| Item 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER |\n| | MATTERS |\n| Item 13. | CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS |\n| Item 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES |\n| PART IV | |\n| Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K |\n| SIGNATURES | |\n\n#### **PART I**\n\n## **Item 1.** *BUSINESS*\n\n## **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such material is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free of charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, free of charge, under the caption \"Investor.\"\n\n#### **(a)** *General Development of Business*\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## **ANNUAL REPORT ON FORM 10-K**\n\n## **HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n## **FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n## **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n**DELAWARE 41-0319970**\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n**1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680** (Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n**NEW YORK STOCK EXCHANGE** Name of Each Exchange On Which Registered\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n## **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\n**HORMEL FOODS CORPORATION**\n\n**TABLE OF CONTENTS**", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Houston, Texas | 93,000 | Owned | |\n| --- | --- | --- | --- |\n| Knoxville, Iowa | 130,000 | Owned | |\n| Osceola, Iowa | 334,000 | Owned | |\n| Quakertown, Pennsylvania | 13,000 | Owned | |\n| Rochelle, Illinois | 440,000 | Owned | |\n| Sparta, Wisconsin | 185,000 | Owned | |\n| Stockton, California | 139,000 | Owned | |\n| Tucker, Georgia | 259,000 | Owned | |\n| Wichita, Kansas | 80,000 | Owned | |\n| Warehouse/Distribution Centers | | | |\n| Austin, Minnesota—Annex | 83,000 | Owned | |\n| Dayton, Ohio | 140,000 | Owned | |\n| Eldridge, Iowa | 280,000 | Leased | October, 2005 |\n| Osceola, Iowa | 233,000 | Owned | |\n| Stockton, California | 232,000 | Leased | July, 2004 |\n| Tucker, Georgia | 96,000 | Leased | October, 2004 |\n| Research and Development Center | | | |\n| Austin, Minnesota | 59,000 | Owned | |\n| Corporate Offices | | | |\n| Austin, Minnesota | 203,000 | Owned | |\n| Dan's Prize, Inc. | | | |\n| Browerville, Minnesota—Plant | 52,000 | Owned | |\n| Long Prairie, Minnesota—Plant | 80,000 | Owned | |\n| Jennie-O Turkey Store, Inc. | | | |\n| Plants | | | |\n| Barron, Wisconsin | 372,000 | Owned | |\n| Faribault, Minnesota | 169,000 | Owned | |\n| Marshall, Minnesota | 142,000 | Owned | |\n| Melrose, Minnesota | 124,000 | Owned | |\n| Montevideo, Minnesota | 85,000 | Owned | |\n| Pelican Rapids, Minnesota | 242,000 | Owned | |\n| Willmar, Minnesota | 419,000 | Owned | |\n\n* Acres\n\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the Company. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los Animas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production volumes and all volumes anticipated in the foreseeable future.\n\n## **Item 3.** *LEGAL PROCEEDINGS*\n\nThe Company knows of no pending material legal proceedings.\n\n#### **Item 4.** *SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS*\n\nNo matters were submitted to shareholders during the fourth quarter of the 2003 fiscal year.\n\n#### **PART II**\n\n#### **Item 5.** *MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS*\n\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002, respectively, are shown below:", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "### **ITEM 2. PROPERTIES**\n\nOur corporate headquarters is located in Ft. Lauderdale, Florida in leased premises. As of December 31, 2004, we operated approximately 6,100 collection vehicles. Certain of our property and equipment are subject to operating leases or liens securing payment of portions of our indebtedness. We also lease certain of our oÇces and equipment. We believe that our facilities are suÇcient for our current needs.\n\nThe following table provides certain information regarding the 58 landÑlls owned or operated by us as of December 31, 2004:\n\n| | Unused |\n| --- | --- |\n| LandÑll Name | Total Permitted Permitted Location Region Acreage(2) Acreage(3) Acreage(4) |\n| 545 LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Winter Garden, Florida Southern 80 58 3 623 LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Richmond, Virginia Eastern 184 138 84 |\n| Apex ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Clark County, Nevada Western 2,285 1,233 1,018 |\n| Brent Run ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Montrose, Michigan Central 544 106 43 |\n| Broadhurst LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Jesup, Georgia Southern 1,400 105 49 |\n| Carleton Farms ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Detroit, Michigan Central 640 388 192 Cedar TrailÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Bartow, Florida Southern 392 68 68 |\n| Charter Waste ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Abilene, Texas Southwestern 396 300 264 |\n| Chiquita Canyon ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Valencia, California Western 592 257 45 |\n| Countywide ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | East Sparta, Ohio Eastern 815 258 170 |\n| Dozit LandÑllÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | MorganÑeld, Kentucky Central 231 47 23 |\n| East Carolina LandÑllÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Aulander, North Carolina Southern 740 113 42 |\n| Elk Run ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Onaway, Michigan Central 99 40 25 |\n| Epperson LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Williamstown, Kentucky Central 899 100 31 |\n| Foothills LandÑll(1) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Lenior, North Carolina Southern 258 78 50 |\n| Forest Lawn ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Three Oaks, Michigan Central 281 165 9 |\n| Front Range ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Denver, Colorado Southwestern 602 195 133 |\n| Greenville ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Greenville, South Carolina Southern 21 7 4 |\n| Highway 78 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Oconee, Georgia Southern 379 118 108 |\n| Honeygo RunÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Perry Hall, Maryland Eastern 68 39 5 |\n| Kestrel Hawk ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Racine, Wisconsin Central 218 138 20 |\n| Laughlin(1) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Laughlin, Nevada Western 40 40 Ì |\n| Mallard Ridge ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Delavan, Wisconsin Central 746 42 2 |\n| Modern ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | York, Pennsylvania Eastern 739 230 22 |\n| National Serv-All ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Fort Wayne, Indiana Central 587 204 Ì |\n| Nine Mile Road ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | St. Augustine, Florida Southern 354 57 25 |\n| North County ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Houston, Texas Southwestern 100 31 2 |\n| Northwest Tennessee ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Union City, Tennessee Central 600 120 72 |\n| Oak Grove ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Winder, Georgia Southern 329 72 Ì |\n| Ohio County BaleÑll(1) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Beaver Dam, Kentucky Central 908 178 121 |\n| Pepperhill ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | North Charleston, South Carolina Southern 37 26 Ì |\n| Pine Grove ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Amanda, Ohio Eastern 734 112 65 |\n| Pine Ridge ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | GriÇn, Georgia Southern 515 196 130 Potrero ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Suisan, California Western 1,423 190 68 |\n| Presidio(1)ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Presidio, Texas Southwestern 10 10 6 |\n| Republic/Alpine(1) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Alpine, Texas Southwestern 80 74 67 |\n| Republic/CSC ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Avalon, Texas Southwestern 517 190 116 |\n| Republic/MaloyÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Campbell, Texas Southwestern 455 195 110 |\n| San Angelo(1)ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | San Angelo, Texas Southwestern 257 236 138 |\n| Savannah Regional ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Savannah, Georgia Southern 129 56 34 |\n| Seabreeze LandÑllÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Clute, Texas Southwestern 896 386 240 |\n| Seagull ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Avalon, California Western 6 3 Ì |\n| Southern Illinois Regional ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | DeSoto, Illinois Central 351 238 143 |\n| Spring Grove ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Charleston, South Carolina Southern 246 174 139 |\n| Swiftcreek LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Macon, Georgia Southern 836 85 12 |\n| Tay-Ban ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Birch Run, Michigan Central 87 43 9 |\n| Tri-K LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Stanford, Kentucky Central 612 190 150 |\n| Union County ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Cross Anchor, South Carolina Southern 600 83 67 |\n| United Refuse ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Fort Wayne, Indiana Central 305 77 15 |\n| Upper Piedmont Environmental ÏÏÏÏÏÏÏÏÏÏÏÏÏ | Roxboro, North Carolina Southern 860 70 29 |\n| Uwharrie LandÑll(1) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Mt. Gilead, North Carolina Southern 466 118 45 |\n| Valley View LandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Sulphur, Kentucky Central 894 199 93 |\n| Vasco Road ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Livermore, California Western 548 246 68 |\n| Victory Environmental ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Terre Haute, Indiana Central 1,013 303 133 |\n| Wabash ValleyÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Wabash, Indiana Central 390 137 60 |\n| West Contra Costa County ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Contra Costa, California Western 350 188 Ì |\n| Whitefeather ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Pinconning, Michigan Central 639 57 26 |\n| Worthington ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Worthington, Indiana Central 420 97 28 |\n| Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 29,203 8,904 4,621 |\n\n(1) Operated but not owned by us.\n\n(2) Total acreage includes permitted acreage, probable expansion acreage, other acreage available for future disposal that has not been permitted, buÅer land and other contiguous land owned by our company.\n\n(3) Permitted acreage consists of all acreage at the landÑll encompassed by an active permit to dispose of waste.\n\n(4) Unused permitted acreage consists of all acreage at the landÑll encompassed by an active permit on which disposal operations have not commenced.", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| 3.2(1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on |\n| --- | --- |\n| | Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1(1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain |\n| | outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, |\n| | August 28, 2001, File No. 333-68498.) |\n| 4.2(1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank |\n| | Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3(1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The |\n| | Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4(1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are |\n| | not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1(1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages |\n| | thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report |\n| | on Form 8-K dated October 23, 2003.) |\n| 10.2(1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to |\n| | Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3(1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to |\n| | Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4(1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy |\n| | Statement filed on December 30, 1999, File No. 001-02402.) |\n\n(1) Document has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference.\n\n(2) These Exhibits transmitted via EDGAR.\n\n(3) Management compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### **(d)** *Executive Officers of the Registrant*\n\n| Joel W. Johnson | 60 | Chairman of the Board, President and Chief | 12/08/95 to Present | 1991 |\n| --- | --- | --- | --- | --- |\n| | | Executive Officer | | |\n| Michael J. McCoy | 56 | Executive Vice President and Chief | 10/29/01 to Present | 1996 |\n| | | Financial Officer | | |\n| | | Senior Vice President and Chief Financial | 05/01/00 to 10/28/01 | |\n| | | Officer | | |\n| | | Vice President and Controller | 04/27/98 to 04/30/00 | |\n| | | Vice President and Treasurer | 01/27/97 to 04/26/98 | |\n| Gary J. Ray | 57 | Executive Vice President Refrigerated Foods | 11/01/99 to Present | 1988 |\n| | | Executive Vice President Operations | 07/27/92 to 10/31/99 | |\n| Eric A. Brown | 57 | Group Vice President Prepared Foods | 12/02/96 to Present | 1987 |\n| Steven G. Binder | 46 | Group Vice President Foodservice | 10/30/00 to Present | 1998 |\n| | | Vice President Foodservice | 11/02/98 to 10/29/00 | |\n| | | Director Foodservice Sales | 12/30/96 to 11/01/98 | |\n| Richard A. Bross | 52 | Group Vice President Hormel/President | 10/29/01 to Present | 1995 |\n| | | Hormel Foods International Corporation | | |\n| | | Vice President Hormel/President Hormel | 11/01/99 to 10/28/01 | |\n| | | Foods International Corporation | | |\n| | | Vice President Grocery Products | 01/30/95 to 10/31/99 | |\n| Jeffrey M. Ettinger | 45 | Group Vice President Hormel/President and | 03/03/03 to Present | 1998 |\n| | | Chief Executive Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Group Vice President Hormel/President and | 10/29/01 to 03/02/03 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and | 04/30/01 to 10/28/01 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and Chief | 01/31/00 to 04/29/01 | |\n| | | Executive Officer Jennie-O Foods | | |\n| | | Vice President Hormel/Jennie-O Foods | 11/01/99 to 01/30/00 | |\n| | | Treasurer | 04/27/98 to 10/31/99 | |\n| | | Assistant Treasurer | 11/24/97 to 04/26/98 | |\n\n| Ronald W. Fielding | 50 | Group Vice President Sales Strategy | 06/02/03 to Present | 1997 |\n| --- | --- | --- | --- | --- |\n| | | Group Vice President Meat Products | 11/01/99 to 06/01/03 | |\n| | | Vice President Hormel/President Hormel | 01/27/97 to 10/31/99 | |\n| | | Foods International Corporation | | |\n| James A. Jorgenson | 59 | Senior Vice President Corporate Staff | 11/01/99 to Present | 1990 |\n| | | Vice President Human Resources | 12/30/91 to 10/31/99 | |\n| Mahlon C. Schneider | 64 | Senior Vice President External Affairs and | 11/01/99 to Present | 1990 |\n| | | General Counsel | | |\n| | | Vice President and General Counsel | 11/19/90 to 10/31/99 | |\n| Thomas R. Day | 45 | Vice President Foodservice Sales | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Sales | 11/02/98 to 10/29/00 | |\n| | | Director Dubuque Foods Incorporated | 03/07/94 to 11/01/98 | |\n| | | Foodservice Sales and Marketing | | |\n| Forrest D. Dryden | 60 | Vice President Research and Development | 01/26/87 to Present | 1987 |\n| Jody H. Feragen | 47 | Vice President and Treasurer | 10/29/01 to Present 10/30/00 to | 2000 |\n| | | Treasurer | 10/28/01 | |\n| | | Assistant Treasurer, National Computer | 12/01/95 to 10/30/00 | |\n| | | Systems in Eden Prairie, Minnesota, a | | |\n| | | data collection and software company | | |\n| Dennis B. Goettsch | 50 | Vice President Foodservice Marketing | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Marketing | 10/01/90 to 10/29/00 | |\n| Daniel A. Hartzog | 52 | Vice President Meat Products Sales | 10/30/00 to Present | 2000 |\n| | | Director of Meat Products Business | 07/03/00 to 10/29/00 | |\n| | | Development | | |\n| | | Meat Products Regional Sales Manager | 09/19/88 to 07/02/00 | |", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003 strengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest companies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages and sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a presence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the Philippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the Philippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the Company have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the beginning of the fiscal year.\n\n## **(b)** *Industry Segment*\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other. The contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by segment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual Stockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n#### **(c)** *Description of Business*\n\n## **Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and canned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\n| Perishable meat | 50.3% | 53.0% | 54.7% |\n| --- | --- | --- | --- |\n| Nonperishable meat | 18.9 | 19.8 | 21.0 |\n| Poultry | 22.1 | 22.6 | 20.3 |\n| Other | 8.7 | 4.6 | 4.0 |\n| | 100.0% | 100.0% | 100.0% |\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution channels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's generalpurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon meats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen processed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and supplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin products. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), Diamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\n\nNo new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned territories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of October 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by common carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, China, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and operate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a royalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n### **Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize the seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog producers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the industry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not eliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, 317.266.0100.\n\n#### Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes *Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n#### Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n#### Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n#### Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n#### Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n| --- | --- | --- |\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18.00 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n#### Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe Publishing Division President\n\n#### Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh Former Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal President and Majority Owner, LMCS, LLC\n\nPeter A. Lund Media consultant and former President of CBS Inc.\n\nGreg A. Nathanson Media consultant and former President of Fox Television Stations and Emmis Television\n\nFrank V. Sica Senior Advisor Soros Fund Management LLC\n\nLawrence B. Sorrel Managing Partner and Co-CEO Tailwind Capital Partners", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Does Hormel Food Corporation have any material legal proceedings pending?", - "target_page": 8, - "target_passage": "The Company knows of no pending material legal proceedings.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## **HORMEL FOODS CORPORATION**\n\n#### **Austin, Minnesota**\n\n**Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n## **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n#### **HORMEL FOODS CORPORATION**\n\n## **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position**—October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations**—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows**—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements**—October 25, 2003.\n\n**Report of Independent Auditors**\n\n#### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n#### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n## **HORMEL FINANCIAL SERVICES CORPORATION**\n\n**(In Thousands)**\n\n**Note (1)**—Uncollectible accounts written off.\n\n**Note (2)**—Recoveries on accounts previously written off.\n\n**Note (3)**—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)**—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n#### **LIST OF EXHIBITS**\n\n### **HORMEL FOODS CORPORATION**\n\n2.1(1) Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.)\n\n- 3.1(1) Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Item 1. | BUSINESS |\n| --- | --- |\n| Item 2. | PROPERTIES |\n| Item 3. | LEGAL PROCEEDINGS |\n| Item 4. | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |\n| PART II | |\n| Item 5. | MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS |\n| Item 6. | SELECTED FINANCIAL DATA |\n| Item 7. | MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS |\n| Item 7A. | QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK |\n| Item 8. | FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA |\n| Item 9. | CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE |\n| Item 9A. | CONTROLS AND PROCEDURES |\n| PART III | |\n| Item 10. | DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT |\n| Item 11. | EXECUTIVE COMPENSATION |\n| Item 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER |\n| | MATTERS |\n| Item 13. | CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS |\n| Item 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES |\n| PART IV | |\n| Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K |\n| SIGNATURES | |\n\n#### **PART I**\n\n## **Item 1.** *BUSINESS*\n\n## **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com*, its annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such material is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free of charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, free of charge, under the caption \"Investor.\"\n\n#### **(a)** *General Development of Business*\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## **ANNUAL REPORT ON FORM 10-K**\n\n## **HORMEL FOODS CORPORATION**\n\n**OCTOBER 25, 2003**\n\n## **FORM 10-K**\n\n**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934**\n\n## **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n**DELAWARE 41-0319970**\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n**1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680** (Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n**COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n**NEW YORK STOCK EXCHANGE** Name of Each Exchange On Which Registered\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n## **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\n**HORMEL FOODS CORPORATION**\n\n**TABLE OF CONTENTS**", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "# **Hormel Foods Annual Report 2004**\n\n## **Form 10-K (NYSE:HRL)**\n\nPublished: January 23rd, 2004\n\nPDF generated by stocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| 3.2(1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on |\n| --- | --- |\n| | Form S-4, dated November 29, 2001, File No. 333-68498.) |\n| 4.1(1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain |\n| | outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, |\n| | August 28, 2001, File No. 333-68498.) |\n| 4.2(1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank |\n| | Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3(1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The |\n| | Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to |\n| | Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4(1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are |\n| | not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1(1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages |\n| | thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report |\n| | on Form 8-K dated October 23, 2003.) |\n| 10.2(1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to |\n| | Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3(1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to |\n| | Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4(1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy |\n| | Statement filed on December 30, 1999, File No. 001-02402.) |\n\n(1) Document has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference.\n\n(2) These Exhibits transmitted via EDGAR.\n\n(3) Management compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "### **ITEM 3. LEGAL PROCEEDINGS**\n\nWe are and will continue to be involved in various administrative and legal proceedings in the ordinary course of business. We can give you no assurance regarding the outcome of these proceedings or the eÅect their outcomes may have, or that our insurance coverages or reserves are adequate. A signiÑcant judgment against our company, the loss of signiÑcant permits or licenses, or the imposition of a signiÑcant Ñne could have a material adverse eÅect on our Ñnancial position, results of operations, cash Öows or prospects.\n\n### **ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS**\n\nNo matters were submitted to our stockholders during the fourth quarter of 2004.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "# **Item 3. Legal Proceedings.**\n\nWe are subject from time to time to various claims and lawsuits arising in the ordinary course of business, including lawsuits alleging violations of state and/or federal wage and hour and other employment laws, privacy and other consumer-based claims. Some of these lawsuits include certified classes of litigants, or purport or may be determined to be class or collective actions and seek substantial damages or injunctive relief, or both, and some may remain unresolved for several years. We believe the recorded reserves in our consolidated financial statements are adequate in light of the probable and estimable liabilities. As of the date of this report, we do not believe any currently identified claim, proceeding or litigation, either alone or in the aggregate, will have a material impact on our results of operations, financial position or cash flows. Since these matters are subject to inherent uncertainties, our view of them may change in the future.\n\n# **Item 4. Mine Safety Disclosures.**\n\nNone.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "#### **Item 11.** *EXECUTIVE COMPENSATION*\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of Directors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 12.** *SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS*\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and information under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 13.** *CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS*\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 14.** *PRINCIPAL ACCOUNTING FEES AND SERVICES*\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors—Audit Fees\" through \"—Audit Committee Preapproval Policies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **PART IV**\n\n### **Item 15.** *EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K*\n\n- (a) (1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report. (3) List of Exhibits—The response to this portion of Item 15 is submitted as a separate section of this report.\n- (b) The following reports on Form 8-K were filed during the fourth quarter:\n\nForm 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and member of the Board of Directors.\n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003.\n\nForm 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year labor contract.\n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of $150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001.\n\n- (c) The response to this portion of Item 15 is submitted as a separate section of this report.\n- (d) The response to this portion of Item 15 is submitted as a separate section of this report.\n\n## **SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n### **HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON\n\nDate: January 23, 2004\n\nJOEL W. JOHNSON Chairman of the Board, President and Chief Executive Officer\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### **(d)** *Executive Officers of the Registrant*\n\n| Joel W. Johnson | 60 | Chairman of the Board, President and Chief | 12/08/95 to Present | 1991 |\n| --- | --- | --- | --- | --- |\n| | | Executive Officer | | |\n| Michael J. McCoy | 56 | Executive Vice President and Chief | 10/29/01 to Present | 1996 |\n| | | Financial Officer | | |\n| | | Senior Vice President and Chief Financial | 05/01/00 to 10/28/01 | |\n| | | Officer | | |\n| | | Vice President and Controller | 04/27/98 to 04/30/00 | |\n| | | Vice President and Treasurer | 01/27/97 to 04/26/98 | |\n| Gary J. Ray | 57 | Executive Vice President Refrigerated Foods | 11/01/99 to Present | 1988 |\n| | | Executive Vice President Operations | 07/27/92 to 10/31/99 | |\n| Eric A. Brown | 57 | Group Vice President Prepared Foods | 12/02/96 to Present | 1987 |\n| Steven G. Binder | 46 | Group Vice President Foodservice | 10/30/00 to Present | 1998 |\n| | | Vice President Foodservice | 11/02/98 to 10/29/00 | |\n| | | Director Foodservice Sales | 12/30/96 to 11/01/98 | |\n| Richard A. Bross | 52 | Group Vice President Hormel/President | 10/29/01 to Present | 1995 |\n| | | Hormel Foods International Corporation | | |\n| | | Vice President Hormel/President Hormel | 11/01/99 to 10/28/01 | |\n| | | Foods International Corporation | | |\n| | | Vice President Grocery Products | 01/30/95 to 10/31/99 | |\n| Jeffrey M. Ettinger | 45 | Group Vice President Hormel/President and | 03/03/03 to Present | 1998 |\n| | | Chief Executive Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Group Vice President Hormel/President and | 10/29/01 to 03/02/03 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and | 04/30/01 to 10/28/01 | |\n| | | Chief Operating Officer Jennie-O Turkey | | |\n| | | Store | | |\n| | | Vice President Hormel/President and Chief | 01/31/00 to 04/29/01 | |\n| | | Executive Officer Jennie-O Foods | | |\n| | | Vice President Hormel/Jennie-O Foods | 11/01/99 to 01/30/00 | |\n| | | Treasurer | 04/27/98 to 10/31/99 | |\n| | | Assistant Treasurer | 11/24/97 to 04/26/98 | |\n\n| Ronald W. Fielding | 50 | Group Vice President Sales Strategy | 06/02/03 to Present | 1997 |\n| --- | --- | --- | --- | --- |\n| | | Group Vice President Meat Products | 11/01/99 to 06/01/03 | |\n| | | Vice President Hormel/President Hormel | 01/27/97 to 10/31/99 | |\n| | | Foods International Corporation | | |\n| James A. Jorgenson | 59 | Senior Vice President Corporate Staff | 11/01/99 to Present | 1990 |\n| | | Vice President Human Resources | 12/30/91 to 10/31/99 | |\n| Mahlon C. Schneider | 64 | Senior Vice President External Affairs and | 11/01/99 to Present | 1990 |\n| | | General Counsel | | |\n| | | Vice President and General Counsel | 11/19/90 to 10/31/99 | |\n| Thomas R. Day | 45 | Vice President Foodservice Sales | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Sales | 11/02/98 to 10/29/00 | |\n| | | Director Dubuque Foods Incorporated | 03/07/94 to 11/01/98 | |\n| | | Foodservice Sales and Marketing | | |\n| Forrest D. Dryden | 60 | Vice President Research and Development | 01/26/87 to Present | 1987 |\n| Jody H. Feragen | 47 | Vice President and Treasurer | 10/29/01 to Present 10/30/00 to | 2000 |\n| | | Treasurer | 10/28/01 | |\n| | | Assistant Treasurer, National Computer | 12/01/95 to 10/30/00 | |\n| | | Systems in Eden Prairie, Minnesota, a | | |\n| | | data collection and software company | | |\n| Dennis B. Goettsch | 50 | Vice President Foodservice Marketing | 10/30/00 to Present | 2000 |\n| | | Director Foodservice Marketing | 10/01/90 to 10/29/00 | |\n| Daniel A. Hartzog | 52 | Vice President Meat Products Sales | 10/30/00 to Present | 2000 |\n| | | Director of Meat Products Business | 07/03/00 to 10/29/00 | |\n| | | Development | | |\n| | | Meat Products Regional Sales Manager | 09/19/88 to 07/02/00 | |", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "The Company has contingent liabilities, which have arisen in the course of its business, including pending litigation, preferential payment claims in customer bankruptcies, environmental remediation, taxes, and other claims. The Company currently has a claim for approximately $7.6 million pending against it, arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure, and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount.\n\n#### **Significant Customer**\n\nOne office furniture customer accounted for approximately 13% of consolidated net sales in 2003 and 14% in 2002 and 2001.\n\n#### **Operating Segment Information**\n\nIn accordance with SFAS No. 131, \"Disclosures about Segments of an Enterprise and Related Information,\" management views the Company as being in two operating segments: office furniture and hearth products, with the former being the principal segment. The office furniture segment manufactures and markets a broad line of metal and wood commercial and home office furniture, which includes storage products, desks, credenzas, chairs, tables, bookcases, freestanding office partitions and panel systems, and other related products. The hearth products segment manufactures and markets a broad line of manufactured gas-, pellet-, and wood-burning fireplaces and stoves, fireplace inserts, gas logs, and chimney systems, principally for the home.\n\nThe Company's hearth products segment is somewhat seasonal, with the third (July-September) and fourth (October-December) fiscal quarters historically having higher sales than the prior quarters. In fiscal 2003, 56% of consolidated net sales of hearth products were generated in the third and fourth quarters.\n\nFor purposes of segment reporting, intercompany sales transfers between segments are not material, and operating profit is income before income taxes exclusive of certain unallocated corporate expenses. These unallocated corporate expenses include the net costs of the Company's corporate operations, interest income, and interest expense. Management views interest income and expense as corporate financing costs and not as an operating segment cost. In addition, management applies an effective income tax rate to its consolidated income before income taxes so income taxes are not reported or viewed internally on a segment basis. Identifiable assets by segment are those assets applicable to the respective industry segments. Corporate assets consist principally of cash and cash equivalents, short-term investments, and corporate office real estate and related equipment.\n\nNo geographic information for revenues from external customers or for long-lived assets is disclosed, since the Company's primary market and capital investments are concentrated in the United States.\n\nReportable segment data reconciled to the consolidated financial statements for the years ended 2003, 2002, and 2001 is as follows:\n\n| (In thousands) | 2003 | | 2002 | | | 2001 |\n| --- | --- | --- | --- | --- | --- | --- |\n| Net sales: | | | | | | |\n| Office furniture | $ 1,304,054 | | $ 1,279,059 | | | $ 1,366,312 |\n| Hearth products | 451,674 | | 413,563 | | | 426,126 |\n| | $ 1,755,728 | | $ 1,692,622 | | | $ 1,792,438 |\n| Operating profit: | | | | | | |\n| Office furniture(a) | $ | 130,080 | $ | 130,014 | $ | 112,405 |\n| Hearth products(a) | | 54,433 | | 44,852 | | 39,282 |\n| Total operating profit | | 184,513 | | 174,866 | | 151,687 |\n| Unallocated corporate | | | | | | |\n| expenses | | (33,582) | | (34,312) | | (35,426) |\n| Income before income taxes | $ | 150,931 | $ | 140,554 | $ | 116,261 |\n| Depreciation and | | | | | | |\n| amortization expense: | | | | | | |\n| Office furniture | $ | 54,121 | $ | 48,546 | $ | 58,658 |\n| Hearth products | | 13,599 | | 13,993 | | 20,389 |\n| General corporate(b) | | 5,052 | | 6,216 | | 2,338 |\n| | $ | 72,772 | $ | 68,755 | $ | 81,385 |\n| Capital expenditures: | | | | | | |\n| Office furniture | $ | 17,619 | $ | 17,183 | $ | 29,785 |\n| Hearth products | | 12,577 | | 6,132 | | 7,149 |\n| General corporate | | 7,312 | | 2,570 | | (83) |\n| | $ | 37,508 | $ | 25,885 | $ | 36,851 |\n| Identifiable assets: | | | | | | |\n| Office furniture | $ | 452,350 | $ | 494,559 | $ | 526,712 |\n| Hearth products | | 303,811 | | 305,326 | | 320,199 |\n| General corporate(b) | 265,665 | | | 220,667 | | 114,980 |\n| | $ 1,021,826 | | $ 1,020,552 | | $ | 961,891 |\n\n*(a)Included in operating profit for the office furniture segment are pretax charges of $8.5 million, $3.0 million, and $22.5 million for closing of facilities and impairment charges in 2003, 2002, and 2001, respectively. Included in operating profit for the hearth products segment is a pretax charge of $1.5 million for closing of facilities and impairment charges in 2001.*\n\n*(b)In 2002 the Company's information technologies departments became a shared service at the corporate level. The costs continue to be charged out to the segments; however, the assets and related depreciation are now classified as general corporate.*", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What is Mexican Farm Subsidies ?", - "target_page": 9, - "target_passage": "an online tool to analyze how the federal government allocates those subsidies", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Right now, one of the most active Asian countries in the Open Data arena is India, which also signed an Open Government partnership with the USA in November 2010. In January 2011 the Indian Congress Party announced plans for a new law to fight corruption among public servants and politicians. Anti-corruption websites (including ones in local dialects) like Indiaagainstcorruption.org, already existed, including one, Ipaidabribe.com, that collected more than 3,000 people reports of graft in its first four months.\n\nAs it happens in Asia, even Latin America is currently focused, at least outside Public Administration circles, on how to open public data to achieve actual transparency. This appears even from the way many projects are labeled, that is \"Civic Information\" instead of Open Data (which is an idea starting from data *reuse*) or Open Government.\n\nThe reason is that even where good Freedom of Information laws exist in Latin America, they still have too little practical effects. Mexico, for example, already has a digital system to manage Freedom of Information requests, but there are reports of complaints filed against municipal officials that either have no effect at all, or aren't possible in the first place, because relevant information has not been updated in years, or omits key data like (in the case of budget reports) *\"descriptions of how the money was spent\"*.\n\nEven with these difficulties, the Latin America Open Data/Civic Information landscape is active and definitely worthwhile following. The list of interesting Civic Information projects in Latin America include (from Sasaki's Access to Information: Is Mexico a Model for the Rest of the World?:\n\n- Mexico\n\t- Mexican Farm Subsidies an online tool to analyze how the federal government allocates those subsidies\n\t- Compare Your School: compares aggregate test results from any school with the municipal, regional, and national averages\n\t- Rebellion of the Sick built for patients with chronic diseases whose expenses are not covered by the government subsidized health coverage.\n- Argentina: Public Spending in Bahía analyzes how public funds are used.\n- Colombia: Visible Congress monitors the actions of the Colombian congress\n- Brazil\n\t- Eleitor 2010: a website to submit reports of electoral fraud during the Brazil 2010", - "page_start": 8, - "page_end": 8, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "develop an Integrated Nutrient Management Action Plan in 2022. The Farm to Fork strategy will address the reduction in the use and risk of pesticides and support wider implementation of Integrated Pest Management54. As part of this, **the environmental risk assessment of pesticides will be strengthened**. The pressure from plastics is notably addressed through the implementation of the European Strategy for Plastics55 and the new Circular Economy Action Plan56 .\n\nThe Commission will develop a **set of indicators for the progressive reduction of pollution**, and will establish baselines to help monitor progress. Pressures from marine litter and underwater noise are being addressed under the Marine Strategy Framework Directive.\n\n### *2.2.10. Addressing invasive alien species*\n\nInvasive alien species can significantly undermine efforts to protect and restore nature. Besides inflicting major damage to nature and the economy, many invasive alien species also facilitate the outbreak and spread of infectious diseases, posing a threat to humans and wildlife57. The rate of release of invasive alien species has increased in recent years. Of the 1,872 species now considered threatened in Europe, 354 are under threat from invasive alien species. Without effective control measures, the rate of invasion and the risks it brings to our nature and health will continue to rise.\n\nThe implementation of the **EU Invasive Alien Species Regulation**58 and other relevant legislation and international agreements must also be stepped up**.** This should aim to minimise, and where possible eliminate, the introduction and establishment of alien species in the EU environment. The aim will be to manage established invasive alien species and **decrease the number of Red List species they threaten by 50%**59 .\n\n### **EU Nature Restoration Plan: key commitments by 2030**\n\n- 1. Legally binding EU nature restoration targets to be proposed in 2021, subject to an impact assessment. By 2030, significant areas of degraded and carbon-rich ecosystems are restored; habitats and species show no deterioration in conservation trends and status; and at least 30% reach favourable conservation status or at least show a positive trend.\n- 2. The decline in pollinators is reversed.\n- 3. The risk and use of chemical pesticides is reduced by 50% and the use of more hazardous pesticides is reduced by 50%.\n- 4. At least 10% of agricultural area is under high-diversity landscape features.\n- 5. At least 25% of agricultural land is under organic farming management, and the uptake of agro-ecological practices is significantly increased.\n- 6. Three billion new trees are planted in the EU, in full respect of ecological principles.\n- 7. Significant progress has been made in the remediation of contaminated soil sites.\n- 8. At least 25,000 km of free-flowing rivers are restored.\n\n54 Sustainable Use of Pesticides Directive (2009/128/EC).\n\n55 European Strategy for Plastics in a Circular Economy (COM(2018) 28).\n\n56 A new Circular Economy Action Plan for a cleaner and more competitive Europe (COM(2020) 98).\n\n57 See for example: Hulme P. (2014). Invasive species challenge the global response to emerging diseases, *Trends in parasitology (2014) Vol. 30, Issue 6*; Duscher et al. (2017).\n\n58 Regulation (EU) 1143/2014 on invasive alien species.\n\n59 Red List of the International Union for the Conservation of Nature (IUCN).", - "page_start": 14, - "page_end": 14, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Livestock slaughtered by the Company is purchased by Company buyers and commission dealers at sale barns and terminal markets or under long-term supply contracts at locations principally in Minnesota, Illinois, Iowa, Nebraska, Colorado and South Dakota. The cost of livestock and the utilization of the Company's facilities are affected by both the level and the methods of pork production in the United States. The hog production industry has been rapidly moving to very large, vertically integrated, year-round confinement operations operating under long-term supply agreements. This has resulted in fewer hogs being available on the spot cash market, which decreases the supply of hogs on the open market and can severely diminish the utilization of slaughter facilities and increase the cost of the raw materials they produce. The Company, along with others in the industry, uses long-term supply contracts to manage the effects of this trend and to assure a stable supply of raw materials while minimizing extreme fluctuations in costs over the longterm. This may result in costs for live hogs that are either higher or lower than the spot cash market depending on the relationship of the cash spot market to contract prices. Contract costs are fully reflected in the Company's reported financial results. In fiscal 2003, the Company purchased 79 percent of its hogs under long-term supply contracts.\n\nIn fiscal 2003, JOTS raised approximately 57 percent of the turkeys needed to meet its raw material requirements for whole bird and processed turkey products. Turkeys not sourced within the Company are contracted with independent turkey growers. JOTS' turkey-raising farms are located throughout Minnesota and Wisconsin. Production costs in raising turkeys are primarily subject to fluctuations in feed grain prices and to a lesser extent fuel costs.\n\n## **Manufacturing**\n\nThe Company has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China that slaughter livestock for processing. Quality Pork Processors of Dallas, Texas, operates the slaughter facility at Austin under a custom slaughter arrangement.\n\nFacilities that produce manufactured items are located in Algona, Iowa; Aurora, Illinois; Austin, Minnesota; Beloit, Wisconsin; Bondurant, Iowa; Ft. Dodge, Iowa; Fremont, Nebraska; Houston, Texas; Knoxville, Iowa; Mitchellville, Iowa; Osceola, Iowa; Perrysburg, Ohio; Quakertown, Pennsylvania; Rochelle, Illinois; Savannah, Georgia; Sparta, Wisconsin; Stockton, California; Tucker, Georgia; Visalia, California; Wichita, Kansas; Beijing, China; and Shanghai, China. Company products are also custom manufactured by several other companies. The following are the Company's larger custom manufacturers: Lakeside Packing Company, Manitowoc, Wisconsin; Schroeder Milk, Maplewood, Minnesota; Steuben Foods, Jamaica, New York; Power Packaging, St. Charles, Illinois; Criders, Stilmore, Georgia; Tony Downs, St. James, Minnesota; and Concept Foods, Alma, Kansas. Power\n\nLogistics, Inc., based in St. Charles, Illinois, operates distribution centers for the Company in Dayton, Ohio, and Osceola, Iowa.\n\nThe Company's turkey slaughter and processing operations are located in Barron, Wisconsin; Faribault, Minnesota; Melrose, Minnesota; Montevideo, Minnesota; Pelican Rapids, Minnesota; and Willmar, Minnesota.\n\n#### **Patents and Trademarks**\n\nThere are numerous patents and trademarks that are important to the Company's business. The Company holds seven foreign and 47 U.S. issued patents. Some of the trademarks are registered and some are not. In recognition of the importance of these assets, the Company created a subsidiary, Hormel Foods, LLC, in 1998 to create, own, maintain and protect most of the Company's trademarks and patents. Some of the more significant owned or licensed trademarks used in the Company's segments are:\n\nHORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S PRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF TSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD SMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG, SWEET THING, THICK & EASY and WRANGLERS.\n\n#### **Customers and Backlog Orders**\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up approximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS, 51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material adverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders are accepted and shipped on a current basis.\n\n#### **Competition**\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with manufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish. The Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and ConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong quality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then support higher value perceptions from customers.\n\nThe Company competes using this same strategy in international markets around the world.\n\n#### **Research and Development**\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The expenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42 professional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\n\n### **Employees**\n\nAs of October 25, 2003, the Company had over 16,000 active employees.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "#### **Higher Handset Subsidies**\n\nOur wireless business model is based substantially on subsidizing the cost of subscriber handsets, similar to other North American wireless carriers. This attracts customers and in exchange they commit to a term with us. We also commit to a minimum subsidy with the supplier of certain smartphone devices.\n\n#### **National Wireless Tower Policy**\n\nThe policy affects all parties that plan to install or modify an antenna system, including PCS, cellular and broadcasting service providers. The policy requires, among other things, that antenna proponents consider using existing antenna structures before proposing new structures and those owners of existing systems respond to requests to share antenna systems. Antenna proponents must follow a defined process for notifying the public and addressing local requirements and concerns.\n\nCertain types of antenna installations, however, are excluded from the consultation requirements with local authorities and the public.\n\n#### **Radio Frequency Emissions**\n\nFrom time to time the media and other reports have highlighted alleged links between radio frequency emissions from wireless handsets and various health concerns, including cancer, and interference with various medical devices, including hearing aids and pacemakers. This may discourage the use of wireless handsets or expose us to potential litigation even though there are no definitive reports or studies stating that these health issues are directly attributable to radio frequency emissions.\n\nIt is also possible that future regulatory actions may result in more restrictive standards on radio frequency emissions from low-powered devices like wireless handsets. We cannot predict the nature or extent of any restrictions.\n\n#### **Obtaining Access to Support Structures and Municipal Rights of Way**\n\nWe must have access to support structures and municipal rights of way for our cable facilities. We can apply to the CRTC to obtain a right of access under the Telecommunications Act in areas where we cannot secure access to municipal rights of way. Failure to obtain access could increase Cable costs and adversely affect our business.\n\nThe Supreme Court of Canada ruled in 2003, however, that the CRTC does not have the jurisdiction to establish the terms and conditions of accessing the poles of hydroelectric companies. As a result, we obtained access under orders from the Ontario Energy Board and the New Brunswick Public Utilities Board.\n\n#### **Dependence on Facilities and Services of ILECs**\n\nBusiness telephony operations that are outside our cable territory highly depend on the availability of facilities and services acquired from incumbent telecom operators, according to CRTC rules. Changes to these rules could significantly affect the cost of operating these businesses.\n\n#### **Copyright Tariffs**\n\nPressures on copyright tariffs continue to affect our services. Any increase in fees could negatively affect our results of operations.\n\n#### BUSINESS RISKS\n\n#### **Revenue Expectations from New and Advanced Services**\n\nWe expect that a substantial portion of our future revenue growth may come from new and advanced services, and we continue to invest significant capital resources to develop our networks so we can offer these services. It is possible, however, that there may not be sufficient consumer demand, or that we may not anticipate or satisfy demand for certain products and services, or be able to offer or market these new products and services successfully to subscribers. If we do not attract subscribers to new products and services profitably or keep pace with changing consumer preferences, we could experience slower revenue growth and increased churn. This could have a materially adverse effect on our business, results of operations and financial condition.\n\n#### **Acquisitions, Divestitures or Investments**\n\nAcquiring complementary businesses and technologies, developing strategic alliances and divesting portions of our business are often required to optimally execute our business strategy.\n\nServices, technologies, key personnel or businesses of companies we acquire may not be effectively assimilated into our business or service offerings, or our alliances may not be successful. We also may not be able to successfully complete any divestitures on satisfactory terms, if at all. Divestitures may reduce our total revenues and net income by more than offset by the sales price.\n\n#### **Inventory Obsolescence**\n\nOur inventory balance mainly consists of wireless handset devices, which generally have relatively short product life cycles due to frequent wireless handset introductions. If we cannot effectively manage inventory levels based on product demand, this may increase the risk of inventory obsolescence.\n\n#### **Complexity of Our Business**\n\nOur businesses, technologies, processes and systems are operationally complex and increasingly interconnected. If we do not execute properly, or if manmade or natural disasters impact them, customers may have a negative experience, resulting in increased churn and lower revenue.\n\n#### **Reliance on Third Party Service Providers**\n\nWe have outsourcing arrangements with third parties to provide certain essential components of our business operations to our employees and customers, including payroll, certain facilities or property management functions, call centre support, certain installation and service technicians, certain information technology functions, and invoice printing. Interruptions in these services can adversely affect our ability to service our customers.\n\n#### **Dependence on Certain Key Infrastructure and Handset Vendors**\n\nOur wireless business has relationships with a relatively small number of essential network infrastructure and handset vendors. We do not have operational or financial control over them, and only have limited influence on how they conduct their business with us.\n\nIf one of our network infrastructure suppliers fails, it could delay adding network capacity or new capabilities and services across the business. Handsets and network infrastructure suppliers can extend delivery times, raise prices and limit supply due to their own shortages and business requirements, among other things. If these suppliers do not develop handsets that satisfy customer demands, or deliver products", - "page_start": 79, - "page_end": 79, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "progress towards the target will be under constant review, and adjustment if needed, to mitigate against undue impact on biodiversity, food security and farmers' competitiveness.\n\nAgroecology can provide healthy food while maintaining productivity, increase soil fertility and biodiversity, and reduce the footprint of food production. Organic farming in particular holds great potential for farmers and consumers alike. The sector creates jobs and attracts young farmers. Organic farming also provides 10-20 % more jobs per hectare than conventional farms, and creates added value for agricultural products32 . To make the most of this potential, at least **25% of the EU's agricultural land must be organically farmed by 2030**. In addition to CAP measures, the Commission will put forward an Action Plan on organic farming, helping Member States stimulate both supply and demand of organic products. It will also ensure consumer's trust through promotion campaigns and green public procurement. In the implementation of the EU-wide agroecological targets set out in this strategy and in the Farm to Fork Strategy, the different starting points and differences in progress already made in Member States will be taken into account.\n\nThe uptake of agroforestry support measures under rural development should be increased as it has great potential to provide multiple benefits for biodiversity, people and climate.\n\nThe decline of **genetic diversity** must also be reversed, including by facilitating the use of traditional varieties of crops and breeds. This would also bring health benefits through more varied and nutritious diets. The Commission is considering the revision of marketing rules for traditional crop varieties in order to contribute to their conservation and sustainable use. The Commission will also take measures to facilitate the registration of seed varieties, including for organic farming, and to ensure easier market access for traditional and locally adapted varieties.\n\n#### *2.2.3. Addressing land take and restoring soil ecosystems*\n\nSoil is one of the most complex of all ecosystems. It is a habitat in its own right, and home to an incredible diversity of organisms that regulate and control key ecosystem services such as soil fertility, nutrient cycling and climate regulation. **Soil is a hugely important non-renewable resource**, vital for human and economic health, as well as the production of food and new medications.\n\nIn the EU, the degradation of soil is having considerable environmental and economic consequences. Poor land management, such as deforestation, overgrazing, unsustainable farming and forestry practices, construction activities and land sealing are among the main causes of this situation33 . Despite recent reductions in the pace of soil sealing, fertile soils continue to be lost to land take and urban sprawl34. When compounded by\n\n32 OECD (2016), Farm Management Practices to Foster Green Growth.\n\n33 European Environment Agency (2019), EEA Signals 2019: Land and Soil in Europe.\n\n34 European Environment Agency and Swiss Federal Office for the Environment (FOEN) (2016), Urban sprawl in Europe.", - "page_start": 8, - "page_end": 8, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "**Figure 6.** Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n**Market price of maize in main countries.** In this study, we elaborate on the endogenous response of our economic models. Tis response can be theoretically elaborated as: due to the efect of climate change on yield reduction (improvement), the supply curve moves lefward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shifing to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. Tis also alters the self-sufciency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among diferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signifcantly under both scenarios, as their yields improve due to climate efects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-sufciency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive efects on yields and/or are relatively less dependent on imports, are positively (less negatively) afected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-sufciency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n#### **Discussion and conclusion**\n\n**Discussion.** Our analysis highlights the efects of climate change on global- and regional-specifc maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We fnd that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. Te limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "#### **Figure 12: Establishment size and 'Long or irregular working hours' – ESENER 2014 and 201935**\n\n**Sectoral differences** are also strong but not that large as between enterprise sizes they vary for **'Pressure due to time constraints'** between 32% in agriculture to 54% in education and HHSW activities.\n\nLooking at countries, as indicated the figure below, the three Nordic EU Member States are at the top of the EU27 countries, all three with rates of more than 70%. The lowest levels of less than 30% are reported for Italy, Lithuania and Slovakia.36", - "page_start": 33, - "page_end": 33, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "currently in favourable status are in that category or show a strong positive trend. The Commission and the European Environmental Agency will provide guidance to Member States in 2020 on how to select and prioritise species and habitats.\n\n## *2.2.2. Bringing nature back to agricultural land*\n\nAs guardians of our land, farmers play a vital role in preserving biodiversity. They are among the first to feel the consequences when biodiversity is lost but also among the first to reap the benefits when it is restored. Biodiversity enables them to provide us with **safe, sustainable, nutritious and affordable food** and provides them with the income they need to thrive and develop. European farmers are an essential part of the EU's future and must continue to be the social and economic hub of many communities across our Union.\n\nAt the same time, certain agricultural practices are a key driver of biodiversity decline. This is why it is important to work with farmers to **support and incentivise the transition to fully sustainable practices**. Improving the condition and diversity of agroecosystems will increase the sector's resilience to climate change, environmental risks and socioeconomic shocks, while creating new jobs, for example in organic farming, rural tourism or recreation.\n\nTo support the long-term sustainability of both nature and farming, this strategy will work in tandem with the new **Farm to Fork Strategy** and the **new Common Agricultural Policy (CAP)**, including by promoting eco-schemes and result-based payment schemes. In implementing the Biodiversity and the Farm to Fork Strategies, the Commission will closely monitor progress and improvements in terms of food security and farmers income. The Commission will ensure that the CAP Strategic plans are assessed against robust climate and environmental criteria, and that Member States set explicit national values for the relevant targets set in this strategy, as well as in the Farm to Fork Strategy. These plans should lead to sustainable practices such as precision agriculture, organic farming, agro-ecology, agro-forestry, low-intensive permanent grassland, and stricter animal welfare standards.\n\nFarmland birds and insects, particularly pollinators, are key indicators of the health of agroecosystems and are vital for agricultural production and food security. Their alarming decline must be reversed. As set out in the Farm to Fork Strategy, the Commission will take action to reduce by **50% the overall use of – and risk from – chemical pesticides by 2030** and reduce by 50% the use of more hazardous pesticides by 2030. This must be supported by the full implementation of the EU Pollinators initiative31. By the end of 2020, the Commission will review the initiative and propose additional measures if necessary. To provide space for wild animals, plants, pollinators and natural pest regulators, there is an urgent need to bring back **at least 10% of agricultural area under high-diversity landscape features**. These include, *inter alia*, buffer strips, rotational or non-rotational fallow land, hedges, non-productive trees, terrace walls, and ponds. These help enhance carbon sequestration, prevent soil erosion and depletion, filter air and water, and support climate adaptation. In addition, more biodiversity often helps lead to more agricultural production. Member States will need to translate the 10% EU target to a lower geographical scale to ensure connectivity among habitats, especially through the CAP instruments and CAP Strategic Plans, in line with the Farm to Fork Strategy, and through the implementation of the Habitats Directive. The\n\n31 EU Pollinators initiative (COM(2018) 395).", - "page_start": 7, - "page_end": 7, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "- 52. Xiong, W. *et al.* Can climate-smart agriculture reverse the recent slowing of rice yield growth in China?. *Agric. Ecosyst. Environ.* **196**, 125–136 (2014).\n- 53. Hertel, T. W. *Global Trade Analysis: Modeling and Applications* 5–30 (Cambridge University Press, 1997).\n- 54. Corong, E. L., Hertel, T. W., McDougall, R., Tsigas, M. E. & Mensbrugghe, D. V. Te standard GTAP model, version 7. *J. Glob. Econ. Anal.* **2**(1), 1–119 (2017).\n- 55. Ciscar, J. C. *et al.* Physical and economic consequences of climate change in Europe. *PNAS* **108**, 2678–2683 (2011).\n- 56. Hsiang, S. *et al.* Estimating economic damage from climate change in the United States. *Science* **356**(6345), 1362–1369 (2017).\n- 57. Taheripour, F., Hertel, T. W. & Liu, J. Te role of irrigation in determining the global land use impacts of biofuels. *Energy Sustain. Soc.* **3**(1), 4 (2013).\n- 58. Ali, T., Huang, J. K. & Yang, J. Impact assessment of global and national biofuels developments on agriculture in Pakistan. *Appl. Energy* **104**, 466–474 (2013).\n- 59. Yang, J., Huang, J. K., Qiu, H. G., Rozelle, S. & Sombilla, M. A. Biofuels and the greater Mekong Subregion: Assessing the impact on prices, production and trade. *Appl. Energy* **86**, S37–S46 (2009).\n- 60. Horridge, M. *SplitCom, programs to disaggregate a GTAP sector* (Centre of Policy Studies, Vitorial University). https://www.copsm odels.com/splitcom.htm (2005).\n- 61. Taylor, K. E., Stoufer, B. J. & Meehl, G. A. An overview of CMIP5 and the experiment design. *Bull. Am. Meteorol. Soc.* **93**, 485–498 (2012).\n- 62. Zhou, B. T., Wen, H. Q. Z., Xu, Y., Song, L. C. & Zhang, X. B. Projected changes in temperature and precipitation extremes in China by the CMIP5 multimodel ensembles. *J. Clim.* **27**, 6591–6611 (2014).\n- 63. Knutti, R., Rogelj, J., Sedláček, J. & Ficher, E. M. A scientifc critique of the two-degree climate change target. *Nat. Geosci.* **9**(1), 1–6 (2015).\n- 64. Rogelj, J. *et al.* Energy system transformations for limiting end-of-century warming to below 1.5°C. *Nat. Clim. Change* **5**(6), 519–527 (2015).\n- 65. Friedlingstein, P. *et al.* Persistent growth of CO2 emissions and implications for reaching climate targets. *Nat. Geosci.* **7**(10), 709–715 (2014).\n- 66. Azar, C., Johansson, D. J. A. & Mattsson, N. Meeting global temperature targets the role of bioenergy with carbon capture and storage. *Environ. Res. Lett.* **8**(3), 1345–1346 (2013).\n- 67. Liu, B. *et al.* Testing the responses of four wheat crop models to heat stress at anthesis and grain flling. *Glob. Change Biol.* **22**, 1890–1903 (2016).\n- 68. Elad, Y. & Pertot, I. Climate change impacts on plant pathogens and plant diseases. *J. Crop Improv.* **28**, 99–139 (2014).\n- 69. Challinora, A. J. *et al.* Improving the use of crop models for risk assessment and climate change adaptation. *Agric. Syst.* **159**, 296–306 (2018).\n- 70. Bassu, S. *et al.* How do various maize crop models vary in their responses to climate change factors?. *Glob. Change Biol.* **20**, 2301–2320 (2014).\n- 71. Wang, N. *et al.* Increased uncertainty in simulated maize phenology with more frequent supra-optimal temperature under climate warming. *Eur. J. Agron.* **71**, 19–33 (2015).\n- 72. Rosenzweig, C. *et al.* Assessing agricultural risks of climate change in the twenty-frst century in a global gridded crop model intercomparison. *PNAS* **111**, 3268–3273 (2014).\n\n### **Author contributions**\n\nK.L. designed the framework of the article and analyzed the yield results and the maize price under future scenarios. J.P. simulated the climate data from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. W.X. simulated the maize yields in whole world under diferent scenarios. W.X. simulated the market price of maize at national and global levels. T.A. helped the revision of language.\n\n#### **Funding**\n\nFunding was provided by the National Key Research and Development program of China (Grant Nos. 2019YFA0607403 and 2017YFD0300301) and National Natural Science Foundation of China (Grant Nos. 41961124007 and 41871026).\n\n#### **Competing interests**\n\nTe authors declare no competing interests.\n\n### **Additional information**\n\n**Correspondence** and requests for materials should be addressed to K.L.\n\n**Reprints and permissions information** is available at www.nature.com/reprints.\n\n**Publisher's note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional afliations.\n\n**Open Access** Tis article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. Te images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.\n\n© Te Author(s) 2022\n\nVol:.(1234567890)", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed9.pdf" - }, - { - "text": "**Retail Sales by Region** (Units: 1000s)\n\n*Including Mexico and Canada", - "page_start": 10, - "page_end": 10, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What concerns has open data raised in the insurance sector?", - "target_page": 23, - "target_passage": "insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "#### **3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, *before* they are published online. The most common concerns of this type are (from Open Public Data: Then What? - Part 1):\n\n- 1. Opening up PSI causes those data to not be produced anymore, or to be only produced as private property by private corporations, because the public agencies whose job was to produce those data, can't sell them anymore.\n- 2. total accessibility of data provides more incentives to tinker with them, at the risk of reducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account is that, once data are open, routinely used and monitored by as many independent users as possible, even the cost of keeping them up to date may be sensibly reduced: in other words, in the medium/long term Open Data may reduce the need to periodically perform complete, that is very expensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public office that used to create and maintain them, this problem would only exist for the PSI datasets that are *already* sold today. Such data, even if of strategic importance as is the case with digital cartography, are only a minimal fraction of all the PSI that could and should be opened to increase transparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n- the money to generate the data already arrives by some other source than sales and licensing(but even with those data it may be possible to generate them by crowdsourcing, thereby reducing those costs!)\n- the only extra expense caused by publishing those data online (assuming they're already available in some digital format, of course!), would be the hosting and bandwidth costs, that may be greatly reduced by mirroring and other technical solutions like torrents, already widely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n#### **3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but to simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance of occasions to secretly play with data and how they are managed is a symptom of excessive, or peak complexity: again, problems and risks with Open Data are a symptom of a [pre", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "| 1. Introduction 3 |\n| --- |\n| 2. Social and political landscape 3 |\n| 2.1. Wikileaks and the Open Data movement 5 |\n| 2.2. Data Openness in EU 6 |\n| 2.3. Open Data in Latin America, Asia and Africa 8 |\n| 3. Emerging trends and issues related to Open Data 11 |\n| 3.1. Cost of not opening PSI is increasing 11 |\n| 3.2. Creative, unforeseen uses of local Open Data increase 12 |\n| 3.3. Legal issues remain crucial 13 |\n| 3.4. The price of digitization 14 |\n| 3.5. The nature of Open Government and the relationship between citizens and Government 15 |\n| 3.6. Clearer vision of the real risks and limits of Open Data 16 |\n| 3.6.1. Data alterations and financial sustainability 17 |\n| 3.6.2. Real impact of data manipulation or misunderstanding 17 |\n| 3.6.3. Unequal access 19 |\n| 3.6.4. Lack of education to data 20 |\n| 3.6.5. Lack of public interest 21 |\n| 3.6.6. Unprepared Public Administrators 22 |\n| 3.7. The privacy problem 22 |\n| 3.8. Need to better define what is Public Data 23 |\n| 4. Conclusion: seven Open Data strategy and best practices suggestions 27 |\n| 4.1. Properly define and explain both Open Data and Public Data 27 |\n| 4.2. Keep political issues separated by economics ones 27 |\n| 4.3. Keep past and future separate 28 |\n| 4.4. Impose proper licensing and streamline procurement 29 |\n| 4.5. Educate citizens to understand and use data 30 |\n| 4.6. Focus on local, specific issues to raise interest for Open Data 31 |\n| 4.7. Involve NGOs, charities and business associations 32 |\n| 5. Bibliography 33 |", - "page_start": 1, - "page_end": 1, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides that those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources (including ourselves and our acquaintances), and that often it would be very hard to discover, never mind *prove*, that they've been used against our interest. There have been concerns, for example, that insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of data, that weren't even published by any Public Administration? Of course, publishing online complete, official Census data of several generations, in a way that would make such automatic analysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is needed to dismiss for good the idea that Open Data is a generalized attack to privacy is to always remember and explain that:\n\n- 1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air pollution measurements....)\n- 2. The majority of data that are directly related to individuals (e.g. things like names and address of people with specific diseases, or who were victims of some crime) have no reason to be published, **nor there is any actual demand for them by Open Data advocates**\n- 3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to public offices, Government and Parliament members etc...) already exist in many countries\n- 4. Very often, in practice, Open Data struggles only happen about *when and how* to make available in the most effective way for society information that was *already* recognized as public. *What* to declare public, hence open, is indeed a serious issue (more on this in the next paragraph) but is a separate one.\n\n### **3.8. Need to better define what is Public Data**\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data movement will have to face (hopefully together) in 2011 and beyond. This challenge is to update and expand the definition of Public Data and to have it accepted by lawmakers and public administrators.", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "# **1. Introduction**\n\nThis report is the final deliverable of the Open Data, Open Society research project. It follows the publication of the Open Data, Open Society report, finished in late October 2010 and published in early January 2011. That first report focused on explaining the critical importance of digital data in contemporary society and business activities; defining Open Data; giving examples on their potential, especially at the local level, on transparency and economics activities; finally, defining summarizing some general best practices.\n\nThis second report looks at what happened in the Open Data arena after October 2010. After some considerations on the general social and political background in late 2010/early 2011, it is divided in two main parts. The first describes some emerging trends and issues related to Open Data, that got minor or no coverage in the first report. The second part discusses some practices and actions to follow to deal with those trends and issues.\n\n# **2. Social and political landscape**\n\nIt is worthwhile to begin by mentioning several events, happened between the end of 2010 and the first months of 2011, that can help to understand what will be the place and role of Open Data in the future, as well as the challenges faced by its advocates.\n\nThe first two are the Spanish \"Indignados\" and the Arab Spring. The first movement has among its goals *\"a change in society and an increase in social awareness\"*. The Arab Spring, as L. Millar put it on the New Zealand Computer Society website, *\"demonstrated the potency of technology to reflect citizens' views of government systems that are not transparent.\"* As a consequence, noted the Afrinnovator blog, *\"we have seen from the civil disobedience in the North of Africa and the Middle East, the appetite for more accountable and transparent government will only grow from here on\"*. From this analysis it looks like, in a way, both the Indignados and the participants to the Arab Spring are (also) asking for Open Data, even if they aren't using the term and many participants to these grassroots movement may still ignore its definition, that was born inside hackers and Public Administration circles.\n\nTwo other important events that, in different ways and at different levels, prove the importance of Open Data are the Fukushima nuclear accident and the Cablegate, which we'll analyze in the next", - "page_start": 2, - "page_end": 2, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "# Open Data: Emerging trends, issues and best practices\n\n*a research project about openness of public data in EU local administration*\n\n# *by Marco Fioretti for the Laboratory of Economics and Management of Scuola Superiore Sant'Anna, Pisa*\n\nThis report is part of the \"Open Data, Open Society\" Project financed through the DIME network (Dynamics of Institutions and Markets in Europe, www.dime-eu.org) as part of DIME Work Package 6.8, coordinated by Professor Giulio Bottazzi", - "page_start": 0, - "page_end": 0, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n### **2.3. Open Data in Latin America, Asia and Africa**\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of *local* interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better *in countries where it already exists and which share a great amount of history and cultural/philosophical values*.\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to *create* data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used *against* citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\n> *in Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...*\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "by David Osimo in EU eGov action plan published: the good, the bad and the unknown, are the actions on Open Data (a EU portal and a revision of the EU PSI directive), and on citizens control over their data. However the Action Plan contains no reference to the need for a more open and collaborative governance.\n\nIn the case of European Structural Funds, as Luigi Reggi reported in March 2011:\n\nthere is no single point of access to the data. Hundreds of Managing Authorities are following different paths and implementing different information strategies when opening up their data.\n\nMany databases (often simple PDF lists) [...show...] huge variation not only in the way they can be accessed but also in content and quality of data provided.\n\n... [...The results of...] an independent web-based survey on the overall quality of data published by each Managing Authority responsible for the 434 Operational Programmes approved in July 2009... can be summarized as follows:\n\nThe use of open, machine-processable and linked-data formats have unexpected advantages in terms of transparency and re-use of the data by the public and private sector. The application of these technical principles does not need extra budget or major changes in government organization and information management; nor does it require the update of existing software and infrastructures. What is needed today is the promotion among national and local authorities of the culture of transparency and the raising of awareness of the benefits that could derive from opening up existing data and information in a re-usable way.\n\nThe European Cohesion Policy is only halfway to accomplishing a paradigm shift to open data, with differences in performance both between and - in some cases - within European Countries.\n\nThings don't go much better for the European Union in the energy field. Carlo Stagnaro wrote in\n\nEU Energy Orwellianism: Ignorance Is Strength:\n\nEnergy is an active area of EU public policy. Yet authorities are not revealing information (data is surely has) that is crucial to determine whether its policies are distorting the market and come at too high a cost to society. This is a major fault in Europe's credibility in advancing its policy goals, as well as a serious limitation to the accountability of the policy making process\n\nWe realized that, while strongly supporting green investments the EU does not know, or does not make it public, how much is spent every year on green subsidies... With regard to green jobs, several estimates exist, but no official figure is provided.\n\nMore recently... I discovered that Eurostat does not tell how much coal capacity is installed - as opposed to natural gas- or oil-fueled generation plants. It is possible to know how much coal is used, but not the amount of fixed capital which is invested in", - "page_start": 6, - "page_end": 6, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "- 22. Thinking About Africa's Open Data\n- 23.Towards EU Benchmarking 2.0 Transparency and Open Data on Structural Funds in Europe\n- 24. UK Open Government Licence removes barriers to re-use of public sector information\n- 25.Western Europe: A journey through tech for transparency projects\n- 26.What open data means to marginalized communities\n- 27.What's in a Name? Open Gov and Good Gov\n- 28.WikiLeaks Relationship With the Media\n- 29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government", - "page_start": 33, - "page_end": 33, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n> \"*on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?*\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n### **2.1. Wikileaks and the Open Data movement**\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is *actually* doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "benefit when local businesses make more money) are aware of this opportunity?\n\n# **4. Conclusion: seven Open Data strategy and best practices suggestions**\n\nStarting from the trends and conclusion described in the previous chapter, this section lists, in the most synthetic way possible, some strategic actions and best practices for 2011, that we consider important in making Open Data succeed and bring the greatest possible benefits to all citizens and businesses.\n\n### **4.1. Properly define and explain both Open Data and Public Data**\n\nJust because Open Data is becoming more popular (and, we may say, more and more necessary every year), it is essential to intensify efforts to explain, both to the general public and to public administrators, that\n\n- 1. **Privacy issues are almost always a non-issue.** Quoting from What \"open data\" means and what it doesn't): *Privacy and/or security concerns with putting all the government's data out there are a separate issue that shouldn't be confused with Open Data. Whether data should be made publicly available is where privacy concerns come into play. Once it has been determined that government data should be made public, then it should be done openly.*\n- 2. Defining as Public and consequently opening them in the right way, *much more data* than those born and stored *inside* Public Administration is an urgent task that is in the best interest of all citizens and businesses\n\n### **4.2. Keep political issues separated by economics ones**\n\nOpen Data can reduce the costs of Public Administrations and generate (or at least protect, as in the case of deals from local merchants) local jobs in all sectors of the economy, not just high-tech ones. There seems to be enough evidence for these two assertions to go for more Open Data *even if* they had no effect at all on participation to politics. This should always be kept in mind, also because some data that can directly stimulate business are not the same that would be useful for transparency.", - "page_start": 26, - "page_end": 26, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What are Steinberg's concerns about the government releasing all non-private existing data?", - "target_page": 28, - "target_passage": "The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\". The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides that those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources (including ourselves and our acquaintances), and that often it would be very hard to discover, never mind *prove*, that they've been used against our interest. There have been concerns, for example, that insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of data, that weren't even published by any Public Administration? Of course, publishing online complete, official Census data of several generations, in a way that would make such automatic analysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is needed to dismiss for good the idea that Open Data is a generalized attack to privacy is to always remember and explain that:\n\n- 1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air pollution measurements....)\n- 2. The majority of data that are directly related to individuals (e.g. things like names and address of people with specific diseases, or who were victims of some crime) have no reason to be published, **nor there is any actual demand for them by Open Data advocates**\n- 3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to public offices, Government and Parliament members etc...) already exist in many countries\n- 4. Very often, in practice, Open Data struggles only happen about *when and how* to make available in the most effective way for society information that was *already* recognized as public. *What* to declare public, hence open, is indeed a serious issue (more on this in the next paragraph) but is a separate one.\n\n### **3.8. Need to better define what is Public Data**\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data movement will have to face (hopefully together) in 2011 and beyond. This challenge is to update and expand the definition of Public Data and to have it accepted by lawmakers and public administrators.", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n> \"*on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?*\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n### **2.1. Wikileaks and the Open Data movement**\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is *actually* doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "### **4.3. Keep past and future separate**\n\nFor the same reason why it is important to always distinguishes between political and economical advantages (or disadvantages) of Open Data, it is necessary to keep decisions about *future* data (those that will arrive in the future, due to new contracts, public services and so on) separate from those about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that Government should publish everything non-private it can **now** is \"rather dangerous\", and that it would be much better to release nothing until someone actually asked for it, and at that point doing it right, that is with an open license and so on. The first reasons for Steinberg's concern is that asking for everything as soon as possible would *\"stress the system too much, by spreading thin the finite amount of good will, money and political capital\"*. The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them.\n\nEven if these concerns were always true, it is important to realize that they apply (especially the second) to already existing data, not to future ones. The two classes of data have, or can have, very different constraints. Existing data may still exist only in paper format and/or be locked by closed or unclear licenses, or not relevant anymore for future decisions.\n\nOpening *future* data, instead, is almost always more important, useful urgent, easier and cheaper than digitizing or even only reformatting material that in many cases is already too old to make immediate, concrete differences. While this argument is probably not always true when we look at Open data for transparency, it probably is when it comes to economic development.\n\nTherefore, features and guidelines that should be present in all future data generation and management processes include:\n\n- standardization: the less, obviously open, formats are used for data of the same type, the easier it is to merge and correlate them. The formats that have to be standardized are not only those at the pure software level. Even more important is, for example, to adopt by law standard identificators for government suppliers, names and machine-readable identifiers of budget voices and so on\n- preparation for future digitization: new digital systems should explicitly be designed from the beginning so that it will be possible, when non-digital records will be digitized, to add them to the databases without modifying losses.\n- Open licenses", - "page_start": 27, - "page_end": 27, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "#### **3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, *before* they are published online. The most common concerns of this type are (from Open Public Data: Then What? - Part 1):\n\n- 1. Opening up PSI causes those data to not be produced anymore, or to be only produced as private property by private corporations, because the public agencies whose job was to produce those data, can't sell them anymore.\n- 2. total accessibility of data provides more incentives to tinker with them, at the risk of reducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account is that, once data are open, routinely used and monitored by as many independent users as possible, even the cost of keeping them up to date may be sensibly reduced: in other words, in the medium/long term Open Data may reduce the need to periodically perform complete, that is very expensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public office that used to create and maintain them, this problem would only exist for the PSI datasets that are *already* sold today. Such data, even if of strategic importance as is the case with digital cartography, are only a minimal fraction of all the PSI that could and should be opened to increase transparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n- the money to generate the data already arrives by some other source than sales and licensing(but even with those data it may be possible to generate them by crowdsourcing, thereby reducing those costs!)\n- the only extra expense caused by publishing those data online (assuming they're already available in some digital format, of course!), would be the hosting and bandwidth costs, that may be greatly reduced by mirroring and other technical solutions like torrents, already widely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n#### **3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but to simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance of occasions to secretly play with data and how they are managed is a symptom of excessive, or peak complexity: again, problems and risks with Open Data are a symptom of a [pre", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is *\"data that is of public interest, that belongs to the whole community, data that every citizen is surely entitled to know and use\"*. This definition is so generic that accepting it together with the assumption that all such data should be open as preached by the Open Data movement (online, as soon as possible, in machine readable format with an open license etc...) doesn't create any particular problem or conflict.\n\nReal problems however start as it has happened all too often so far, whenever we assume more or less consciously that \"Public Data\" in the sense defined above and data directly produced by Governments and Public Administrations, that is what's normally called PSI (Public Sector Information) are the same thing.\n\nThere is no doubt that Governments and Public Administrations produce huge quantities of Public Data. But this is an age of privatization of many public services, from transportation to healthcare, energy and water management. This is an age in which many activities with potentially very serious impacts on whole communities, like processing of hazardous substances or toxic waste, happen *outside* Public Administrations. The paradox is that, as Sasaki put it, this increased privatization is happening in the very same period in which *\" we are observing a worldwide diffusion of access to information laws that empower citizens to hold government agencies accountable.\"*\n\nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what constitutes traditional, official PSI. \"Public Data\" includes all that information *plus* the much bigger amount of data describing and measuring all the activities of private companies, from bus timetables to packaged food ingredients, aqueducts performances and composition of fumes released in the atmosphere, that have a *direct impact* on the health and rights of all citizens of the communities affected by the activities of those companies.\n\nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is something every citizen has the right to know without intermediaries or delegates, or not? Should they be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as soon as possible, in machine readable format with an open license etc...) just like, for example, the budget of some Ministry? Answering these questions may be one of the biggest challenges for the Open Data community, and for society as a whole, in the next years.\n\nHere are, in order to facilitate reflection on this issue, a few recent, real world examples of \"Public Data\" that are *not* PSI, and of the impacts of their lack of openness.", - "page_start": 23, - "page_end": 23, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "opinion, the Wikileaks experience proves the advantages of Open Data.\n\nWas Wikileaks right to publish the cable? Were the specific facts and behaviors uncovered by Cablegate right or wrong? The answer to these questions are outside the scope of this document. Here we only wish to point out that Cablegate and Wikileaks, at least in the form we've known them so far, have been about:\n\n- reacting to problems *after* they occurred\n- without any intervention and involvement of the parties and organizations that may have behaved improperly\n\nOpen Data, instead, is about *prevention* of errors, abuses and inefficiencies, through conscious and continuous collaboration of citizens and governments officials *during* day to day operations, if not before their beginning.\n\nOf course, citizens must always check that they aren't getting incomplete or biased data. But in any case, Open Data means that the involved government officials aren't just prepared to see that data published, they know and accept it from the start. In such a context, some risks associated to Wikileaks, like the fact that the leaker lacks the means to influence the downstream use of the information, and therefore may harm anybody connected to the linked information, are almost nonexistent.\n\nAbove all, unlike the content of most Wikileaks documents, Open Data are almost always data that should surely be open, unlike wartime military reports, and that almost never contain any personal information. In summary, whatever the conclusions about Wikileaks are, they could not be conclusions against Open Data, because there are too many differences between the two movements.\n\n### **2.2. Data Openness in EU**\n\nBoth the interest and the need for data openness at the European Union level remain high. Here, without making any complete analysis, we'll only report and comment a few relevant episodes. While studies continue to point at the political and economical advantages of Open Data, great inefficiencies and delays still keep the time and cost savings that could be achieved a far goal for the European Union.\n\nAll the principles of the Open Declaration (collaboration, transparency, empowerment) have been declared key areas of action of the new EC eGov action plan. Particularly important, as explained", - "page_start": 5, - "page_end": 5, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "existing] problem that is somewhere else.\n\nRegardless of the real probability of data alterations before they are published, the major problem happens after. We already mentioned in the first report the fact that, while correct interpretation of public data from *the majority of average citizens* is absolutely critical, the current situation, even in countries with (theoretical) high alphabetization and Internet access rates, is one in which most people still lack the skills needed for such analysis. Therefore, there surely is space for both intentional manipulation of PSI and for misunderstanding it. After the publication of the first report, we've encountered several examples of this danger, which are reported in the rest of this paragraph.\n\nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the impact on the general public (in terms of raising interest and enhancing participation) on the Open Data activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there has been no big increase in demagogy, more or less manipulated scandals and conflictual discussion caused by Open Data. There has certainly been something of this in the Cablegate but that's not really relevant because, as we've already explained, what Wikileaks did is intrinsically different from Open Data. So far, negative or at least controversial reactions by manipulation and misunderstanding of Open Data haven't happened to such a scale to justify not opening PSI.\n\nThis said, let's look at some recent example of misunderstanding and/or manipulation based on (sometimes open) public digital data.\n\nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows [also] *\"mosques that are no longer in use, so as to convey the idea that Muslims were invading Russia.\"*\n\nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared in September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, as they had been doing for years. The reason was that, following the March 2009 earthquake in Italy, the data were being used to *\"come to conclusions without any basis at all\"*, both by the press, to sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing anti seismic construction codes.\n\nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a big effort to explain to his readers the limits of the maps he publishes, and the potential for misunderstanding if they are used without preparation, or with wrong expectations. This is a synthesis of Belleri's explanation, also covered in other websites, that is applicable to any map", - "page_start": 17, - "page_end": 17, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n### **2.3. Open Data in Latin America, Asia and Africa**\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of *local* interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better *in countries where it already exists and which share a great amount of history and cultural/philosophical values*.\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to *create* data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used *against* citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\n> *in Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...*\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for the world) at the bus stops. Scanning the QR code now allows people to see not just the bus timetable, but also the notes other travelers have left on that stop, including *\"what's nearby, who's waiting for whom, what number can you call for a good time. It's a cross between bus stop Facebook and digital graffiti\"*, that happened thanks to the openness of the original bus stop data.\n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used them, how those people are connected and what conversations happen around Open Data.\n\n### **3.3. Legal issues remain crucial**\n\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this rule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing Eaves, until a government get the licensing issue right, Open Data cannot bring all the possible benefits in that country. If there are no guarantees that public data can be used without restriction, very little happens in practice, and when it happens it may be something against the public interest.\n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process and analyze official crime data, also publishes online, with a proprietary license, anonymized summaries of those data. When in 2010 another company, Report See Inc, scraped those data from their website to reuse them, Public Engines sued.\n\nReporting this, D. Eaves rightly points out that *both* companies are right: one is trying to protect its investment, the other is simply trying to reuse what IS public data, by getting it from the ONLY place where it's available. This is what happens when public officials leave the ownership of *public* data to the third parties hired to collect them. Please note that, in practice, it makes very little difference whether those third parties are private, for-profit corporations or even other Public Administrations. Unless, of course, there are national laws already in place that define in advance what is the license of all present and future Public Data, *no matter how they were generated and by whom*, those data can be lost in any moment for society. In all other cases, the legal status of data will be either officially closed and locked, or uncertain enough to prevent most or all reuses. In February 2011, the news came that, even if they weren't the original copyright holders, Public Engines had been able to put together enough legal claims to convince Report See to give up.\n\nDisputes like this should not happen and would not happen if all contracts regarding collection and management of PSI clearly specified that all the resulting data either go directly into the public domain (after being anonymized if necessary, of course) or remain exclusive property of the", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first is to protect a public administration from having to pay *twice* for those data, if it needs it again in the future for some other internal activity, not explicitly mentioned in the initial contract. The second reason is to not spend more than what is absolutely necessary to respond to public records requests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is sharing it with all the citizens using the public services based on those data. A real world example of this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bikesharing scheme started in May 2009, through a partnerships with a private company: JCDecaux finances the infrastructure and operates it, in exchange for advertising space on the bikes themselves and on billboards at the bike sharing stations. The availability of bikes and parking spaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website that reuses those data to measure where and how often there aren't enough available bikes and parking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated it to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because citizens could monitor the service by themselves, were possible just because the data from the official website were legally and automatically reusable.\n\n### **3.4. The price of digitization**\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if it is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that already existed and must be fixed anyway, regardless (again) of openness. Any substantial increase of efficiency and reduction of the costs of Public Administrations can only happen when data and procedures are digitized. The problem is that such digitization (which, obviously, must happen anyway sooner or later) can be very expensive and we are only now starting to really realize how much. Actual, material costs are not the worst problem here. Activities like semi-automatic scanning of paper documents or typing again their content inside some database, are relatively low, one-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is really difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less automatic procedures and file templates, formats, habits and customs developed, maybe over", - "page_start": 13, - "page_end": 13, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "How did serum estradiol and progesterone levels change during pregnancy?", - "target_page": 2, - "target_passage": "Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "**Fig. 1 | Precision imaging reveals neuroanatomical changes throughout gestation. a**, Standard medical demarcations for pregnancy stages (that is, trimesters) by gestation week (the image is created with BioRender.com). **b**, Steroid hormones increased significantly throughout pregnancy and dropped precipitously postpartum, as is characteristic of the prenatal and postnatal periods. **c**, A healthy 38-year-old primiparous woman underwent 26 scanning sessions from 3 weeks preconception through 2 years postpartum. Scans were distributed throughout preconception (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans); tick marks indicate when major measures were collected and\n\n# **Discussion**\n\nConverging evidence across mammalian species points to pregnancy as a remarkable period of neuroplasticity, revealing the brain's ability to undergo adaptive, hormonally-driven neuroanatomical changes beyond adolescence13–15,20,21,24–26. Investigations that compare women week. **d**, Summary (that is, total) of brain measures throughout the experiment. Generalized additive models revealed GMV, CT and total brain volume decreased throughout pregnancy (see Methods for validation with cubic regression), with a slight recovery postpartum. Global QA, lateral ventricle and CSF volumes displayed nonlinear increases across gestation, with a notable rise in the second and third trimesters before dropping sharply postpartum. Shaded regions represent 95% confidence bands; solid lines indicate model fit; dashed line indicates parturition.\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve pregnancy, allowing for precise mapping of ovulation, conception and gestation\n\nprepregnancy and then again postpartum provide the strongest evidence to date that the human brain undergoes such neural changes11,27. But what about pregnancy itself? Over what time course do anatomical changes in the maternal brain manifest? Are they tied to the substantial increase in sex hormone production? Here we begin to address these", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **nature neuroscience**\n\n# **Neuroanatomical changes observed over the course of a human pregnancy**\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\nCheck for updates\n\n**Laura Pritschet  1 , Caitlin M. Taylor  1 , Daniela Cossio  2 , Joshua Faskowitz  3 , Tyler Santander1 , Daniel A. Handwerker  3 , Hannah Grotzinger1 , Evan Layher1 , Elizabeth R. Chrastil  2,5 & Emily G. Jacobs  1,4,5**\n\nPregnancy is a period of profound hormonal and physiological changes experienced by millions of women annually, yet the neural changes unfolding in the maternal brain throughout gestation are not well studied in humans. Leveraging precision imaging, we mapped neuroanatomical changes in an individual from preconception through 2 years postpartum. Pronounced decreases in gray matter volume and cortical thickness were evident across the brain, standing in contrast to increases in white matter microstructural integrity, ventricle volume and cerebrospinal fuid, with few regions untouched by the transition to motherhood. This dataset serves as a comprehensive map of the human brain across gestation, providing an open-access resource for the brain imaging community to further explore and understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies in their lifetime1 , with 140 million women becoming pregnant each year. Over an approximately 40-week gestational window, the maternal body undergoes profound physiological adaptations to support the development of the fetus, including increases in plasma volume, metabolic rate, oxygen consumption and immune regulation2 . These rapid adaptations are initiated by 100-fold to 1,000-fold increases in hormone production, including estrogen and progesterone. These neuromodulatory hormones also drive significant reorganization of the central nervous system. Evidence from animal models and human studies converge on pregnancy as a period of remarkable neuroplasticity3–10 (see ref. 10 for one of the earliest known observations). Gestational increases in steroid hormone synthesis drive neurogenesis, dendritic spine growth, microglial proliferation, myelination and astrocyte remodeling (for review, see ref. 11). These cellular changes are pronounced in brain circuits that promote maternal behavior. For example, Ammari et al. recently discovered that steroid hormones can fine-tune the response properties of galanin neurons in the rodent medial preoptic area of the hypothalamus (mPOA), leading to enhanced sensitivity in dams to sensory cues from newborn pups12.\n\nIn humans, reductions in gray matter volume (GMV) have been observed postpartum13–16, particularly in regions central to theory-of-mind processing13. These GMV changes persist at 6 years postpartum17 and are traceable decades later18,19, underscoring the permanence of this major remodeling event. And yet the changes that occur within the maternal brain during gestation itself are virtually unknown (see ref. 20 for early neuroimaging insight). A recent study by Paternina-Die et al. offers intriguing clues21. Women were scanned once in the third trimester and again in the postpartum period, revealing a reduction of cortical volume observable in the late pregnancy scan. These findings suggest that pregnancy is a highly dynamic period for neural remodeling, yet neuroscientists lack a detailed map of how the human brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in which a healthy 38-year-old primiparous woman underwent 26 magnetic resonance imaging (MRI) scans and venipuncture beginning 3 weeks preconception through 2 years postpartum. We observed widespread reductions in cortical GMV and cortical thickness (CT) occurring in step with advancing gestational week and the dramatic rise in sex hormone production. Remodeling was also evident within\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University of California, Irvine, CA, USA. 3 Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National Institutes of Health, Bethesda, MD, USA. 4 Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5 These authors contributed equally: Elizabeth R. Chrastil, Emily G. Jacobs.  e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "L inf. longitudinal fasc.\n\nPre 1st 2nd 3rd Post\n\nL arcuate fasciculus\n\nIndividual tracts\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n**Fig. 4 | White matter microstructure changes throughout the experiment. a**, Numerous white matter tracts demonstrate increasing QA in relation to advancing gestation week (baseline—36 weeks, 16 scans), as determined by correlational tractography analysis (FDR, *q* < 0.0001). See Supplementary Table 9 for complete list of tracts with a significant correlation between QA and gestation week. **b**, Summary of QA values by pregnancy stage (gestation and postpartum, 23 scans) for representative ROIs significantly tied to gestation. ROI-based tractometry was used to extract QA values. Each boxplot represents\n\noverlook the full range of changes that unfold within the gestational window, and underrepresent the brain's metamorphosis during pregnancy. Furthermore, although observed changes were largely global, some regions displayed notable stability (for example, extrastriate cortex). The subcortical region that displayed the strongest relationship with gestation week was the ventral diencephalon, which encompasses the hypothalamus and subsequent medial preoptic area and paraventricular nucleus—structures critical for inducing maternal behavior12,16. The hippocampus exhibited a reduction in volume across gestation, and with higher spatial resolution, this reduction was revealed to be driven by changes in CA1 and CA2/CA3 subfield volumes, while other hippocampal subfields remained stable. Adjacent PHC within the MTL also exhibited volume reduction across gestation. While our hippocampal findings are consistent with pre/post studies of pregnancy13, the precision lens applied within gestation revealed the nonlinear nature of this reduction. Recapitulating and clarifying these regionally specific patterns of volume change throughout the MTL merits further investigation.\n\nSimilar precision imaging studies have captured dynamic brain reorganization across other neuroendocrine transitions, such as the menstrual cycle (see review in ref. 28), underscoring the powerful role steroid hormones have in shaping the mammalian brain29. Endocrine changes across pregnancy dwarf those that occur across the menstrual cycle, which highlights the critical need to map the brain's response to this unique hormonal state. Broad physiological changes occur in tandem with the rise in steroid hormones, including changes in body mass composition, water retention, immune function and\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nsleep patterns11. These factors could have a role in the brain changes observed here, with some driving neurobiological changes and others, like water retention, potentially affecting MRI-based measurements. Note that, although cortical reductions in GMV over gestation were stable across analyses, accounting for QC measures influenced the magnitude and location of these results. These metrics all fell within the standard range, but there may be meaningful reductions in signal that accompany volumetric reductions (for example, increased CSF and decreased GM)—a methodological nuance that goes beyond the scope of this resource study. Ultimately, identifying the shared and unique contributions of these factors to the neuroanatomical changes that unfold across gestation warrants further investigation. Deeply phenotyping a large and diverse cohort of women across pregnancy will open up new avenues of exploration, for example, allowing researchers to link blood-based proteomic signatures to pregnancy outcomes; deploying wearable devices to monitor changes in sleep, cognition and mood; and probing the broader social and environmental determinants of maternal health27.\n\nThe neuroanatomical changes that unfold during matrescence may have broad implications for understanding individual differences in parental behavior13,24,30,31, vulnerability to mental health disorders32,33 and patterns of brain aging18,19,34–36. Decreases in GMV may reflect 'fine-tuning' of the brain by neuromodulatory hormones in preparation for parenthood26. For example, in rodents, steroid hormones promote parental behavior by remodeling specific neural circuits in the medial preoptic area of the hypothalamus. These behavioral adaptations are critical to the dam's ability to meet the demands of caring for", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **Methods**\n\n#### **Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. Previous studies reported no observable differences in neural changes from prepregnancy to postpregnancy between women who conceived naturally versus women who conceived via IVF13, and doing so provides a controlled way of monitoring pregnancy status. The participant experienced no pregnancy complications (for example, gestational diabetes and hypertension), delivered at full term via vaginal birth, nursed through 16 months postpartum, and had no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking. The participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\n#### **Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks before conception through 2 years postpartum (162 weeks), during which high-resolution anatomical and diffusion spectrum imaging scans of the brain were acquired. Scans were distributed throughout this period, including prepregnancy (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans; Fig. 1c). The first 6 sessions took place at the UCSB Brain Imaging Center (BIC), the final 20 sessions took place at the UCI Facility for Imaging and Brain Research (FIBRE). The majority of scans took place between 9 AM and 2 PM, limiting significant AM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) and software (version MR E11) were identical across sites. Each scanner was checked weekly for the duration of the study and passed all QC reports indicating no significant alterations in the geometry. To ensure the robustness of the findings, after the final study session, the participant completed back-to-back validation scans at UCI and UCSB within a 12-h window to assess reliability between scanners. Intraclass correlation coefficients (two-way, random effects, absolute agreement, single rater) reveal 'excellent' test–retest reliability between scanners, including ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level CT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, 95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). Furthermore, when examining the relationship between gestation week and GMV among UCI-only gestational sessions, findings were consistent (Supplementary Fig. 12), indicating that site differences are highly unlikely to have contributed meaningfully to the observed effects. Although not applicable here, we note that having a control participant scanned over a similar duration within the same scanner is critical for estimating how much variation in the brain can be attributed to within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the following scales were administered on each experiment day: Perceived Stress Scale50, Pittsburgh Sleep Quality Index51, State-Trait Anxiety Inventory for Adults52 and Profile of Mood States53. Correlation analyses between state-dependent measures, summary brain metrics and gestation week revealed little to no relationships. The only exception to this was a moderate negative association between global QA and state anxiety (Spearman's correlation (*ρ*) = −0.65, *q* = 0.04; baseline—36 weeks, *n* = 16). By making this data openly accessible, we encourage a more nuanced approach toward exploring mood and lifestyle measures in relation to brain changes over pregnancy.\n\n#### **Endocrine procedures**\n\nThe participant underwent a blood draw (*n* = 19; Fig. 1c) before MRI scanning. Sex steroid concentrations were determined via ultra-sensitive liquid chromatography–mass spectrometry at the Brigham and Women's Hospital Research Assay Core (BRAC). Assay sensitivities, dynamic range and intra-assay coefficients of variation were as follows: estradiol—1.0 pg ml−1, 1–500 pg ml−1, <5% relative s.d. (RSD); progesterone—0.05 ng ml−1, 0.05–10 ng ml−1, 9.33% RSD. Serological samples were not acquired in five sessions due to scheduling conflicts with UC Irvine's Center for Clinical Research.\n\n**MRI acquisition.** MRI scanning sessions at the University of California, Santa Barbara and Irvine were conducted on 3T Prisma scanners equipped with 64-channel phased-array head/neck coil (of which 50 coils are used for axial brain imaging). High-resolution anatomical scans were acquired using a T1-weighted (T1w) magnetization prepared rapid gradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, time to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, 0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, TE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) turbo spin echo scan was also acquired with an oblique coronal orientation positioned orthogonally to the main axis of the hippocampus (TR/ TE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, 2-mm slice thickness, 38 interleaved slices with no gap, total acquisition time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) protocol sampled the entire brain with the following parameters: single phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, *b*-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm voxel resolution. These images were linearly registered to the whole-brain T1w MPRAGE image. A custom foam headcase was used to provide extra padding around the head and neck, as well as to minimize head motion. Additionally, a custom-built sound-absorbing foam girdle was placed around the participant's waist to attenuate sound near the fetus during second-trimester and third-trimester scanning.\n\n**Image processing.** *Cortical volume and thickness*. CT and GMV were measured with Advanced Normalization Tools54 version 2.1.0 (ANTs). We first built a subject-specific template (SST) (antsMultivariateTemplateConstruction2) and tissue priors (antsCookTemplatePriors) based on our participant's two preconception whole-brain T1-weighted scans to examine neuroanatomical changes relative to the participant's prepregnancy baseline. We used labels from the OASIS population template, provided by ANTs, as priors for this step. For each session, the structural image was processed and registered to the SST using the ANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias field correction for field inhomogeneity, then brain extraction using a hybrid registration/segmentation method55. Tissue segmentation was performed using Atropos54 to create tissue masks of CSF, gray matter, white matter and deep gray matter. Atropos allows prior knowledge to guide the segmentation algorithm, and we used labels from our SST as priors to minimize warping and remain in native participant space. CT measurements were then estimated using the DiReCT algorithm56, which estimates the gray–white matter interface and the gray matter–CSF interface and computes a diffeomorphic mapping between the two interactions, from which thickness is derived. Each gray matter tissue mask was normalized to the template and multiplied to a Jacobian image that was computed via affine and nonlinear transforms. Using MATLAB (version 2022a), summary, regional-level estimates of CT, GMV and CSF for each scan were obtained by taking the first eigenvariate (akin to a 'weighted mean'57) across all voxels within each parcel of the Schaefer 400-region atlas58. We then averaged ROIs across networks, which were defined by the 17-network Schaefer scheme58,59. Global measures of CT, GMV and CSF were computed for each session by summing across all voxels within the respective output image; total brain volume was computed by summing across all voxels within each session's brain extraction mask. Our findings held when using an SST derived from all 26 MRIs (prepregnancy through postpartum), as well as when estimating the mean (versus weighted mean) of all voxels within each parcel. The ANTs CT pipeline is highly validated with good test–retest reproducibility and improved ability to predict variables such as age and gender from region-wise CT measurements", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain—indicating greater tract integrity—as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n# **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; 3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months postparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline—2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV (*F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R*2 adj = 0.91), summary CT (*F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R*2 adj = 0.75) and total brain volume (*F* = 26.12, *P* < 0.001, deviance explained = 93.4%, *R*2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%, *R*2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.77) and increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline—36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle (Fig. 2a). Most large-scale brain networks exhibited decreases in GMV (Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of interest (ROI) demonstrated negative relationships between GMV and gestation week (Fig. 2a and Supplementary Table 2). Together, these results provide evidence of a global decrease in cortical volume across pregnancy. Several sensory and attention subnetworks were particularly sensitive to gestation, including the control (subnetwork B), salience/ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks (Supplementary Table 1). Regions driving these network-level changes include the bilateral inferior parietal lobe, postcentral gyri, insulae, prefrontal cortex, posterior cingulate and somatosensory cortex (Fig. 2c, Supplementary Table 2 and validation of findings using alternate pipeline in Supplementary Tables 1 and 3). These regions and associated brain networks appear to decrease in volume at a faster rate than the rest of the brain throughout pregnancy, as determined by a subsequent analysis controlling for total GMV (Supplementary Tables 1 and 2). GMV reductions were also significantly correlated with the participant's estradiol and progesterone concentrations (Supplementary Table 1). A highly similar pattern of results was observed when examining pregnancy-related CT changes (Supplementary Fig. 3 and Supplementary Tables 4 and 5). Significant reductions in cortical GMV over gestation remained after controlling for standard quality control (QC) metrics, albeit with some influence on the magnitude and location of the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork C), limbic (subnetworks A and B) and visual peripheral networks buck the global trend by slightly increasing (for example, temporal poles), remaining constant (for example, orbitofrontal cortex) or reducing at a much slower rate (for example, extrastriate cortex) than total GMV (Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these regions exhibit similar patterns (Supplementary Fig. 3 and Supplementary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcortical regions significantly reduced in volume across gestation (Fig. 3a, left). This included bilateral ventral diencephalon (right hemisphere values shown in Fig. 3a, right; encompasses hypothalamus, substantia nigra, mammillary body, lateral geniculate nucleus and red nucleus among others22), caudate, hippocampus and thalamus, along with left putamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to interrogate subcortical structures at a finer resolution, revealing nonlinear volumetric decreases in CA1 (*F*(2,15) = 5.84, *q* = 0.031, *R*2 adj = 0.36; Fig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82, *q* = 0.027, *R*2 adj = 0.41; Fig. 3b, middle) across gestation. PHC exhibited linear volumetric decreases across gestation (*F*(1,16) = 24.87, *q* < 0.001, *R*2 adj = 0.58; Fig. 3b, right) which was also tied to estradiol (*F*(1,12) = 20.21, *q* = 0.005, *R*2 adj = 0.60). All three relationships remained significant after proportional correction for total GMV. There was no significant change in other subregions or total volume of the hippocampal body, or in the parahippocampal gyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of white matter, which tests for linear trends in the data, revealed increasing microstructural integrity across the whole brain during gestation (Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone (all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust correlations with gestational week included the corpus callosum, arcuate fasciculus, inferior fronto-occipital fasciculus and inferior longitudinal fasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior longitudinal fasciculus, corticostriatal, corticospinal and corticopontine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typical variability over time, derived from eight densely-sampled controls23. The GMV changes we see across pregnancy far exceed normative brain variability (Supplementary Fig. 11). On average, change in cortical GMV was nearly three times higher than controls scanned over a similar duration (Supplementary Fig. 11a,b). This extends to MTL subfields, wherein change in volume was three to four times greater across gestation than normative brain variability (Supplementary Fig. 11c,d). We contextualized these findings further by comparing gestational GMV change against our participant's preconception brain volumes; average GMV change during pregnancy was six times (cortical) and three times (MTL) higher than the variability observed between baseline sessions.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "| above). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for | CA1 and CA2/3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of | | |\n| --- | --- | --- | --- |\n| total gray matter volume calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones | (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if | | |\n| they met FDR correction at q < .05. | | | |\n| Diffusion imaging: | DSI Studio's correlational tractography (Yeh et al., 2016) was used to analyze the relationship between white matter | | |\n| structure and gestational week (n = 16). A truncated model was run to examine the relationship between white matter and | sex steroid hormones (n = 14) for the subset of diffusion scans with paired endocrine data during gestation. A non-parametric | | |\n| Spearman correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of | interest (QA and MD; see Table S9 and Fig. S10 for MD results) because the data were not normally distributed. Statistical | | |\n| inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations | found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting | | |\n| for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The | correlational tractography was run with the following parameters: T-score threshold of 2.5, 4 pruning iterations, and a length | | |\n| threshold of 25 voxel distance. To estimate the false discovery rate (FDR), a total of 4000 randomized permutations were | applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, | | |\n| suggested by DSI Studio), and contained at least 10 tracts. For visualization of global and tract QA at each gestational stage, | mean QA values were extracted using DSI Studio's whole brain fiber tracking algorithm and ROI-based tracking using the | | |\n| default HCP842 atlas (Yeh et al., 2013). | | | |\n| Effect(s) tested | Predicting global, network, and regional volumetric change (GMV, CT, MTL subregion, microstructure) by pregnancy-related | indicators (gestation week, estrogen, progesterone). | |\n| Specify type of analysis: | Whole brain | ROI-based | Both |\n| Global measures of gray matter volume, cortical thickness, and cerebrospinal fluid were computed by | ANTs and validated with FreeSurfer. A whole-brain probabilistic atlas (e.g., Schaefer 400-region | | |\n| parcellation) was used for ROI analysis of cortical thickness and volume and the Yeo/Schaefer 17-network | scheme was used for network-level analyses. The 'aseg' segmentation was used for ROI analysis of | Anatomical location(s) | |\n| subcortical gray matter volume. The Princeton Young Adult 3T ASHS Atlas Template was used to examine | volume among 7 MTL subfields: CA1, CA 2/3, dentate gyrus, subiculum, entorhinal cortex, perirhinal | | |\n| cortex, and the parahippocampal gyrus. Whole-brain white matter structure was assessed for the | diffusion imaging analysis, wherein every tract and bundle was evaluated. | | |\n| Statistic type for inference | N/A; s and diffusion MRI only. | | |\n| (See Eklund et al. 2016) | | | |\n| Correction | FDR-correction | | |\n| Models & analysis | n/a | Involved in the study | |\n| Functional and/or effective connectivity | Graph analysis | | |\n| Multivariate modeling or predictive analysis | | | |\n| Multivariate modeling and predictive analysis | Multivariate regression analyses was used to explore brain structure in relation to gestation. Regional, | network, and summary brain measures (dependent variables) were examined in relation to gestation week | |\n| (independent variable). 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Sci.* **3**, 466–483 (2020).\n\n**Publisher's note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional afiliations.\n\n**Open Access** This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons. org/licenses/by/4.0/.\n\n© The Author(s) 2024", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - }, - { - "text": "participant's first two baseline scans (that is, preconception) to derive within-participant variability estimates.\n\nBenchmarking our data in this way allows us to capture the degree of change expected due to factors such as image processing and instrumentation variability or other day-to-day changes that could potentially modulate brain size and shape (see ref. 80 for review). The percent change observed over pregnancy (baseline versus 36 weeks gestation) far exceeds the expected variability estimated using both the Day2Day dataset (Supplementary Fig. 11) and our within-participant control data. This was quantified by dividing the observed percent change in GMV metrics (baseline versus 36 weeks) by the global measure of GMV percent variability of each control group (that is, Day2Day, within-participant control), independently for cortex and subcortex.\n\n### **Reporting summary**\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n# **Data availability**\n\nThe dataset consists of 26 MRI scans (T1w, T2w and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The raw data is publicly available at https://openneuro.org/datasets/ds005299. Source data are provided with this paper.\n\n# **Code availability**\n\nNo custom code was used.\n\n# **References**\n\n- 49. Karch, J. D. et al. Identifying predictors of within-person variance in MRI-based brain volume estimates. *NeuroImage* **200**, 575–589 (2019).\n- 50. 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Das, S. R., Avants, B. B., Grossman, M. & Gee, J. C. Registration based cortical thickness measurement. *Neuroimage* **45**, 867–879 (2009).\n- 57. Friston, K. J., Rotshtein, P., Geng, J. J., Sterzer, P. & Henson, R. N. A critique of functional localisers. *Neuroimage* **30**, 1077–1087 (2006).\n- 58. Schaefer, A. et al. Local-global parcellation of the human cerebral cortex from intrinsic functional connectivity MRI. *Cereb. Cortex* **28**, 3095–3114 (2018).\n- 59. Yeo, B. T. et al. The organization of the human cerebral cortex estimated by intrinsic functional connectivity. *J. Neurophysiol.* **106**, 1125–1165 (2011).\n- 60. Dale, A. M., Fischl, B. & Sereno, M. I. Cortical surface-based analysis: I. Segmentation and surface reconstruction. *Neuroimage* **9**, 179–194 (1999).\n- 61. Reuter, M., Schmansky, N. J., Rosas, H. D. & Fischl, B. Within-subject template estimation for unbiased longitudinal image analysis. *Neuroimage* **61**, 1402–1418 (2012).\n- 62. Desikan, R. S. et al. An automated labeling system for subdividing the human cerebral cortex on MRI scans into gyral based regions of interest. *Neuroimage* **31**, 968–980 (2006).\n- 63. Fischl, B. et al. Whole brain segmentation: automated labeling of neuroanatomical structures in the human brain. *Neuron* **33**, 341–355 (2002).\n- 64. Esteban, O. et al. MRIQC: advancing the automatic prediction of image quality in MRI from unseen sites. *PLoS ONE* **12**, e0184661 (2017).\n- 65. Esteban, O. et al. MRIQC Web-API: crowdsourcing image quality metrics and expert quality ratings of structural and functional MRI. Preprint at *bioRxiv* https://doi.org/10.1101/216671 (2017).\n- 66. Rosen, A. F. et al. Quantitative assessment of structural image quality. *Neuroimage* **169**, 407–418 (2018).\n- 67. Yushkevich, P. A. et al. Automated volumetry and regional thickness analysis of hippocampal subfields and medial temporal cortical structures in mild cognitive impairment. *Hum. Brain Mapp.* **36**, 258–287 (2015).\n- 68. Aly, M. & Turk-Browne, N. B. Attention stabilizes representations in the human hippocampus. *Cereb. Cortex* **26**, 783–796 (2016).\n- 69. Wang, H. et al. Multi-atlas segmentation with joint label fusion. *IEEE Trans. Pattern Anal. Mach. Intell.* **35**, 611–623 (2013).\n- 70. Yushkevich, P. A. et al. User-guided 3D active contour segmentation of anatomical structures: significantly improved eficiency and reliability. *Neuroimage* **31**, 1116–1128 (2006).\n- 71. Palombo, D. J. et al. KIBRA polymorphism is associated with individual diferences in hippocampal subregions: evidence from anatomical segmentation using high-resolution MRI. *J. Neurosci.* **33**, 13088–13093 (2013).\n- 72. Crum, W. R., Camara, O. & Hill, D. L. Generalized overlap measures for evaluation and validation in medical image analysis. *IEEE Trans. Med. Imaging* **25**, 1451–1461 (2006).\n- 73. Cieslak, M. et al. QSIPrep: an integrative platform for preprocessing and reconstructing difusion MRI data. *Nat. Methods* **18**, 775–778 (2021).\n- 74. Yeh, F. C., Badre, D. & Verstynen, T. Connectometry: a statistical approach harnessing the analytical potential of the local connectome. *Neuroimage* **125**, 162–171 (2016).\n- 75. Yeh, F. C. & Tseng, W. Y. I. NTU-90: a high angular resolution brain atlas constructed by q-space difeomorphic reconstruction. *Neuroimage* **58**, 91–99 (2011).\n- 76. Wood, S. N. *Generalized Additive Models: An Introduction With R, Second Edition* (Chapman and Hall/CRC, 2017).\n- 77. Sullivan, K. J., Shadish, W. R. & Steiner, P. M. An introduction to modeling longitudinal data with generalized additive models: applications to single-case designs. *Psychol. Methods* **20**, 26–42 (2015).\n- 78. Yeh, F. C., Verstynen, T. D., Wang, Y., Fernández-Miranda, J. C. & Tseng, W. Y. I. Deterministic difusion fiber tracking improved by quantitative anisotropy. *PLoS ONE* **8**, e80713 (2013).\n- 79. Jovicich, J. et al. Brain morphometry reproducibility in multi-center 3T MRI studies: a comparison of cross-sectional and longitudinal segmentations. *Neuroimage* **83**, 472–484 (2013).\n- 80. Hedges, E. P. et al. Reliability of structural MRI measurements: the efects of scan session, head tilt, inter-scan interval, acquisition sequence, FreeSurfer version and processing stream. *Neuroimage* **246**, 118751 (2022).\n\n# **Acknowledgements**\n\nThe authors would like to thank M. Mendoza for his phlebotomy and MRI assistance at the UCSB Brain Imaging Center; C. Stark and R. Tain for MRI assistance at the UCI Facility for Imaging and Brain", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed4.pdf" - }, - { - "text": "**Fig. 2 | Cortical GMV showed widespread change through gestation and postpartum. a**, Multivariate regression analyses reveal largely negative relationships between gestation week and regional GMV, with only a minority of regions unaffected or increasing over the gestational window (baseline—36 weeks). All associations presented here were corrected for multiple comparisons (FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b**, Average network change was calculated by estimating GMV percent change from baseline (initial) to 36 weeks gestation (final). Attention and control networks appear most affected. **c**, Six representative regions, classified by major subnetworks, that exhibit pronounced GMV change across gestation. For each panel, we display a scatterplot between average GMV of the ROIs and gestation week (left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy stage across the whole study (right; gestation and postpartum sessions, 26 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. All statistical tests were corrected for multiple comparisons (FDR at *q* < 0.05) and values were *z* scored and transformed to have a mean of zero and s.d. of one for easier comparison across regions. Please note that the data values shown here are raw (see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). Brain visualizations created with R package ggseg48. IQR, interquartile range; Lat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral network; SomMot, somatomotor network; VisCent, visual central network; Cont, control network; TempPar, temporal parietal network; DorsAttn, dorsal attention network; SalVentAttn, salience/ventral attention network.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - }, - { - "text": "the offspring12. Human studies have revealed GMV reductions in areas of the brain important for social cognition and the magnitude of these changes corresponds with increased parental attachment13. Deeper examination of cellular and systems-level mechanisms will improve our understanding of how pregnancy remodels specific circuits to promote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal behavior and white matter microstructure (particularly connectivity between temporal and occipital lobes) have been noted31. Here we reveal pronounced GMV changes in regions within sensory, attention and default mode networks over the gestational window. In parallel, we observed increased anisotropy in white matter tracts that facilitate communication between emotional and visual processing hubs37–39, including the inferior longitudinal fasciculus and inferior fronto-occipital fasciculus. Pinpointing the synchrony of gray and white matter changes that unfold in the maternal brain could be key to understanding the behavioral adaptions that emerge during and after pregnancy, such as honing the brain's visual and auditory responses to infant cues and eliciting maternal behavior. Research into other major transition periods supports this idea. For instance, adolescence is a dynamic period characterized by region-specific, nonlinear decreases in GMV and increases in WMV, maturational brain changes that are tied to gains in executive function and social cognition40. For both adolescence41 and matrescence, the considerable rise in steroid hormone production appears to remodel the brain (see ref. 25 for comparative analysis), promoting a suite of behaviors adaptive to that life stage. How specific neural changes give rise to specific behavioral adaptations has yet to be fully explored with respect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes across pregnancy in a single individual, precluding our ability to generalize to the broader population. To benchmark our findings, we compared the magnitude of GMV changes observed throughout pregnancy against data from nonpregnant individuals sampled over a similar time course. Doing so provided compelling evidence that pregnancy-related neuroanatomical shifts far exceed normative day-to-day brain variability and measurement error. Evidence suggests that white matter microstructure remains fairly stable over a six-month period42, but more studies are needed to compare the degree of white matter changes observed during pregnancy to normative change over time. Further, sampling larger cohorts of women will generate much-needed normative models of brain change (akin to ref. 43) throughout pregnancy to establish what constitutes a typical degree of neuroanatomical change expected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further precision imaging studies of pregnancy in demographically enriched cohorts to determine the universality and idiosyncrasy of these adaptations and their role in maternal health. Are the changes observed in our participant reflective of the broader population? Do deviations from the norm lead to maladaptive outcomes? A precision imaging approach can help determine whether the pace of pregnancy-induced neuroanatomical changes drives divergent brain health outcomes in women, as may be the case during other rapid periods of brain development44. One in five women experiences perinatal depression45 and while the first FDA-approved treatment is now available46, early detection remains elusive. Precision imaging studies could offer clues about an individual's risk for or resilience to depression before symptom onset, helping clinicians better determine when and how to intervene. Neuroscientists and clinicians also lack tools to facilitate detection and treatment of neurological disorders that co-occur, worsen or remit with pregnancy, such as epilepsy, headaches, multiple sclerosis and intracranial hypertension47. Precision mapping of the maternal brain lays the groundwork for a greater understanding of the subtle and sweeping structural, functional, behavioral and clinical changes that unfold across pregnancy. Such pursuits will advance our basic understanding of the human brain and its remarkable ability to undergo protracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41593-024-01741-0.\n\n# **References**\n\n- 1. World Health Organization. Maternal, newborn, child and adolescent health and ageing. platform.who.int/data/ maternal-newborn-child-adolescent-ageing (2022).\n- 2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill's Physiology of Reproduction* pp. 1927–1955 (Elsevier, 2015).\n- 3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for motherhood. *Nat. Rev. Neurosci.* **9**, 11–25 (2008).\n- 4. Gregg, C. Pregnancy, prolactin and white matter regeneration. *J. Neurol. Sci.* **285**, 22–27 (2009).\n- 5. Haim, A. et al. A survey of neuroimmune changes in pregnant and postpartum female rats. *Brain Behav. Immun.* **59**, 67–78 (2017).\n- 6. Barrière, D. A. et al. Brain orchestration of pregnancy and maternal behavior in mice: a longitudinal morphometric study. *NeuroImage* **230**, 117776 (2021).\n- 7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The genomic architecture of pregnancy-associated plasticity in the maternal mouse hippocampus. *eNeuro* **9**, ENEURO.0117-22. 2022 (2022).\n- 8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex diferences: short- and long-term efects of pregnancy on the brain. *Trends Neurosci.* **46**, 459–471 (2023).\n- 9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural stem cells for transient neurogenesis in mothers. *Science* **382**, 958–963 (2023).\n- 10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity induced by environment and pregnancy. *Int. J. Neurosci.* **2**, 171–178 (1971).\n- 11. Servin-Barthet, C. et al. The transition to motherhood: linking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24**, 605–619 (2023).\n- 12. Ammari, R. et al. Hormone-mediated neural remodeling orchestrates parenting onset during pregnancy. *Science* **382**, 76–81 (2023).\n- 13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in human brain structure. *Nat. Neurosci.* **20**, 287–296 (2017).\n- 14. Hoekzema, E. et al. Mapping the efects of pregnancy on resting state brain activity, white matter microstructure, neural metabolite concentrations and grey matter architecture. *Nat. Commun.* **13**, 6931 (2022).\n- 15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. & Carmona, S. Characterizing the brain structural adaptations across the motherhood transition. *Front. Glob. Womens Health* **2**, 742775 (2021).\n- 16. Spalek, K. et al. Pregnancy renders anatomical changes in hypothalamic substructures of the human brain that relate to aspects of maternal behavior. *Psychoneuroendocrinology* **164**, 107021 (2024).\n- 17. Martínez-García, M. et al. Do pregnancy-induced brain changes reverse? The brain of a mother six years after parturition. *Brain Sci.* **11**, 168 (2021b).\n- 18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals traces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA* **116**, 22341–22346 (2019).", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "Which cortical sub-networks were particularly sensitive to pregnancy?", - "target_page": 2, - "target_passage": "Several sensory and attention subnetworks were particu- larly sensitive to gestation, including the control (subnetwork B), sali- ence ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "**Fig. 1 | Precision imaging reveals neuroanatomical changes throughout gestation. a**, Standard medical demarcations for pregnancy stages (that is, trimesters) by gestation week (the image is created with BioRender.com). **b**, Steroid hormones increased significantly throughout pregnancy and dropped precipitously postpartum, as is characteristic of the prenatal and postnatal periods. **c**, A healthy 38-year-old primiparous woman underwent 26 scanning sessions from 3 weeks preconception through 2 years postpartum. Scans were distributed throughout preconception (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans); tick marks indicate when major measures were collected and\n\n# **Discussion**\n\nConverging evidence across mammalian species points to pregnancy as a remarkable period of neuroplasticity, revealing the brain's ability to undergo adaptive, hormonally-driven neuroanatomical changes beyond adolescence13–15,20,21,24–26. Investigations that compare women week. **d**, Summary (that is, total) of brain measures throughout the experiment. Generalized additive models revealed GMV, CT and total brain volume decreased throughout pregnancy (see Methods for validation with cubic regression), with a slight recovery postpartum. Global QA, lateral ventricle and CSF volumes displayed nonlinear increases across gestation, with a notable rise in the second and third trimesters before dropping sharply postpartum. Shaded regions represent 95% confidence bands; solid lines indicate model fit; dashed line indicates parturition.\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve pregnancy, allowing for precise mapping of ovulation, conception and gestation\n\nprepregnancy and then again postpartum provide the strongest evidence to date that the human brain undergoes such neural changes11,27. But what about pregnancy itself? Over what time course do anatomical changes in the maternal brain manifest? Are they tied to the substantial increase in sex hormone production? Here we begin to address these", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "- 19. Orchard, E. R. et al. Neuroprotective efects of motherhood on brain function in late life: a resting-state fMRI study. *Cereb. Cortex* **31**, 1270–1283 (2021).\n- 20. Oatridge, A. et al. Change in brain size during and after pregnancy: study in healthy women and women with preeclampsia. *Am. J. Neuroradiol.* **23**, 19–26 (2002).\n- 21. Paternina-Di, M. et al. Women's neuroplasticity during gestation, childbirth and postpartum. *Nat. Neurosci.* **27**, 319–327 (2024).\n- 22. Makris, N. et al. Decreased volume of the brain reward system in alcoholism. *Biol. Psychiatry* **64**, 192–202 (2008).\n- 23. Filevich, E. et al. Day2day: investigating daily variability of magnetic resonance imaging measures over half a year. *BMC Neurosci.* **18**, 65 (2017).\n- 24. Dulac, C., O'Connell, L. A. & Wu, Z. Neural control of maternal and paternal behaviors. *Science* **345**, 765–770 (2014).\n- 25. Carmona, S. et al. Pregnancy and adolescence entail similar neuroanatomical adaptations: a comparative analysis of cerebral morphometric changes. *Hum. Brain Mapp.* **40**, 2143–2152 (2019).\n- 26. Pawluski, J. L., Hoekzema, E., Leuner, B. & Lonstein, J. S. Less can be more: fine tuning the maternal brain. *Neurosci. Biobehav. Rev.* **133**, 104475 (2022).\n- 27. Martínez-García, M., Jacobs, E. G., de Lange, A. M. G. & Carmona, S. Advancing the neuroscience of human pregnancy. *Nat. Neurosci.* **27**, 805–807 (2024).\n- 28. Pritschet, L., Taylor, C. M., Santander, T. & Jacobs, E. G. Applying dense-sampling methods to reveal dynamic endocrine modulation of the nervous system. *Curr. Opin. Behav. Sci.* **40**, 72–78 (2021).\n- 29. Taxier, L. R., Gross, K. S. & Frick, K. M. Oestradiol as a neuromodulator of learning and memory. *Nat. Rev. Neurosci.* **21**, 535–550 (2020).\n- 30. Kohl, J. et al. Functional circuit architecture underlying parental behaviour. *Nature* **556**, 326–331 (2018). Article 7701.\n- 31. Rodrigo, M. J. et al. Inferior fronto-temporo-occipital connectivity: a missing link between maltreated girls and neglectful mothers. *Soc. Cogn. Afect. Neurosci.* **11**, 1658–1665 (2016).\n- 32. Pawluski, J. L., Lonstein, J. S. & Fleming, A. S. The neurobiology of postpartum anxiety and depression. *Trends Neurosci.* **40**, 106–120 (2017).\n- 33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E. Brain plasticity in pregnancy and the postpartum period: links to maternal caregiving and mental health. *Arch. Womens Ment. Health* **22**, 289–299 (2019).\n- 34. Barth, C. & de Lange, A.-M. G. Towards an understanding of women's brain aging: the immunology of pregnancy and menopause. *Front. Neuroendocrinol.* **58**, 100850 (2020).\n- 35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. D. Matrescence: lifetime impact of motherhood on cognition and the brain. *Trends Cogn. Sci.* **27**, 302–316 (2023).\n- 36. Duarte-Guterman, P. et al. Cellular and molecular signatures of motherhood in the adult and ageing rat brain. *Open Biol.* **13**, 230217 (2023).\n- 37. Herbet, G., Zemmoura, I. & Dufau, H. Functional anatomy of the inferior longitudinal fasciculus: from historical reports to current hypotheses. *Front. Neuroanat.* **12**, 77 (2018).\n- 38. Wang, Y., Metoki, A., Alm, K. H. & Olson, I. R. White matter pathways and social cognition. *Neurosci. Biobehav. Rev.* **90**, 350–370 (2018).\n- 39. Zekelman, L. R. et al. White matter association tracts underlying language and theory of mind: an investigation of 809 brains from the Human Connectome Project. *Neuroimage* **246**, 118739 (2022).\n- 40. Blakemore, S. J. & Choudhury, S. Development of the adolescent brain: implications for executive function and social cognition. *J. Child Psychol. Psychiatry* **47**, 296–312 (2006).\n- 41. Blakemore, S. J., Burnett, S. & Dahl, R. E. The role of puberty in the developing adolescent brain. *Hum. Brain Mapp.* **31**, 926–933 (2010).\n- 42. Lövdén, M. et al. Experience-dependent plasticity of white-matter microstructure extends into old age. *Neuropsychologia* **48**, 3878–3883 (2010).\n- 43. Bethlehem, R. A. et al. Brain charts for the human lifespan. *Nature* **604**, 525–533 (2022).\n- 44. Tooley, U. A., Bassett, D. S. & Mackey, A. P. Environmental influences on the pace of brain development. *Nat. Rev. Neurosci.* **22**, 372–384 (2021).\n- 45. Wang, Z. et al. Mapping global prevalence of depression among postpartum women. *Transl. Psychiatry* **11**, 543 (2021).\n- 46. Deligiannidis, K. M. et al. Zuranolone for the treatment of postpartum depression. *Am. J. Psychiatry* **180**, 668–675 (2023).\n- 47. Shehata, H. A. & Okosun, H. Neurological disorders in pregnancy. *Curr. Opin. Obstet. Gynecol.* **16**, 117–122 (2004).\n- 48. Mowinckel, A. M. & Vidal-Piñeiro, D. Visualization of brain statistics with R packages ggseg and ggseg3d. *Adv. Methods Pract. Psychol. Sci.* **3**, 466–483 (2020).\n\n**Publisher's note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional afiliations.\n\n**Open Access** This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons. org/licenses/by/4.0/.\n\n© The Author(s) 2024", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - }, - { - "text": "the offspring12. Human studies have revealed GMV reductions in areas of the brain important for social cognition and the magnitude of these changes corresponds with increased parental attachment13. Deeper examination of cellular and systems-level mechanisms will improve our understanding of how pregnancy remodels specific circuits to promote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal behavior and white matter microstructure (particularly connectivity between temporal and occipital lobes) have been noted31. Here we reveal pronounced GMV changes in regions within sensory, attention and default mode networks over the gestational window. In parallel, we observed increased anisotropy in white matter tracts that facilitate communication between emotional and visual processing hubs37–39, including the inferior longitudinal fasciculus and inferior fronto-occipital fasciculus. Pinpointing the synchrony of gray and white matter changes that unfold in the maternal brain could be key to understanding the behavioral adaptions that emerge during and after pregnancy, such as honing the brain's visual and auditory responses to infant cues and eliciting maternal behavior. Research into other major transition periods supports this idea. For instance, adolescence is a dynamic period characterized by region-specific, nonlinear decreases in GMV and increases in WMV, maturational brain changes that are tied to gains in executive function and social cognition40. For both adolescence41 and matrescence, the considerable rise in steroid hormone production appears to remodel the brain (see ref. 25 for comparative analysis), promoting a suite of behaviors adaptive to that life stage. How specific neural changes give rise to specific behavioral adaptations has yet to be fully explored with respect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes across pregnancy in a single individual, precluding our ability to generalize to the broader population. To benchmark our findings, we compared the magnitude of GMV changes observed throughout pregnancy against data from nonpregnant individuals sampled over a similar time course. Doing so provided compelling evidence that pregnancy-related neuroanatomical shifts far exceed normative day-to-day brain variability and measurement error. Evidence suggests that white matter microstructure remains fairly stable over a six-month period42, but more studies are needed to compare the degree of white matter changes observed during pregnancy to normative change over time. Further, sampling larger cohorts of women will generate much-needed normative models of brain change (akin to ref. 43) throughout pregnancy to establish what constitutes a typical degree of neuroanatomical change expected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further precision imaging studies of pregnancy in demographically enriched cohorts to determine the universality and idiosyncrasy of these adaptations and their role in maternal health. Are the changes observed in our participant reflective of the broader population? Do deviations from the norm lead to maladaptive outcomes? A precision imaging approach can help determine whether the pace of pregnancy-induced neuroanatomical changes drives divergent brain health outcomes in women, as may be the case during other rapid periods of brain development44. One in five women experiences perinatal depression45 and while the first FDA-approved treatment is now available46, early detection remains elusive. Precision imaging studies could offer clues about an individual's risk for or resilience to depression before symptom onset, helping clinicians better determine when and how to intervene. Neuroscientists and clinicians also lack tools to facilitate detection and treatment of neurological disorders that co-occur, worsen or remit with pregnancy, such as epilepsy, headaches, multiple sclerosis and intracranial hypertension47. Precision mapping of the maternal brain lays the groundwork for a greater understanding of the subtle and sweeping structural, functional, behavioral and clinical changes that unfold across pregnancy. Such pursuits will advance our basic understanding of the human brain and its remarkable ability to undergo protracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41593-024-01741-0.\n\n# **References**\n\n- 1. World Health Organization. Maternal, newborn, child and adolescent health and ageing. platform.who.int/data/ maternal-newborn-child-adolescent-ageing (2022).\n- 2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill's Physiology of Reproduction* pp. 1927–1955 (Elsevier, 2015).\n- 3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for motherhood. *Nat. Rev. Neurosci.* **9**, 11–25 (2008).\n- 4. Gregg, C. Pregnancy, prolactin and white matter regeneration. *J. Neurol. Sci.* **285**, 22–27 (2009).\n- 5. Haim, A. et al. A survey of neuroimmune changes in pregnant and postpartum female rats. *Brain Behav. Immun.* **59**, 67–78 (2017).\n- 6. Barrière, D. A. et al. Brain orchestration of pregnancy and maternal behavior in mice: a longitudinal morphometric study. *NeuroImage* **230**, 117776 (2021).\n- 7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The genomic architecture of pregnancy-associated plasticity in the maternal mouse hippocampus. *eNeuro* **9**, ENEURO.0117-22. 2022 (2022).\n- 8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex diferences: short- and long-term efects of pregnancy on the brain. *Trends Neurosci.* **46**, 459–471 (2023).\n- 9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural stem cells for transient neurogenesis in mothers. *Science* **382**, 958–963 (2023).\n- 10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity induced by environment and pregnancy. *Int. J. Neurosci.* **2**, 171–178 (1971).\n- 11. Servin-Barthet, C. et al. The transition to motherhood: linking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24**, 605–619 (2023).\n- 12. Ammari, R. et al. Hormone-mediated neural remodeling orchestrates parenting onset during pregnancy. *Science* **382**, 76–81 (2023).\n- 13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in human brain structure. *Nat. Neurosci.* **20**, 287–296 (2017).\n- 14. Hoekzema, E. et al. Mapping the efects of pregnancy on resting state brain activity, white matter microstructure, neural metabolite concentrations and grey matter architecture. *Nat. Commun.* **13**, 6931 (2022).\n- 15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. & Carmona, S. Characterizing the brain structural adaptations across the motherhood transition. *Front. Glob. Womens Health* **2**, 742775 (2021).\n- 16. Spalek, K. et al. Pregnancy renders anatomical changes in hypothalamic substructures of the human brain that relate to aspects of maternal behavior. *Psychoneuroendocrinology* **164**, 107021 (2024).\n- 17. Martínez-García, M. et al. Do pregnancy-induced brain changes reverse? The brain of a mother six years after parturition. *Brain Sci.* **11**, 168 (2021b).\n- 18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals traces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA* **116**, 22341–22346 (2019).", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "**Fig. 3 | Subcortical GMV changed throughout gestation. a**, Multivariate regression analyses revealed largely negative relationships between gestation week and subcortical GMV regions over pregnancy, including bilateral thalamus, caudate, hippocampus, ventral diencephalon (encompassing hypothalamus, substantia nigra, mammillary body and red nucleus) and left caudate. Lateral ventricles displayed the only positive relationships with gestation week (also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown here were derived via FreeSurfer and 'aseg' subcortical segmentation. FDRcorrected at *q* < 0.05. Inset, right ventral diencephalon displayed the strongest negative association with gestation (left; baseline—36 weeks, 19 scans) and did not return to baseline postpartum (right; gestation and postpartum, 26 scans). **b**, The participant's hippocampus and surrounding cortex were segmented\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression analyses (PHC) revealed subfields were negatively associated with gestation week (baseline—36 weeks, 18 scans) and did not return to baseline postpartum (gestation and postpartum, 25 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. FDR-corrected at *q* < 0.05. For **a** and **b**, nonsignificant regions were set to zero for interpretability. See Supplementary Fig. 6 for complete labeling of regions in both segmentations. Brain visualizations created with R package ggseg48*.* DC, diencephalon.\n\noutstanding questions. This study and corresponding open-access dataset offer neuroscientists a detailed map of the human brain across gestation, a resource for which a wide range of previously unattainable neurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that pregnancy is characterized by reductions in GMV, cortical thinning and enhanced white matter microstructural integrity that unfold week by week. These changes were also tied to the significant rise in steroid hormone concentrations over pregnancy. Some of these changes persist at 2 years postpartum (for example, global reductions in GMV and CT), while others, including markers of white matter integrity, appear to be transient. Ventricular expansion and contraction parallel these cortical changes. These widespread patterns, and the notable increase in CSF volume across gestation, could reflect increased water retention and subsequent compression of cortical tissue. However, the persistence of these changes at 2 years postpartum and regional variation in GMV, CT and QA, hint at cellular underpinnings, such as alterations in glia or neuron number, synaptic density and myelination (for review on the latter, see ref. 4). Future studies of the relationship between fluid dynamics and volumetric changes will help clarify the factors that drive global neural changes during pregnancy; such insights will have broad implications for maternal health (for example, neurological effects tied to pre-eclampsia or edema).\n\nCritically, dynamic neural changes occurred within the pregnancy window itself, a nuance not captured by studies limited to comparisons between prepregnancy and postpregnancy. For example, we observed large increases in white matter microstructural integrity (QA) throughout the first and second trimesters of pregnancy, but these measures fully returned to baseline values by the first postpartum scan. This pattern may explain why previous studies report no pregnancy-related differences in white matter tractography14. Other measures, such as GMV and CT, decreased throughout gestation and displayed only a modest rebound postpartum. These nonlinear patterns suggest that only quantifying prepregnancy and postpartum brain structure may", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **nature neuroscience**\n\n# **Neuroanatomical changes observed over the course of a human pregnancy**\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\nCheck for updates\n\n**Laura Pritschet  1 , Caitlin M. Taylor  1 , Daniela Cossio  2 , Joshua Faskowitz  3 , Tyler Santander1 , Daniel A. Handwerker  3 , Hannah Grotzinger1 , Evan Layher1 , Elizabeth R. Chrastil  2,5 & Emily G. Jacobs  1,4,5**\n\nPregnancy is a period of profound hormonal and physiological changes experienced by millions of women annually, yet the neural changes unfolding in the maternal brain throughout gestation are not well studied in humans. Leveraging precision imaging, we mapped neuroanatomical changes in an individual from preconception through 2 years postpartum. Pronounced decreases in gray matter volume and cortical thickness were evident across the brain, standing in contrast to increases in white matter microstructural integrity, ventricle volume and cerebrospinal fuid, with few regions untouched by the transition to motherhood. This dataset serves as a comprehensive map of the human brain across gestation, providing an open-access resource for the brain imaging community to further explore and understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies in their lifetime1 , with 140 million women becoming pregnant each year. Over an approximately 40-week gestational window, the maternal body undergoes profound physiological adaptations to support the development of the fetus, including increases in plasma volume, metabolic rate, oxygen consumption and immune regulation2 . These rapid adaptations are initiated by 100-fold to 1,000-fold increases in hormone production, including estrogen and progesterone. These neuromodulatory hormones also drive significant reorganization of the central nervous system. Evidence from animal models and human studies converge on pregnancy as a period of remarkable neuroplasticity3–10 (see ref. 10 for one of the earliest known observations). Gestational increases in steroid hormone synthesis drive neurogenesis, dendritic spine growth, microglial proliferation, myelination and astrocyte remodeling (for review, see ref. 11). These cellular changes are pronounced in brain circuits that promote maternal behavior. For example, Ammari et al. recently discovered that steroid hormones can fine-tune the response properties of galanin neurons in the rodent medial preoptic area of the hypothalamus (mPOA), leading to enhanced sensitivity in dams to sensory cues from newborn pups12.\n\nIn humans, reductions in gray matter volume (GMV) have been observed postpartum13–16, particularly in regions central to theory-of-mind processing13. These GMV changes persist at 6 years postpartum17 and are traceable decades later18,19, underscoring the permanence of this major remodeling event. And yet the changes that occur within the maternal brain during gestation itself are virtually unknown (see ref. 20 for early neuroimaging insight). A recent study by Paternina-Die et al. offers intriguing clues21. Women were scanned once in the third trimester and again in the postpartum period, revealing a reduction of cortical volume observable in the late pregnancy scan. These findings suggest that pregnancy is a highly dynamic period for neural remodeling, yet neuroscientists lack a detailed map of how the human brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in which a healthy 38-year-old primiparous woman underwent 26 magnetic resonance imaging (MRI) scans and venipuncture beginning 3 weeks preconception through 2 years postpartum. We observed widespread reductions in cortical GMV and cortical thickness (CT) occurring in step with advancing gestational week and the dramatic rise in sex hormone production. Remodeling was also evident within\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University of California, Irvine, CA, USA. 3 Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National Institutes of Health, Bethesda, MD, USA. 4 Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5 These authors contributed equally: Elizabeth R. Chrastil, Emily G. Jacobs.  e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain—indicating greater tract integrity—as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n# **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; 3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months postparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline—2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV (*F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R*2 adj = 0.91), summary CT (*F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R*2 adj = 0.75) and total brain volume (*F* = 26.12, *P* < 0.001, deviance explained = 93.4%, *R*2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%, *R*2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.77) and increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline—36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle (Fig. 2a). Most large-scale brain networks exhibited decreases in GMV (Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of interest (ROI) demonstrated negative relationships between GMV and gestation week (Fig. 2a and Supplementary Table 2). Together, these results provide evidence of a global decrease in cortical volume across pregnancy. Several sensory and attention subnetworks were particularly sensitive to gestation, including the control (subnetwork B), salience/ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks (Supplementary Table 1). Regions driving these network-level changes include the bilateral inferior parietal lobe, postcentral gyri, insulae, prefrontal cortex, posterior cingulate and somatosensory cortex (Fig. 2c, Supplementary Table 2 and validation of findings using alternate pipeline in Supplementary Tables 1 and 3). These regions and associated brain networks appear to decrease in volume at a faster rate than the rest of the brain throughout pregnancy, as determined by a subsequent analysis controlling for total GMV (Supplementary Tables 1 and 2). GMV reductions were also significantly correlated with the participant's estradiol and progesterone concentrations (Supplementary Table 1). A highly similar pattern of results was observed when examining pregnancy-related CT changes (Supplementary Fig. 3 and Supplementary Tables 4 and 5). Significant reductions in cortical GMV over gestation remained after controlling for standard quality control (QC) metrics, albeit with some influence on the magnitude and location of the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork C), limbic (subnetworks A and B) and visual peripheral networks buck the global trend by slightly increasing (for example, temporal poles), remaining constant (for example, orbitofrontal cortex) or reducing at a much slower rate (for example, extrastriate cortex) than total GMV (Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these regions exhibit similar patterns (Supplementary Fig. 3 and Supplementary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcortical regions significantly reduced in volume across gestation (Fig. 3a, left). This included bilateral ventral diencephalon (right hemisphere values shown in Fig. 3a, right; encompasses hypothalamus, substantia nigra, mammillary body, lateral geniculate nucleus and red nucleus among others22), caudate, hippocampus and thalamus, along with left putamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to interrogate subcortical structures at a finer resolution, revealing nonlinear volumetric decreases in CA1 (*F*(2,15) = 5.84, *q* = 0.031, *R*2 adj = 0.36; Fig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82, *q* = 0.027, *R*2 adj = 0.41; Fig. 3b, middle) across gestation. PHC exhibited linear volumetric decreases across gestation (*F*(1,16) = 24.87, *q* < 0.001, *R*2 adj = 0.58; Fig. 3b, right) which was also tied to estradiol (*F*(1,12) = 20.21, *q* = 0.005, *R*2 adj = 0.60). All three relationships remained significant after proportional correction for total GMV. There was no significant change in other subregions or total volume of the hippocampal body, or in the parahippocampal gyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of white matter, which tests for linear trends in the data, revealed increasing microstructural integrity across the whole brain during gestation (Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone (all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust correlations with gestational week included the corpus callosum, arcuate fasciculus, inferior fronto-occipital fasciculus and inferior longitudinal fasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior longitudinal fasciculus, corticostriatal, corticospinal and corticopontine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typical variability over time, derived from eight densely-sampled controls23. The GMV changes we see across pregnancy far exceed normative brain variability (Supplementary Fig. 11). On average, change in cortical GMV was nearly three times higher than controls scanned over a similar duration (Supplementary Fig. 11a,b). This extends to MTL subfields, wherein change in volume was three to four times greater across gestation than normative brain variability (Supplementary Fig. 11c,d). We contextualized these findings further by comparing gestational GMV change against our participant's preconception brain volumes; average GMV change during pregnancy was six times (cortical) and three times (MTL) higher than the variability observed between baseline sessions.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "L inf. longitudinal fasc.\n\nPre 1st 2nd 3rd Post\n\nL arcuate fasciculus\n\nIndividual tracts\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n**Fig. 4 | White matter microstructure changes throughout the experiment. a**, Numerous white matter tracts demonstrate increasing QA in relation to advancing gestation week (baseline—36 weeks, 16 scans), as determined by correlational tractography analysis (FDR, *q* < 0.0001). See Supplementary Table 9 for complete list of tracts with a significant correlation between QA and gestation week. **b**, Summary of QA values by pregnancy stage (gestation and postpartum, 23 scans) for representative ROIs significantly tied to gestation. ROI-based tractometry was used to extract QA values. Each boxplot represents\n\noverlook the full range of changes that unfold within the gestational window, and underrepresent the brain's metamorphosis during pregnancy. Furthermore, although observed changes were largely global, some regions displayed notable stability (for example, extrastriate cortex). The subcortical region that displayed the strongest relationship with gestation week was the ventral diencephalon, which encompasses the hypothalamus and subsequent medial preoptic area and paraventricular nucleus—structures critical for inducing maternal behavior12,16. The hippocampus exhibited a reduction in volume across gestation, and with higher spatial resolution, this reduction was revealed to be driven by changes in CA1 and CA2/CA3 subfield volumes, while other hippocampal subfields remained stable. Adjacent PHC within the MTL also exhibited volume reduction across gestation. While our hippocampal findings are consistent with pre/post studies of pregnancy13, the precision lens applied within gestation revealed the nonlinear nature of this reduction. Recapitulating and clarifying these regionally specific patterns of volume change throughout the MTL merits further investigation.\n\nSimilar precision imaging studies have captured dynamic brain reorganization across other neuroendocrine transitions, such as the menstrual cycle (see review in ref. 28), underscoring the powerful role steroid hormones have in shaping the mammalian brain29. Endocrine changes across pregnancy dwarf those that occur across the menstrual cycle, which highlights the critical need to map the brain's response to this unique hormonal state. Broad physiological changes occur in tandem with the rise in steroid hormones, including changes in body mass composition, water retention, immune function and\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nsleep patterns11. These factors could have a role in the brain changes observed here, with some driving neurobiological changes and others, like water retention, potentially affecting MRI-based measurements. Note that, although cortical reductions in GMV over gestation were stable across analyses, accounting for QC measures influenced the magnitude and location of these results. These metrics all fell within the standard range, but there may be meaningful reductions in signal that accompany volumetric reductions (for example, increased CSF and decreased GM)—a methodological nuance that goes beyond the scope of this resource study. Ultimately, identifying the shared and unique contributions of these factors to the neuroanatomical changes that unfold across gestation warrants further investigation. Deeply phenotyping a large and diverse cohort of women across pregnancy will open up new avenues of exploration, for example, allowing researchers to link blood-based proteomic signatures to pregnancy outcomes; deploying wearable devices to monitor changes in sleep, cognition and mood; and probing the broader social and environmental determinants of maternal health27.\n\nThe neuroanatomical changes that unfold during matrescence may have broad implications for understanding individual differences in parental behavior13,24,30,31, vulnerability to mental health disorders32,33 and patterns of brain aging18,19,34–36. Decreases in GMV may reflect 'fine-tuning' of the brain by neuromodulatory hormones in preparation for parenthood26. For example, in rodents, steroid hormones promote parental behavior by remodeling specific neural circuits in the medial preoptic area of the hypothalamus. These behavioral adaptations are critical to the dam's ability to meet the demands of caring for", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "**Fig. 2 | Cortical GMV showed widespread change through gestation and postpartum. a**, Multivariate regression analyses reveal largely negative relationships between gestation week and regional GMV, with only a minority of regions unaffected or increasing over the gestational window (baseline—36 weeks). All associations presented here were corrected for multiple comparisons (FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b**, Average network change was calculated by estimating GMV percent change from baseline (initial) to 36 weeks gestation (final). Attention and control networks appear most affected. **c**, Six representative regions, classified by major subnetworks, that exhibit pronounced GMV change across gestation. For each panel, we display a scatterplot between average GMV of the ROIs and gestation week (left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy stage across the whole study (right; gestation and postpartum sessions, 26 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. All statistical tests were corrected for multiple comparisons (FDR at *q* < 0.05) and values were *z* scored and transformed to have a mean of zero and s.d. of one for easier comparison across regions. Please note that the data values shown here are raw (see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). Brain visualizations created with R package ggseg48. IQR, interquartile range; Lat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral network; SomMot, somatomotor network; VisCent, visual central network; Cont, control network; TempPar, temporal parietal network; DorsAttn, dorsal attention network; SalVentAttn, salience/ventral attention network.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **Methods**\n\n#### **Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. Previous studies reported no observable differences in neural changes from prepregnancy to postpregnancy between women who conceived naturally versus women who conceived via IVF13, and doing so provides a controlled way of monitoring pregnancy status. The participant experienced no pregnancy complications (for example, gestational diabetes and hypertension), delivered at full term via vaginal birth, nursed through 16 months postpartum, and had no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking. The participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\n#### **Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks before conception through 2 years postpartum (162 weeks), during which high-resolution anatomical and diffusion spectrum imaging scans of the brain were acquired. Scans were distributed throughout this period, including prepregnancy (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans; Fig. 1c). The first 6 sessions took place at the UCSB Brain Imaging Center (BIC), the final 20 sessions took place at the UCI Facility for Imaging and Brain Research (FIBRE). The majority of scans took place between 9 AM and 2 PM, limiting significant AM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) and software (version MR E11) were identical across sites. Each scanner was checked weekly for the duration of the study and passed all QC reports indicating no significant alterations in the geometry. To ensure the robustness of the findings, after the final study session, the participant completed back-to-back validation scans at UCI and UCSB within a 12-h window to assess reliability between scanners. Intraclass correlation coefficients (two-way, random effects, absolute agreement, single rater) reveal 'excellent' test–retest reliability between scanners, including ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level CT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, 95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). Furthermore, when examining the relationship between gestation week and GMV among UCI-only gestational sessions, findings were consistent (Supplementary Fig. 12), indicating that site differences are highly unlikely to have contributed meaningfully to the observed effects. Although not applicable here, we note that having a control participant scanned over a similar duration within the same scanner is critical for estimating how much variation in the brain can be attributed to within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the following scales were administered on each experiment day: Perceived Stress Scale50, Pittsburgh Sleep Quality Index51, State-Trait Anxiety Inventory for Adults52 and Profile of Mood States53. Correlation analyses between state-dependent measures, summary brain metrics and gestation week revealed little to no relationships. The only exception to this was a moderate negative association between global QA and state anxiety (Spearman's correlation (*ρ*) = −0.65, *q* = 0.04; baseline—36 weeks, *n* = 16). By making this data openly accessible, we encourage a more nuanced approach toward exploring mood and lifestyle measures in relation to brain changes over pregnancy.\n\n#### **Endocrine procedures**\n\nThe participant underwent a blood draw (*n* = 19; Fig. 1c) before MRI scanning. Sex steroid concentrations were determined via ultra-sensitive liquid chromatography–mass spectrometry at the Brigham and Women's Hospital Research Assay Core (BRAC). Assay sensitivities, dynamic range and intra-assay coefficients of variation were as follows: estradiol—1.0 pg ml−1, 1–500 pg ml−1, <5% relative s.d. (RSD); progesterone—0.05 ng ml−1, 0.05–10 ng ml−1, 9.33% RSD. Serological samples were not acquired in five sessions due to scheduling conflicts with UC Irvine's Center for Clinical Research.\n\n**MRI acquisition.** MRI scanning sessions at the University of California, Santa Barbara and Irvine were conducted on 3T Prisma scanners equipped with 64-channel phased-array head/neck coil (of which 50 coils are used for axial brain imaging). High-resolution anatomical scans were acquired using a T1-weighted (T1w) magnetization prepared rapid gradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, time to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, 0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, TE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) turbo spin echo scan was also acquired with an oblique coronal orientation positioned orthogonally to the main axis of the hippocampus (TR/ TE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, 2-mm slice thickness, 38 interleaved slices with no gap, total acquisition time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) protocol sampled the entire brain with the following parameters: single phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, *b*-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm voxel resolution. These images were linearly registered to the whole-brain T1w MPRAGE image. A custom foam headcase was used to provide extra padding around the head and neck, as well as to minimize head motion. Additionally, a custom-built sound-absorbing foam girdle was placed around the participant's waist to attenuate sound near the fetus during second-trimester and third-trimester scanning.\n\n**Image processing.** *Cortical volume and thickness*. CT and GMV were measured with Advanced Normalization Tools54 version 2.1.0 (ANTs). We first built a subject-specific template (SST) (antsMultivariateTemplateConstruction2) and tissue priors (antsCookTemplatePriors) based on our participant's two preconception whole-brain T1-weighted scans to examine neuroanatomical changes relative to the participant's prepregnancy baseline. We used labels from the OASIS population template, provided by ANTs, as priors for this step. For each session, the structural image was processed and registered to the SST using the ANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias field correction for field inhomogeneity, then brain extraction using a hybrid registration/segmentation method55. Tissue segmentation was performed using Atropos54 to create tissue masks of CSF, gray matter, white matter and deep gray matter. Atropos allows prior knowledge to guide the segmentation algorithm, and we used labels from our SST as priors to minimize warping and remain in native participant space. CT measurements were then estimated using the DiReCT algorithm56, which estimates the gray–white matter interface and the gray matter–CSF interface and computes a diffeomorphic mapping between the two interactions, from which thickness is derived. Each gray matter tissue mask was normalized to the template and multiplied to a Jacobian image that was computed via affine and nonlinear transforms. Using MATLAB (version 2022a), summary, regional-level estimates of CT, GMV and CSF for each scan were obtained by taking the first eigenvariate (akin to a 'weighted mean'57) across all voxels within each parcel of the Schaefer 400-region atlas58. We then averaged ROIs across networks, which were defined by the 17-network Schaefer scheme58,59. Global measures of CT, GMV and CSF were computed for each session by summing across all voxels within the respective output image; total brain volume was computed by summing across all voxels within each session's brain extraction mask. Our findings held when using an SST derived from all 26 MRIs (prepregnancy through postpartum), as well as when estimating the mean (versus weighted mean) of all voxels within each parcel. The ANTs CT pipeline is highly validated with good test–retest reproducibility and improved ability to predict variables such as age and gender from region-wise CT measurements", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "| above). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for | CA1 and CA2/3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of | | |\n| --- | --- | --- | --- |\n| total gray matter volume calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones | (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if | | |\n| they met FDR correction at q < .05. | | | |\n| Diffusion imaging: | DSI Studio's correlational tractography (Yeh et al., 2016) was used to analyze the relationship between white matter | | |\n| structure and gestational week (n = 16). A truncated model was run to examine the relationship between white matter and | sex steroid hormones (n = 14) for the subset of diffusion scans with paired endocrine data during gestation. A non-parametric | | |\n| Spearman correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of | interest (QA and MD; see Table S9 and Fig. S10 for MD results) because the data were not normally distributed. Statistical | | |\n| inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations | found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting | | |\n| for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The | correlational tractography was run with the following parameters: T-score threshold of 2.5, 4 pruning iterations, and a length | | |\n| threshold of 25 voxel distance. To estimate the false discovery rate (FDR), a total of 4000 randomized permutations were | applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, | | |\n| suggested by DSI Studio), and contained at least 10 tracts. For visualization of global and tract QA at each gestational stage, | mean QA values were extracted using DSI Studio's whole brain fiber tracking algorithm and ROI-based tracking using the | | |\n| default HCP842 atlas (Yeh et al., 2013). | | | |\n| Effect(s) tested | Predicting global, network, and regional volumetric change (GMV, CT, MTL subregion, microstructure) by pregnancy-related | indicators (gestation week, estrogen, progesterone). | |\n| Specify type of analysis: | Whole brain | ROI-based | Both |\n| Global measures of gray matter volume, cortical thickness, and cerebrospinal fluid were computed by | ANTs and validated with FreeSurfer. A whole-brain probabilistic atlas (e.g., Schaefer 400-region | | |\n| parcellation) was used for ROI analysis of cortical thickness and volume and the Yeo/Schaefer 17-network | scheme was used for network-level analyses. The 'aseg' segmentation was used for ROI analysis of | Anatomical location(s) | |\n| subcortical gray matter volume. The Princeton Young Adult 3T ASHS Atlas Template was used to examine | volume among 7 MTL subfields: CA1, CA 2/3, dentate gyrus, subiculum, entorhinal cortex, perirhinal | | |\n| cortex, and the parahippocampal gyrus. Whole-brain white matter structure was assessed for the | diffusion imaging analysis, wherein every tract and bundle was evaluated. | | |\n| Statistic type for inference | N/A; s and diffusion MRI only. | | |\n| (See Eklund et al. 2016) | | | |\n| Correction | FDR-correction | | |\n| Models & analysis | n/a | Involved in the study | |\n| Functional and/or effective connectivity | Graph analysis | | |\n| Multivariate modeling or predictive analysis | | | |\n| Multivariate modeling and predictive analysis | Multivariate regression analyses was used to explore brain structure in relation to gestation. Regional, | network, and summary brain measures (dependent variables) were examined in relation to gestation week | |\n| (independent variable). In follow-up statistical analyses (noted in Methods), various quality control metrics | | | |\n\nand global brain volume were included into the model to account for variables of non-interest (e.g., motion) and to identify highly impacted brain areas (e.g., controlling for total GMV).", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "What may reflect the decrease in GMV during pregnancy?", - "target_page": 6, - "target_passage": " Decreases in GMV may reflect ‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- tion for parenthood", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "**Fig. 2 | Cortical GMV showed widespread change through gestation and postpartum. a**, Multivariate regression analyses reveal largely negative relationships between gestation week and regional GMV, with only a minority of regions unaffected or increasing over the gestational window (baseline—36 weeks). All associations presented here were corrected for multiple comparisons (FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b**, Average network change was calculated by estimating GMV percent change from baseline (initial) to 36 weeks gestation (final). Attention and control networks appear most affected. **c**, Six representative regions, classified by major subnetworks, that exhibit pronounced GMV change across gestation. For each panel, we display a scatterplot between average GMV of the ROIs and gestation week (left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy stage across the whole study (right; gestation and postpartum sessions, 26 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. All statistical tests were corrected for multiple comparisons (FDR at *q* < 0.05) and values were *z* scored and transformed to have a mean of zero and s.d. of one for easier comparison across regions. Please note that the data values shown here are raw (see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). Brain visualizations created with R package ggseg48. IQR, interquartile range; Lat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral network; SomMot, somatomotor network; VisCent, visual central network; Cont, control network; TempPar, temporal parietal network; DorsAttn, dorsal attention network; SalVentAttn, salience/ventral attention network.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - }, - { - "text": "**Fig. 3 | Subcortical GMV changed throughout gestation. a**, Multivariate regression analyses revealed largely negative relationships between gestation week and subcortical GMV regions over pregnancy, including bilateral thalamus, caudate, hippocampus, ventral diencephalon (encompassing hypothalamus, substantia nigra, mammillary body and red nucleus) and left caudate. Lateral ventricles displayed the only positive relationships with gestation week (also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown here were derived via FreeSurfer and 'aseg' subcortical segmentation. FDRcorrected at *q* < 0.05. Inset, right ventral diencephalon displayed the strongest negative association with gestation (left; baseline—36 weeks, 19 scans) and did not return to baseline postpartum (right; gestation and postpartum, 26 scans). **b**, The participant's hippocampus and surrounding cortex were segmented\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression analyses (PHC) revealed subfields were negatively associated with gestation week (baseline—36 weeks, 18 scans) and did not return to baseline postpartum (gestation and postpartum, 25 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. FDR-corrected at *q* < 0.05. For **a** and **b**, nonsignificant regions were set to zero for interpretability. See Supplementary Fig. 6 for complete labeling of regions in both segmentations. Brain visualizations created with R package ggseg48*.* DC, diencephalon.\n\noutstanding questions. This study and corresponding open-access dataset offer neuroscientists a detailed map of the human brain across gestation, a resource for which a wide range of previously unattainable neurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that pregnancy is characterized by reductions in GMV, cortical thinning and enhanced white matter microstructural integrity that unfold week by week. These changes were also tied to the significant rise in steroid hormone concentrations over pregnancy. Some of these changes persist at 2 years postpartum (for example, global reductions in GMV and CT), while others, including markers of white matter integrity, appear to be transient. Ventricular expansion and contraction parallel these cortical changes. These widespread patterns, and the notable increase in CSF volume across gestation, could reflect increased water retention and subsequent compression of cortical tissue. However, the persistence of these changes at 2 years postpartum and regional variation in GMV, CT and QA, hint at cellular underpinnings, such as alterations in glia or neuron number, synaptic density and myelination (for review on the latter, see ref. 4). Future studies of the relationship between fluid dynamics and volumetric changes will help clarify the factors that drive global neural changes during pregnancy; such insights will have broad implications for maternal health (for example, neurological effects tied to pre-eclampsia or edema).\n\nCritically, dynamic neural changes occurred within the pregnancy window itself, a nuance not captured by studies limited to comparisons between prepregnancy and postpregnancy. For example, we observed large increases in white matter microstructural integrity (QA) throughout the first and second trimesters of pregnancy, but these measures fully returned to baseline values by the first postpartum scan. This pattern may explain why previous studies report no pregnancy-related differences in white matter tractography14. Other measures, such as GMV and CT, decreased throughout gestation and displayed only a modest rebound postpartum. These nonlinear patterns suggest that only quantifying prepregnancy and postpartum brain structure may", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain—indicating greater tract integrity—as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n# **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; 3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months postparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline—2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV (*F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R*2 adj = 0.91), summary CT (*F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R*2 adj = 0.75) and total brain volume (*F* = 26.12, *P* < 0.001, deviance explained = 93.4%, *R*2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%, *R*2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.77) and increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance explained = 83.8%, *R*2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline—36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle (Fig. 2a). Most large-scale brain networks exhibited decreases in GMV (Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of interest (ROI) demonstrated negative relationships between GMV and gestation week (Fig. 2a and Supplementary Table 2). Together, these results provide evidence of a global decrease in cortical volume across pregnancy. Several sensory and attention subnetworks were particularly sensitive to gestation, including the control (subnetwork B), salience/ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks (Supplementary Table 1). Regions driving these network-level changes include the bilateral inferior parietal lobe, postcentral gyri, insulae, prefrontal cortex, posterior cingulate and somatosensory cortex (Fig. 2c, Supplementary Table 2 and validation of findings using alternate pipeline in Supplementary Tables 1 and 3). These regions and associated brain networks appear to decrease in volume at a faster rate than the rest of the brain throughout pregnancy, as determined by a subsequent analysis controlling for total GMV (Supplementary Tables 1 and 2). GMV reductions were also significantly correlated with the participant's estradiol and progesterone concentrations (Supplementary Table 1). A highly similar pattern of results was observed when examining pregnancy-related CT changes (Supplementary Fig. 3 and Supplementary Tables 4 and 5). Significant reductions in cortical GMV over gestation remained after controlling for standard quality control (QC) metrics, albeit with some influence on the magnitude and location of the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork C), limbic (subnetworks A and B) and visual peripheral networks buck the global trend by slightly increasing (for example, temporal poles), remaining constant (for example, orbitofrontal cortex) or reducing at a much slower rate (for example, extrastriate cortex) than total GMV (Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these regions exhibit similar patterns (Supplementary Fig. 3 and Supplementary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcortical regions significantly reduced in volume across gestation (Fig. 3a, left). This included bilateral ventral diencephalon (right hemisphere values shown in Fig. 3a, right; encompasses hypothalamus, substantia nigra, mammillary body, lateral geniculate nucleus and red nucleus among others22), caudate, hippocampus and thalamus, along with left putamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to interrogate subcortical structures at a finer resolution, revealing nonlinear volumetric decreases in CA1 (*F*(2,15) = 5.84, *q* = 0.031, *R*2 adj = 0.36; Fig. 3b, left) and CA2/CA3 (*F*(2,15) = 6.82, *q* = 0.027, *R*2 adj = 0.41; Fig. 3b, middle) across gestation. PHC exhibited linear volumetric decreases across gestation (*F*(1,16) = 24.87, *q* < 0.001, *R*2 adj = 0.58; Fig. 3b, right) which was also tied to estradiol (*F*(1,12) = 20.21, *q* = 0.005, *R*2 adj = 0.60). All three relationships remained significant after proportional correction for total GMV. There was no significant change in other subregions or total volume of the hippocampal body, or in the parahippocampal gyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of white matter, which tests for linear trends in the data, revealed increasing microstructural integrity across the whole brain during gestation (Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone (all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust correlations with gestational week included the corpus callosum, arcuate fasciculus, inferior fronto-occipital fasciculus and inferior longitudinal fasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior longitudinal fasciculus, corticostriatal, corticospinal and corticopontine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typical variability over time, derived from eight densely-sampled controls23. The GMV changes we see across pregnancy far exceed normative brain variability (Supplementary Fig. 11). On average, change in cortical GMV was nearly three times higher than controls scanned over a similar duration (Supplementary Fig. 11a,b). This extends to MTL subfields, wherein change in volume was three to four times greater across gestation than normative brain variability (Supplementary Fig. 11c,d). We contextualized these findings further by comparing gestational GMV change against our participant's preconception brain volumes; average GMV change during pregnancy was six times (cortical) and three times (MTL) higher than the variability observed between baseline sessions.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "the offspring12. Human studies have revealed GMV reductions in areas of the brain important for social cognition and the magnitude of these changes corresponds with increased parental attachment13. Deeper examination of cellular and systems-level mechanisms will improve our understanding of how pregnancy remodels specific circuits to promote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal behavior and white matter microstructure (particularly connectivity between temporal and occipital lobes) have been noted31. Here we reveal pronounced GMV changes in regions within sensory, attention and default mode networks over the gestational window. In parallel, we observed increased anisotropy in white matter tracts that facilitate communication between emotional and visual processing hubs37–39, including the inferior longitudinal fasciculus and inferior fronto-occipital fasciculus. Pinpointing the synchrony of gray and white matter changes that unfold in the maternal brain could be key to understanding the behavioral adaptions that emerge during and after pregnancy, such as honing the brain's visual and auditory responses to infant cues and eliciting maternal behavior. Research into other major transition periods supports this idea. For instance, adolescence is a dynamic period characterized by region-specific, nonlinear decreases in GMV and increases in WMV, maturational brain changes that are tied to gains in executive function and social cognition40. For both adolescence41 and matrescence, the considerable rise in steroid hormone production appears to remodel the brain (see ref. 25 for comparative analysis), promoting a suite of behaviors adaptive to that life stage. How specific neural changes give rise to specific behavioral adaptations has yet to be fully explored with respect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes across pregnancy in a single individual, precluding our ability to generalize to the broader population. To benchmark our findings, we compared the magnitude of GMV changes observed throughout pregnancy against data from nonpregnant individuals sampled over a similar time course. Doing so provided compelling evidence that pregnancy-related neuroanatomical shifts far exceed normative day-to-day brain variability and measurement error. Evidence suggests that white matter microstructure remains fairly stable over a six-month period42, but more studies are needed to compare the degree of white matter changes observed during pregnancy to normative change over time. Further, sampling larger cohorts of women will generate much-needed normative models of brain change (akin to ref. 43) throughout pregnancy to establish what constitutes a typical degree of neuroanatomical change expected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further precision imaging studies of pregnancy in demographically enriched cohorts to determine the universality and idiosyncrasy of these adaptations and their role in maternal health. Are the changes observed in our participant reflective of the broader population? Do deviations from the norm lead to maladaptive outcomes? A precision imaging approach can help determine whether the pace of pregnancy-induced neuroanatomical changes drives divergent brain health outcomes in women, as may be the case during other rapid periods of brain development44. One in five women experiences perinatal depression45 and while the first FDA-approved treatment is now available46, early detection remains elusive. Precision imaging studies could offer clues about an individual's risk for or resilience to depression before symptom onset, helping clinicians better determine when and how to intervene. Neuroscientists and clinicians also lack tools to facilitate detection and treatment of neurological disorders that co-occur, worsen or remit with pregnancy, such as epilepsy, headaches, multiple sclerosis and intracranial hypertension47. Precision mapping of the maternal brain lays the groundwork for a greater understanding of the subtle and sweeping structural, functional, behavioral and clinical changes that unfold across pregnancy. Such pursuits will advance our basic understanding of the human brain and its remarkable ability to undergo protracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41593-024-01741-0.\n\n# **References**\n\n- 1. World Health Organization. Maternal, newborn, child and adolescent health and ageing. platform.who.int/data/ maternal-newborn-child-adolescent-ageing (2022).\n- 2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill's Physiology of Reproduction* pp. 1927–1955 (Elsevier, 2015).\n- 3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for motherhood. *Nat. Rev. Neurosci.* **9**, 11–25 (2008).\n- 4. Gregg, C. Pregnancy, prolactin and white matter regeneration. *J. Neurol. Sci.* **285**, 22–27 (2009).\n- 5. Haim, A. et al. A survey of neuroimmune changes in pregnant and postpartum female rats. *Brain Behav. Immun.* **59**, 67–78 (2017).\n- 6. Barrière, D. A. et al. Brain orchestration of pregnancy and maternal behavior in mice: a longitudinal morphometric study. *NeuroImage* **230**, 117776 (2021).\n- 7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The genomic architecture of pregnancy-associated plasticity in the maternal mouse hippocampus. *eNeuro* **9**, ENEURO.0117-22. 2022 (2022).\n- 8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex diferences: short- and long-term efects of pregnancy on the brain. *Trends Neurosci.* **46**, 459–471 (2023).\n- 9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural stem cells for transient neurogenesis in mothers. *Science* **382**, 958–963 (2023).\n- 10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity induced by environment and pregnancy. *Int. J. Neurosci.* **2**, 171–178 (1971).\n- 11. Servin-Barthet, C. et al. The transition to motherhood: linking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24**, 605–619 (2023).\n- 12. Ammari, R. et al. Hormone-mediated neural remodeling orchestrates parenting onset during pregnancy. *Science* **382**, 76–81 (2023).\n- 13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in human brain structure. *Nat. Neurosci.* **20**, 287–296 (2017).\n- 14. Hoekzema, E. et al. Mapping the efects of pregnancy on resting state brain activity, white matter microstructure, neural metabolite concentrations and grey matter architecture. *Nat. Commun.* **13**, 6931 (2022).\n- 15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. & Carmona, S. Characterizing the brain structural adaptations across the motherhood transition. *Front. Glob. Womens Health* **2**, 742775 (2021).\n- 16. Spalek, K. et al. Pregnancy renders anatomical changes in hypothalamic substructures of the human brain that relate to aspects of maternal behavior. *Psychoneuroendocrinology* **164**, 107021 (2024).\n- 17. Martínez-García, M. et al. Do pregnancy-induced brain changes reverse? The brain of a mother six years after parturition. *Brain Sci.* **11**, 168 (2021b).\n- 18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals traces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA* **116**, 22341–22346 (2019).", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "**Fig. 1 | Precision imaging reveals neuroanatomical changes throughout gestation. a**, Standard medical demarcations for pregnancy stages (that is, trimesters) by gestation week (the image is created with BioRender.com). **b**, Steroid hormones increased significantly throughout pregnancy and dropped precipitously postpartum, as is characteristic of the prenatal and postnatal periods. **c**, A healthy 38-year-old primiparous woman underwent 26 scanning sessions from 3 weeks preconception through 2 years postpartum. Scans were distributed throughout preconception (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans); tick marks indicate when major measures were collected and\n\n# **Discussion**\n\nConverging evidence across mammalian species points to pregnancy as a remarkable period of neuroplasticity, revealing the brain's ability to undergo adaptive, hormonally-driven neuroanatomical changes beyond adolescence13–15,20,21,24–26. Investigations that compare women week. **d**, Summary (that is, total) of brain measures throughout the experiment. Generalized additive models revealed GMV, CT and total brain volume decreased throughout pregnancy (see Methods for validation with cubic regression), with a slight recovery postpartum. Global QA, lateral ventricle and CSF volumes displayed nonlinear increases across gestation, with a notable rise in the second and third trimesters before dropping sharply postpartum. Shaded regions represent 95% confidence bands; solid lines indicate model fit; dashed line indicates parturition.\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve pregnancy, allowing for precise mapping of ovulation, conception and gestation\n\nprepregnancy and then again postpartum provide the strongest evidence to date that the human brain undergoes such neural changes11,27. But what about pregnancy itself? Over what time course do anatomical changes in the maternal brain manifest? Are they tied to the substantial increase in sex hormone production? Here we begin to address these", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **Methods**\n\n#### **Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. Previous studies reported no observable differences in neural changes from prepregnancy to postpregnancy between women who conceived naturally versus women who conceived via IVF13, and doing so provides a controlled way of monitoring pregnancy status. The participant experienced no pregnancy complications (for example, gestational diabetes and hypertension), delivered at full term via vaginal birth, nursed through 16 months postpartum, and had no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking. The participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\n#### **Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks before conception through 2 years postpartum (162 weeks), during which high-resolution anatomical and diffusion spectrum imaging scans of the brain were acquired. Scans were distributed throughout this period, including prepregnancy (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans; Fig. 1c). The first 6 sessions took place at the UCSB Brain Imaging Center (BIC), the final 20 sessions took place at the UCI Facility for Imaging and Brain Research (FIBRE). The majority of scans took place between 9 AM and 2 PM, limiting significant AM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) and software (version MR E11) were identical across sites. Each scanner was checked weekly for the duration of the study and passed all QC reports indicating no significant alterations in the geometry. To ensure the robustness of the findings, after the final study session, the participant completed back-to-back validation scans at UCI and UCSB within a 12-h window to assess reliability between scanners. Intraclass correlation coefficients (two-way, random effects, absolute agreement, single rater) reveal 'excellent' test–retest reliability between scanners, including ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level CT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, 95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). Furthermore, when examining the relationship between gestation week and GMV among UCI-only gestational sessions, findings were consistent (Supplementary Fig. 12), indicating that site differences are highly unlikely to have contributed meaningfully to the observed effects. Although not applicable here, we note that having a control participant scanned over a similar duration within the same scanner is critical for estimating how much variation in the brain can be attributed to within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the following scales were administered on each experiment day: Perceived Stress Scale50, Pittsburgh Sleep Quality Index51, State-Trait Anxiety Inventory for Adults52 and Profile of Mood States53. Correlation analyses between state-dependent measures, summary brain metrics and gestation week revealed little to no relationships. The only exception to this was a moderate negative association between global QA and state anxiety (Spearman's correlation (*ρ*) = −0.65, *q* = 0.04; baseline—36 weeks, *n* = 16). By making this data openly accessible, we encourage a more nuanced approach toward exploring mood and lifestyle measures in relation to brain changes over pregnancy.\n\n#### **Endocrine procedures**\n\nThe participant underwent a blood draw (*n* = 19; Fig. 1c) before MRI scanning. Sex steroid concentrations were determined via ultra-sensitive liquid chromatography–mass spectrometry at the Brigham and Women's Hospital Research Assay Core (BRAC). Assay sensitivities, dynamic range and intra-assay coefficients of variation were as follows: estradiol—1.0 pg ml−1, 1–500 pg ml−1, <5% relative s.d. (RSD); progesterone—0.05 ng ml−1, 0.05–10 ng ml−1, 9.33% RSD. Serological samples were not acquired in five sessions due to scheduling conflicts with UC Irvine's Center for Clinical Research.\n\n**MRI acquisition.** MRI scanning sessions at the University of California, Santa Barbara and Irvine were conducted on 3T Prisma scanners equipped with 64-channel phased-array head/neck coil (of which 50 coils are used for axial brain imaging). High-resolution anatomical scans were acquired using a T1-weighted (T1w) magnetization prepared rapid gradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, time to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, 0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, TE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) turbo spin echo scan was also acquired with an oblique coronal orientation positioned orthogonally to the main axis of the hippocampus (TR/ TE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, 2-mm slice thickness, 38 interleaved slices with no gap, total acquisition time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) protocol sampled the entire brain with the following parameters: single phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, *b*-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm voxel resolution. These images were linearly registered to the whole-brain T1w MPRAGE image. A custom foam headcase was used to provide extra padding around the head and neck, as well as to minimize head motion. Additionally, a custom-built sound-absorbing foam girdle was placed around the participant's waist to attenuate sound near the fetus during second-trimester and third-trimester scanning.\n\n**Image processing.** *Cortical volume and thickness*. CT and GMV were measured with Advanced Normalization Tools54 version 2.1.0 (ANTs). We first built a subject-specific template (SST) (antsMultivariateTemplateConstruction2) and tissue priors (antsCookTemplatePriors) based on our participant's two preconception whole-brain T1-weighted scans to examine neuroanatomical changes relative to the participant's prepregnancy baseline. We used labels from the OASIS population template, provided by ANTs, as priors for this step. For each session, the structural image was processed and registered to the SST using the ANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias field correction for field inhomogeneity, then brain extraction using a hybrid registration/segmentation method55. Tissue segmentation was performed using Atropos54 to create tissue masks of CSF, gray matter, white matter and deep gray matter. Atropos allows prior knowledge to guide the segmentation algorithm, and we used labels from our SST as priors to minimize warping and remain in native participant space. CT measurements were then estimated using the DiReCT algorithm56, which estimates the gray–white matter interface and the gray matter–CSF interface and computes a diffeomorphic mapping between the two interactions, from which thickness is derived. Each gray matter tissue mask was normalized to the template and multiplied to a Jacobian image that was computed via affine and nonlinear transforms. Using MATLAB (version 2022a), summary, regional-level estimates of CT, GMV and CSF for each scan were obtained by taking the first eigenvariate (akin to a 'weighted mean'57) across all voxels within each parcel of the Schaefer 400-region atlas58. We then averaged ROIs across networks, which were defined by the 17-network Schaefer scheme58,59. Global measures of CT, GMV and CSF were computed for each session by summing across all voxels within the respective output image; total brain volume was computed by summing across all voxels within each session's brain extraction mask. Our findings held when using an SST derived from all 26 MRIs (prepregnancy through postpartum), as well as when estimating the mean (versus weighted mean) of all voxels within each parcel. The ANTs CT pipeline is highly validated with good test–retest reproducibility and improved ability to predict variables such as age and gender from region-wise CT measurements", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "L inf. longitudinal fasc.\n\nPre 1st 2nd 3rd Post\n\nL arcuate fasciculus\n\nIndividual tracts\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n2\n\n1\n\n0\n\n–1\n\n–2\n\n**Fig. 4 | White matter microstructure changes throughout the experiment. a**, Numerous white matter tracts demonstrate increasing QA in relation to advancing gestation week (baseline—36 weeks, 16 scans), as determined by correlational tractography analysis (FDR, *q* < 0.0001). See Supplementary Table 9 for complete list of tracts with a significant correlation between QA and gestation week. **b**, Summary of QA values by pregnancy stage (gestation and postpartum, 23 scans) for representative ROIs significantly tied to gestation. ROI-based tractometry was used to extract QA values. Each boxplot represents\n\noverlook the full range of changes that unfold within the gestational window, and underrepresent the brain's metamorphosis during pregnancy. Furthermore, although observed changes were largely global, some regions displayed notable stability (for example, extrastriate cortex). The subcortical region that displayed the strongest relationship with gestation week was the ventral diencephalon, which encompasses the hypothalamus and subsequent medial preoptic area and paraventricular nucleus—structures critical for inducing maternal behavior12,16. The hippocampus exhibited a reduction in volume across gestation, and with higher spatial resolution, this reduction was revealed to be driven by changes in CA1 and CA2/CA3 subfield volumes, while other hippocampal subfields remained stable. Adjacent PHC within the MTL also exhibited volume reduction across gestation. While our hippocampal findings are consistent with pre/post studies of pregnancy13, the precision lens applied within gestation revealed the nonlinear nature of this reduction. Recapitulating and clarifying these regionally specific patterns of volume change throughout the MTL merits further investigation.\n\nSimilar precision imaging studies have captured dynamic brain reorganization across other neuroendocrine transitions, such as the menstrual cycle (see review in ref. 28), underscoring the powerful role steroid hormones have in shaping the mammalian brain29. Endocrine changes across pregnancy dwarf those that occur across the menstrual cycle, which highlights the critical need to map the brain's response to this unique hormonal state. Broad physiological changes occur in tandem with the rise in steroid hormones, including changes in body mass composition, water retention, immune function and\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nsleep patterns11. These factors could have a role in the brain changes observed here, with some driving neurobiological changes and others, like water retention, potentially affecting MRI-based measurements. Note that, although cortical reductions in GMV over gestation were stable across analyses, accounting for QC measures influenced the magnitude and location of these results. These metrics all fell within the standard range, but there may be meaningful reductions in signal that accompany volumetric reductions (for example, increased CSF and decreased GM)—a methodological nuance that goes beyond the scope of this resource study. Ultimately, identifying the shared and unique contributions of these factors to the neuroanatomical changes that unfold across gestation warrants further investigation. Deeply phenotyping a large and diverse cohort of women across pregnancy will open up new avenues of exploration, for example, allowing researchers to link blood-based proteomic signatures to pregnancy outcomes; deploying wearable devices to monitor changes in sleep, cognition and mood; and probing the broader social and environmental determinants of maternal health27.\n\nThe neuroanatomical changes that unfold during matrescence may have broad implications for understanding individual differences in parental behavior13,24,30,31, vulnerability to mental health disorders32,33 and patterns of brain aging18,19,34–36. Decreases in GMV may reflect 'fine-tuning' of the brain by neuromodulatory hormones in preparation for parenthood26. For example, in rodents, steroid hormones promote parental behavior by remodeling specific neural circuits in the medial preoptic area of the hypothalamus. These behavioral adaptations are critical to the dam's ability to meet the demands of caring for", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "participant's first two baseline scans (that is, preconception) to derive within-participant variability estimates.\n\nBenchmarking our data in this way allows us to capture the degree of change expected due to factors such as image processing and instrumentation variability or other day-to-day changes that could potentially modulate brain size and shape (see ref. 80 for review). The percent change observed over pregnancy (baseline versus 36 weeks gestation) far exceeds the expected variability estimated using both the Day2Day dataset (Supplementary Fig. 11) and our within-participant control data. This was quantified by dividing the observed percent change in GMV metrics (baseline versus 36 weeks) by the global measure of GMV percent variability of each control group (that is, Day2Day, within-participant control), independently for cortex and subcortex.\n\n### **Reporting summary**\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n# **Data availability**\n\nThe dataset consists of 26 MRI scans (T1w, T2w and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The raw data is publicly available at https://openneuro.org/datasets/ds005299. Source data are provided with this paper.\n\n# **Code availability**\n\nNo custom code was used.\n\n# **References**\n\n- 49. Karch, J. D. et al. Identifying predictors of within-person variance in MRI-based brain volume estimates. *NeuroImage* **200**, 575–589 (2019).\n- 50. 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QSIPrep: an integrative platform for preprocessing and reconstructing difusion MRI data. *Nat. Methods* **18**, 775–778 (2021).\n- 74. Yeh, F. C., Badre, D. & Verstynen, T. Connectometry: a statistical approach harnessing the analytical potential of the local connectome. *Neuroimage* **125**, 162–171 (2016).\n- 75. Yeh, F. C. & Tseng, W. Y. I. NTU-90: a high angular resolution brain atlas constructed by q-space difeomorphic reconstruction. *Neuroimage* **58**, 91–99 (2011).\n- 76. Wood, S. N. *Generalized Additive Models: An Introduction With R, Second Edition* (Chapman and Hall/CRC, 2017).\n- 77. Sullivan, K. J., Shadish, W. R. & Steiner, P. M. An introduction to modeling longitudinal data with generalized additive models: applications to single-case designs. *Psychol. Methods* **20**, 26–42 (2015).\n- 78. Yeh, F. C., Verstynen, T. D., Wang, Y., Fernández-Miranda, J. C. & Tseng, W. Y. I. Deterministic difusion fiber tracking improved by quantitative anisotropy. *PLoS ONE* **8**, e80713 (2013).\n- 79. Jovicich, J. et al. Brain morphometry reproducibility in multi-center 3T MRI studies: a comparison of cross-sectional and longitudinal segmentations. *Neuroimage* **83**, 472–484 (2013).\n- 80. Hedges, E. P. et al. Reliability of structural MRI measurements: the efects of scan session, head tilt, inter-scan interval, acquisition sequence, FreeSurfer version and processing stream. *Neuroimage* **246**, 118751 (2022).\n\n# **Acknowledgements**\n\nThe authors would like to thank M. Mendoza for his phlebotomy and MRI assistance at the UCSB Brain Imaging Center; C. Stark and R. Tain for MRI assistance at the UCI Facility for Imaging and Brain", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed4.pdf" - }, - { - "text": "# **nature neuroscience**\n\n# **Neuroanatomical changes observed over the course of a human pregnancy**\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\nCheck for updates\n\n**Laura Pritschet  1 , Caitlin M. Taylor  1 , Daniela Cossio  2 , Joshua Faskowitz  3 , Tyler Santander1 , Daniel A. Handwerker  3 , Hannah Grotzinger1 , Evan Layher1 , Elizabeth R. Chrastil  2,5 & Emily G. Jacobs  1,4,5**\n\nPregnancy is a period of profound hormonal and physiological changes experienced by millions of women annually, yet the neural changes unfolding in the maternal brain throughout gestation are not well studied in humans. Leveraging precision imaging, we mapped neuroanatomical changes in an individual from preconception through 2 years postpartum. Pronounced decreases in gray matter volume and cortical thickness were evident across the brain, standing in contrast to increases in white matter microstructural integrity, ventricle volume and cerebrospinal fuid, with few regions untouched by the transition to motherhood. This dataset serves as a comprehensive map of the human brain across gestation, providing an open-access resource for the brain imaging community to further explore and understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies in their lifetime1 , with 140 million women becoming pregnant each year. Over an approximately 40-week gestational window, the maternal body undergoes profound physiological adaptations to support the development of the fetus, including increases in plasma volume, metabolic rate, oxygen consumption and immune regulation2 . These rapid adaptations are initiated by 100-fold to 1,000-fold increases in hormone production, including estrogen and progesterone. These neuromodulatory hormones also drive significant reorganization of the central nervous system. Evidence from animal models and human studies converge on pregnancy as a period of remarkable neuroplasticity3–10 (see ref. 10 for one of the earliest known observations). Gestational increases in steroid hormone synthesis drive neurogenesis, dendritic spine growth, microglial proliferation, myelination and astrocyte remodeling (for review, see ref. 11). These cellular changes are pronounced in brain circuits that promote maternal behavior. For example, Ammari et al. recently discovered that steroid hormones can fine-tune the response properties of galanin neurons in the rodent medial preoptic area of the hypothalamus (mPOA), leading to enhanced sensitivity in dams to sensory cues from newborn pups12.\n\nIn humans, reductions in gray matter volume (GMV) have been observed postpartum13–16, particularly in regions central to theory-of-mind processing13. These GMV changes persist at 6 years postpartum17 and are traceable decades later18,19, underscoring the permanence of this major remodeling event. And yet the changes that occur within the maternal brain during gestation itself are virtually unknown (see ref. 20 for early neuroimaging insight). A recent study by Paternina-Die et al. offers intriguing clues21. Women were scanned once in the third trimester and again in the postpartum period, revealing a reduction of cortical volume observable in the late pregnancy scan. These findings suggest that pregnancy is a highly dynamic period for neural remodeling, yet neuroscientists lack a detailed map of how the human brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in which a healthy 38-year-old primiparous woman underwent 26 magnetic resonance imaging (MRI) scans and venipuncture beginning 3 weeks preconception through 2 years postpartum. We observed widespread reductions in cortical GMV and cortical thickness (CT) occurring in step with advancing gestational week and the dramatic rise in sex hormone production. Remodeling was also evident within\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University of California, Irvine, CA, USA. 3 Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National Institutes of Health, Bethesda, MD, USA. 4 Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5 These authors contributed equally: Elizabeth R. Chrastil, Emily G. Jacobs.  e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "compared to surface-based FreeSurfer55. However, to reproduce our findings across software packages, we also ran the T1w data through the longitudinal FreeSurfer (v.7) CT pipeline60,61, which corroborated our findings using both the Schaefer-400 (Supplementary Fig. 2 and Supplementary Tables 1 and 4) and popular Desikan–Killiany62 (Supplementary Table 3) cortical parcellations. Whole-brain T1w-based subcortical volume estimates (including cerebellum and lateral ventricles) were also derived using this FreeSurfer pipeline, wherein we derived 28 region-of-interest estimates via the commonly used 'aseg' parcellation scheme63 (Supplementary Fig. 6a). A complete reporting of findings can be found in Supplementary Data 1.\n\nMean framewise displacement (FWD) estimates from gestation sessions with a 10-min resting-state scan (*n* = 18) were used to indirectly assess whether motion increased throughout pregnancy. Average FWD (mm) was extremely minimal across the entire experiment (*M* = 0.13, s.d. = 0.02, range = 0.09–0.17) and varied only slightly by pregnancy stage (pre, *M* = 0.11 and s.d. = 0.004; first, *M* = 0.11 and s.d. = 0.01; second, *M* = 0.13 and s.d. = 0.02; third, *M* = 0.16 and s.d. = 0.007; post, *M* = 0.13 and s.d. = 0.01). While mean FWD did correspond with gestation week (*r* = 0.88, *P* < 0.001), controlling for this did not alter our main findings (for example, total GMV remained negatively associated with gestation after partial correlation with FWD (*r* = −0.87 and *P* < 0.001) because motion differences between stages were minuscule (Supplementary Fig. 4a).\n\nAs a further test of the robustness of the dataset, we ran QC assessments on all T1w images using the IQMs pipeline64 from MRIQC (version 23.1). Assessments of interest included (1) coefficient of joint variation (CJV), (2) signal-to-noise ratio for gray matter (SNR) and (3) contrast-to-noise ratios (CNR). All QC metrics fell within expected standard ranges65 (Supplementary Fig. 4b–d). Although relationships existed between gestation week and QC measures (CJV, *r* = 0.70 and *P* < 0.001; SNR and CNR, *r* = −0.83 and *P* < 0.001), including these variables in the regression models did not detract from our finding suggesting cortical GMV reductions occur over gestation, especially within regions belonging to attention and somatosensory networks (Supplementary Fig. 5). When looking across all MRIQC outputs, discrepancies were noted in session seven (gestation week nine, first trimester). Removing this day from the analyses only strengthened observed relationships between cortical volume and gestation; however, for completeness, data from this day is included in the main findings. These QC outputs for each session of the experiment can be found in Supplementary Data 1. Finally, we used FreeSurfer's Eueler number to evaluate a field-standard quantitative assessment of each T1w structural image66. We observed no significant relationships between the Euler number and gestation week or summary brain metrics. A discrepancy (for example, two s.d. below average) was noted in session eight; however, again, removing this session did not detract from our main findings showing reductions in GMV over gestation.\n\n*Hippocampal segmentation*. T1- and T2-weighted images (*n* = 25) were submitted to the automatic segmentation of hippocampal subfields package (ASHS67, version July 2018) for parcellation of seven MTL subregions: CA1, CA2/CA3, dentate gyrus, subiculum, perirhinal cortex, entorhinal cortex and PHC (Supplementary Fig. 6b). The ASHS segmentation pipeline automatically segmented the hippocampus in the T2w MRI scans using a segmented population atlas, the Princeton Young Adult 3T ASHS Atlas template68 (*n* = 24, mean age = 22.5 years). A rigid-body transformation aligned each T2w image to the respective T1w scan for each day. Using ANTs deformable registration, the T1w was registered to the population atlas. The resulting deformation fields were used to resample the data into the space of the left and right template MTL ROI. Within each template ROI, each of the T2w scans of the atlas package was registered to that day's T2w scan. The manual atlas segmentations were then mapped into the space of the T2w scan, with segmentation of the T2w scan computed using joint label fusion69. Finally, the corrective learning classifiers contained in ASHS were applied to the consensus segmentation produced by joint label fusion. The output of this step is a corrected segmentation of the T2w scan. Further description of the ASHS protocol can be found here67. T2w scans and segmentations were first visually examined using ITK-SNAP70 for quality assurance and then subjected to manual editing in native space using ITK-SNAP (v.3.8.0-b; C.M.T.). One session (scan 15, third trimester) was discarded due to erroneous scan orientation. The anterior extent of the segmented labels was anchored 4 mm (two slices) anterior to the appearance of the limen insulae, and the posterior extent was anchored to the disappearance of hippocampal gray matter from the trigone of the lateral ventricle. Boundaries between perirhinal, entorhinal and parahippocampal cortices were established in keeping with the Olsen–Amaral–Palombo (OAP) segmentation protocol71. In instances where automatic segmentation did not clearly correspond to the underlying neuroanatomy, such as when a certain label was missing several gray matter voxels, manual retouching allowed for individual voxels to be added or removed. All results are reported using the manually retouched subregion volumes to ensure the most faithful representation of the underlying neuroanatomy. Scans were randomized and segmentation was performed in a random order, blind to pregnancy stage. To assess intrarater reliability for the present analyses, two days underwent manual editing a second time. The generalized Dice similarity coefficient72 across subregions was 0.87 and the intraclass correlation coefficient was 0.97, suggesting robust reliability in segmentation.\n\n*White matter microstructure*. Diffusion scans were preprocessed using the automation software QSIprep (version 0.16.1) compiled using a singularity container73 and run primarily with the default parameters, with the exceptions '–output resolution 1.8', '–dwi denoise window 5′, –force-spatial-normalization', '–hmc model 3dSHORE', '–hmctransform Rigid' and '–shoreline iters 2'. Twenty-three sessions were preprocessed and analyzed, with the remaining three scans excluded due to missing DSI scans (sessions 9 and 15) or corresponding field map for distortion correction (session 7). Despite passing QC assessments during preprocessing, visual inspection of the field maps in session 10 revealed a slight artifact. However, removal of this session had minimal impact on the overall results and remained in the final analyses. T1w images were corrected for intensity nonuniformity (N4BiasFieldCorrection) and skull-stripped (antsBrainExtraction). The images underwent spatial normalization and registration to the ICBM 152 Nonlinear Asymmetric template. Finally, brain tissue segmentation of CSF, GM and WM was performed on each brain-extracted T1w using FMRIB's Automated Segmentation Tool (FAST). Preprocessing of diffusion images began by implementing MP-PCA denoising with a 5-voxel window using MRtrix3's dwidenoise function. B1 field inhomogeneity was corrected using dwibiascorrect from MRtrix3 with the N4 algorithm. Motion was corrected using the SHORELine method. Susceptibility distortion correction was based on GRE field maps. Preprocessed Nifti scans were prepared for tractography using DSI Studio via singularity container version Chen-2022-07-31 (ref. 74). Diffusion images were converted to source code files using the DSI Studio command line '--action=src' and a custom script to convert all images. The diffusion data were reconstructed in MNI space using q-space diffeomorphic reconstruction75 with a diffusion sampling of 1.25 and output resolution of 1.8 mm isotropic. The following output metrics were specified to be included in the output FIB file: QA and mean diffusivity (MD). The quality and integrity of reconstructed images were assessed using 'QC1: SRC Files Quality Control'. First, the consistency of image dimension, resolution, DWI count and shell count was checked for each image. Second, each image was assessed for the 'neighboring DWI correlation' which calculates the correlation coefficient of low *b* DWI volumes that have similar gradient direction. Lower correlation values may indicate issues with the diffusion signal due to artifacts or head motion. Finally, DSI Studio", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "How to light up my sports smart watch?", - "target_page": 2, - "target_passage": "Up button: Short press to light up or turn off the screen", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### **Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n#### **Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n#### **Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n#### **1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "Click \"camera\" in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n#### **5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n#### **6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n#### **7. Do not disturb mode**\n\nIn the APP, tap \"Device\" > \"More\" > \"Do not disturb mode\", set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n### **8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n#### **9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n#### **10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n#### **11. Dial push**\n\n#### 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with \"custom watch faces\" are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n#### **12. Firmware version**", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n#### **2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## **2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## **2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n# **2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## **2.6 Meteorology**\n\nClick on \"Meteorology\" on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## **2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## **3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n## **3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n#### **1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n#### **1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n#### **1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\n#### basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the \"Start\" button on the screen to start the exercise; click the \"Start\" button again to pause the recording of the exercise; click the \"End\" button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n#### **1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n#### **1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n#### **2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n#### **2.1 Remote control music**", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n#### **1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n#### **1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n#### **1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n#### **1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch User Manual DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n#### **A. Watch function description**\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "#### **B**.**Bind to the APP**\n\n#### **1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n#### 2.Bind Bluetooth\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n#### 2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## **3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click \"Find Watch\" in the APP, the smartwatch will light up and vibrate for once.\n\n#### **4. Camera**", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on \"Firmware upgrade\" in the column of \"Device\", and users can decide to whether upgrade the firmware version.\n\n#### **13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the smart watch, and click \"Forget this device\". The \"About\" of the watch has an \"Unbind\" button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n#### **●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.**", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "After the confirmation, click **Turn LED Off** (see Figure 5-32).\n\n| Front View | |\n| --- | --- |\n| | Turn Identify Off |\n| Fix | |\n| Drive | Dependent Volumes |\n| Rear View | Properties |\n\n*Figure 5-32 Turning the Identify LED off*\n\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the following commands in this sequence:\n\n- 1. Enter **svctask chenclosure -identify yes 1** (or enter **chenclosure -identify yes 1**).\n- 2. Enter **svctask chenclosure -identify no 1** (or enter **chenclosure -identify no 1**).\n\nTo view internal components (components that cannot be seen from the outside), review the bottom of the GUI underneath where the list of external components is displayed. You can select any of these components and details show in the right pane, as with the external components.\n\n| Node Canister | Adapter | Fibre Channel Port |\n| --- | --- | --- |\n| iSCSI Port | Technician Port | SAS Port |\n| USB Port | Power Supply Unit | |\n| Internal Components | | |\n| SAS Port | Battery Module | Fan Module |\n\n*Figure 5-33 Viewing internal components*", - "page_start": 171, - "page_end": 171, - "source_file": "sg247938.pdf" - }, - { - "text": "**If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.**", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "Is my sports smartwatch's fitness data turned on or off by default?", - "target_page": 4, - "target_passage": "Fitness data is turned on by default.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n#### **1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n#### **1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n#### **1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\n#### basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the \"Start\" button on the screen to start the exercise; click the \"Start\" button again to pause the recording of the exercise; click the \"End\" button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n#### **1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n#### **1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n#### **2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n#### **2.1 Remote control music**", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on \"Firmware upgrade\" in the column of \"Device\", and users can decide to whether upgrade the firmware version.\n\n#### **13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the smart watch, and click \"Forget this device\". The \"About\" of the watch has an \"Unbind\" button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n#### **●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.**", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n#### **2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## **2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## **2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n# **2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## **2.6 Meteorology**\n\nClick on \"Meteorology\" on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## **2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## **3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n## **3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Click \"camera\" in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n#### **5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n#### **6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n#### **7. Do not disturb mode**\n\nIn the APP, tap \"Device\" > \"More\" > \"Do not disturb mode\", set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n### **8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n#### **9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n#### **10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n#### **11. Dial push**\n\n#### 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with \"custom watch faces\" are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n#### **12. Firmware version**", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "#### **Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n#### **Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n#### **Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n#### **1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch User Manual DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n#### **A. Watch function description**\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n#### **1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n#### **1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n#### **1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n#### **1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "#### **B**.**Bind to the APP**\n\n#### **1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n#### 2.Bind Bluetooth\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n#### 2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## **3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click \"Find Watch\" in the APP, the smartwatch will light up and vibrate for once.\n\n#### **4. Camera**", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "**If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.**", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "#### *Turning off data retention protection*\n\nWhen you turn off data retention protection, the following descriptions explain what happens when you use the creation-based object expiration policy and the event-based retention object expiration policy:\n\n- - Creation-based object expiration policy: Content Manager OnDemand issues a **delete object** command through the Tivoli Storage Manager API. Objects are deleted during the next inventory expiration. If a Content Manager OnDemand application group is deleted, a **delete filespace** command is issued instead, and the objects are immediately deleted with the file space.\n- - Event-based retention object expiration policy: Content Manager OnDemand issues an **event trigger** command through the Tivoli Storage Manager API. The status of the objects that are affected changes from PENDING to STARTED, and the objects are expired by Tivoli Storage Manager based on their retention parameters. If the retention parameters are set to NOLIMIT, the objects never expire. If a Content Manager OnDemand application group is deleted, a **delete filespace** command is issued instead, and the objects are immediately deleted with the file space.\n\n#### *Turning on data retention protection*\n\nWhen you turn on data retention protection, the following descriptions explain what happens when you use creation-based object expiration policy and event-based retention object expiration policy:\n\n- - Creation-based object expiration policy: Content Manager OnDemand issues no commands to Tivoli Storage Manager. The objects are effectively orphaned by Content Manager OnDemand and are expired by Tivoli Storage Manager based on their retention parameters. If the retention parameters are set to NOLIMIT, the objects never expire.\n- - Event-based retention object expiration policy: Content Manager OnDemand issues an **event trigger** command through the Tivoli Storage Manager API. The event status of the objects that are affected is changed from PENDING to STARTED, and the affected objects are expired by Tivoli Storage Manager based on their retention parameters. If the retention parameters are set to NOLIMIT, the objects never expire.\n\nIf a Content Manager OnDemand application group is deleted, a **delete filespace** command cannot be used with data retention protection; the operation is treated the same as though a delete is indicated. The status of all of the affected objects is changed from PENDING to STARTED, and the affected objects are expired by Tivoli Storage Manager based on their retention parameters. This action leaves the file space entries in Tivoli Storage Manager, so you must manually delete these entries when the file space is empty (even with data retention protection on).\n\n#### *Recommendations*\n\nConsider the following preferred practices when you work with data retention protection:\n\n- -Set up the application groups to expire by load.\n- - Define the Tivoli Storage Manager archive copy groups to be event-based, and retain data for 0 days.\n- - Run the Tivoli Storage Manager inventory expiration regularly to ensure that expired data is removed.", - "page_start": 258, - "page_end": 258, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "When does my Sport smartwatch start and stop monitoring sleep?", - "target_page": 5, - "target_passage": "Sleep monitoring time period: from 18:00 at night to 10:00 the next day", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n#### **2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## **2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## **2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n# **2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## **2.6 Meteorology**\n\nClick on \"Meteorology\" on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## **2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## **3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n## **3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Click \"camera\" in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n#### **5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n#### **6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n#### **7. Do not disturb mode**\n\nIn the APP, tap \"Device\" > \"More\" > \"Do not disturb mode\", set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n### **8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n#### **9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n#### **10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n#### **11. Dial push**\n\n#### 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with \"custom watch faces\" are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n#### **12. Firmware version**", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n#### **1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n#### **1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n#### **1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\n#### basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the \"Start\" button on the screen to start the exercise; click the \"Start\" button again to pause the recording of the exercise; click the \"End\" button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n#### **1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n#### **1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n#### **2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n#### **2.1 Remote control music**", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "#### **Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n#### **Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n#### **Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n#### **1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on \"Firmware upgrade\" in the column of \"Device\", and users can decide to whether upgrade the firmware version.\n\n#### **13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the smart watch, and click \"Forget this device\". The \"About\" of the watch has an \"Unbind\" button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n#### **●Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.**", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n#### **1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n#### **1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n#### **1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n#### **1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch User Manual DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n#### **A. Watch function description**\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "#### **B**.**Bind to the APP**\n\n#### **1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n#### 2.Bind Bluetooth\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n#### 2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## **3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click \"Find Watch\" in the APP, the smartwatch will light up and vibrate for once.\n\n#### **4. Camera**", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "**If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.**", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "**Important:** Browse to **Recommended Actions** to run the fix procedures on these notifications.\n\n- Select **Info** if you want the user to receive messages about expected events. No action is required for these events.\n\n| IBM | IBM Storwize V7000 | ITSO-V7k Notifications | | | | | | | . 目 | 1 | superuser (Security Administrator) > |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | Dashboard | | SNMP | SNMP | | | | | | | |\n| 8 | Monitoring | | Syslog | MIB: | Download MIB | | | | | | |\n| | Pools | | | = Actions · | [← | | Filter | | ર | | |\n| D | Volumes | | | Server IP | | 3 Error | A Warning | 1 Info | lli | | |\n| | | | | | | No items found. | | | | | |\n| TT | Hosts | | | | | | | | | | |\n| 1 | Copy Services | | | | | | | | | | |\n| | | | | Showing 0 servers Selecting 0 servers | | | | | | | |\n| | Access | | | | | | | | | | |\n| | Settings | | | | | | | | | | |\n\n*Figure 13-62 SNMP configuration*\n\nTo add an SNMP server, click **Actions** → **Add** and complete the Add SNMP Server window, as shown in Figure 13-63 on page 724. To remove an SNMP server, click the line with the server you want to remove, and select **Actions** → **Remove**.", - "page_start": 744, - "page_end": 744, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "Have the operating profits in Japan for Nissan gone up or down in 2004?", - "target_page": 5, - "target_passage": "operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, SALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS FOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. THE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. AT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO REACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\n#### **Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 percent from last year. A higher volume and mix had a positive impact of ¥707.0 billion. Movements in foreign exchange rates produced a negative impact of ¥173.0 billion. Changes in the scope of consolidation, including Dongfeng Motor and Yulon Nissan Motor, raised revenues by ¥432.0 billion.\n\n#### **Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from last year to a record ¥861.2 billion. This resulted in an operating profit margin of 10.0 percent. Operating profit was affected by the following factors:\n\n- The effect of foreign exchange rates produced a ¥78 billion negative impact for the full year. The depreciation of the U.S. dollar against the yen resulted in a negative impact of ¥74 billion, with an additional ¥13 billion from other currencies. The appreciation of the euro resulted in a positive impact of ¥9 billion.\n- The change in the scope of consolidation produced a positive impact of ¥31 billion. This was primarily from the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n- The impact of the higher volume and mix contributed ¥284 billion. This was mainly driven by an increase in U.S. sales volume.\n- Selling expenses increased by ¥114 billion, also mainly due to the increase of sales in the U.S.\n- The improvement in purchasing costs amounted to ¥131 billion.\n- Product enrichment and the cost of regulations had a negative impact of ¥92 billion.\n- An additional ¥44 billion was allocated to R&D to reinforce product and technology development.\n- Cost reductions from manufacturing efficiencies were offset by costs associated with expanding the Canton plant's capacity, which resulted in a ¥15 billion increase in manufacturing and logistics expenses.\n- Warranty costs increased by ¥41 billion, partly due to greater volume.\n- General, administrative and other expenses increased by ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year. This was mainly due to unfavorable exchange rate fluctuations and an increase in R&D expenses, which reached a record level.\n\nDue to higher volumes, profitability in the U.S. and Canada increased 7.9 percent from last year and totaled ¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase of 13.8 percent compared to last year, owing to a better mix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico, operating profits came to ¥84.8 billion, an increase of 28.5 percent compared to last year. This was primarily due to the consolidation of Dongfeng Motor and Yulon Nissan Motor. Inter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "DESPITE NISSAN'S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS NEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED AT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR UNDERSTANDING OF NISSAN'S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH VIEW OF THE COMPANY'S OPERATIONS AND PERFORMANCE INDICATORS.\n\n#### **Share Performance in Fiscal 2004**\n\nNissan's share price began at ¥1,143 at the beginning of fiscal 2004 and ended the fiscal year at ¥1,099, generating a negative return of 3.85 percent. Total shareholder return (TSR) was -1.67 percent, while the dividend yield came to 2.18 percent (¥24 per share dividend, divided by the ¥1,099 closing price). Adverse movements in foreign exchange rates and commodity price hikes adversely affected Nissan's profitability, which was reflected in the share price. In addition, specific events relating directly to the company also had a negative impact. Later in this report, corporate officers will explain what actions Nissan has undertaken to ensure better performance.\n\n#### **Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend policy, covering the period from fiscal 2005 to fiscal 2007, at the annual general meeting of shareholders on June 23, 2004. Nissan proposes a long-term dividend policy to provide more visibility and improve transparency into the ways in which Nissan rewards its shareholders. Nissan believes that a long-term dividend policy reduces uncertainty for investors who already own or are considering acquiring Nissan stock.\n\n#### **Fiscal Year 2004 Share Performance** (Index: April 1, 2004=100)\n\n80 Apr. **2004 2005** \n\n#### **IR Activities**\n\nUnder NISSAN Value-Up, the IR team's performance will be evaluated based on the price-earnings ratio (PER) and volatility relative to our major competitors. PER is used to measure how successfully the IR team manages market expectations about Nissan in order to maintain the Nissan share price close to an intrinsic value. The other measure, volatility, is used to measure the risk investors perceive when considering Nissan stock. If Nissan can successfully reduce volatility, the minimum return required by investors should decline. The IR team believes that a strengthening of disclosure activities is required to improve both measures. The team plans to disclose not only financial results but also more forward-looking information about Nissan fundamentals such as technology and product. Such forward-looking information helps investors to forecast future performance more precisely and reduces uncertainty about the future. As a consequence, Nissan will increase the number of investor conferences, events, and teleconferences during fiscal 2005.\n\n#### **Five-Year Share Performance**", - "page_start": 16, - "page_end": 16, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### PERFORMANCE\n\n## **The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up to all the challenges. We had a record year in revenues, operating profit, net income, sales volume and production.\n\n#### **Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This record level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is 281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine all-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan's manufacturing plants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n#### **Financial performance**\n\n- Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n- Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a percentage of net revenue, our operating profit margin came to 10.0 percent.\n- Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n#### **Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot be closed completely until the end of September 2005, but we know that we have already delivered two of the plan's three critical commitments.\n\n- We committed to an 8 percent operating profit margin, and our margin has been at or above 10 percent for every year of NISSAN 180.\n- We committed to zero debt, and today we have more than ¥200 billion in net cash under the new and more demanding accounting standards.\n- Our only remaining commitment is to achieve one million additional sales. Even here we are in reasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, which is a slight advance compared to our commitment to reach 3,597,000 units by the end of September 2005.", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Growing with Profit, not at Its Expense Middle East, Africa, Latin America and the Caribbean**\n\n\"Within the General Overseas Markets, or GOM, I'm responsible for Nissan business in nearly 110 countries, about 90 of which have Nissan national sales companies. It's a very diverse composition of small and large nations, and many languages and cultures. In fiscal 2004 we met all our targets for sales and\n\nSHOICHI MIYATANI Vice President\n\nprofit. Out of Nissan's total unit sales of approximately 3.4 million vehicles, for example, GOM accounted for 678,000 units. We contribute to Nissan's performance in both volume expansion and profitability. And the operating profit margin for GOM is better than the corporate average.\n\nThe strongest regions in my territory were several African nations, such as South Africa, and Latin America. Our success was due in part to general market strength, but the continuing appeal of the Nissan Pickup in South Africa and Latin America was also a key. Aside from the Middle East, where larger vehicles like the Armada are preferred, sales for the Pickup and the X-TRAIL have been consistently strong in all markets. We produce the Pickup in South Africa and currently sell over 40,000 vehicles there every year; our market share is around 9 percent. In addition to Africa, the vehicles produced here will be sold in Europe, Australia and New Zealand starting at the beginning of 2006. In 2005, in the Middle East, we are already seeing significant increases in volume due to the launch of Infiniti and the introduction of new Nissan models in the latter half of 2004.\n\nThere are several risks associated with a diverse territory like ours, including political issues, economic issues, and a range of other external factors. At Nissan, our policy is to stay flexible and adapt to the situation. For example, we had initially planned to supply Pathfinder vehicles to the Middle East from Spain. However, the rise in the euro raised costs, so we quickly shifted production to the U.S. Because our job is so diversified, we felt we needed more strategic thinking within GOM. For this reason we established the GOM Plan Department, which is a cross-functional unit comprised of various departments, such as Manufacturing, Purchasing, and Engineering. This department is responsible for functions formerly performed by Marketing and Sales.\n\nSince we did not roll out many new models in our region, we had to upgrade our network structure to increase sales. The next new core model for us is the Tiida, which enjoyed a successful launch in China. It's a critical launch for us; through 2005 and 2006 we will complete the introduction of the model in all markets. The new model introductions will give us added strength in the markets during the NISSAN Value-Up period.\n\nAnother important development this year was the start of production of the Nissan Pickup in Egypt. Many in the industry doubted we would succeed, but we achieved our targets for quality. Vehicles produced here will also be exported to other countries in the region.\n\nEurope is a tough market, as is Japan. If Nissan becomes too dependent on its major markets like North America, there is an inherent risk, and GOM helps minimize that risk. The markets we represent will contribute substantially to Nissan's total profit. Our focus now is on deepening the foundations of our business. A few years ago, for instance, we designed six activities that all the national sales companies are required to carry out. In 2005, we'll establish even more advanced activities. We constantly review their performance and, if necessary, take aggressive actions, including replacing companies whose performance is consistently unsatisfactory. That is why our activities will expand with profit, not at its expense. The General Overseas Markets are where Nissan will really be growing.\"", - "page_start": 68, - "page_end": 68, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### **Impact on Operating Profit**\n\n#### **Net Cash Flow (automotive)**\n\n#### **Net Income**\n\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7 billion lower than last year. This was primarily due to a ¥5.3 billion decrease in financial costs and a ¥5.3 billion increase in equity in earnings of unconsolidated subsidiaries and affiliates, thanks mainly to Renault. Net extraordinary losses totaled ¥62.5 billion, ¥10.7 billion lower than last year, mainly due to the sale of the site of the former Murayama plant. Net income before taxes came to ¥793.2 billion. Income taxes totaled ¥258.0 billion, with an effective consolidated tax rate of 33 percent. Minority interests amounted to ¥22.9 billion, mainly from Yulon Nissan Motor. As a result, net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n#### **FINANCIAL POSITION**\n\n#### **Balance Sheet**\n\nIn 2004, total consolidated assets increased by 25.3 percent to ¥9,848.5 billion.\n\nCurrent assets increased by 36.4 percent, or ¥1,372.4 billion, to ¥5,139.4 billion. This increase included changes in the scope of consolidation by ¥271.1 billion and an increase in sales finance receivables by ¥840.6 billion thanks to increased sales in the U.S. Fixed assets increased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0 billion. Property, plant and equipment valuation increased by ¥593.6 billion, mainly due to capital expenditures of ¥477.5 billion and an increase in leased vehicles.\n\nCurrent liabilities increased by 28.1 percent, or ¥872.2 billion, to ¥3,974.7 billion. This increase included changes in the scope of consolidation of ¥144.4 billion and an increase in short-term borrowings for sales financing of ¥558.5 billion.\n\nIn 2004, total shareholder equity increased from ¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily due to net income of ¥512.3 billion, offset by dividends paid totaling ¥101.2 billion. Consolidated shareholder equity represented 29 percent of total revenues and 25 percent of total assets.\n\n#### **Cash Flow**\n\nCash from operating activities was ¥369.4 billion, below the previous year's level of ¥797.4 billion. This drop was primarily caused by a ¥331.2 billion increase in finance receivables in the U.S. and Japan. There were also increases in inventory and income tax paid.\n\nCash used for investing activities increased by ¥108.9 billion to ¥865.0 billion. This increase was mainly due to an increase of leased vehicles in the U.S.\n\nCash from financing activities totaled ¥521.0 billion, including an increase in short-term borrowing of ¥666.2 billion, offset by ¥94 billion for the payment of dividends and ¥26 billion for the acquisition of treasury stock.\n\nIn total, cash and cash equivalents increased by ¥95.6 billion to ¥289.8 billion from fiscal 2004.", - "page_start": 14, - "page_end": 14, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Looking to the New Fiscal Year**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume of 61 million units globally, Nissan's sales are forecast to come to 3,618,000 units, a 6.8 percent increase over the prior year.\n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to twenty regional product events.\n\n#### **Our sales objectives**\n\n- Japan: 933,000 units, a 10 percent increase over last year\n- U.S.: 1,047,000 units, an increase of 3.3 percent\n- Europe: 550,000 units, a 1.1 percent increase over last year\n- General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n#### **Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of uncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices, higher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The opportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign exchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n- Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n- Operating profit is expected to be ¥870 billion, up 1 percent.\n- Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n- Net income is predicted to be ¥517 billion, up 0.9 percent.\n- Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n- R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n- ROIC is expected to remain at or above 20 percent.", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **NISSAN Value-Up: Sustaining Performance**\n\nNissan's position today is much different than it was six years ago or even three years ago. In 1999, we were in crisis, and the Nissan Revival Plan was needed to revive our company and build a future. In April 2002, when NISSAN 180 began, we wanted to complete the revival process, with an emphasis on profitable growth.\n\nNISSAN Value-Up is about sustaining performance. About taking all the gains we have made in connecting with our customers, in growing volumes, in creating value, in earning profits, in improving management— and then building upon these gains.\n\nWith NISSAN Value-Up, you will not see a radical break from NISSAN 180. This plan is evolutionary, not revolutionary. We will take the core elements that got us to this point—namely, more revenue, less cost, more quality and speed, and maximized Alliance benefit with Renault and build upon them.\n\nNISSAN Value-Up has three critical commitments:\n\n- Profit: Nissan will maintain the top level of operating profit margin among global automakers for each of the three years of the plan.\nVolume:Nissan will achieve global sales of 4.2 million units measured in fiscal 2008.\n\n- ROIC: Nissan will achieve a 20 percent ROIC on average over the course of the plan, based on the new formula that excludes cash on hand from the denominator.\nNISSAN Value-Up will oversee 28 new models, resulting in the start of production of 70 models worldwide, over two dozen more than the 44 production starts during NISSAN 180. Of the 28 new models, 18 will be replacements for existing models and 10 will be completely new \"conquest\" models. We will enter more new segments, and we will introduce six models that will delight customers by being completely innovative in their concept and benefits.\n\nWe will pursue four major breakthroughs while implementing NISSAN Value-Up:\n\n- Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and continue to establish its credibility as a Tier-1 luxury player.\n- We will develop our Light Commercial Vehicle (LCV) business into a fully competitive global operation through new market and product entries. By 2007, we plan to increase our LCV volume by 40 percent from fiscal 2004 to 434,000 units. During this period, operating margin is targeted to double from 4 percent to 8 percent.\n- We will take a more efficient global sourcing approach to maximize our opportunities and minimize our overall costs as we grow. Our engineering, production and purchasing functions will continue their acceleration toward being fully integrated global operations.\n- We will continue to invest in new and emerging markets, including China, India and Russia.", - "page_start": 11, - "page_end": 11, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries *Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\n| | | | | | | Millions of U.S. dollars (Note 1) |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | Millions of yen (except per share amounts and number of employees) | | | (except per share amounts) |\n| For the years ended | 2004 | 2003 | 2002 | 2001 | 2000 | 2004 |\n| | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2002 | Mar. 31, 2001 | Mar. 31, 2005 |\n| Net sales | ¥8,576,277 | ¥7,429,219 | ¥6,828,588 | ¥6,196,241 | ¥6,089,620 | $80,152 |\n| Operating income | 861,160 | 824,855 | 737,230 | 489,215 | 290,314 | 8,048 |\n| Net income | 512,281 | 503,667 | 495,165 | 372,262 | 331,075 | 4,788 |\n| Net income per share (Note 2) | 125.16 | 122.02 | 117.75 | 92.61 | 83.53 | 1.17 |\n| Cash dividends paid (Note 3) | 94,236 | 74,594 | 50,800 | 27,841 | 0 | 881 |\n| Shareholder's equity | ¥2,465,750 | ¥2,023,994 | ¥1,808,304 | ¥1,620,822 | ¥ 957,939 | $23,044 |\n| Total assets | 9,848,523 | 7,859,856 | 7,349,183 | 7,215,005 | 6,451,243 | 92,042 |\n| Net consolidated automotive debt (Note 4) | (205,791) | 13,603 | 107,952 | 431,714 | 952,657 | (1,923) |\n| Number of employees | 183,607 | 123,748 | 127,625 | 125,099 | 133,833 | |\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year. Figures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\n4. Net consolidated automotive debt was ¥8,602 million cash positive in fiscal year 2002, ¥215,861 million cash positive in fiscal year 2003, and ¥453,470 million cash positive in fiscal year 2004, using the same accounting principles as fiscal year 2001.\n\nHIGHLIGHTS", - "page_start": 2, - "page_end": 2, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "**Corporate Rating**\n\n#### **Automotive Debt:**\n\nDespite higher levels incurred for capital expenditures and R&D, cash generated from operating activities in the automotive division eliminated net automotive debt. Nissan held a ¥205.8 billion yen net cash position at the close of fiscal 2004 in this division.\n\n#### **Rating**\n\nRegarding Nissan's long-term credit rating, R&I upgraded Nissan from A- to A on May 11, 2005. S&P upgraded their rating from BBB to BBB+ on July 20, 2004, and Moody's upgraded from Baa3 to Baa1 on January 29, 2004.\n\n#### **Investment Policy**\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5 billion, representing 5.6 percent of net revenue. This increase included the Canton plant expansion. R&D expenditures increased by ¥43.8 billion to ¥398.1 billion. This increase went to fund new technologies and product development. Our R&D resources are focused on projects that add value to our customers and that will deliver an expected return, in both the short and long term.\n\n#### **Dividend**\n\nAt the annual general meeting of shareholders on June 21, 2005, the company proposed increasing its dividend to ¥24 per share in 2004, up from ¥19 in 2003. In the first year of the NISSAN Value-up dividend policy, the Company plans to increase the per-share dividend to ¥29 in 2005. By the end of NISSAN Value-up in March 2008, Nissan plans to pay an annual dividend of no less than ¥40 per share.\n\n#### **Return on Invested Capital (ROIC)**\n\nNissan's investments are made within the strict guidelines of its automotive operating ROIC. Based on these guidelines, Nissan reached 20.1 percent of ROIC on a consistent basis as of fiscal 2003.\n\n#### **Dividend Policy**\n\n(Dividend per share, in yen)", - "page_start": 15, - "page_end": 15, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Volume: Nissan will achieve global sales of 4.2 million units in fiscal 2008—an increase of 812,000 units over fiscal 2004.\n\nROIC: Nissan will achieve a 20 percent or higher return on invested capital on average over the course of the plan, excluding cash on hand.\n\nTo meet this commitment, over the NISSAN Value-Up period we will launch 28 new products, including 10 models that are highly innovative in their concept and benefits.\n\nOur investment in advanced technology continues. From fiscal 2002 to 2005 we have increased spending on research and development by 50 percent. Over the next three years we will invest a further 5 percent of net sales annually, creating new and exciting technologies to benefit our customers.\n\nDuring NISSAN Value-Up we will pursue several key business opportunities:\n\n- Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and continue to establish its credibility as a Tier-1 luxury player.\n- We will develop our Light Commercial Vehicle business into a fully competitive global operation through new market and product entries.\n- We will take a more efficient global sourcing approach to maximize our opportunities and minimize our overall costs as we grow. Our engineering, production and purchasing functions will continue their acceleration towards being fully integrated global operations.\n- We will continue to invest in new and emerging markets, including China, India and Russia.\n\nNISSAN Value-Up also delivers increased value for our shareholders through a clear and well-defined dividend strategy. By the end of the plan period, we will pay an annual dividend of no less than ��40 per share, a 66 percent increase over fiscal 2004.\n\n#### Share price performance\n\nWhat should investors expect from Nissan's share price?\n\nOver the long-term, share prices reflect fundamentals. But in the short-term share prices are driven by performance against expectations.\n\nIn Nissan's case, recent share price trends signal market expectations that greater uncertainty will result in lower growth. So our challenge is to both manage those expectations and to exceed them. This supports our belief in a high level of disclosure and transparency.\n\nOur business plans and commitments, and our ability to communicate our strategy clearly, are the most effective means to convey transparency. But we recognize that financial announcements alone are no longer sufficient communication for the markets. We need to provide more forward-looking information and to avoid surprises that create uncertainty for shareholders and investors.\n\nWe intend to serve the professional investment community better in fiscal 2005. We will also extend our welcome to individual investors—whose numbers grew by 51,323 in fiscal 2004, increasing our list to 193,000 shareholders.\n\nThat growing interest in Nissan was apparent in the turnout of more than 1,800 people at our June 21 shareholders' meeting in Yokohama. Questions from the shareholders were many and varied, but it was encouraging to hear in each one a passionate commitment to Nissan.\n\nThis year, and in the future, I hope we merit such support from all our shareholders as we create lasting value in a transparent way.\n\nCarlos Ghosn President and Chief Executive Officer", - "page_start": 4, - "page_end": 4, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "How can CEDAR Oil be used with the AY11236 microscope?", - "target_page": 10, - "target_passage": "1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil. 2. After finishing the observation, wipe off the cedar oil. 3. Do not use the 40x objective until you have wiped off all of the cedar oil.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "### **Model AY11240 Model AY11238**\n\n- 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n- 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n### **USING THE 5-HOLE DIAPHRAGM**\n\n- 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n- 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole. Use the following guidelines to match the hole number to the objective that you have selected: 40x objective: Use #5 hole 10x objective: Use #4 or #3 hole 4x objective: Use #2 or #1 hole\n\n### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n- 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n- 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\n## **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11230 Model AY11234**\n\n### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n#### **USING THE VERTICAL TUBE - MODELS AY11230/11234**\n\n1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n\n- 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n- 3. Make sure that both the images in\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n# **MODEL AY11236**\n\n**Model AY11236**\n\n# **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound microscope designed for biological studies such as specimen examination. It can also be used for examining bacteria and for general clinical and medical studies and other scientific uses.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination. By using this instrument, the user can observe specimens at magnification from 40x to 1000x by selecting the desired objective lens. Coarse and fine focus adjustments provide accuracy and image detail. The rotating head allows the user to position the eyepieces for maximum viewing comfort and easy access to all adjustment knobs.", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **INDEX**\n\n| Maintenance | 1 |\n| --- | --- |\n| Model AY11240/Model AY11238 | 2-5 |\n| Model AY11228/Model AY11232 | 6-9 |\n| Model AY11230/Model AY11234 | 10-13 |\n| Model AY11236 | 14-18 |\n| Warranty Information | Back Cover |\n\n### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32oF to 104oF.\n- 3. Do not use this instrument in an environment with a lot of dust. **Cover the instrument when not in use.**\n- 4. Do not subject the instrument to shock.\n\n## **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios: Wet weather: 1:2\n\nDry Weather: 1:1\n\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n# **MODEL AY11240/AY11238**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90o vertical to 45o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45o angle. The head rotates 360o. The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11228 Model AY11232**\n\n#### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n**MODEL AY11230/AY11234**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n- 1. Length of mechanical tube: 160mm\n- 2. Conjugate distance between object and image: 195mm\n- 3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n- 4. Illumination: Input 110V or 200V; Output: 20W\n- 5. Fine adjustment range: .002mm\n- 6. Coarse Adjustment Range: 20mm\n- 7. Shift or Mechanical Stage: Longitude 40mm; Transversal 70mm\n- 8. Condenser Elevation Range: 15mm\n- 9. Iris diaphragm aperture: 2mm-30mm\n\n### **Objective Specifications**\n\n| Classification | | Optical Magnification | Numerical | Working |\n| --- | --- | --- | --- | --- |\n| | System | | Aperture | Distance |\n| Achromatic Objective | Dry | 4x Adjustable | 0 .1 | 37.42mm |\n| | | Focus | | |\n| | Dry | 10x | 0 .25 | 7.14mm |\n| | Dry | 40x Spring | 0 .65 | 0.57mm |\n| | | Adjustable | | |\n| | | Focus | | |\n| | Oil | 100x Spring | 1.25 | 0.18mm |\n| | Immer | Adjustable | | |\n| | sion | Focus | | |\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\n### **Eyepiece Specifications**\n\n| Classification | Magnification | Field of View (FOV) Diameter |\n| --- | --- | --- |\n| Plain Field Eyepiece | 10x | 18mm |\n\n### **Total Magnification**\n\n| | Magnification | Eyepiece | 10x |\n| --- | --- | --- | --- |\n| Objective | | | |\n| | 4x | | 40x |\n| | 10x | | 100x |\n| | 40x (s) | | 400x |\n| | 100x (oil,s) | | 1000x |\n\n# **PARTS LIST**\n\n| Name | | Qty |\n| --- | --- | --- |\n| Microscope Stand | | 1 |\n| Achromatic | 4x (parfocal distance adjustable) | 1 |\n| 10x | | 1 |\n| Objective | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n## **OPERATION**\n\n- 1. Remove all components from package. Identify all parts before assembling instrument.\n- 2. Attach 4x, 10x and 40x objectives by screwing into revolving turret. Tighten and secure to maximum finger pressure only.\n- 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n- 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n- 5. Observe the specimen using the lowest magnification objective first. The 10x objective provides a larger field of view making it easier to search the specimen.", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "- 6. Adjust the interpupillary distance by using the eyepiece interpupillary slide adjustment.\n- 7. Observe using the right eyepiece adjusting the coarse and fine focus and adjust the diopter ring until image is clear and sharp.\n- 8. Observe with the left eyepiece and adjust the diopter ring until image is clear and sharp.\n- 9. Rotate the fine focus adjustment when using other objectives. NOTE: This instrument is equipped with patent objectives so the precision or parfocalization is very high.\n\n**Fig. 1 - Objective Parts**\n\n- 10. If the image is in focus with the 10x objective, you can select other objectives and observe the specimen even if the fine adjustment knob has not been used by using the following method (See Fig. 1):\n- 1. Unscrew the 40x or 100x objective and remove from turret.\n- 2. Remove the mark sleeve.\n- 3. Turn the ring on the objective to adjust its parfocal distance.\n- 4. Re-insert the objective and compare with the 10x.\n- 5. Adjust until the 40x and 100x objectives image is clear.\n\n### **USING THE CEDAR OIL**\n\n- 1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil.\n- 2. After finishing the observation, wipe off the cedar oil.\n- 3. Do not use the 40x objective until you have wiped off all of the cedar oil.\n\n# **OPERATION (cont.)**\n\n### **ADJUSTING THE CONDENSER APERTURE**\n\n- 1. The numerical aperture of the condenser should match the numerical aperture of the objective being used.\n- 2. To make sure that the objectives are imaging properly (especially the 40x and 100x), follow this procedure:\n- 1. Take off the eyepiece.\n- 2. Look through the eyepiece.\n- 3. The smallest circle or light that you can see is the eyepiece's exit pupil.\n- 4. Adjust the aperture of the iris diaphragm in the condenser to 70% or 80% for the best contrast for observation (See Fig. 2.).\n\n**Fig. 2 - Condenser Diaphram Aperture**\n\n## **TROUBLESHOOTING**\n\n| Problem | Possible Cause | Solution |\n| --- | --- | --- |\n| 1. Image not clear. | 1.Specimen is in incorrect | 1. Re-position specimen. |\n| | position. | 2. Clean lens. |\n| | 2. Lens is dirty. | 3. Put a drop of Cedar oil on |\n| | 3. Cedar oil not placed on | immersion objective. |\n| | immersion objective. | 4. Rotate turret several times to |\n| | 4. Bubbles in Cedar oil. | eliminate bubbles. |\n| | 5. Cedar oil on 40x objective. | 5. Clean 40x objective. |\n| | 6. Iris diaphragm open too wide. | 6. Reduce size of iris diaphragm. |\n| 2. Poor illumination. | 1. Condenser position is incorrect. | 1. Re-position condenser. |\n| | 2. Lens is dirty. | 2. Clean lens. |\n| | 3. Specimen is not placed level. | 3. Re-position specimen so it is level. |\n| 3. Illumination not bright. | 1. Iris diaphragm opening too small. | 1. Open iris diaphragm wider. |\n| | 2. Position of condenser too low. | 2. Raise condenser. |\n| | 3. Lens is dirty. | 3. Clean lens. |\n| 4. Cannot focus at high | 1. Specimen is in incorrect position. | 1. Re-position specimen. |\n| magnification. | | |\n| 5. Objective lenses touch | 1. Stage is too high. | 1. Re-position stage. |\n| specimen. | | |", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "FIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force Microscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig and W. Pompe; see also Ref. [42]. Image size: 5µm×5µm); (b) poly(acrylic acid) in water spin-coated onto a polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright John Wiley & Sons, Inc. 2002; Image size: 2.5µm×2.5µm); and in both (c) and (d), a solution of gold nanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in panels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the empty substrate.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2669.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11228**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n#### **Model AY11232**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11228**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11232**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x- 45x | 3.5x- 22.5x | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| Field of View Objective Dia. (mm) | | 28.6- | 57.2- | 38.1- | 19.0- | 14.3- |\n| | | 4.4 | 8.8 | 5.9 | 2.9 | 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x 112.5x | 8.8x 56.3x | 13x 84.4x | 26.3x 169x | 35x 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n#### **Model AY11228**\n\n#### **Model AY11232**\n\n| Name | Qty | |\n| --- | --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 | |\n| 10x Wide Field Eyepiece | 2 | |\n| Eyeshade | 2 | Eyeshade |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) | |\n| Fuse 2A (spare) | 1 | |\n| Lens Cleaning Tissue | 1 | |\n| Dust Cover | 1 | |\n| Black/White Working Stage | 1 | |\n| Specifications | 1 | |\n| Packing Slip | 1 | |\n| Quality Inspection Certificate | 1 | |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n#### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11228 Model AY11232**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11230**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n- 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n### **Model AY11234**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11230**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11234**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x 45x | 3.5x 22.5x | 5.3x 33.8x | 10.5x 67.5x | 14x 90x |\n| Field of View Objective Dia. (mm) | | 28.6- 4.4 | 57.2- 8.8 | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x- 112.5x | 8.8x- 56.3x | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n### **PARTS LIST**\n\n#### **Model AY11230**\n\n#### **Model AY11234**\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11230 Model AY11234**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- **12** 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C5 and C8) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C10 and C12). For even longer chains (C14), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale (> 100µm) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "For the AY11230 microscope, what is the interpupillary adjustment?", - "target_page": 7, - "target_passage": "Model AY11230 1. Interpupillary Adjustment: 55mm - 75mm", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "### **Model AY11230 Model AY11234**\n\n### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n#### **USING THE VERTICAL TUBE - MODELS AY11230/11234**\n\n1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n\n- 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n- 3. Make sure that both the images in\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n# **MODEL AY11236**\n\n**Model AY11236**\n\n# **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound microscope designed for biological studies such as specimen examination. It can also be used for examining bacteria and for general clinical and medical studies and other scientific uses.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination. By using this instrument, the user can observe specimens at magnification from 40x to 1000x by selecting the desired objective lens. Coarse and fine focus adjustments provide accuracy and image detail. The rotating head allows the user to position the eyepieces for maximum viewing comfort and easy access to all adjustment knobs.", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11228 Model AY11232**\n\n#### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n**MODEL AY11230/AY11234**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11230**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n- 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n### **Model AY11234**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11230**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11234**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x 45x | 3.5x 22.5x | 5.3x 33.8x | 10.5x 67.5x | 14x 90x |\n| Field of View Objective Dia. (mm) | | 28.6- 4.4 | 57.2- 8.8 | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x- 112.5x | 8.8x- 56.3x | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n### **PARTS LIST**\n\n#### **Model AY11230**\n\n#### **Model AY11234**\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11230 Model AY11234**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- **12** 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "- 6. Adjust the interpupillary distance by using the eyepiece interpupillary slide adjustment.\n- 7. Observe using the right eyepiece adjusting the coarse and fine focus and adjust the diopter ring until image is clear and sharp.\n- 8. Observe with the left eyepiece and adjust the diopter ring until image is clear and sharp.\n- 9. Rotate the fine focus adjustment when using other objectives. NOTE: This instrument is equipped with patent objectives so the precision or parfocalization is very high.\n\n**Fig. 1 - Objective Parts**\n\n- 10. If the image is in focus with the 10x objective, you can select other objectives and observe the specimen even if the fine adjustment knob has not been used by using the following method (See Fig. 1):\n- 1. Unscrew the 40x or 100x objective and remove from turret.\n- 2. Remove the mark sleeve.\n- 3. Turn the ring on the objective to adjust its parfocal distance.\n- 4. Re-insert the objective and compare with the 10x.\n- 5. Adjust until the 40x and 100x objectives image is clear.\n\n### **USING THE CEDAR OIL**\n\n- 1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil.\n- 2. After finishing the observation, wipe off the cedar oil.\n- 3. Do not use the 40x objective until you have wiped off all of the cedar oil.\n\n# **OPERATION (cont.)**\n\n### **ADJUSTING THE CONDENSER APERTURE**\n\n- 1. The numerical aperture of the condenser should match the numerical aperture of the objective being used.\n- 2. To make sure that the objectives are imaging properly (especially the 40x and 100x), follow this procedure:\n- 1. Take off the eyepiece.\n- 2. Look through the eyepiece.\n- 3. The smallest circle or light that you can see is the eyepiece's exit pupil.\n- 4. Adjust the aperture of the iris diaphragm in the condenser to 70% or 80% for the best contrast for observation (See Fig. 2.).\n\n**Fig. 2 - Condenser Diaphram Aperture**\n\n## **TROUBLESHOOTING**\n\n| Problem | Possible Cause | Solution |\n| --- | --- | --- |\n| 1. Image not clear. | 1.Specimen is in incorrect | 1. Re-position specimen. |\n| | position. | 2. Clean lens. |\n| | 2. Lens is dirty. | 3. Put a drop of Cedar oil on |\n| | 3. Cedar oil not placed on | immersion objective. |\n| | immersion objective. | 4. Rotate turret several times to |\n| | 4. Bubbles in Cedar oil. | eliminate bubbles. |\n| | 5. Cedar oil on 40x objective. | 5. Clean 40x objective. |\n| | 6. Iris diaphragm open too wide. | 6. Reduce size of iris diaphragm. |\n| 2. Poor illumination. | 1. Condenser position is incorrect. | 1. Re-position condenser. |\n| | 2. Lens is dirty. | 2. Clean lens. |\n| | 3. Specimen is not placed level. | 3. Re-position specimen so it is level. |\n| 3. Illumination not bright. | 1. Iris diaphragm opening too small. | 1. Open iris diaphragm wider. |\n| | 2. Position of condenser too low. | 2. Raise condenser. |\n| | 3. Lens is dirty. | 3. Clean lens. |\n| 4. Cannot focus at high | 1. Specimen is in incorrect position. | 1. Re-position specimen. |\n| magnification. | | |\n| 5. Objective lenses touch | 1. Stage is too high. | 1. Re-position stage. |\n| specimen. | | |", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11228**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n#### **Model AY11232**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11228**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11232**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x- 45x | 3.5x- 22.5x | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| Field of View Objective Dia. (mm) | | 28.6- | 57.2- | 38.1- | 19.0- | 14.3- |\n| | | 4.4 | 8.8 | 5.9 | 2.9 | 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x 112.5x | 8.8x 56.3x | 13x 84.4x | 26.3x 169x | 35x 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n#### **Model AY11228**\n\n#### **Model AY11232**\n\n| Name | Qty | |\n| --- | --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 | |\n| 10x Wide Field Eyepiece | 2 | |\n| Eyeshade | 2 | Eyeshade |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) | |\n| Fuse 2A (spare) | 1 | |\n| Lens Cleaning Tissue | 1 | |\n| Dust Cover | 1 | |\n| Black/White Working Stage | 1 | |\n| Specifications | 1 | |\n| Packing Slip | 1 | |\n| Quality Inspection Certificate | 1 | |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n#### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11228 Model AY11232**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11240 Model AY11238**\n\n- 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n- 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n### **USING THE 5-HOLE DIAPHRAGM**\n\n- 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n- 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole. Use the following guidelines to match the hole number to the objective that you have selected: 40x objective: Use #5 hole 10x objective: Use #4 or #3 hole 4x objective: Use #2 or #1 hole\n\n### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n- 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n- 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\n## **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n- 1. Length of mechanical tube: 160mm\n- 2. Conjugate distance between object and image: 195mm\n- 3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n- 4. Illumination: Input 110V or 200V; Output: 20W\n- 5. Fine adjustment range: .002mm\n- 6. Coarse Adjustment Range: 20mm\n- 7. Shift or Mechanical Stage: Longitude 40mm; Transversal 70mm\n- 8. Condenser Elevation Range: 15mm\n- 9. Iris diaphragm aperture: 2mm-30mm\n\n### **Objective Specifications**\n\n| Classification | | Optical Magnification | Numerical | Working |\n| --- | --- | --- | --- | --- |\n| | System | | Aperture | Distance |\n| Achromatic Objective | Dry | 4x Adjustable | 0 .1 | 37.42mm |\n| | | Focus | | |\n| | Dry | 10x | 0 .25 | 7.14mm |\n| | Dry | 40x Spring | 0 .65 | 0.57mm |\n| | | Adjustable | | |\n| | | Focus | | |\n| | Oil | 100x Spring | 1.25 | 0.18mm |\n| | Immer | Adjustable | | |\n| | sion | Focus | | |\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\n### **Eyepiece Specifications**\n\n| Classification | Magnification | Field of View (FOV) Diameter |\n| --- | --- | --- |\n| Plain Field Eyepiece | 10x | 18mm |\n\n### **Total Magnification**\n\n| | Magnification | Eyepiece | 10x |\n| --- | --- | --- | --- |\n| Objective | | | |\n| | 4x | | 40x |\n| | 10x | | 100x |\n| | 40x (s) | | 400x |\n| | 100x (oil,s) | | 1000x |\n\n# **PARTS LIST**\n\n| Name | | Qty |\n| --- | --- | --- |\n| Microscope Stand | | 1 |\n| Achromatic | 4x (parfocal distance adjustable) | 1 |\n| 10x | | 1 |\n| Objective | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n## **OPERATION**\n\n- 1. Remove all components from package. Identify all parts before assembling instrument.\n- 2. Attach 4x, 10x and 40x objectives by screwing into revolving turret. Tighten and secure to maximum finger pressure only.\n- 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n- 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n- 5. Observe the specimen using the lowest magnification objective first. The 10x objective provides a larger field of view making it easier to search the specimen.", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "- \n- \n- \n- \n- \n- \n- \n- \n\n- \n- \n- \n- \n- \n- \n- \n- \n- \n\n| Classification Optical | | Magnification | Numerica | Working |\n| --- | --- | --- | --- | --- |\n| System | | | Aperture | Distance |\n| Dry | | 4x Adjustable | 0.1 | 37.42mm |\n| | | Focus | | |\n| Achromatic | Dry | 10x | 0.25 | 7.14mm |\n| Objective | | | | |\n| Dry | | 40x Spring | 0.65 | 0.57mm |\n| | | Adjustable | | |\n| | | Focus | | |\n\n| Classification | Magnification | Field of View (FOV) |\n| --- | --- | --- |\n| | | Diameter |\n| Plain Field Eyepiece | Model AY11240 10x | 18mm |\n| | Model AY11238 | |\n| | 10x | 25mm |\n\n| | Magnification | Eyepiece | 10x |\n| --- | --- | --- | --- |\n| Objective | | | |\n| | 4x | | 40x |\n| | 10x | | 100x |\n| | 40x (s) | | 400x |\n\n## **PARTS LIST**\n\n#### **Model AY11240**\n\n**Model AY11238**\n\n| Name | | Qty | Name | | Qty |\n| --- | --- | --- | --- | --- | --- |\n| Microscope Stand | | 1 | Microscope Stand | | 1 |\n| Achromatic Objective | 4x | 1 | Achromatic | 4x | 1 |\n| | 10x | 1 | Objective | 10x | 1 |\n| | 40x (s) | 1 | | 40x (s) | 1 |\n| Plain Concave Mirror | | 1 | 10x Wide Field Eyepiece | | 1 |\n| Plastic Dust Cover | | 1 | Plastic Dust Cover | | 1 |\n| 10x Wide Field Eyepiece | | 1 | Spare Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 | Lens Cleaning Tissue | | 1 |\n| Specification | | 1 | Specification | | 1 |\n| Inspection Certificate | | 1 | Inspection Certificate | | 1 |\n| Packing List | | 1 | Packing List | | 1 |\n\n### **OPERATION**\n\n#### **Model AY11240 Model AY11238**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Attach 4x, 10x and 40x objectives to revolving turret.\n- 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n- 4. Adjust the stand to an angle that provides comfortable observation.\n- 5. Rotate and adjust concave mirror to light the field of view. **NOTE: Do not reflect the Sun with the mirror. This can cause serious eye injury or permanent eye damage.**\n- 6. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Attach 4x, 10x and 40x objectives to revolving turret. 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n- 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n- 5. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image stacks with a 2- to 3-mm interval in the Z-axis were obtained through a 203 dry lens (0.8 NA) with the confocal aperture set to 1 Airy unit or less. All image capture was performed using Zen Blue Edition software (Carl Zeiss Microscopy GmbH, Jena, Germany), and analyses were performed using Zen Blue or FIJI.45\n\n#### 2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the experimental groups. For quantification of the total number of cells within the DRG, a modified optical dissector stereological method was used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To account for tissue shrinkage during processing, the mean thickness (t) of each section on one slide (ie, 1 in 5 sections) was calculated by taking the mean of the thickest and thinnest cell-containing regions (ie, not fiber tract-containing regions) of the section (NB: no optical correction to thickness was applied; given the use of a dry lens, this value will not reflect actual section thickness, though this was kept consistent throughout the study). The cell-containing, crosssectional area (a) was then calculated, using the middle optical section from the series and drawing around the cell-containing regions. Section volume (Vsec) was then calculated:\n\n$$\\mathbb{V}\\mathrm{sec}\\,=\\,t\\times a$$\n\nUsing the Cavalieri principle, the cell-containing volume of the DRG was calculated11:\n\n$$\\forall D\\bar{D}\\bar{G}=\\bar{a}\\times\\bar{t}\\times D$$\n\nwhere a 5 mean cell-containing cross-sectional area, t 5 mean section thickness, and l 5 \"length\" of the DRG (determined from the total number of sections collected). The number of neurons per section (Nsec) was quantified in all immunostained sections. This included only neurons with a visible nucleus (in the NeuN channel), excluded cells with a nucleus visible within the top frame of the Z-stack, and included any neurons with a nucleus visible in any other field within Z-stack, including the bottom frame of Z-stack. The cell density or the number of cells per unit vol (Nv) was then calculated:\n\n$$N_{V}={\\frac{N_{\\mathrm{sec}}}{V_{\\mathrm{sec}}}}$$\n\nFinally, the total number of cells per DRG (NDRG) was calculated:\n\n$$N_{D\\!\\!D\\!\\!G}\\,=\\,\\overline{{{N_{\\nu}}}}\\times V_{D\\!\\!D\\!\\!G}$$\n\nFor quantification of the proportion of FB-labelled cells colabelled with afferent subpopulation markers, initially, the total number of FB-filled neuronal cell profiles with a visible nucleus anywhere within the section was counted, with the observer blind to other channels. The other channel was then revealed, and instances of co-labelling were quantified. No stereological correction was applied, given that the similar size of neuronal nuclei would prevent over-counts of large neurons and that no comparisons of the total number of labelled cells were made. For soma area analyses, the area of neuronal soma expressing the appropriate marker was measured in the optical section within the Z-stack in which that neuron was at its largest, by drawing around the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n#### 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks post-SNItrans for whole DRG analyses. In this study, tissue was extracted from a combination of MrgDCreERT2;Ai14, ThCreERT2;Ai14, and CalcaCreERT2;Ai14 lines (mixed sex).3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described.67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies (Table 2) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1 propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2-mm z-steps. The tissue was stored at 4˚C for ;16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the \"spots\" feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgDCreERT2;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small (,5 mm3 ) and very large (.2000 mm3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the \"small\" DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD1 nuclei (258 mm3 ). The boundary between \"medium\" and \"large\" bins (400 mm3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 mm3 was also examined, and the results mirrored those of \"medium\" and \"large\" bins.\n\n# 2.7. Gene Ontology\n\nGene Ontology term analyses were performed on previously published mouse subtype RNA-seq after SNI (GSE2164443 ). In this study, subtype-specific bulk RNA-seq was performed on 5 transgenic mouse lines through reporter labelling and fluorescence activated cell sorting. spliced transcripts alignment to a reference was used to map reads to the GRCm38 (mm10) Mouse Genome,14 and Samtools was used to sort, index, and merge Binary Alignment Map files in line with published reports.28 Quality control was performed as per Barry et al.3 Downstream analyses were performed using DESeq2 on grouped male and female samples.31 For differentially expressed genes (false discovery rate) (FDR , 0.05, LFC .1) (log-fold change), GO analyses were performed using the Wallenius method using goSeq (R). In this study, significantly regulated terms related to", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "#### SURFACE TUFT PHOTOGRAHS FOR A SWEPT, TAPERED WlNG 60° DELTA, AR=2.31, A=0\n\nFROM NACA TN 2674\n\nFigure 1.33. Std Patterns (sheet 8 018)", - "page_start": 102, - "page_end": 102, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "The illumination of my AY11236 microscope is not very strong, what can I do to solve this?", - "target_page": 10, - "target_passage": "1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens.", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "### **Model AY11230 Model AY11234**\n\n### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n#### **USING THE VERTICAL TUBE - MODELS AY11230/11234**\n\n1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n\n- 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n- 3. Make sure that both the images in\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n# **MODEL AY11236**\n\n**Model AY11236**\n\n# **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound microscope designed for biological studies such as specimen examination. It can also be used for examining bacteria and for general clinical and medical studies and other scientific uses.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination. By using this instrument, the user can observe specimens at magnification from 40x to 1000x by selecting the desired objective lens. Coarse and fine focus adjustments provide accuracy and image detail. The rotating head allows the user to position the eyepieces for maximum viewing comfort and easy access to all adjustment knobs.", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11240 Model AY11238**\n\n- 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n- 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n- 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n### **USING THE 5-HOLE DIAPHRAGM**\n\n- 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n- 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole. Use the following guidelines to match the hole number to the objective that you have selected: 40x objective: Use #5 hole 10x objective: Use #4 or #3 hole 4x objective: Use #2 or #1 hole\n\n### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n- 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n- 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\n## **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "### **Model AY11228 Model AY11232**\n\n#### **SELECTING OBJECTIVE MAGNIFICATION**\n\n- 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n- 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n### **FOCUSING**\n\n- 1. Remove the lens protective cover.\n- 2. Place the specimen on the working stage.\n- 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n- 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n### **FOCUSING**\n\n- 1. Turn the focusing knob away or toward you until a clear image is viewed.\n- 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n### **ZOOM MAGNIFICATION**\n\n- 1. Turn the zoom magnification knob to the desired magnification and field of view.\n- 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n- 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n### **DIOPTER RING ADJUSTMENT**\n\n- 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n- a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n- b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n- c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring. d.With more than one viewer, each\n- viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n### **CHANGING THE BULB**\n\n- 1. Disconnect the power cord from the electrical outlet.\n- 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n- 3. Replace with a new halogen bulb.\n- 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n**MODEL AY11230/AY11234**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11230**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n- 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n### **Model AY11234**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11230**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11234**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x 45x | 3.5x 22.5x | 5.3x 33.8x | 10.5x 67.5x | 14x 90x |\n| Field of View Objective Dia. (mm) | | 28.6- 4.4 | 57.2- 8.8 | 38.1- 5.9 | 19.0- 2.9 | 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x- 112.5x | 8.8x- 56.3x | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n### **PARTS LIST**\n\n#### **Model AY11230**\n\n#### **Model AY11234**\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11230 Model AY11234**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- **12** 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n#### **Model AY11228**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: 60mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n#### **Model AY11232**\n\n- 1. Interpupillary Adjustment: 55mm 75mm\n- 2. Working Stage Diameter: 95mm\n- 3. Focus Knob Adjustment Range: >50mm\n- 4. Elevator Adjustment Range: 110mm\n- 5. Diopter Adjustment Range: +/- 5 diopters\n- 6. Illumination:\n\n Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n### **Optical Specifications - Model AY11228**\n\n| Total | Objective | Eyepiece Magnification | Working Distance |\n| --- | --- | --- | --- |\n| Magnification | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n### **Optical Specifications - Model AY11232**\n\n| Objective Zoom Scale | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- |\n| Accessory Large Objective | | - | 0.5x | 0.75x | 1.5x | 2x |\n| Working Distance (mm) | | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x- 45x | 3.5x- 22.5x | 5.3x- 33.8x | 10.5x- 67.5x | 14x- 90x |\n| Field of View Objective Dia. (mm) | | 28.6- | 57.2- | 38.1- | 19.0- | 14.3- |\n| | | 4.4 | 8.8 | 5.9 | 2.9 | 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x 56x | 4.4x 28x | 6.6x 42x | 13.2x 84x | 17.6x 112x |\n| Field of View Objective Dia. (mm) | | 25.7- | 51.4- | 34.3- | 17.1- | 12.9- |\n| | | 4.0 | 8 | 5.3 | 2.7 | 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| Field of View Objective Dia. (mm) | | 22.9- | 45.8- | 30.5- | 15.3- | 11.5- |\n| | | 3.6 | 7.2 | 4.8 | 24 | 1.8 |\n| WF20x/12mm | Total Magnification | 14x 90x | 7x 45x | 10.5x 67.5x | 21x 135x | 28x 180x |\n| Field of View Objective Dia. (mm) | | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x 112.5x | 8.8x 56.3x | 13x 84.4x | 26.3x 169x | 35x 225x |\n| Field of View Objective Dia. (mm) | | 12.9- | 25.8- | 17.2- | 8.6- | 6.5- |\n| | | 2.0 | 4.0 | 2.7 | 1.3 | 1.0 |\n\n#### **Model AY11228**\n\n#### **Model AY11232**\n\n| Name | Qty | |\n| --- | --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 | |\n| 10x Wide Field Eyepiece | 2 | |\n| Eyeshade | 2 | Eyeshade |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) | |\n| Fuse 2A (spare) | 1 | |\n| Lens Cleaning Tissue | 1 | |\n| Dust Cover | 1 | |\n| Black/White Working Stage | 1 | |\n| Specifications | 1 | |\n| Packing Slip | 1 | |\n| Quality Inspection Certificate | 1 | |\n\n| Name | Qty |\n| --- | --- |\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n### **OPERATION**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n- 3. Fix the binocular body on the stand with the tightening screw.\n- 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n#### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n### **Model AY11228 Model AY11232**\n\n- 1. Remove components from package. identify all parts before assembling.\n- 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n### **SELECTING THE ILLUMINATION**\n\n- 1. Depending on microscope use, select oblique or transmitted illumination.\n- 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n- 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n#### **CHANGING THE INTERPUPILLARY DISTANCE**\n\n- 1. The distance between the observer's pupils is the interpupillary distance.\n- 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **SPECIFICATIONS**\n\n- 1. Length of mechanical tube: 160mm\n- 2. Conjugate distance between object and image: 195mm\n- 3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n- 4. Illumination: Input 110V or 200V; Output: 20W\n- 5. Fine adjustment range: .002mm\n- 6. Coarse Adjustment Range: 20mm\n- 7. Shift or Mechanical Stage: Longitude 40mm; Transversal 70mm\n- 8. Condenser Elevation Range: 15mm\n- 9. Iris diaphragm aperture: 2mm-30mm\n\n### **Objective Specifications**\n\n| Classification | | Optical Magnification | Numerical | Working |\n| --- | --- | --- | --- | --- |\n| | System | | Aperture | Distance |\n| Achromatic Objective | Dry | 4x Adjustable | 0 .1 | 37.42mm |\n| | | Focus | | |\n| | Dry | 10x | 0 .25 | 7.14mm |\n| | Dry | 40x Spring | 0 .65 | 0.57mm |\n| | | Adjustable | | |\n| | | Focus | | |\n| | Oil | 100x Spring | 1.25 | 0.18mm |\n| | Immer | Adjustable | | |\n| | sion | Focus | | |\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\n### **Eyepiece Specifications**\n\n| Classification | Magnification | Field of View (FOV) Diameter |\n| --- | --- | --- |\n| Plain Field Eyepiece | 10x | 18mm |\n\n### **Total Magnification**\n\n| | Magnification | Eyepiece | 10x |\n| --- | --- | --- | --- |\n| Objective | | | |\n| | 4x | | 40x |\n| | 10x | | 100x |\n| | 40x (s) | | 400x |\n| | 100x (oil,s) | | 1000x |\n\n# **PARTS LIST**\n\n| Name | | Qty |\n| --- | --- | --- |\n| Microscope Stand | | 1 |\n| Achromatic | 4x (parfocal distance adjustable) | 1 |\n| 10x | | 1 |\n| Objective | 40x (s) (parfocal distance adjustable) | 1 |\n| | 100x (oil,s) (parfocal distance adjustable) | 1 |\n| 10x Wide Field Eyepiece w/Pointer | | 2 |\n| Abbe Condenser NA1.25 | | 1 |\n| Plastic Dust Cover | | 1 |\n| Spare 6V20W Halogen Bulb | | 1 |\n| Lens Cleaning Tissue | | 1 |\n| Cedar Oil | | 1 |\n| 1A Fuse (spare) | | 1 |\n| Specification | | 1 |\n| Inspection Certificate | | 1 |\n| Packing List | | 1 |\n\n## **OPERATION**\n\n- 1. Remove all components from package. Identify all parts before assembling instrument.\n- 2. Attach 4x, 10x and 40x objectives by screwing into revolving turret. Tighten and secure to maximum finger pressure only.\n- 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n- 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n- 5. Observe the specimen using the lowest magnification objective first. The 10x objective provides a larger field of view making it easier to search the specimen.", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "- 6. Adjust the interpupillary distance by using the eyepiece interpupillary slide adjustment.\n- 7. Observe using the right eyepiece adjusting the coarse and fine focus and adjust the diopter ring until image is clear and sharp.\n- 8. Observe with the left eyepiece and adjust the diopter ring until image is clear and sharp.\n- 9. Rotate the fine focus adjustment when using other objectives. NOTE: This instrument is equipped with patent objectives so the precision or parfocalization is very high.\n\n**Fig. 1 - Objective Parts**\n\n- 10. If the image is in focus with the 10x objective, you can select other objectives and observe the specimen even if the fine adjustment knob has not been used by using the following method (See Fig. 1):\n- 1. Unscrew the 40x or 100x objective and remove from turret.\n- 2. Remove the mark sleeve.\n- 3. Turn the ring on the objective to adjust its parfocal distance.\n- 4. Re-insert the objective and compare with the 10x.\n- 5. Adjust until the 40x and 100x objectives image is clear.\n\n### **USING THE CEDAR OIL**\n\n- 1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil.\n- 2. After finishing the observation, wipe off the cedar oil.\n- 3. Do not use the 40x objective until you have wiped off all of the cedar oil.\n\n# **OPERATION (cont.)**\n\n### **ADJUSTING THE CONDENSER APERTURE**\n\n- 1. The numerical aperture of the condenser should match the numerical aperture of the objective being used.\n- 2. To make sure that the objectives are imaging properly (especially the 40x and 100x), follow this procedure:\n- 1. Take off the eyepiece.\n- 2. Look through the eyepiece.\n- 3. The smallest circle or light that you can see is the eyepiece's exit pupil.\n- 4. Adjust the aperture of the iris diaphragm in the condenser to 70% or 80% for the best contrast for observation (See Fig. 2.).\n\n**Fig. 2 - Condenser Diaphram Aperture**\n\n## **TROUBLESHOOTING**\n\n| Problem | Possible Cause | Solution |\n| --- | --- | --- |\n| 1. Image not clear. | 1.Specimen is in incorrect | 1. Re-position specimen. |\n| | position. | 2. Clean lens. |\n| | 2. Lens is dirty. | 3. Put a drop of Cedar oil on |\n| | 3. Cedar oil not placed on | immersion objective. |\n| | immersion objective. | 4. Rotate turret several times to |\n| | 4. Bubbles in Cedar oil. | eliminate bubbles. |\n| | 5. Cedar oil on 40x objective. | 5. Clean 40x objective. |\n| | 6. Iris diaphragm open too wide. | 6. Reduce size of iris diaphragm. |\n| 2. Poor illumination. | 1. Condenser position is incorrect. | 1. Re-position condenser. |\n| | 2. Lens is dirty. | 2. Clean lens. |\n| | 3. Specimen is not placed level. | 3. Re-position specimen so it is level. |\n| 3. Illumination not bright. | 1. Iris diaphragm opening too small. | 1. Open iris diaphragm wider. |\n| | 2. Position of condenser too low. | 2. Raise condenser. |\n| | 3. Lens is dirty. | 3. Clean lens. |\n| 4. Cannot focus at high | 1. Specimen is in incorrect position. | 1. Re-position specimen. |\n| magnification. | | |\n| 5. Objective lenses touch | 1. Stage is too high. | 1. Re-position stage. |\n| specimen. | | |", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## **INDEX**\n\n| Maintenance | 1 |\n| --- | --- |\n| Model AY11240/Model AY11238 | 2-5 |\n| Model AY11228/Model AY11232 | 6-9 |\n| Model AY11230/Model AY11234 | 10-13 |\n| Model AY11236 | 14-18 |\n| Warranty Information | Back Cover |\n\n### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32oF to 104oF.\n- 3. Do not use this instrument in an environment with a lot of dust. **Cover the instrument when not in use.**\n- 4. Do not subject the instrument to shock.\n\n## **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios: Wet weather: 1:2\n\nDry Weather: 1:1\n\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n# **MODEL AY11240/AY11238**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90o vertical to 45o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45o angle. The head rotates 360o. The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3, total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3, fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image stacks with a 2- to 3-mm interval in the Z-axis were obtained through a 203 dry lens (0.8 NA) with the confocal aperture set to 1 Airy unit or less. All image capture was performed using Zen Blue Edition software (Carl Zeiss Microscopy GmbH, Jena, Germany), and analyses were performed using Zen Blue or FIJI.45\n\n#### 2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the experimental groups. For quantification of the total number of cells within the DRG, a modified optical dissector stereological method was used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To account for tissue shrinkage during processing, the mean thickness (t) of each section on one slide (ie, 1 in 5 sections) was calculated by taking the mean of the thickest and thinnest cell-containing regions (ie, not fiber tract-containing regions) of the section (NB: no optical correction to thickness was applied; given the use of a dry lens, this value will not reflect actual section thickness, though this was kept consistent throughout the study). The cell-containing, crosssectional area (a) was then calculated, using the middle optical section from the series and drawing around the cell-containing regions. Section volume (Vsec) was then calculated:\n\n$$\\mathbb{V}\\mathrm{sec}\\,=\\,t\\times a$$\n\nUsing the Cavalieri principle, the cell-containing volume of the DRG was calculated11:\n\n$$\\forall D\\bar{D}\\bar{G}=\\bar{a}\\times\\bar{t}\\times D$$\n\nwhere a 5 mean cell-containing cross-sectional area, t 5 mean section thickness, and l 5 \"length\" of the DRG (determined from the total number of sections collected). The number of neurons per section (Nsec) was quantified in all immunostained sections. This included only neurons with a visible nucleus (in the NeuN channel), excluded cells with a nucleus visible within the top frame of the Z-stack, and included any neurons with a nucleus visible in any other field within Z-stack, including the bottom frame of Z-stack. The cell density or the number of cells per unit vol (Nv) was then calculated:\n\n$$N_{V}={\\frac{N_{\\mathrm{sec}}}{V_{\\mathrm{sec}}}}$$\n\nFinally, the total number of cells per DRG (NDRG) was calculated:\n\n$$N_{D\\!\\!D\\!\\!G}\\,=\\,\\overline{{{N_{\\nu}}}}\\times V_{D\\!\\!D\\!\\!G}$$\n\nFor quantification of the proportion of FB-labelled cells colabelled with afferent subpopulation markers, initially, the total number of FB-filled neuronal cell profiles with a visible nucleus anywhere within the section was counted, with the observer blind to other channels. The other channel was then revealed, and instances of co-labelling were quantified. No stereological correction was applied, given that the similar size of neuronal nuclei would prevent over-counts of large neurons and that no comparisons of the total number of labelled cells were made. For soma area analyses, the area of neuronal soma expressing the appropriate marker was measured in the optical section within the Z-stack in which that neuron was at its largest, by drawing around the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n#### 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks post-SNItrans for whole DRG analyses. In this study, tissue was extracted from a combination of MrgDCreERT2;Ai14, ThCreERT2;Ai14, and CalcaCreERT2;Ai14 lines (mixed sex).3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described.67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies (Table 2) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1 propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2-mm z-steps. The tissue was stored at 4˚C for ;16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the \"spots\" feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgDCreERT2;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small (,5 mm3 ) and very large (.2000 mm3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the \"small\" DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD1 nuclei (258 mm3 ). The boundary between \"medium\" and \"large\" bins (400 mm3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 mm3 was also examined, and the results mirrored those of \"medium\" and \"large\" bins.\n\n# 2.7. Gene Ontology\n\nGene Ontology term analyses were performed on previously published mouse subtype RNA-seq after SNI (GSE2164443 ). In this study, subtype-specific bulk RNA-seq was performed on 5 transgenic mouse lines through reporter labelling and fluorescence activated cell sorting. spliced transcripts alignment to a reference was used to map reads to the GRCm38 (mm10) Mouse Genome,14 and Samtools was used to sort, index, and merge Binary Alignment Map files in line with published reports.28 Quality control was performed as per Barry et al.3 Downstream analyses were performed using DESeq2 on grouped male and female samples.31 For differentially expressed genes (false discovery rate) (FDR , 0.05, LFC .1) (log-fold change), GO analyses were performed using the Wallenius method using goSeq (R). In this study, significantly regulated terms related to", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What event marks the beginning of the field of artificial intelligence?", - "target_page": 22, - "target_passage": "The field of AI research was founded at a workshop at Dartmouth College in 1956.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the near and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314] 28 countries including the United States, China, and the European Union issued a declaration at the start of the summit, calling for international co-operation to manage the challenges and risks of artificial intelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety commitments on the development of AI.[317][318]\n\n## **History**\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, by shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical reasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and neurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They developed several areas of research that would become part of AI,[322] such as McCullouch and Pitts design for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was plausible.[323][320]\n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees became the leaders of AI research in the 1960s.[t] They and their students produced programs that the press described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems in algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were set up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320]\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in creating a machine with general intelligence and considered this the goal of their field.[327] In 1965 Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can do\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating 'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty of the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in response to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund more productive projects. [332] Minsky's and Papert's book *Perceptrons* was understood as proving that artificial neural networks would never be useful for solving real-world tasks, thus discrediting the approach altogether. [333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, followed.[9]\n\nIn the early 1980s, AI research was revived by the commercial success of expert systems, [334] a form of AI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired the U.S. and British governments to restore funding for academic research. [8] However, beginning with the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longerlasting winter began.[10]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# **Artificial intelligence**\n\n**Artificial intelligence** (**AI**), in its broadest sense, is intelligence exhibited by machines, particularly computer systems. It is a field of research in computer science that develops and studies methods and software that enable machines to perceive their environment and use learning and intelligence to take actions that maximize their chances of achieving defined goals.[1] Such machines may be called AIs.\n\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search); recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g., ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However, many AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general applications, often without being called AI because once something becomes useful enough and common enough it's not labeled AI anymore.\"[2][3]\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural language processing, perception, and support for robotics. [a] General intelligence—the ability to complete any task performed by a human on an at least equal level—is among the field's long-term goals.[4] To reach these goals, AI researchers have adapted and integrated a wide range of techniques, including search and mathematical optimization, formal logic, artificial neural networks, and methods based on statistics, operations research, and economics. [b] AI also draws upon psychology, linguistics, philosophy, neuroscience, and other fields.[5]\n\nArtificial intelligence was founded as an academic discipline in 1956,[6] and the field went through multiple cycles of optimism throughout its history, [7][8] followed by periods of disappointment and loss of funding, known as AI winters. [9][10] Funding and interest vastly increased after 2012 when deep learning outperformed previous AI techniques.[11] This growth accelerated further after 2017 with the transformer architecture, [12] and by the early 2020s many billions of dollars were being invested in AI and the field experienced rapid ongoing progress in what has become known as the AI boom. The emergence of advanced generative AI in the midst of the AI boom and its ability to create and modify content exposed several unintended consequences and harms in the present and raised concerns about the risks of AI and its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety and benefits of the technology.\n\n## **Goals**", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## **References**\n\n- 1. Russell & Norvig (2021), pp. 1–4.\n- 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n- 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". *Business Horizons*. **62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n- 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n- 5. Russell & Norvig (2021, §1.2).\n- 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC (1999, pp. 200–201) The proposal: McCarthy et al. (1955)\n- 7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– 107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n- 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n- 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell & Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, pp. 189–201)\n- 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier (1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n- 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n- 12. Toews (2023).\n- 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7–12)\n- 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel (1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n- 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n- 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n- 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319– 345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n- 18. Smoliar & Zhang (1994).\n- 19. Neumann & Möller (2008).\n- 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for the Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w eb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). Archived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. html) on 26 August 2007. Retrieved 30 August 2007.\nMcCarthy, John (2007), \"From Here to Human-Level AI\", *Artificial Intelligence*, p. 171\n\n- McCarthy, John (1999), *What is AI?* (http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde x.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi cial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved 4 December 2022\n- McCauley, Lee (2007). \"AI armageddon and the three laws of robotics\". *Ethics and Information Technology*. **9** (2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo c/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% 2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729 49).\n- McGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge discovery\". *The Knowledge Engineering Review*. **20** (1): 39–61. doi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408). S2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656).\n- McGaughey, E (2022), *Will Robots Automate Your Job Away? Full Employment, Basic Income, and Economic Democracy* (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), p. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448), archived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper s.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023\n- Merkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, Graham (eds.). *Search Methodologies: Introductory Tutorials in Optimization and Decision Support Techniques*. Springer Science & Business Media. ISBN 978-1-4614-6940-7.\n- Minsky, Marvin (1967), *Computation: Finite and Infinite Machines*, Englewood Cliffs, N.J.: Prentice-Hall\n- Moravec, Hans (1988). *Mind Children* (https://archive.org/details/mindchildrenfutu00mora). Harvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 July 2020. Retrieved 18 November 2019.\n- Morgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new s/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a nd-anxiety). *The Economist*. Archived (https://web.archive.org/web/20180112214621/https:// www.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une mployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved 13 January 2018.\n- Müller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among Experts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF). *AI Matters*. **1** (1): 9–11. doi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). S2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. archive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF) from the original on 15 January 2016.\n- Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". *Image and Vision Computing*. **26** (1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi. org/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co rpusID:10767011).\n\nNilsson, Nils (1995), \"Eyes on the Prize\", *AI Magazine*, vol. 16, pp. 9–17", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Glossary of artificial intelligence List of definitions of terms and concepts commonly used in the study of artificial intelligence\n- Intelligence amplification Use of information technology to augment human intelligence\n- Intelligent agent Software agent which acts autonomously\n- Mind uploading Hypothetical process of digitally emulating a brain\n- Organoid intelligence Use of brain cells and brain organoids for intelligent computing\n- Robotic process automation Form of business process automation technology\n- Wetware computer Computer composed of organic material\n\n## **Explanatory notes**\n\n- a. This list of intelligent traits is based on the topics covered by the major AI textbooks, including: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and Nilsson (1998)\n- b. This list of tools is based on the topics covered by the major AI textbooks, including: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and Nilsson (1998)\n- c. It is among the reasons that expert systems proved to be inefficient for capturing knowledge.[30][31]\n- d. \"Rational agent\" is general term used in economics, philosophy and theoretical artificial intelligence. It can refer to anything that directs its behavior to accomplish goals, such as a person, an animal, a corporation, a nation, or in the case of AI, a computer program.\n- e. Alan Turing discussed the centrality of learning as early as 1950, in his classic paper \"Computing Machinery and Intelligence\".[42] In 1956, at the original Dartmouth AI summer conference, Ray Solomonoff wrote a report on unsupervised probabilistic machine learning: \"An Inductive Inference Machine\".[43]\n- f. See AI winter § Machine translation and the ALPAC report of 1966\n- g. Compared with symbolic logic, formal Bayesian inference is computationally expensive. For inference to be tractable, most observations must be conditionally independent of one another. AdSense uses a Bayesian network with over 300 million edges to learn which ads to serve.[93]\n- h. Expectation–maximization, one of the most popular algorithms in machine learning, allows clustering in the presence of unknown latent variables. [95]\n- i. Some form of deep neural networks (without a specific learning algorithm) were described by: Warren S. McCulloch and Walter Pitts (1943)[115] Alan Turing (1948);[116] Karl Steinbuch and Roger David Joseph (1961).[117] Deep or recurrent networks that learned (or used gradient descent) were developed by: Frank Rosenblatt(1957);[116] Oliver Selfridge (1959);[117] Alexey Ivakhnenko and Valentin Lapa (1965);[118] Kaoru Nakano (1971);[119] Shun-Ichi Amari (1972);[119] John Joseph Hopfield (1982).[119] Precursors to backpropagation were developed by: Henry J. Kelley (1960);[116] Arthur E. Bryson (1962);[116] Stuart Dreyfus (1962);[116] Arthur E. Bryson and Yu-Chi Ho (1969);[116] Backpropagation was independently developed by: Seppo Linnainmaa (1970);[120] Paul Werbos (1974).[116]\n- j. Geoffrey Hinton said, of his work on neural networks in the 1990s, \"our labeled datasets were thousands of times too small. [And] our computers were millions of times too slow.\"[121]", - "page_start": 28, - "page_end": 28, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Edward Fredkin argues that \"artificial intelligence is the next step in evolution\", an idea first proposed by Samuel Butler's \"Darwin among the Machines\" as far back as 1863, and expanded upon by George Dyson in his 1998 book *Darwin Among the Machines: The Evolution of Global Intelligence*. [398]\n\n## **In fiction**\n\nThought-capable artificial beings have appeared as storytelling devices since antiquity, [399] and have been a persistent theme in science fiction. [400]\n\nA common trope in these works began with Mary Shelley's *Frankenstein*, where a human creation becomes a threat to its masters. This includes such works as Arthur C. Clarke's and Stanley Kubrick's *2001: A Space Odyssey* (both 1968), with HAL 9000, the murderous computer in charge of the *Discovery One* spaceship, as well as *The Terminator* (1984) and *The Matrix* (1999). In contrast, the rare loyal robots such as Gort from *The Day the Earth Stood Still* (1951) and\n\nThe word \"robot\" itself was coined by Karel Čapek in his 1921 play *R.U.R.*, the title standing for \"Rossum's Universal Robots\".\n\nBishop from *Aliens* (1986) are less prominent in popular culture.[401]\n\nIsaac Asimov introduced the Three Laws of Robotics in many stories, most notably with the \"Multivac\" super-intelligent computer. Asimov's laws are often brought up during lay discussions of machine ethics;[402] while almost all artificial intelligence researchers are familiar with Asimov's laws through popular culture, they generally consider the laws useless for many reasons, one of which is their ambiguity. [403]\n\nSeveral works use AI to force us to confront the fundamental question of what makes us human, showing us artificial beings that have the ability to feel, and thus to suffer. This appears in Karel Čapek's *R.U.R.*, the films *A.I. Artificial Intelligence* and *Ex Machina*, as well as the novel *Do Androids Dream of Electric Sheep?*, by Philip K. Dick. Dick considers the idea that our understanding of human subjectivity is altered by technology created with artificial intelligence.[404]\n\n## **See also**\n\n- Artificial intelligence and elections Use and impact of AI on political elections\n- Artificial intelligence content detection Software to detect AI-generated content\n- Behavior selection algorithm Algorithm that selects actions for intelligent agents\n- Business process automation Automation of business processes\n- Case-based reasoning Process of solving new problems based on the solutions of similar past problems\n- Computational intelligence Ability of a computer to learn a specific task from data or experimental observation\n- Digital immortality Hypothetical concept of storing a personality in digital form\n- Emergent algorithm Algorithm exhibiting emergent behavior\n- Female gendering of AI technologies Gender biases in digital technology", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt that this approach would be able to imitate all the processes of human cognition, especially perception, robotics, learning and pattern recognition, [335] and began to look into \"sub-symbolic\" approaches.[336] Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that move and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete and uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most important development was the revival of \"connectionism\", including neural network research, by Geoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural networks can recognize handwritten digits, the first of many successful applications of neural networks.[343]\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, economics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely used, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as the AI effect).[345] However, several academic researchers became concerned that AI was no longer pursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded institutions by the 2010s.[4]\n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11] For many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both hardware improvements (faster computers, [347] graphics processing units, cloud computing[348] ) and access to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's success led to an enormous increase in interest and funding in AI.[z] The amount of machine learning research (measured by total publications) increased by 50% in the years 2015–2019.[306]\n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine learning conferences, publications vastly increased, funding became available, and many researchers refocussed their careers on these issues. The alignment problem became a serious field of academic study. [283]\n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was released in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT, launched on November 30, 2022, became the fastest-growing consumer software application in history, gaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout year, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI boom, where large companies began investing billions of dollars in AI research. According to AI Impacts, about $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# **Areas of Exploration**\n\n#### **Support for Creators in the Time of Artificial Intelligence**\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. **MozFest**, **Wikimania**), and public events (e.g. symposium on **Generative AI & Creativity**)to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted **community-driven principles** on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n\"The Pillars of Creation\" by James Webb Space Telescope is licensed under CC BY 2.0.", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "U.S. Computer Science PhD graduates have specialized in \"AI\".[353] About 800,000 \"AI\"-related U.S. job openings existed in 2022.[354] According to PitchBook research, 22% of newly funded startups in 2024 claimed to be AI companies.[355]\n\n## **Philosophy**\n\nPhilosophical debates have historically sought to determine the nature of intelligence and how to make intelligent machines. [356] Another major focus has been whether machines can be conscious, and the associated ethical implications.[357] Many other topics in philosophy are relevant to AI, such as epistemology and free will. [358] Rapid advancements have intensified public discussions on the philosophy and ethics of AI. [357]\n\n## **Defining artificial intelligence**\n\nAlan Turing wrote in 1950 \"I propose to consider the question 'can machines think'?\"[359] He advised changing the question from whether a machine \"thinks\", to \"whether or not it is possible for machinery to show intelligent behaviour\".[359] He devised the Turing test, which measures the ability of a machine to simulate human conversation.[323] Since we can only observe the behavior of the machine, it does not matter if it is \"actually\" thinking or literally has a \"mind\". Turing notes that we can not determine these things about other people but \"it is usual to have a polite convention that everyone thinks.\"[360]\n\nRussell and Norvig agree with Turing that intelligence must be defined in terms of external behavior, not internal structure.[1] However, they are critical that the test requires the machine to imitate humans. \"Aeronautical engineering texts\", they wrote, \"do not define the goal of their field as making 'machines that fly so exactly like pigeons that they can fool other pigeons.' \" [362] AI founder John McCarthy agreed, writing that \"Artificial intelligence is not, by definition, simulation of human intelligence\".[363]\n\nMcCarthy defines intelligence as \"the computational part of the ability to achieve goals in the world\".[364] Another AI founder, Marvin Minsky similarly describes it as \"the ability to solve hard problems\".[365] The leading AI textbook defines it as the study of\n\nThe Turing test can provide some evidence of intelligence, but it penalizes non-human intelligent behavior. [361]\n\nagents that perceive their environment and take actions that maximize their chances of achieving defined goals.[1] These definitions view intelligence in terms of well-defined problems with well-defined solutions, where both the difficulty of the problem and the performance of the program are direct measures of the \"intelligence\" of the machine—and no other philosophical discussion is required, or may not even be possible.\n\nAnother definition has been adopted by Google,[366] a major practitioner in the field of AI. This definition stipulates the ability of systems to synthesize information as the manifestation of intelligence, similar to the way it is defined in biological intelligence.", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Gibbs, Samuel (27 October 2014). \"Elon Musk: artificial intelligence is our biggest existential threat\" (https://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligenc e-ai-biggest-existential-threat). *The Guardian*. Archived (https://web.archive.org/web/201510 30054330/http://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligen ce-ai-biggest-existential-threat) from the original on 30 October 2015. Retrieved 30 October 2015.\n- Goffrey, Andrew (2008). \"Algorithm\". In Fuller, Matthew (ed.). *Software studies: a lexicon* (http s://archive.org/details/softwarestudiesl00full_007). Cambridge, Mass.: MIT Press. pp. 15 (htt ps://archive.org/details/softwarestudiesl00full_007/page/n29)–20. ISBN 978-1-4356-4787-9.\n- Goldman, Sharon (14 September 2022). \"10 years later, deep learning 'revolution' rages on, say AI pioneers Hinton, LeCun and Li\" (https://venturebeat.com/ai/10-years-on-ai-pioneers-hinto n-lecun-li-say-deep-learning-revolution-will-continue). *VentureBeat*. Archived (https://web.arc hive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le cun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024. Retrieved 8 December 2023.\n- Good, I. J. (1965), *Speculations Concerning the First Ultraintelligent Machine* (https://exhibits.st anford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230 710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original on 10 July 2023, retrieved 5 October 2024\n- Goodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016), *Deep Learning* (https://web.archive.or g/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the original (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017\n- Goodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a 'right to explanation' \". *AI Magazine*. **38** (3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606. 08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741). S2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959).\n- Government Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses Risks to Privacy (https://www.gao.gov/products/gao-22-106096). *gao.gov* (Report). Archived (https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609 6) from the original on 13 September 2024. Retrieved 5 October 2024.\n- Grant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And Neither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl e-apple.html). *The New York Times*. Archived (https://web.archive.org/web/2024091415503 2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from the original on 14 September 2024. Retrieved 5 October 2024.\n- Goswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0 4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html). *CNBC*. Archived (http s://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the -state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023. Retrieved 19 June 2023.\n- Harari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic. com/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330). *The Atlantic*. Archived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi ne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25 September 2021. Retrieved 23 September 2021.\n- Harari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v= LWiM-LuRe6w). *YouTube*. Archived (https://web.archive.org/web/20240930110823/https://w ww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024. Retrieved 5 October 2024.\n- Haugeland, John (1985). *Artificial Intelligence: The Very Idea*. Cambridge, Mass.: MIT Press. ISBN 978-0-2620-8153-5.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What would a superintelligence need?", - "target_page": 27, - "target_passage": "possess intelligence far surpassing that of the brightest and most gifted human mind.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## **References**\n\n- 1. Russell & Norvig (2021), pp. 1–4.\n- 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n- 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". *Business Horizons*. **62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n- 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n- 5. Russell & Norvig (2021, §1.2).\n- 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC (1999, pp. 200–201) The proposal: McCarthy et al. (1955)\n- 7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– 107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n- 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n- 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell & Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, pp. 189–201)\n- 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier (1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n- 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n- 12. Toews (2023).\n- 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7–12)\n- 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel (1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n- 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n- 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n- 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319– 345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n- 18. Smoliar & Zhang (1994).\n- 19. Neumann & Möller (2008).\n- 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "show that even a computer capable of perfectly simulating human behavior would not have a mind.[387]\n\n#### **AI welfare and rights**\n\nIt is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel), and if so, to what degree.[388] But if there is a significant chance that a given machine can feel and suffer, then it may be entitled to certain rights or welfare protection measures, similarly to animals.[389][390] Sapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may provide another moral basis for AI rights.[389] Robot rights are also sometimes proposed as a practical way to integrate autonomous agents into society. [391]\n\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI systems. Similarly to the legal status of companies, it would have conferred rights but also responsibilities.[392] Critics argued in 2018 that granting rights to AI systems would downplay the importance of human rights, and that legislation should focus on user needs rather than speculative futuristic scenarios. They also noted that robots lacked the autonomy to take part to society on their own.[393][394]\n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI sentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot analogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created and carelessly exploited.[390][389]\n\n## **Future**\n\n### **Superintelligence and the singularity**\n\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the brightest and most gifted human mind.[379] If research into artificial general intelligence produced sufficiently intelligent software, it might be able to reprogram and improve itself. The improved software would be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and Vernor Vinge called a \"singularity\".[395]\n\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped curve, slowing when they reach the physical limits of what the technology can do.[396]\n\n### **Transhumanism**\n\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted that humans and machines may merge in the future into cyborgs that are more capable and powerful than either. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert Ettinger. [397]", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia3.pdf" - }, - { - "text": "#### **Existential risk**\n\nIt has been argued AI will become so powerful that humanity may irreversibly lose control of it. This could, as physicist Stephen Hawking stated, \"spell the end of the human race\".[265] This scenario has been common in science fiction, when a computer or robot suddenly develops a human-like \"self-awareness\" (or \"sentience\" or \"consciousness\") and becomes a malevolent character. [q] These sci-fi scenarios are misleading in several ways.\n\nFirst, AI does not require human-like sentience to be an existential risk. Modern AI programs are given specific goals and use learning and intelligence to achieve them. Philosopher Nick Bostrom argued that if one gives *almost any* goal to a sufficiently powerful AI, it may choose to destroy humanity to achieve it (he used the example of a paperclip factory manager).[267] Stuart Russell gives the example of household robot that tries to find a way to kill its owner to prevent it from being unplugged, reasoning that \"you can't fetch the coffee if you're dead.\"[268] In order to be safe for humanity, a superintelligence would have to be genuinely aligned with humanity's morality and values so that it is \"fundamentally on our side\".[269]\n\nSecond, Yuval Noah Harari argues that AI does not require a robot body or physical control to pose an existential risk. The essential parts of civilization are not physical. Things like ideologies, law, government, money and the economy are built on language; they exist because there are stories that billions of people believe. The current prevalence of misinformation suggests that an AI could use language to convince people to believe anything, even to take actions that are destructive.[270]\n\nThe opinions amongst experts and industry insiders are mixed, with sizable fractions both concerned and unconcerned by risk from eventual superintelligent AI.[271] Personalities such as Stephen Hawking, Bill Gates, and Elon Musk, [272] as well as AI pioneers such as Yoshua Bengio, Stuart Russell, Demis Hassabis, and Sam Altman, have expressed concerns about existential risk from AI.\n\nIn May 2023, Geoffrey Hinton announced his resignation from Google in order to be able to \"freely speak out about the risks of AI\" without \"considering how this impacts Google.\"[273] He notably mentioned risks of an AI takeover, [274] and stressed that in order to avoid the worst outcomes, establishing safety guidelines will require cooperation among those competing in use of AI.[275]\n\nIn 2023, many leading AI experts endorsed the joint statement that \"Mitigating the risk of extinction from AI should be a global priority alongside other societal-scale risks such as pandemics and nuclear war\".[276]\n\nSome other researchers were more optimistic. AI pioneer Jürgen Schmidhuber did not sign the joint statement, emphasising that in 95% of all cases, AI research is about making \"human lives longer and healthier and easier.\"[277] While the tools that are now being used to improve lives can also be used by bad actors, \"they can also be used against the bad actors.\"[278][279] Andrew Ng also argued that \"it's a mistake to fall for the doomsday hype on AI—and that regulators who do will only benefit vested interests.\"[280] Yann LeCun \"scoffs at his peers' dystopian scenarios of supercharged misinformation and even, eventually, human extinction.\"[281] In the early 2010s, experts argued that the risks are too distant in", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The general problem of simulating (or creating) intelligence has been broken into subproblems. These consist of particular traits or capabilities that researchers expect an intelligent system to display. The traits described below have received the most attention and cover the scope of AI research.[a]\n\n## **Reasoning and problem-solving**\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they solve puzzles or make logical deductions. [13] By the late 1980s and 1990s, methods were developed for dealing with uncertain or incomplete information, employing concepts from probability and economics. [14]\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a \"combinatorial explosion\": They become exponentially slower as the problems grow. [15] Even humans rarely use the step-by-step deduction that early AI research could model. They solve most of their problems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\n\n### **Knowledge representation**\n\nKnowledge representation and knowledge engineering[17] allow AI programs to answer questions intelligently and make deductions about real-world facts. Formal knowledge representations are used in content-based indexing and retrieval,[18] scene interpretation,[19] clinical decision support,[20] knowledge discovery (mining \"interesting\" and actionable inferences from large databases),[21] and other areas.[22]\n\nA knowledge base is a body of knowledge represented in a form that can be used by a program. An ontology is the set of objects, relations, concepts, and properties used by a particular domain of knowledge.[23] Knowledge bases need to represent things such as objects, properties, categories, and relations between objects;[24] situations, events, states, and time;[25] causes and effects;[26] knowledge about knowledge (what we know about what other people\n\nAn ontology represents knowledge as a set of concepts within a domain and the relationships between those concepts.\n\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will remain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense knowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic form of most commonsense knowledge (much of what people know is not represented as \"facts\" or \"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition, the problem of obtaining knowledge for AI applications.[c]\n\n## **Planning and decision-making**", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Finding a provably correct or optimal solution is intractable for many important problems.[15] Soft computing is a set of techniques, including genetic algorithms, fuzzy logic and neural networks, that are tolerant of imprecision, uncertainty, partial truth and approximation. Soft computing was introduced in the late 1980s and most successful AI programs in the 21st century are examples of soft computing with neural networks.\n\n#### **Narrow vs. general AI**\n\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and superintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these solutions will lead indirectly to the field's long-term goals.[378][379] General intelligence is difficult to define and difficult to measure, and modern AI has had more verifiable successes by focusing on specific problems with specific solutions. The sub-field of artificial general intelligence studies this area exclusively.\n\n#### **Machine consciousness, sentience, and mind**\n\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental states, in the same sense that human beings do. This issue considers the internal experiences of the machine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because it does not affect the goals of the field: to build machines that can solve problems using intelligence. Russell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way humans are is not one that we are equipped to take on.\"[380] However, the question has become central to the philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction.\n\n#### **Consciousness**\n\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and \"easy\" problems of consciousness.[381] The easy problem is understanding how the brain processes signals, makes plans and controls behavior. The hard problem is explaining how this *feels* or why it should feel like anything at all, assuming we are right in thinking that it truly does feel like something (Dennett's consciousness illusionism says this is an illusion). While human information processing is easy to explain, human subjective experience is difficult to explain. For example, it is easy to imagine a colorblind person who has learned to identify which objects in their field of view are red, but it is not clear what would be required for the person to *know what red looks like*. [382]\n\n#### **Computationalism and functionalism**\n\nComputationalism is the position in the philosophy of mind that the human mind is an information processing system and that thinking is a form of computing. Computationalism argues that the relationship between mind and body is similar or identical to the relationship between software and hardware and thus may be a solution to the mind–body problem. This philosophical position was inspired by the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by philosophers Jerry Fodor and Hilary Putnam. [383]\n\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed computer with the right inputs and outputs would thereby have a mind in exactly the same sense human beings have minds.\"[ac] Searle challenges this claim with his Chinese room argument, which attempts to", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia3.pdf" - }, - { - "text": "that runs inputs through biologically inspired artificial neural networks for all of these types of learning.[48]\n\nComputational learning theory can assess learners by computational complexity, by sample complexity (how much data is required), or by other notions of optimization. [49]\n\n### **Natural language processing**\n\nNatural language processing (NLP)[50] allows programs to read, write and communicate in human languages such as English. Specific problems include speech recognition, speech synthesis, machine translation, information extraction, information retrieval and question answering. [51]\n\nEarly work, based on Noam Chomsky's generative grammar and semantic networks, had difficulty with word-sense disambiguation[f] unless restricted to small domains called \"micro-worlds\" (due to the common sense knowledge problem[29] ). Margaret Masterman believed that it was meaning and not grammar that was the key to understanding languages, and that thesauri and not dictionaries should be the basis of computational language structure.\n\nModern deep learning techniques for NLP include word embedding (representing words, typically as vectors encoding their meaning),[52] transformers (a deep learning architecture using an attention mechanism),[53] and others.[54] In 2019, generative pre-trained transformer (or \"GPT\") language models began to generate coherent text,[55][56] and by 2023, these models were able to get human-level scores on the bar exam, SAT test, GRE test, and many other real-world applications.[57]\n\n### **Perception**\n\nMachine perception is the ability to use input from sensors (such as cameras, microphones, wireless signals, active lidar, sonar, radar, and tactile sensors) to deduce aspects of the world. Computer vision is the ability to analyze visual input.[58]\n\nThe field includes speech recognition, [59] image classification, [60] facial recognition, object recognition, [61]object tracking, [62] and robotic perception. [63]\n\n### **Social intelligence**\n\nAffective computing is a field that comprises systems that recognize, interpret, process, or simulate human feeling, emotion, and mood. [65] For example, some virtual assistants are programmed to speak conversationally or even to banter humorously; it makes them appear more sensitive to the emotional dynamics of human interaction, or to otherwise facilitate human– computer interaction.\n\nHowever, this tends to give naïve users an unrealistic conception of the intelligence of existing computer agents.[66] Moderate successes related to affective computing include textual sentiment\n\nKismet, a robot head which was made in the 1990s; it is a machine that can recognize and simulate emotions. [64]", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Gibbs, Samuel (27 October 2014). \"Elon Musk: artificial intelligence is our biggest existential threat\" (https://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligenc e-ai-biggest-existential-threat). *The Guardian*. Archived (https://web.archive.org/web/201510 30054330/http://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligen ce-ai-biggest-existential-threat) from the original on 30 October 2015. Retrieved 30 October 2015.\n- Goffrey, Andrew (2008). \"Algorithm\". In Fuller, Matthew (ed.). *Software studies: a lexicon* (http s://archive.org/details/softwarestudiesl00full_007). Cambridge, Mass.: MIT Press. pp. 15 (htt ps://archive.org/details/softwarestudiesl00full_007/page/n29)–20. ISBN 978-1-4356-4787-9.\n- Goldman, Sharon (14 September 2022). \"10 years later, deep learning 'revolution' rages on, say AI pioneers Hinton, LeCun and Li\" (https://venturebeat.com/ai/10-years-on-ai-pioneers-hinto n-lecun-li-say-deep-learning-revolution-will-continue). *VentureBeat*. Archived (https://web.arc hive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le cun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024. Retrieved 8 December 2023.\n- Good, I. J. (1965), *Speculations Concerning the First Ultraintelligent Machine* (https://exhibits.st anford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230 710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original on 10 July 2023, retrieved 5 October 2024\n- Goodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016), *Deep Learning* (https://web.archive.or g/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the original (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017\n- Goodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a 'right to explanation' \". *AI Magazine*. **38** (3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606. 08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741). S2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959).\n- Government Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses Risks to Privacy (https://www.gao.gov/products/gao-22-106096). *gao.gov* (Report). Archived (https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609 6) from the original on 13 September 2024. Retrieved 5 October 2024.\n- Grant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And Neither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl e-apple.html). *The New York Times*. Archived (https://web.archive.org/web/2024091415503 2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from the original on 14 September 2024. Retrieved 5 October 2024.\n- Goswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0 4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html). *CNBC*. Archived (http s://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the -state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023. Retrieved 19 June 2023.\n- Harari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic. com/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330). *The Atlantic*. Archived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi ne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25 September 2021. Retrieved 23 September 2021.\n- Harari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v= LWiM-LuRe6w). *YouTube*. Archived (https://web.archive.org/web/20240930110823/https://w ww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024. Retrieved 5 October 2024.\n- Haugeland, John (1985). *Artificial Intelligence: The Very Idea*. Cambridge, Mass.: MIT Press. ISBN 978-0-2620-8153-5.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Some authors have suggested in practice, that the definition of AI is vague and difficult to define, with contention as to whether classical algorithms should be categorised as AI,[367] with many companies during the early 2020s AI boom using the term as a marketing buzzword, often even if they did \"not actually use AI in a material way\".[368]\n\n### **Evaluating approaches to AI**\n\nNo established unifying theory or paradigm has guided AI research for most of its history. [aa] The unprecedented success of statistical machine learning in the 2010s eclipsed all other approaches (so much so that some sources, especially in the business world, use the term \"artificial intelligence\" to mean \"machine learning with neural networks\"). This approach is mostly sub-symbolic, soft and narrow. Critics argue that these questions may have to be revisited by future generations of AI researchers.\n\n#### **Symbolic AI and its limits**\n\nSymbolic AI (or \"GOFAI\")[370] simulated the high-level conscious reasoning that people use when they solve puzzles, express legal reasoning and do mathematics. They were highly successful at \"intelligent\" tasks such as algebra or IQ tests. In the 1960s, Newell and Simon proposed the physical symbol systems hypothesis: \"A physical symbol system has the necessary and sufficient means of general intelligent action.\"[371]\n\nHowever, the symbolic approach failed on many tasks that humans solve easily, such as learning, recognizing an object or commonsense reasoning. Moravec's paradox is the discovery that high-level \"intelligent\" tasks were easy for AI, but low level \"instinctive\" tasks were extremely difficult.[372] Philosopher Hubert Dreyfus had argued since the 1960s that human expertise depends on unconscious instinct rather than conscious symbol manipulation, and on having a \"feel\" for the situation, rather than explicit symbolic knowledge.[373] Although his arguments had been ridiculed and ignored when they were first presented, eventually, AI research came to agree with him.[ab][16]\n\nThe issue is not resolved: sub-symbolic reasoning can make many of the same inscrutable mistakes that human intuition does, such as algorithmic bias. Critics such as Noam Chomsky argue continuing research into symbolic AI will still be necessary to attain general intelligence,[375][376] in part because subsymbolic AI is a move away from explainable AI: it can be difficult or impossible to understand why a modern statistical AI program made a particular decision. The emerging field of neuro-symbolic artificial intelligence attempts to bridge the two approaches.\n\n#### **Neat vs. scruffy**\n\n\"Neats\" hope that intelligent behavior is described using simple, elegant principles (such as logic, optimization, or neural networks). \"Scruffies\" expect that it necessarily requires solving a large number of unrelated problems. Neats defend their programs with theoretical rigor, scruffies rely mainly on incremental testing to see if they work. This issue was actively discussed in the 1970s and 1980s,[377] but eventually was seen as irrelevant. Modern AI has elements of both.\n\n#### **Soft vs. hard computing**", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia3.pdf" - }, - { - "text": "consciousness, namely the neural correlates of various conscious processes.[22] This more modest goal is the focus of most scientists working on consciousness.[133] Psychologist Susan Blackmore believes, by contrast, that the search for the neural correlates of consciousness is futile and itself predicated on an erroneous belief in the hard problem of consciousness.[134]\n\n### **Computational cognition**\n\nA functionalist view in cognitive science holds that the mind is an information processing system, and that cognition and consciousness together are a form of computation. Cognition, distinct from consciousness, is explained by neural computation in the computational theory of cognition. The computational theory of mind asserts that not only cognition, but also phenomenal consciousness or qualia, are computational. While the computation system is realized by neurons rather than electronics, in theory it would be possible for artificial intelligence to be conscious.\n\n### **Integrated information theory**\n\nIntegrated information theory (IIT), developed by the neuroscientist and psychiatrist Giulio Tononi in 2004 and more recently also advocated by Koch, is one of the most discussed models of consciousness in neuroscience and elsewhere.[135][136] The theory proposes an identity between consciousness and integrated information, with the latter item (denoted as Φ) defined mathematically and thus in principle measurable.[136][137] The hard problem of consciousness, write Tononi and Koch, may indeed be intractable when working from matter to consciousness.[15] However, because IIT inverts this relationship and works from phenomenological axioms to matter, they say it could be able to solve the hard problem.[15] In this vein, proponents have said the theory goes beyond identifying human neural correlates and can be extrapolated to all physical systems. Tononi wrote (along with two colleagues):\n\n> While identifying the \"neural correlates of consciousness\" is undoubtedly important, it is hard to see how it could ever lead to a satisfactory explanation of what consciousness is and how it comes about. As will be illustrated below, IIT offers a way to analyze systems of mechanisms to determine if they are properly structured to give rise to consciousness, how much of it, and of which kind.[138]\n\nAs part of a broader critique of IIT, Michael Cerullo suggested that the theory's proposed explanation is in fact for what he dubs (following Scott Aaronson) the \"Pretty Hard Problem\" of methodically inferring which physical systems are conscious—but would not solve Chalmers' hard problem.[136] \"Even if IIT is correct,\" he argues, \"it does not explain why integrated information generates (or is) consciousness.\"[136] Chalmers agrees that IIT, if correct, would solve the \"Pretty Hard Problem\" rather than the hard problem.[139]\n\n### **Global workspace theory**\n\nGlobal workspace theory (GWT) is a cognitive architecture and theory of consciousness proposed by the cognitive psychologist Bernard Baars in 1988.[140] Baars explains the theory with the metaphor of a theater, with conscious processes represented by an illuminated stage.[140] This theater integrates inputs", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- Simon, H. A. (1965), *The Shape of Automation for Men and Management*, New York: Harper & Row\n- Simonite, Tom (31 March 2016). \"How Google Plans to Solve Artificial Intelligence\" (https://www. technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligence). *MIT Technology Review*. Archived (https://web.archive.org/web/20240916003430/https://ww w.technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligenc e/) from the original on 16 September 2024. Retrieved 5 October 2024.\n- Smith, Craig S. (15 March 2023). \"ChatGPT-4 Creator Ilya Sutskever on AI Hallucinations and AI Democracy\" (https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sutsk ever-on-ai-hallucinations-and-ai-democracy). *Forbes*. Archived (https://web.archive.org/web/ 20240918141325/https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sut skever-on-ai-hallucinations-and-ai-democracy/) from the original on 18 September 2024. Retrieved 25 December 2023.\n- Smoliar, Stephen W.; Zhang, HongJiang (1994). \"Content based video indexing and retrieval\". *IEEE MultiMedia*. **1** (2): 62–72. doi:10.1109/93.311653 (https://doi.org/10.1109%2F93.3116 53). S2CID 32710913 (https://api.semanticscholar.org/CorpusID:32710913).\n- Solomonoff, Ray (1956). *An Inductive Inference Machine* (http://world.std.com/~rjs/indinf56.pdf) (PDF). Dartmouth Summer Research Conference on Artificial Intelligence. Archived (https:// web.archive.org/web/20110426161749/http://world.std.com/~rjs/indinf56.pdf) (PDF) from the original on 26 April 2011. Retrieved 22 March 2011 – via std.com, pdf scanned copy of the original. Later published as\n\nSolomonoff, Ray (1957). \"An Inductive Inference Machine\". *IRE Convention Record*. Vol. Section on Information Theory, part 2. pp. 56–62.\n\n- Stanford University (2023). \"Artificial Intelligence Index Report 2023/Chapter 6: Policy and Governance\" (https://aiindex.stanford.edu/wp-content/uploads/2023/04/HAI_AI-Index-Report -2023_CHAPTER_6-1.pdf) (PDF). AI Index. Archived (https://web.archive.org/web/2023061 9013609/https://aiindex.stanford.edu/wp-content/uploads/2023/04/HAI_AI-Index-Report-202 3_CHAPTER_6-1.pdf) (PDF) from the original on 19 June 2023. Retrieved 19 June 2023.\n- Tao, Jianhua; Tan, Tieniu (2005). *Affective Computing and Intelligent Interaction*. Affective Computing: A Review. Lecture Notes in Computer Science. Vol. 3784. Springer. pp. 981– 995. doi:10.1007/11573548 (https://doi.org/10.1007%2F11573548). ISBN 978-3-5402-9621- 8.\n- Taylor, Josh; Hern, Alex (2 May 2023). \" 'Godfather of AI' Geoffrey Hinton quits Google and warns over dangers of misinformation\" (https://www.theguardian.com/technology/2023/may/ 02/geoffrey-hinton-godfather-of-ai-quits-google-warns-dangers-of-machine-learning). *The Guardian*. Archived (https://web.archive.org/web/20241005171343/https://www.theguardian. com/technology/2023/may/02/geoffrey-hinton-godfather-of-ai-quits-google-warns-dangers-of -machine-learning) from the original on 5 October 2024. Retrieved 5 October 2024.\n- Thompson, Derek (23 January 2014). \"What Jobs Will the Robots Take?\" (https://www.theatlanti c.com/business/archive/2014/01/what-jobs-will-the-robots-take/283239). *The Atlantic*. Archived (https://web.archive.org/web/20180424202435/https://www.theatlantic.com/busine ss/archive/2014/01/what-jobs-will-the-robots-take/283239) from the original on 24 April 2018. Retrieved 24 April 2018.\n- Thro, Ellen (1993). *Robotics: The Marriage of Computers and Machines* (https://archive.org/det ails/isbn_9780816026289). New York: Facts on File. ISBN 978-0-8160-2628-9. Archived (htt ps://web.archive.org/web/20200726131505/https://archive.org/details/isbn_9780816026289) from the original on 26 July 2020. Retrieved 22 August 2020.\n- Toews, Rob (3 September 2023). \"Transformers Revolutionized AI. What Will Replace Them?\" (https://www.forbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-willreplace-them). *Forbes*. Archived (https://web.archive.org/web/20231208232145/https://www. forbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will-replace-the m/) from the original on 8 December 2023. Retrieved 8 December 2023.", - "page_start": 63, - "page_end": 63, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "Where can I find the Inspect tool to evaluate the safety of our models?", - "target_page": 21, - "target_passage": "The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations available under a MIT open-source licence which is freely available on GitHub", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Figure 2.12. Engine Governing and Instrumentation", - "page_start": 139, - "page_end": 139, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## **INDEX**\n\n| Maintenance | 1 |\n| --- | --- |\n| Model AY11240/Model AY11238 | 2-5 |\n| Model AY11228/Model AY11232 | 6-9 |\n| Model AY11230/Model AY11234 | 10-13 |\n| Model AY11236 | 14-18 |\n| Warranty Information | Back Cover |\n\n### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32oF to 104oF.\n- 3. Do not use this instrument in an environment with a lot of dust. **Cover the instrument when not in use.**\n- 4. Do not subject the instrument to shock.\n\n## **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios: Wet weather: 1:2\n\nDry Weather: 1:1\n\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n# **MODEL AY11240/AY11238**\n\n## **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90o vertical to 45o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45o angle. The head rotates 360o. The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "*Figure 8 – Error message dialog.*", - "page_start": 41, - "page_end": 41, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "You can also choose **SAS Chain View** to view directly attached expansion enclosures, as shown in Figure 5-34. A useful view of the entire SAS chain is displayed, with selectable components that show port numbers and canister numbers, along with a cable diagram for easy cable tracking.\n\n*Figure 5-34 SAS Chain View*\n\nYou can select any Enclosure to get more information, including serial number and model type, as shown in Figure 5-35 where Expansion Enclosure 3 is selected. You can also see the Events and Component Details areas on the right side of the pane, which shows information that relates to the enclosure or component you select.\n\n*Figure 5-35 Enclosure Details*", - "page_start": 172, - "page_end": 172, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 6.17. Rotor Autorotation Flaw Conditions", - "page_start": 423, - "page_end": 423, - "source_file": "00-80T-80.pdf" - }, - { - "text": "# **Acknowledgements**\n\nEU-OSHA wishes to thank the European Commission, Directorate-General for Employment, Social Affairs and Inclusion for their contributions and support, in particular Matthias Fritz.\n\nThanks to Jukka Takala, Subas Neupane and Päivi Hämäläinen for the provision of their estimates of the global burden of disease. EU-OSHA also thanks Frank Pega and Natalie Momen from the World Health Organization (WHO) for the kind provision of an extract of EU27 data from its Occupational Burden of Disease database. Joana Soares and Réka Zayzon have meticulously checked data and calculations of this report.\n\nLead author: Lothar Lieck (EU-OSHA)\n\nCo-authors and contributors: Ioannis Anyfantis, Xabier Irastorza, Lorenzo Munar, Birgit Müller, Malgorzata Milczarek, William Cockburn, Andrew Smith (EU-OSHA).\n\nFind more up-to-date information and data on occupational safety and health in Europe in the **OSH Barometer data visualisation tool**: https://visualisation.osha.europa.eu/osh-barometer\n\nThe tool informs on a large range of OSH indicators, such as work-related accidents, diseases and wellbeing as well as working conditions and prevention. It also presents the national OSH authorities and strategies, economic and sector information, and enforcement capacity.\n\nYou can visualise and compare country data, generate graphics and download a report of all data per country. The OSH Barometer is updated regularly with new indicators, data, publications and features.", - "page_start": 8, - "page_end": 8, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "*Figure 2: EDP Home Page (lower part)*", - "page_start": 8, - "page_end": 8, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "### *Figure 49. Consistency screen – message \"Loading data\"*\n\n| Description | Check | |\n| --- | --- | --- |\n| D- Consistency | check year Consistency | |\n| - 1990 | check year 1990 | |\n| - 1991 | check year 1991 | |\n| - 1993 | check year 1993 | |\n| - 1994 | check year 1994 | |\n| - 1995 - 2012 | check year 1995 check year 2012 | |\n| | | Loading data ... |\n| 0 O EJS Tree Grid v8:1 | | |\n\nIf no data has changed after the recalculation, the message \"No data found\" will appear on the screen (figure 50), otherwise a list of calculated data sorted by order of calculation will be displayed on the right hand side box (figure 51).\n\n### *Figure 50. Consistency screen – message \"No data found\"*\n\n| Description | Check | Description | value | CATEGORY | CLASSIFICA® |\n| --- | --- | --- | --- | --- | --- |\n| -- Consistency | check year Consistency | No data found | | | |\n| - 1990 | check year 1990 | | | | |\n| 1991 | check year 1991 | | | | |\n| 1993 | check year 1993 | | | | |\n| 1994 | check year 1994 | | | | |\n| - 1995 | check year 1995 | | | | |\n| - 2012 | check year 2012 | | | | |\n\n### *Figure 51. Consistency screen – list of calculated data*\n\n| Description | Check | Description value CATEGORY CLASSIFIC |\n| --- | --- | --- |\n| C- Consistency | check year | AB Fuel Combustion - Reference Approach - Carbon Stored in Prod 0.50 Carbon Stored - Ref: Gas/Diesel |\n| | Consistency | |\n| 1990 | check year 1990 | |\n| - 1991 | check year 1991 | AB Fuel Combustion - Reference Approach - Solid Fuels - Coking C 0.00 Carbon Stored - Refi Coal Oils ar |\n| - 1993 | check year 1993 | |\n| - 1994 | | |\n| | | A.2 Manufacturing Industries and Construction - Carbon Stored in P. 0.80 Carbon Stored in Pro Liquefied Pr |\n| - 2012 | check year 2012 | A.2 Manufacturing Industries and Construction - Carbon Stored in P. 0.00 Carbon Stored in Pro Liquefied Pr |\n| | | .B.1.a.1.i Mining CATEGORY:Underground Mines, CLASSIFICATIO) 0.67 Underground Mines Mining |\n| | | .B.1.a.1.i Mining CATEGORY:Underground Mines, CLASSIFICATIO 0.00 Underground Mines Mining |\n| | | 6.A.2.1 Deep (>= 5m) CATEGORY:Deep, CLASSIFICATION:Waste 0.80 Deep Waste |\n| | | 6 A. 2 1 Deep (>= 5m) CATEGORY:Deep, CLASSIFICATION:Waste 0.00 Deep Waste |\n| | | 6A.2.1 Deep (>= 5m) CATEGORY: Deep, CLASSIFICATION: Waste 0.00 Deep Waste |\n| | | 6A.2.1 Deep (>= 5m) CATEGORY: Deep, CLASSIFICATION: Waste 0.00 Deep Waste |\n| | | 6.A.2.1 Deep (>=5m) CATEGORY: Deep, CLASSIFICATION: Waste 0.00 Deep Waste |\n| | | 6.A.2.2 Shallow (< 5m) CATEGORY: Shallow, CLASSIFICATION:Wa 0.80 Shallow Waste 4 |\n| | | . A |\n| A | | |\n| | | AB Fuel Combustion - Reference Approach - Carbon Stored in Prod 0.00 Carbon Stored - Refi Gas/Diesel |\n| | | AB Fuel Combustion - Reference Approach - Carbon Stored in Prod 0.75 Carbon Stored - Ref. Coal Dils ar |\n| | | AB Fuel Combustion - Reference Approach - Carbon Stored in Prod 0.80 Carbon Stored - Refi Ethane |\n| | check year 1994 | AB Fuel Combustion - Reference Approach - Liquid Fuels - Ethane 1 0.00 Carbon Stored - Refi Ethane |\n| - 1895 | check year 1995. | |\n| | | 6.A.2.1 Deep (>= 5m) CATEGORY: Deep, CLASSIFICATION: Waste 0.00 Deep |\n| | | Waste |\n| | | 6 A. 2 1 Deep [>= 5m] CATEGORY: Deep, CLASSIFICATION: Waste 0.00 Deep Waste |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 0.20 03 Catalytic Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 42.60 07 Catalytic Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 . Ozone Precursors and 0.60. Ol Catalytic Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 1.50 01 Catalytic Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 . Tier 2 . Ozone Precursors and 0.00 0% Catalytic Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 0.00 01 Catalyno Cr. |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 0.00 07 Catalytic Ci- |\n| | | .B.2.a.2 Ozone Precursors and SO2 - Tier 2 - Ozone Precursors and 0.00 01 Catalytic Cr. |", - "page_start": 33, - "page_end": 33, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "### *Figure 46. Completeness screen – Example*", - "page_start": 31, - "page_end": 31, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "# **10.3 Send for checking (PM)**\n\nOnce the SE's/or PM's have prepared the national GHG inventory, by entering data into the sectoral grids and the PM of the Party has checked the complete GHG inventory for consistency and correctness, the following steps allows the PM to send the inventory for checking:\n\n- 1. Log in as PM.\n- 2. Click on \"View Inventories Progress\" under sub menu \"Submission Management\".\n- 3. The \"View Inventories Progress\" screen appears.\n- 4. Select the appropriate inventory by clicking the Inventory name under column \"Name\" (figure 58, a).\n- 5. Press the \"Send for Checking by NFP\" button to send it to the NFP for his review and approval (figure 58, b). *** Note: A notification email will be sent to the NFP email address, and the status changed to \"check\" (figure 59).\n\n### *Figure 58. Work on Inventories screen – Status = Started*\n\n| Name | Submiss Creator | Creation date | Status | Updater | Submission date Energy | | Industrial Proces So | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| UNFCCC_2013_15_Inventory | UNFCCC PM | Mon Aug 05 23:27:04 CEST 2013 | started | UNFCCC PM | | િ | D | |\n| | a) | | | | | | | |\n| | ﺮ | | | | | | | |\n| Co EdJS EJS TreeGrid V9.2 | | | | | | | | |\n| General Properties | - | Sector | | D | Inventory Years | | | D |\n| Name | | Energy | | | 1990 | | | |\n| Working Inventory | | Industrial Processes | | | 1981 | | | |\n| Submission year | | Solvent and other product use | | | 1992 | | | |\n| Creator | | Agriculture | | | 1993 | | | |\n| Creation date | | LUCF | | | 1994 | | | |\n| Status | | LULUCF | | | 1995 | | | |\n| Updater | | Waste | | | 1996 | | | |\n| | D | 2 | | ◀ | 4000 | | | 14 |\n| Send for Checking | | b) | | | | | | |\n| by NEP | | | | | | | | |\n\n### *Figure 59. Work on Inventories screen – Status = check*\n\n| Name | Submission year Creator | Creation date Status Updater | Submission date Energy | Industrial Proces 9 |\n| --- | --- | --- | --- | --- |\n| - UNFCCC 2013_15_Inventory | UNFCCC PM | Mon Aug 05 23:27:04 CEST 2013 check UNFCCC_PM | | D |", - "page_start": 36, - "page_end": 36, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What was the age category of most new opiate/crack users during the crime peak in the mid-1990s?", - "target_page": 9, - "target_passage": "mplying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "# Summary\n\n### **Executive summary**\n\nThis paper uses a range of datasets and methodologies to:\n\n- obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013;1\n- examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n- It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n- Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime – those who have the potential to inflict most societal harm – has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n- In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n- However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n- Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have\n\n1 At the time of writing, data was unavailable for the period after November 2013. 2\n\nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data.\n\n3 787 if adjusted for the missing month.", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al*., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "# Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that – mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "initiated use at an older age. Currently it is not possible to determine whether this is a reporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users.\n\n- The report has several important policy implications. Even though numbers of new initiates involved with crime have dropped to the low thousands, putting downward pressure on crime, identification and early diversion to treatment remains paramount. Frontier Economics have estimated that the average4 lifetime crime cost of an injecting drug user is £445,000, so the potential for social harm – even from a small number of individuals – remains large and potentially long-lasting. This means local areas need to manage both the (relatively large) stock of current users, and the (much smaller) flow of new initiates, whose treatment needs may be different. There is no evidence of any new epidemic in this country, but given the impact of the epidemic of the 80s and early 90s on crime, ongoing monitoring of recent trends is required to spot early signs of any emerging problems.\n### **Aims and Methodology**\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use in driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates exist of the *total* number of opiate/crack-cocaine users (OCUs) in England (Hay *et al*., 2013), there are no estimates for the number of *new* OCUs each year (throughout this paper the number of new OCUs is also referred to as **'incidence'**). This is important for three main reasons.\n\n- i) **Stock and flows:** Simply knowing the stock of OCUs tells us nothing about the flows in and out – i.e. if the stock were constant each year that could mean that no one starts using these drugs and no one quits or it could mean *all* existing users quit but that they are wholly replaced by new users, or any similar scenario in between. Clearly the policy response would need to be quite different for each of these cases, so knowing the true situation is important.\n- ii) **Early-warning system:** Research by the Home Office and others has shown that there is generally a lag between the start of a heroin/crack epidemic and the point at which it becomes visible on administrative datasets. Closing this gap is important for policy, and part of the reason for its existence is the lack of incidence estimates. Evidence also suggests epidemics spread from area to area, so it is important to monitor local as well as national trends.\n- iii) **The social harm that can arise:** Though research suggests that not all OCUs resort to acquisitive crime to help finance their drug use, numerous studies show that a proportion consistently do and these individuals can be extremely prolific offenders (Morgan, 2014). One study by Frontier Economics estimated that the average lifetime cost to society of an injecting drug user was £445,000 from crime alone. Hence analysing and identifying new OCUs is a policy priority (Frontier Economics, 2010).\n\nThere are two inter-connected reasons why regular national incidence estimates have not been attempted before5 . The first is that data on this issue are sparse given the 'hidden' nature of opiate/crack markets and that date of first use is not something that gets recorded at the moment it actually occurs. The second reason, which flows from the first, is that current\n\n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few individuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to acquisitive crime at all (Morgan, 2014).\n\n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at various different levels of geography, see for example: De Angelis *et al*., 2004, Millar *et al*., 2001 and Hickman *et al*., 2001.", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "**Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 and 2013, by age of individual at first presentation.**\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age profile throughout. Rises in average age of initiation have also been reported recently in cohorts of Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible explanations.\n\n- There is a genuine shift towards new initiates being older, and for them to present to treatment much faster than in previous years.\n- There is a consistent, but small number of individuals who mis-report their age of onset when attending treatment i.e. who report that they have only been using opiates/crack for a short period when in fact they have been using for a far longer period, and that this is starting to really bias the numbers for recent cohorts because attendees from the original epidemic are becoming smaller.\n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of older initiates, although mis-reporting may also explain that phenomenon. Either way though, as this analysis has made clear throughout, absolute numbers of new OCUs appear to be small – probably fewer than 10,000 per annum and the numbers of those involved with crime will be smaller still. In addition, despite a flattening in the probable trend in new users, there is currently no sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to resume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "**Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.**\n\n| Year of | Age | Age | Age | Age | Age | |\n| --- | --- | --- | --- | --- | --- | --- |\n| first test | 18 - 24 | 25 - 29 | 30 - 34 | 35 - 39 | 40 over | Total |\n| 2004 | 26% | 27% | 24% | 16% | 7% | 100% |\n| 2005 | 23% | 27% | 24% | 17% | 9% | 100% |\n| 2006 | 25% | 26% | 22% | 17% | 11% | 100% |\n| 2007 | 24% | 25% | 21% | 16% | 13% | 100% |\n| 2008 | 21% | 23% | 21% | 18% | 16% | 100% |\n| 2009 | 23% | 22% | 20% | 17% | 18% | 100% |\n| 2010 | 22% | 21% | 20% | 17% | 20% | 100% |\n| 2011 | 22% | 19% | 20% | 16% | 22% | 100% |\n| 2012 | 19% | 20% | 22% | 17% | 23% | 100% |\n| 2013 | 17% | 20% | 22% | 16% | 25% | 100% |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 'new-individuals' cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations.22\n\n**Figure 10: New treatment presentations for opiate/crack use.**\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.\n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment before. So unlike our definition of 'new' elsewhere it includes individuals who have been to treatment previously.", - "page_start": 26, - "page_end": 26, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\n| Reason for exclusion | Number of | Total number |\n| --- | --- | --- |\n| | individuals | of individuals |\n| | excluded | analysed |\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at | 443 | 243,145 |\n| first treatment | | |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005–14 | n/a | 21.7% |\n\n### **Table 10: Descriptive statistics from the NDTMS data.**\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar *et al*. (2001) and Hickman *et al*. (2001). These papers discuss the methodology in detail.\n\nNew opiate and crack-cocaine users: characteristics and trends 22 In brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled `positive-for-both').\n\nThe reason for highlighting only the opiates-only and the `positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), *powder-*cocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nOpiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats\n\n| by the same individual) | | | |\n| --- | --- | --- | --- |\n| Age | | Year of birth | |\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\n#### **Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18–20 (Millar *et al*., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born\n\n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "The analysis showed that of the 149 Drug Action Team areas in England, 72 per cent had decreases in new OCU treatment numbers in the year to September 2014 compared to the previous year. Furthermore, of the 42 areas showing an increase, only 11 also showed a rise for the 12 months to September 2010 compared with the 12 months to September 2014, and most of these involved small numbers of individuals.\n\nOverall then, the very recent data on treatment presentations do not currently suggest that the number of new OCUs is on the verge of increasing, merely that it flattened for a period.\n\nA number of factors could explain the flattening. Most importantly, if there was some sort of shock that caused a one-off reduction in the lag-time to treatment this could make it appear as if incidence was rising when in fact new users may be falling but a greater percentage may simply be turning up to treatment faster. Such a shock may have occurred given the reduction in heroin supply seen from the end of 2010 through to 2012 (see Ahmad *et al*,. 2016). If users unable to obtain heroin used this enforced abstinence as a spur to seek treatment and hence to present to treatment services earlier than they otherwise would have done, this could cause a one-off 'concertina effect' in which treatment numbers initially flatten or even rise but then fall again. This would also explain why the downward trend has apparently resumed: evidence suggests the reduction in supply has also ended.\n\nHowever, further analysis revealed some other possibilities based on the characteristics of those attending opiate/crack treatment for the first time in recent years. The Appendix includes a series of graphs with age-of-onset distributions for those who first attended treatment in 2013, and then 2012, and so on back to 2004. These show that the majority of those who presented to treatment in 2004 initiated use in the mid-1990s in line with the likely peak of the epidemic. But by 2012 a far greater number of individuals presenting to treatment say they started using opiates/crack only a year or two before.23 In other words, there appears to be a shift towards a shorter lag between initiation and treatment. This shift looks even more dramatic when using proportions rather than absolute numbers, see the Appendix.\n\nFurthermore, these individuals (those who seem to have both initiated recently *and* presented to treatment within a year or two of initiation) show a notably different age-of-initiation profile compared to the established profile in the literature, which peaks around 18–22 (Donmall & Jones, 2005). These individuals have a notably older age profile: see figure 11 chart, which compares recent initiates who presented to treatment in 2005 with recent initiates who presented to treatment in 2013.\n\n23 This shift does not appear to be related to the reduction in heroin supply occurring around 2010/11. As Appendix 1 demonstrates, the pattern emerges far earlier.", - "page_start": 27, - "page_end": 27, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "According to the National Database Treatment Monitoring System, how many people started using opiates/crack between 2005 and 2014?", - "target_page": 22, - "target_passage": " Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "# Summary\n\n### **Executive summary**\n\nThis paper uses a range of datasets and methodologies to:\n\n- obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013;1\n- examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n- It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n- Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime – those who have the potential to inflict most societal harm – has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n- In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n- However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n- Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have\n\n1 At the time of writing, data was unavailable for the period after November 2013. 2\n\nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data.\n\n3 787 if adjusted for the missing month.", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\n| Reason for exclusion | Number of | Total number |\n| --- | --- | --- |\n| | individuals | of individuals |\n| | excluded | analysed |\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at | 443 | 243,145 |\n| first treatment | | |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005–14 | n/a | 21.7% |\n\n### **Table 10: Descriptive statistics from the NDTMS data.**\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar *et al*. (2001) and Hickman *et al*. (2001). These papers discuss the methodology in detail.\n\nNew opiate and crack-cocaine users: characteristics and trends 22 In brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations.22\n\n**Figure 10: New treatment presentations for opiate/crack use.**\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.\n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment before. So unlike our definition of 'new' elsewhere it includes individuals who have been to treatment previously.", - "page_start": 26, - "page_end": 26, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine. From this information it is possible to create a distribution, for all presentations, of the lag-time between initiation and their first presentation at treatment. This might show – for example – that only ten per cent of all individuals presenting to treatment do so in the first year of use, but that 25 per cent present within two years, and so on. This means that for each year, we can estimate the number of individuals who have begun an opiate-crack career *but who have yet to come to treatment*. Adding these to the numbers who began in that year and have come to treatment gives our total incidence estimate for each year.\n\nThe first model uses NDTMS data for the cohort starting use in 2005 (n=8,960), the lag-time distribution for those initiating use in 2005 and presenting to treatment between 2005 and 201418 is shown below.\n\n| Table 11: Time-to-treatment distribution for those initiating use in 2005 and presenting to |\n| --- |\n| treatment between 2005 and 2014.19 |\n\n| Lag time to treatment (years) | 0-1 | 1-2 | 2-3 | 3-4 | 4-5 | 5-6 | 6-7 | 7-8 | 8-9 | 9-10 |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Percentage | 15% | 17% | 17% | 14% | 10% | 9% | 6% | 5% | 4% | 4% |\n| Cumulative percentage | 15% | 31% | 49% | 62% | 73% | 82% | 88% | 92% | 96% | 100% |\n\nTable 11 shows that 15 per cent of the individuals who started use in 2005 and had presented for treatment by 2014, presented within one year of initiation. A further 17 per cent presented between one and two years after initiation, prior to coming to treatment, meaning that overall 31 per cent of the sample said they came to treatment within two years of first using opiates/crack. (The fact this is not 32% is simply due to rounding).\n\nAs a basis for the total lag-to-treatment distribution, the main limitation with the above analysis is that it assumes all individuals coming to treatment do so within ten years. Examining data from earlier cohorts suggests this is inaccurate, as a small proportion of OCUs will continue to use these drugs for a long time, sometimes two decades or more, before seeking treatment, and some never will. However, we cannot use an earlier cohort for the distribution because this is equivalent to using out-of-date data. The average lag-to-treatment is likely to have reduced over time given the expansion of treatment places and the influence of DIP. Using old data will miss this and bias the estimates. Even using the 2005 cohort's distribution contains the assumption that the time-to-treatment lag has not altered significantly between 2005 and 2013/14. So, to try and obtain the most accurate model, we used the figures from the 2005 cohort for the first ten years, as above, on the basis that this covers the majority of individuals and for that we want the most up-to-date data possible whilst maintaining a long enough time period. We then index the trend at that point to an older cohort, and use data from that cohort to model the 'tail' of the distribution – i.e. those who take longer than ten years to reach treatment.20 The result is a 20-year lag-to-treatment distribution, shown in Table 12 below.\n\n18 Data for 2014 was available until October 2014. This was converted to annual figures by multiplying up by 1.2 to account for the missing months in a linear fashion.\n\n19 The percentages from this table can be calculated from the numbers in Table 13.\n\n20 In reality there is always a trade-off in this methodology between the up-to-dateness of the cohort used to measure the lagto-treatment and the number of years of lag measured, i.e. we could use a more recent cohort, say 2008. But that would mean excluding all those who take longer than seven years to come to treatment, an even larger proportion. We are indebted to Tim Millar for providing the dataset used to model the 'tail' of the distribution. It contained a longer time series of", - "page_start": 22, - "page_end": 22, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "# Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that – mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al*., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled `positive-for-both').\n\nThe reason for highlighting only the opiates-only and the `positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), *powder-*cocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nOpiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats\n\n| by the same individual) | | | |\n| --- | --- | --- | --- |\n| Age | | Year of birth | |\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\n#### **Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18–20 (Millar *et al*., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born\n\n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "methods for calculating incidence are complicated and imperfect. It should be acknowledged in advance that this paper does not fully resolve these issues. It is merely intended as a first step, to obtain workable estimates upon which to base policy until more sophisticated methods are developed. That said, every effort is made in this analysis to sense-check the results against other available datasets. The datasets used and the structure of the paper is as follows.\n\n- i) **Drug Interventions Programme (DIP) data.** In part one, we produce general descriptive statistics from these data, which capture individuals who test positive for opiates/crack-cocaine following arrest or charge. Due to the limitations in coverage of these data over time, we draw only broad conclusions, some of which act as a sensecheck for the main results from part two.\n- ii) **Data on presentations to treatment from the National Drug Treatment Monitoring System (NDTMS).** In part two, we use two models based on previous research papers to calculate OCU incidence at the national level between 2005 and 2013. Most of the main conclusions come from this section.", - "page_start": 4, - "page_end": 4, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "initiated use at an older age. Currently it is not possible to determine whether this is a reporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users.\n\n- The report has several important policy implications. Even though numbers of new initiates involved with crime have dropped to the low thousands, putting downward pressure on crime, identification and early diversion to treatment remains paramount. Frontier Economics have estimated that the average4 lifetime crime cost of an injecting drug user is £445,000, so the potential for social harm – even from a small number of individuals – remains large and potentially long-lasting. This means local areas need to manage both the (relatively large) stock of current users, and the (much smaller) flow of new initiates, whose treatment needs may be different. There is no evidence of any new epidemic in this country, but given the impact of the epidemic of the 80s and early 90s on crime, ongoing monitoring of recent trends is required to spot early signs of any emerging problems.\n### **Aims and Methodology**\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use in driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates exist of the *total* number of opiate/crack-cocaine users (OCUs) in England (Hay *et al*., 2013), there are no estimates for the number of *new* OCUs each year (throughout this paper the number of new OCUs is also referred to as **'incidence'**). This is important for three main reasons.\n\n- i) **Stock and flows:** Simply knowing the stock of OCUs tells us nothing about the flows in and out – i.e. if the stock were constant each year that could mean that no one starts using these drugs and no one quits or it could mean *all* existing users quit but that they are wholly replaced by new users, or any similar scenario in between. Clearly the policy response would need to be quite different for each of these cases, so knowing the true situation is important.\n- ii) **Early-warning system:** Research by the Home Office and others has shown that there is generally a lag between the start of a heroin/crack epidemic and the point at which it becomes visible on administrative datasets. Closing this gap is important for policy, and part of the reason for its existence is the lack of incidence estimates. Evidence also suggests epidemics spread from area to area, so it is important to monitor local as well as national trends.\n- iii) **The social harm that can arise:** Though research suggests that not all OCUs resort to acquisitive crime to help finance their drug use, numerous studies show that a proportion consistently do and these individuals can be extremely prolific offenders (Morgan, 2014). One study by Frontier Economics estimated that the average lifetime cost to society of an injecting drug user was £445,000 from crime alone. Hence analysing and identifying new OCUs is a policy priority (Frontier Economics, 2010).\n\nThere are two inter-connected reasons why regular national incidence estimates have not been attempted before5 . The first is that data on this issue are sparse given the 'hidden' nature of opiate/crack markets and that date of first use is not something that gets recorded at the moment it actually occurs. The second reason, which flows from the first, is that current\n\n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few individuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to acquisitive crime at all (Morgan, 2014).\n\n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at various different levels of geography, see for example: De Angelis *et al*., 2004, Millar *et al*., 2001 and Hickman *et al*., 2001.", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "The analysis showed that of the 149 Drug Action Team areas in England, 72 per cent had decreases in new OCU treatment numbers in the year to September 2014 compared to the previous year. Furthermore, of the 42 areas showing an increase, only 11 also showed a rise for the 12 months to September 2010 compared with the 12 months to September 2014, and most of these involved small numbers of individuals.\n\nOverall then, the very recent data on treatment presentations do not currently suggest that the number of new OCUs is on the verge of increasing, merely that it flattened for a period.\n\nA number of factors could explain the flattening. Most importantly, if there was some sort of shock that caused a one-off reduction in the lag-time to treatment this could make it appear as if incidence was rising when in fact new users may be falling but a greater percentage may simply be turning up to treatment faster. Such a shock may have occurred given the reduction in heroin supply seen from the end of 2010 through to 2012 (see Ahmad *et al*,. 2016). If users unable to obtain heroin used this enforced abstinence as a spur to seek treatment and hence to present to treatment services earlier than they otherwise would have done, this could cause a one-off 'concertina effect' in which treatment numbers initially flatten or even rise but then fall again. This would also explain why the downward trend has apparently resumed: evidence suggests the reduction in supply has also ended.\n\nHowever, further analysis revealed some other possibilities based on the characteristics of those attending opiate/crack treatment for the first time in recent years. The Appendix includes a series of graphs with age-of-onset distributions for those who first attended treatment in 2013, and then 2012, and so on back to 2004. These show that the majority of those who presented to treatment in 2004 initiated use in the mid-1990s in line with the likely peak of the epidemic. But by 2012 a far greater number of individuals presenting to treatment say they started using opiates/crack only a year or two before.23 In other words, there appears to be a shift towards a shorter lag between initiation and treatment. This shift looks even more dramatic when using proportions rather than absolute numbers, see the Appendix.\n\nFurthermore, these individuals (those who seem to have both initiated recently *and* presented to treatment within a year or two of initiation) show a notably different age-of-initiation profile compared to the established profile in the literature, which peaks around 18–22 (Donmall & Jones, 2005). These individuals have a notably older age profile: see figure 11 chart, which compares recent initiates who presented to treatment in 2005 with recent initiates who presented to treatment in 2013.\n\n23 This shift does not appear to be related to the reduction in heroin supply occurring around 2010/11. As Appendix 1 demonstrates, the pattern emerges far earlier.", - "page_start": 27, - "page_end": 27, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What proportion of opiate users tested in 2004 were still positive a decade later?", - "target_page": 18, - "target_passage": "Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest)", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al*., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "**Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.**\n\n| Year of | Age | Age | Age | Age | Age | |\n| --- | --- | --- | --- | --- | --- | --- |\n| first test | 18 - 24 | 25 - 29 | 30 - 34 | 35 - 39 | 40 over | Total |\n| 2004 | 26% | 27% | 24% | 16% | 7% | 100% |\n| 2005 | 23% | 27% | 24% | 17% | 9% | 100% |\n| 2006 | 25% | 26% | 22% | 17% | 11% | 100% |\n| 2007 | 24% | 25% | 21% | 16% | 13% | 100% |\n| 2008 | 21% | 23% | 21% | 18% | 16% | 100% |\n| 2009 | 23% | 22% | 20% | 17% | 18% | 100% |\n| 2010 | 22% | 21% | 20% | 17% | 20% | 100% |\n| 2011 | 22% | 19% | 20% | 16% | 22% | 100% |\n| 2012 | 19% | 20% | 22% | 17% | 23% | 100% |\n| 2013 | 17% | 20% | 22% | 16% | 25% | 100% |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 'new-individuals' cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "The relationship between the total opiates-only or positive-for-both tests and the individuals responsible for them can also be shown over time, as Table 5 illustrates11 .\n\n#### **Table 5: Table showing trends in total positive opiates-only or positive-for-both., in unique individuals testing positive, and in** *new* **individuals testing positive.**\n\n| Total positive for opiatel positive for both tests | | | | | | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Year | 2004 | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | Total | Adjusted 2013 | Adjusted Total |\n| Total positive tests | 17,174 | 19,157 | 33,843 | 37,291 | 41,232 | 38,378 | 38,051 | 28,476 | 23,965 | 18,473 | 8000 962 | 20,152 | 297,687 |\n| Number of unique Individuals with a positive test that | 12,246 | 13,710 | 21,069 | 22,916 | 25,442 | 23,973 | 23,618 | 18,843 | 16,195 | 12,353 | 190,365 | 13,476 | 191,488 |\n| JBBA | | | | | | | | | | | STORE | | |\n| Number of new individuals with a positive test | 12,246 | 10,539 | 14,750 | 13,391 | 13,629 | 11,655 | 10,391 | 7,913 11771 | 6,022 | 4.281 | 104,817 | 4,670 755 | 105,206 |\n| Cumulative number of new individuals testing positive | 12,246 | 22,785 | 37,535 Concession Concession | 50,926 | 64,555 | 76,210 | 86,601 | 94,514 2000 | 100,536 | 104,817 | n/a | 105,206 | n/a |\n| % new | 100% HOTO | 77% | 70% | 58% | 54% | 49% | 44% | 42% 0417 | 37% | 35% | n's 257 | 35% North | na |\n\nOf central interest for this paper is the third row which shows numbers of individuals testing positive for opiates only or were positive-for-both for the first time. All the previous caveats about DIP trends need to be borne in mind when looking at those figures. Clearly the rise in new positive testers in the early period will be affected by the changes to DIP coverage through those years, as possibly will the sharp fall in positive testers in the latter period. However, graphing the data (see the red line in Figure 7 below) shows that the fall from 14,750 new positive testers in 2006 to 4,281 in 2013, is not only large (the drop is around 70 per cent even if we use the adjusted figure for 2013) but also more or less linear. This means that there is no immediate reason to suggest that the 2013 figures are artificially low due to changes in DIP coverage (i.e. the fact that DIP ceased to be a centrally funded programme in April of that year). Taken together, the data from the period post-2006 (when DIP had achieved a high level of coverage) certainly appear to show that the number of new crime-involved OCUs is unlikely to be rising and may be falling markedly, see Figure 7.\n\n11 Individuals may have more than one positive test in a given year, which is why the numbers for tests are higher than the numbers for individuals. Similarly, even new individuals not previously testing positive in a given year, may have multiple positive tests in the first year in which they test positive.", - "page_start": 14, - "page_end": 14, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "**Table 3: Descriptive statistics for the DIP positive opiate-only/positive-for-both tests in which an individual can be identified with a PNC number.** \n\n| All positive opiate/opiate+cocaine tests (including repeats) that were recorded on PNC; | | | |\n| --- | --- | --- | --- |\n| England 2004–2013 | | | |\n| | Age | Year of birth | |\n| Number of tests | 296,008 | Number of tests | 296,008 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe age and year of birth distributions are also similar and are shown in the Appendix. Thus, for the majority of the analysis that follows, tests with no PNC number were excluded.10\n\nThe charts and tables above use data from *all* positive tests, so will include cases where the same individual has tested positively on more than one occasion. The following data look just at the *first* test for each individual testing positive for opiates-only or positive-for-both.\n\n| Table 4: Descriptive statistics on first positive opiate-only/positive-for-both tests. |\n| --- |\n\n| First positive opiate/opiate+cocaine tests (unique individuals) | | | |\n| --- | --- | --- | --- |\n| Age | | Year of birth | |\n| Number of tests | 104,817 | Number of tests | 104,817 |\n| Mean | 31 | Mean | 1977 |\n| Median | 30 | Median | 1977 |\n| Mode | 27 | Mode | 1980 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThere were just over 100,000 unique individuals who tested positive for opiates-only or positivefor-both between 2004 and 2013. The distribution of the 296,008 positive tests these individuals gave, shows that the vast majority (55%) were only tested once (see Figure 4), which is likely to be why the age statistics are quite similar between Table 3 and Table 4. However, within this\n\n10 Examining the data it is also clear that some areas recorded a higher proportion of cases without a PNC number than others. Thus excluding these cases further affects the variation in geographic coverage across time. See Appendix for more.", - "page_start": 11, - "page_end": 11, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled `positive-for-both').\n\nThe reason for highlighting only the opiates-only and the `positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), *powder-*cocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nOpiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats\n\n| by the same individual) | | | |\n| --- | --- | --- | --- |\n| Age | | Year of birth | |\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\n#### **Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18–20 (Millar *et al*., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born\n\n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "| Table 7: Number of unique individuals testing positive for opiates-only or positive-for-both, |\n| --- |\n| by year of first positive test. |\n\n| | | | | Number of unique individuals with positive opiate/opiate + cocaine tests per year | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| First test year | 2004 | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | Adjusted 2013 |\n| 2004 | 12,246 | 3,171 | 3,299 | 3,090 | 2,992 | 2,573 | 2,311 | 1,766 | 1,513 | 1,092 | 1,191 |\n| 2005 | | 10,539 | 3,020 | 2,539 | 2,478 | 2,083 | 1,844 | 1,350 | 1,156 | 862 | 940 |\n| 2006 | | | 14,750 | 3,896 | 3,280 | 2,701 | 2,507 | 1,819 | 1,610 | 1,140 | 1,244 |\n| 2007 | | | | 13,391 | 3,063 | 2,291 | 2,091 | 1,567 | 1,334 | 954 | 1,041 |\n| 2008 | | | | | 13,629 | 2,670 | 2,263 | 1,612 | 1,366 | 978 | 1,067 |\n| 2009 | | | | | | 11,655 | 2,211 | 1,431 | 1,125 | 847 | 924 |\n| 2010 | | | | | | | 10,391 | 1,385 | 1,052 | 733 | 800 |\n| 2011 | | | | | | | | 7,913 | 1,017 | 643 | 701 |\n| 2012 | | | | | | | | | 6,022 | 823 | 898 |\n| 2013 | | | | | | | | | | 4,281 | 4,670 |\n| Total | 12,246 | 13,710 | 21,069 | 22,916 | 25,442 | 23,973 | 23,618 | 18,843 | 16,195 | 12,353 | 13,476 |\n\nThese tables can be read both horizontally and vertically. Reading vertically (i.e. down the columns) it can be observed, for example, that of the 12,353 individuals with a positive test in 2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive at least once in 2010 or before.\n\nReading horizontally – for example from left to right across the first row – it can be concluded that of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; 3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show whether those who had a subsequent test in 2005 were the same individuals as those who had a subsequent test in 2006. So reading the results of the two tables together, we can say that 12,246 *individuals* had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in 2005, resulting in 5,604 positive tests because some tested positive more than once in that year. The last figure in each column gives the number of new users that year (10,539 in 2005, 14,750 in 2006 and so on).\n\nThere are several observations to be drawn from these tables. First, it is clear that a proportion of opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive in 2013, 1,092 (8.9%) had also tested positive almost a decade earlier.\n\nNew opiate and crack-cocaine users: characteristics and trends 18 Second, in relation to incidence, these numbers also allow for some back-of-the-envelope modelling to address the extent to which the figure of 4,281 individuals, who are *new* positive testers in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the figures for 2008, when DIP was fully up and running, we know that around 25,000 unique individuals had positive tests that year. This can be combined with available estimates of the total OCU population (Hay *et al*., 2013) and the proportion who are likely to be offending (Gossop et *al.*, 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about 150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per", - "page_start": 17, - "page_end": 17, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "# Summary\n\n### **Executive summary**\n\nThis paper uses a range of datasets and methodologies to:\n\n- obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013;1\n- examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n- It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n- Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime – those who have the potential to inflict most societal harm – has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n- In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n- However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n- Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have\n\n1 At the time of writing, data was unavailable for the period after November 2013. 2\n\nIt is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data.\n\n3 787 if adjusted for the missing month.", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "### Modelling methodology\n\nThis brief section outlines the modelling process behind the conclusion in section one, which states that we might expect somewhere between 2,400 and 7,000 individuals from the original cohort of users in 2004 to be captured within the 2013 figure of *new* DIP arrestees (who test positive for opiates-only or who are positive-for-both).\n\nWe begin by putting in a plausible range of crime-involved OCUs through the period. This combines the total OCU estimates published by Hay *et al*., (ranging from around 320,000 OCUs down to around 295,000 in recent years) with available estimates of the percentage who are likely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the NTORS study (Gossop *et al*., 2003). As such, a range of between 170,000 and 100,000 crimeinvolved OCUs is likely to include all plausible values (see first row of table below).\n\nWe then calculate the rate at which that population is likely to be arrested and test positive by using the number of individuals testing positive from 2008 (25,433), when DIP was fully up and running. This gives the second row of the table. Combining the values in the first two rows and applying the probability formula given in the main body of the text gives the third row: the probability of first positive DIP test in 2013. Note that this assumes all these individuals continue to offend through the period, which may not be the case, hence final results are probably an upper bound. The final row simply multiples the figure in the first row by the figure in the third to give our estimate of the original cohort who might appear in the 2013 DIP figures as new.", - "page_start": 41, - "page_end": 41, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "population there exists a small group of frequent repeat users. 1,828 individuals (1.7% of this population) accounted for just over ten per cent of all positive tests (30,471 tests in total). These individuals provided between 16 and 57 positive tests over the period 2004 to 2013.\n\n**Figure 4: Proportion of positive tests by number of times an individual tested positive.** \n\nThe age and year-of-birth distributions for the 104,817 individuals reveals a similar profile to the distribution for total tests (Figures 5 and 6).", - "page_start": 12, - "page_end": 12, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "# Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that – mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "Who led the Fronde des princes?", - "target_page": 4, - "target_passage": "It was headed by the highest-ranking French nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Condé, attacked the rebels in Paris; the rebels were under the political control of Anne's old friend Marie de Rohan. Beaufort, who had escaped from the prison where Anne had incarcerated him five years before, was the military leader in Paris, under the nominal control of Conti. After a few battles, a political compromise was reached; the Peace of Rueil was signed, and the court returned to Paris.\n\nUnfortunately for Anne, her partial victory depended on Condé, who wanted to control the queen and destroy Mazarin's influence. It was Condé's sister who pushed him to turn against the queen. After striking a deal with her old friend Marie de Rohan, who was able to impose the nomination of *Charles de l'Aubespine, marquis de Châteauneuf* as minister of justice, Anne arrested Condé, his brother Armand de Bourbon, Prince of Conti, and the husband of their sister Anne Genevieve de Bourbon, duchess of Longueville. This situation did not last long, and Mazarin's unpopularity led to the creation of a coalition headed mainly by Marie de Rohan and the duchess of Longueville. This aristocratic coalition was strong enough to liberate the princes, exile Mazarin, and impose a condition of virtual house arrest on Queen Anne.\n\n1655 portrait of Louis, the Victor of the Fronde, portrayed as the god Jupiter\n\nPortrait by Justus van Egmont between the years 1649–1652.\n\n#### All these events were witnessed by Louis and\n\nlargely explained his later distrust of Paris and the higher aristocracy. [27] \"In one sense, Louis's childhood came to an end with the outbreak of the Fronde. It was not only that life became insecure and unpleasant – a fate meted out to many children in all ages – but that Louis had to be taken into the confidence of his mother and Mazarin on political and military matters of which he could have no deep understanding\".[28] \"The family home became at times a near-prison when Paris had to be abandoned, not in carefree outings to other chateaux but in humiliating flights\".[28] The royal family was driven out of Paris twice in this manner, and at one point Louis XIV and Anne were held under virtual arrest in the royal palace in Paris. The Fronde years planted in Louis a hatred of Paris and a consequent determination to move out of the ancient capital as soon as possible, never to return.[29]\n\nJust as the first *Fronde* (the *Fronde parlementaire* of 1648–1649) ended, a second one (the *Fronde des princes* of 1650–1653) began. Unlike that which preceded it, tales of sordid intrigue and half-hearted warfare characterized this second phase of upper-class insurrection. To the aristocracy, this rebellion represented a protest for the reversal of their political demotion from vassals to courtiers. It was headed by the highest-ranking French\n\nnobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as *la Grande Mademoiselle*; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.\n\nQueen Anne played the most important role in defeating the Fronde because she wanted to transfer absolute authority to her son. In addition, most of the princes refused to deal with Mazarin, who went into exile for a number of years. The *Frondeurs* claimed to act on Louis's behalf, and in his real interest, against his mother and Mazarin.\n\nQueen Anne had a very close relationship with the Cardinal, and many observers believed that Mazarin became Louis XIV's stepfather by a secret marriage to Queen Anne.[30] However, Louis's coming-of-age and subsequent coronation deprived them of the *Frondeurs*' pretext for revolt. The *Fronde* thus gradually lost steam and ended in 1653, when Mazarin returned triumphantly from exile. From that time until his death, Mazarin was in charge of foreign and financial policy without the daily supervision of Anne, who was no longer regent.[31]\n\nDuring this period, Louis fell in love with Mazarin's niece Marie Mancini, but Anne and Mazarin ended the king's infatuation by sending Mancini away from court to be married in Italy. While Mazarin might have been tempted for a short time to marry his niece to the King of France, Queen Anne was absolutely against this; she wanted to marry her son to the daughter of her brother, Philip IV of Spain, for both dynastic and political reasons. Mazarin soon supported the Queen's position because he knew that her support for his power and his foreign policy depended on making peace with Spain from a strong position and on the Spanish marriage. Additionally, Mazarin's relations with Marie Mancini were not good, and he did not trust her to support his position. All of Louis's tears and his supplications to his mother did not make her change her mind. The Spanish marriage would be very", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia5.pdf" - }, - { - "text": "experiences during the *Fronde*, when men of high birth readily took up the rebel cause against their king, who was actually the kinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French Revolution about a century later.\n\n### **France as the pivot of warfare**\n\nUnder Louis, France was the leading European power, and most wars pivoted around its aggressiveness. No European state exceeded it in population, and no one could match its wealth, central location, and very strong professional army. It had largely avoided the devastation of the Thirty Years' War. Its weaknesses included an inefficient financial system that was hard-pressed to pay for its military adventures, and the tendency of most other powers to gang up against it.\n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. There were also two lesser conflicts: the War of Devolution and the War of the Reunions. [64] The wars were very expensive but defined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by a mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to enhance his glory. In peacetime, he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] By 1695, France retained much of its dominance but had lost control of the seas to England and Holland, and most countries, both Protestant and Catholic, were in alliance against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned Louis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that France fight back by licensing French merchant ships to privateer and seize enemy merchant ships while avoiding its navies:\n\nLouis XIV\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in Europe, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies in the East and West Indies; and Holland with all its possessions in the four corners of the world where it has great establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states secretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting and covering their trade.[65]\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England [James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all in Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of peace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they support it by making war against us in concert with the other powers, and they keep it going by means of the money that they pay every year to... Allies.... We must therefore fall back on privateering as the method of conducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more so since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many good officers for the King, and in a short time force his enemies to sue for peace.[66]\n\n# **Edict of Fontainebleau**\n\nLouis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious freedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in Louis's thinking was the prevailing contemporary European principle to assure socio-political stability, *cuius regio, eius religio* (\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in central Europe in the Peace of Augsburg of 1555).[67]\n\nResponding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches outside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also disallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis feared the political concessions which they would demand in return. Only towards the close of his reign under the extreme exigency of war, was he able, for the first time in French history, to impose direct taxes on the aristocracy. This was a step toward equality before the law and toward sound public finance, though it was predictably diminished by concessions and exemptions won by the insistent efforts of nobles and bourgeois.[35]\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. Colbert's mercantilist administration established new industries and encouraged manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins tapestry manufactory. He invited manufacturers and artisans from all over Europe to France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He aimed to decrease imports while increasing French exports, hence reducing the net outflow of precious metals from France.\n\nLouis instituted reforms in military administration through Michel le Tellier and his son François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the\n\nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted war at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the old military aristocracy (*noblesse d'épée*, nobility of the sword) monopolizing senior military positions and the higher ranks. Louvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the soldiers' material well-being and morale, and even tried to direct campaigns.\n\n### **Relations with the major colonies**\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France was a patchwork of legal systems, with as many traditional legal regimes as there were provinces, and two co-existing legal systems—customary law in the north and Roman civil law in the south.[36] The *Grande Ordonnance de Procédure Civile* of 1667, the *Code Louis*, was a comprehensive legal code imposing a uniform regulation of civil procedure throughout the kingdom. Among other things, it prescribed baptismal, marriage and death records in the state's registers, not the church's, and it strictly regulated the right of the *Parlements* to remonstrate.[37] The *Code Louis* later became the basis for the Napoleonic code, which in turn inspired many modern legal codes.\n\nOne of Louis's more infamous decrees was the *Grande Ordonnance sur les Colonies* of 1685, the *Code Noir* (black code). Although it sanctioned slavery, it attempted to humanise the practice by prohibiting the separation of families. Additionally, in the colonies, only Roman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\n- Conseil d'en haut (\"High Council\", concerning the most important matters of state)—composed of the king, the crown prince, the controller-general of finances, and the secretaries of state in charge of various departments. The members of that council were called ministers of state.\n- Conseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n- Conseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n- Conseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an honorary post in most cases)—this was one of the few posts in the council available to the high aristocracy. [38]\n\n# **Early wars in the Low Countries**\n\n### **Spain**\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees. [39] The marriage treaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants.[39] Mazarin\n\nLouis and his family portrayed as Roman gods in a 1670 painting by Jean Nocret. L to R: Louis's aunt, Henriette-Marie; his brother, Philippe, duc d'Orléans; the Duke's daughter, Marie Louise d'Orléans, and wife, Henriette-Anne Stuart; the Queen-mother, Anne of Austria; three daughters of Gaston d'Orléans; Louis XIV; the Dauphin Louis; Queen Marie-Thérèse; *la Grande Mademoiselle*.", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's foreign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish throne would ultimately be delivered to the House of Bourbon.[32]\n\n# **Personal reign and reforms**\n\n### **Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of Mazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring that he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government of my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] will assist me with your counsels when I ask for them. I request and order you to seal no orders except by my command . . . I order you not to sign anything, not even a passport . . . without my command; to render account to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning for peace and order after decades of foreign and civil strife, the young king consolidated central political authority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of Louis\".[34]\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in 1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. Although Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\n\nMonogram\n\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the *Parlement* found him guilty and sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more efficient taxation. The principal taxes included the *aides* and *douanes* (both customs duties), the *gabelle* (salt tax), and the *taille* (land tax). The *taille* was reduced at first, and certain tax-collection contracts were auctioned instead of being sold privately to a favoured few. Financial officials were required to keep regular accounts, revising inventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income from the royal domain reached the king. Reform had to overcome vested interests: the *taille* was collected by officers of the Crown who had purchased their post at a high price, and punishment of abuses necessarily lowered the value of the purchase. Nevertheless, Colbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, with interest on the debt decreasing from 52 million to 24 million livres. The *taille* was reduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nMembers of the *Académie des sciences* with Louis in 1667; in the background appears the new Paris Observatory.\n\nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million in 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The expenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds sterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds.\n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil administration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct taxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private contractors called tax farmers who made a handsome profit. The state coffers leaked at every joint.\n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation without consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the peasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses on the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "**Louis XIV** (Louis-Dieudonné; 5 September 1638 – 1 September 1715), also known as **Louis the Great** (*Louis le Grand*) or the **Sun King** (*le Roi Soleil*), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself.[4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n# **Early years**\n\nPortrait by Hyacinthe Rigaud , 1701\n\n| | King of France (more...) |\n| --- | --- |\n| Reign | 14 May 1643 – 1 September |\n| | 1715 |\n| Coronation | 7 June 1654 |\n| | Reims Cathedral |\n| Predecessor | Louis XIII |\n| Successor | Louis XV |\n| Regent | Anne of Austria (1643–1651) |\n| Chief ministers See list | |\n| | Cardinal Mazarin |\n| | (1643–1661) |\n| | Jean-Baptiste Colbert |\n| | (1661–1683) |\n| | The Marquis of Louvois |\n| | (1683–1691) |\n| Born | 5 September 1638 |\n| | Château de Saint-Germain |\n| | en-Laye, Saint-Germain-en |\n| | Laye, France |\n| Died | 1 September 1715 (aged 76) |\n| | Palace of Versailles, |\n| | Versailles, France |\n| Burial | 9 September 1715 |\n| | Basilica of Saint-Denis |\n| Spouses | Maria Theresa of Spain |\n| | (m. 1660; died 1683) |\n| | Françoise d'Aubigné, |\n| | Marquise de Maintenon |\n| | (private) |\n| | (m. 1683) |", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European territories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, his allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands.[102]\n\n# **Personal life**\n\n#### **Marriages and children**\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted for them in 1660. However, only one child, the eldest, survived to adulthood: Louis, *le Grand Dauphin*, known as *Monseigneur*. Maria Theresa died in 1683, whereupon Louis remarked that she had never caused him unease on any other occasion.\n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria Theresa. He took a series of mistresses, both official and unofficial. Among the better documented are Louise de La Vallière (with whom he had five children; 1661–1667), Bonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), Françoise-Athénaïs, Marquise de Montespan (with whom he had seven children; 1667–1680), Anne de Rohan-Chabot (1669–1675), Claude de Vin des Œillets (one child born in 1676),\n\nIsabelle de Ludres (1675–1678), and Marie Angélique de Scorailles (1679–1681), who died at age 19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of whom he married to members of cadet branches of the royal family.\n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de Maintenon. He first met her through her work caring for his children by Madame de Montespan, noting the care she gave to his favourite, Louis Auguste, Duke of Maine. [103] The king was, at first, put off by her strict religious practice, but he warmed to her through her care for his children.[103]\n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise d'Aubigné became the royal governess at Saint-Germain.[103] As governess, she was one of very few people permitted to speak to him as an equal, without limits.[103] It is believed that they were married secretly at Versailles on or around 10 October 1683[104] or January 1684.[105] This marriage, though never announced or publicly discussed, was an open secret and lasted until his death.[106]\n\n### **Piety and religion**\n\nLouis was a pious and devout king who saw himself as the head and protector of the Catholic Church in France. He made his devotions daily regardless of where he was, following the liturgical calendar regularly. [107] Under the influence of his very religious second wife, he became much stronger in the practice of his Catholic faith.[108] This included banning opera and comedy performances during Lent. [108]\n\nTowards the middle and the end of his reign, the centre for the King's religious observances was usually the Chapelle Royale at Versailles. Ostentation was a distinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and special ceremonies.[109] Louis established the Paris Foreign Missions Society, but his informal alliance with the Ottoman Empire was criticised for undermining Christendom. [110]\n\n#### **Patronage of the arts**\n\nLouis generously supported the royal court of France and those who worked under him. He brought the Académie Française under his patronage and became its \"Protector\". He allowed Classical French literature to flourish by protecting such writers as Molière, Racine, and La Fontaine, whose works remain influential to this day. Louis also patronised the visual arts by funding and commissioning artists such as Charles Le Brun, Pierre Mignard, Antoine Coysevox, and Hyacinthe Rigaud, whose works became\n\nWedding of Louis and Maria Theresa\n\nDual Cypher of King Louis XIV & Queen Marie Thérèse\n\nLouis XIV encouraged Catholic missions through the creation of the Paris Foreign Missions Society", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia5.pdf" - }, - { - "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine. [129] Orléans, however, had Louis's will annulled by the *Parlement of Paris* after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130]\n\n#### **Line of succession in 1715**\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, Philip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish Succession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131]\n\n```\nLouis XIII (1601–1643)\n Louis XIV (1638–1715)\n Louis, Grand Dauphin (1661–1711)\n Louis, Duke of Burgundy (1682–1712)\n Louis, Duke of Brittany (1707–1712)\n (1) Louis, Duke of Anjou (1710–1774)\n Philip V of Spain (1683–1746)\n Charles, Duke of Berry (1686–1714)\nPhilippe I, Duke of Orléans (1640–1701)\n (2) Philippe II, Duke of Orléans (1674–1723)\n (3) Louis, Duke of Chartres (1703–1752)\n```\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin of French King Louis XIII (the father of Louis XIV) in the male line.\n\n## **Legacy**\n\n#### **Reputation**\n\nAccording to Philippe de Courcillon's *Journal*, Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for vanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the burdens of your subjects.[132]\n\nSome historians point out that it was a customary demonstration of piety in those days to exaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed declarations in assessing his accomplishments. Rather, they focus on military and diplomatic successes, such as how he placed a French prince on the Spanish throne. This, they contend, ended the threat of an aggressive Spain that historically interfered in domestic French politics. These historians also emphasise the effect of Louis's wars in expanding France's boundaries and creating more defensible frontiers that preserved France from invasion until the Revolution.[132]\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] subjects.\" For example, he patronised the arts, encouraged industry, fostered trade and commerce, and sponsored the founding of an overseas empire. Moreover, the significant reduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nTerritorial expansion of France under Louis XIV (1643–1715) is depicted in orange.\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised France and marked the birth of the modern French state. They regard the political and military victories as well as numerous cultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France for its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, goods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted France. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting evidence, they cite the literature of the time, such as the social commentary in Montesquieu's *Persian Letters*. [134]", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Painting from 1667 depicting Louis as patron of the fine arts\n\nThe *Cour royale* and the *Cour de marbre* at Versailles\n\nfamous throughout Europe. Composers and musicians such as Jean-Baptiste Lully, Jacques Champion de Chambonnières, and François Couperin thrived. In 1661, Louis founded the Académie Royale de Danse, and in 1669, the Académie d'Opéra, important driving events in the evolution of ballet. He also attracted, supported and patronized such artists as André Charles Boulle, who revolutionised marquetry with his art of inlay, today known as \"Boulle work\". Always on the lookout for new talent, the king launched music competitions: in 1683, Michel-Richard de Lalande thus became deputy master of the Royal Chapel, composing his *Symphonies for the Soupers du Roy* along with 77 large scale *Grand Motets*.\n\nOver the course of four building campaigns, Louis converted a hunting lodge commissioned by Louis XIII into the spectacular Palace of Versailles. Except for the current Royal Chapel (built near the end of his reign), the palace achieved much of its current appearance after the third building campaign, which was followed by an official move of the royal court to Versailles on 6 May 1682. Versailles became a dazzling, aweinspiring setting for state affairs and the reception of foreign dignitaries. At Versailles, the king alone commanded attention.\n\nSeveral reasons have been suggested for the creation of the extravagant and stately palace, as well as the relocation of the monarchy's seat. The memoirist Saint-Simon speculated that Louis viewed Versailles as an isolated power centre where\n\ntreasonous cabals could be more readily discovered and foiled.[62] There has also been speculation that the revolt of the *Fronde* caused Louis to hate Paris, which he abandoned for a country retreat, but his sponsorship of many public works in Paris, such as the establishment of a police force and of street-lighting,[111] lend little credence to this theory. As a further example of his continued care for the capital, Louis constructed the *Hôtel des Invalides*, a military complex and home to this day for officers and soldiers rendered infirm either by injury or old age. While pharmacology was still quite rudimentary in his day, the *Invalides* pioneered new treatments and set new standards for hospice treatment. The conclusion of the Treaty of Aix-la-Chapelle in 1668 also induced Louis to demolish Paris's northern walls in 1670 and replace them with wide tree-lined boulevards.[112]\n\nBust of Louis XIV by Gianlorenzo Bernini\n\nLouis also renovated and improved the Louvre and other royal residences. Gian Lorenzo\n\nBernini was originally to plan additions to the Louvre; however, his plans would have meant the destruction of much of the existing structure, replacing it with an Italian summer villa in the centre of Paris. Bernini's plans were eventually shelved in favour of the elegant Louvre Colonnade designed by three Frenchmen: Louis Le Vau, Charles Le Brun, and Claude Perrault. With the relocation of the court to Versailles, the Louvre was given over to the arts and the public.[113] During his visit from Rome, Bernini also executed a renowned portrait bust of the king.\n\n# **Image and depiction**\n\nFew rulers in world history have commemorated themselves in as grand a manner as Louis.[114] He cultivated his image as the Sun King (*le Roi Soleil*), the centre of the universe \"without equal\". Louis used court ritual and the arts to validate and augment his control over France. With his support, Colbert established from the beginning of Louis's personal reign a centralised and institutionalised system for creating and perpetuating the royal image. The King was thus portrayed largely in majesty or at war, notably against Spain. This portrayal of the monarch was to be found in numerous media of artistic expression, such as painting, sculpture, theatre, dance, music, and the almanacs that diffused royal propaganda to the population at large.\n\n### **Evolution of royal portraiture**\n\nOver his lifetime, Louis commissioned numerous works of art to portray himself, among them over 300 formal portraits. The earliest portrayals of Louis already followed the pictorial conventions of the day in depicting the child king as the majestically royal incarnation of France. This idealisation of the monarch continued in later works, which avoided depictions of the effect of smallpox that Louis contracted in 1647. In the 1660s, Louis began to be shown as a Roman emperor, the god Apollo, or Alexander the Great, as can be seen in many works of Charles Le Brun, such as sculpture, paintings, and the decor of major monuments.", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia5.pdf" - }, - { - "text": "| Name | Birth | Death | Notes |\n| --- | --- | --- | --- |\n| By NN, a gardener | | | |\n| Daughter | 1660 | unknown | [158] She married N de la Queue, a sentry. |\n| By Louise de La Vallière (6 August 1644 – 6 June 1710) | | | |\n| Charles de La | 19 December | 15 July 1665 | Not legitimised. |\n| Baume Le Blanc | 1663 | (aged 1) | |\n| Philippe de La | 7 January | 1666 (aged 1) | Not legitimised. |\n| Baume Le Blanc | 1665 | | |\n| Marie Anne de | 2 October | 3 May 1739 | Legitimised on 14 May 1667. Married Louis Armand I, Prince of Conti. |\n| Bourbon | 1666 | (aged 73) | |\n| Louis, Count of | 3 October | 18 November | |\n| Vermandois | 1667 | 1683 (aged 16) | Legitimised on 20 February 1669. Held the office of Admiral of France. |\n| | | By Françoise-Athénaïs, marquise de Montespan (5 October 1641 – 27 May 1707) | |\n| Louise Françoise | at the end of | 23 February | |\n| de Bourbon | March 1669 | 1672 (aged 2) | |\n| | | | Legitimised on 20 December 1673. Held numerous offices, of which: Colonel |\n| Louis Auguste, | 31 March | 14 May 1736 | General of the Suisses et Grisons, Governor of Languedoc, General of the Galleys, and Grand Master of Artillery. Also Duke of Aumale, Count of Eu and |\n| Duke of Maine | 1670 | (aged 66) | Prince of Dombes. Had issue. Founder of the Maine Line. Heir presumptive for |\n| | | | several days. |\n| Louis César, Count | 20 June | 10 January | Legitimised on 20 December 1673. |\n| of Vexin | 1672 | 1683 (aged 10) | |\n| Louise Françoise | | 16 June 1743 | Legitimised on 20 December 1673. Married Louis III, Prince of Condé. Had |\n| de Bourbon | 1 June 1673 | (aged 70) | issue. |\n| Louise Marie Anne | 12 November | 15 September | Legitimised in January 1676. |\n| de Bourbon | 1674 | 1681 (aged 6) | |\n| Françoise Marie de | 9 February | 1 February | Legitimised in November 1681. Married Philippe II, Duke of Orléans, the Regent |\n| Bourbon | 1677 | 1749 (aged 72) | of France under Louis XV. Had issue. |\n| Louis Alexandre, | | 1 December | Legitimised on 22 November 1681. Held numerous offices, of which: Admiral of |\n| Count of Toulouse | 6 June 1678 | 1737 (aged 59) | France, Governor of Guyenne, Governor of Brittany, and Grand Huntsman of France. Also Duke of Damville, of Rambouillet and of Penthièvre. Had issue. |\n| by Claude de Vin, Mademoiselle des Œillets (1637 – 18 May 1687) | | | |\n| Louise de | c. 17 June | 12 September | [159] |\n| Maisonblanche | 1676 | 1718 (aged | In 1696 she married Bernard de Prez, Baron de La Queue. |\n| | | 42) | |\n| by Angélique de Fontanges (1661 – 28 June 1681) | | | |\n| Son | January | January 1680 | |\n| | 1680 | (stillborn) | |\n| Daughter | March 1681 | March 1681 | Her existence is uncertain. |\n| | | (stillborn) | |\n\n# **See also**\n\n- Charles de Lorme, personal medical doctor to Louis XIV\n- Fundamental laws of the Kingdom of France\n- House of France\n- Levée (ceremony)\n- List of French monarchs\n- Outline of France\n- Louis XIV style\n- Nicolas Fouquet\n- French forestry Ordinance of 1669\n- Potager du Roi", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Alternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French institutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that largely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably foreseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own.[135]\n\nLouis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed that Louis slighted him, criticised him thus:\n\n> There was nothing he liked so much as flattery, or, to put it more plainly, adulation; the coarser and clumsier it was, the more he relished it.\n\nFor his part, Voltaire saw Louis's vanity as the cause for his bellicosity:\n\nRoyal procession passing the Pont-Neuf under Louis XIV\n\nIt is certain that he passionately wanted glory, rather than the conquests themselves. In the acquisition of Alsace and half of Flanders, and of all of Franche-Comté, what he really liked was the name he made for himself.[136]\n\nNonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the only King of France worthy of the name\".[137] Leibniz, the German Protestant philosopher, commended him as \"one of the greatest kings that ever was\".[138] And Lord Acton admired him as \"by far the ablest man who was born in modern times on the steps of a throne\".[139] The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and without summoning the image of an eternally memorable age\".[140] Voltaire's history, *The Age of Louis XIV*, named Louis's reign as not only one of the four great ages in which reason and culture flourished, but the greatest ever. [141][142]\n\n### **Quotes**\n\nNumerous quotes have been attributed to Louis XIV by legend.\n\nThe well-known \"I am the state\" (*\"L'État, c'est moi.\"*) was reported from at least the late 18th century. [143] It was widely repeated but also denounced as apocryphal by the early 19th century. [144][b][145]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What was one of Louis XIV's most ill-famed decrees?", - "target_page": 6, - "target_passage": "One of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code)", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "**Louis XIV** (Louis-Dieudonné; 5 September 1638 – 1 September 1715), also known as **Louis the Great** (*Louis le Grand*) or the **Sun King** (*le Roi Soleil*), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself.[4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n# **Early years**\n\nPortrait by Hyacinthe Rigaud , 1701\n\n| | King of France (more...) |\n| --- | --- |\n| Reign | 14 May 1643 – 1 September |\n| | 1715 |\n| Coronation | 7 June 1654 |\n| | Reims Cathedral |\n| Predecessor | Louis XIII |\n| Successor | Louis XV |\n| Regent | Anne of Austria (1643–1651) |\n| Chief ministers See list | |\n| | Cardinal Mazarin |\n| | (1643–1661) |\n| | Jean-Baptiste Colbert |\n| | (1661–1683) |\n| | The Marquis of Louvois |\n| | (1683–1691) |\n| Born | 5 September 1638 |\n| | Château de Saint-Germain |\n| | en-Laye, Saint-Germain-en |\n| | Laye, France |\n| Died | 1 September 1715 (aged 76) |\n| | Palace of Versailles, |\n| | Versailles, France |\n| Burial | 9 September 1715 |\n| | Basilica of Saint-Denis |\n| Spouses | Maria Theresa of Spain |\n| | (m. 1660; died 1683) |\n| | Françoise d'Aubigné, |\n| | Marquise de Maintenon |\n| | (private) |\n| | (m. 1683) |", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis feared the political concessions which they would demand in return. Only towards the close of his reign under the extreme exigency of war, was he able, for the first time in French history, to impose direct taxes on the aristocracy. This was a step toward equality before the law and toward sound public finance, though it was predictably diminished by concessions and exemptions won by the insistent efforts of nobles and bourgeois.[35]\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. Colbert's mercantilist administration established new industries and encouraged manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins tapestry manufactory. He invited manufacturers and artisans from all over Europe to France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He aimed to decrease imports while increasing French exports, hence reducing the net outflow of precious metals from France.\n\nLouis instituted reforms in military administration through Michel le Tellier and his son François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the\n\nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted war at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the old military aristocracy (*noblesse d'épée*, nobility of the sword) monopolizing senior military positions and the higher ranks. Louvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the soldiers' material well-being and morale, and even tried to direct campaigns.\n\n### **Relations with the major colonies**\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France was a patchwork of legal systems, with as many traditional legal regimes as there were provinces, and two co-existing legal systems—customary law in the north and Roman civil law in the south.[36] The *Grande Ordonnance de Procédure Civile* of 1667, the *Code Louis*, was a comprehensive legal code imposing a uniform regulation of civil procedure throughout the kingdom. Among other things, it prescribed baptismal, marriage and death records in the state's registers, not the church's, and it strictly regulated the right of the *Parlements* to remonstrate.[37] The *Code Louis* later became the basis for the Napoleonic code, which in turn inspired many modern legal codes.\n\nOne of Louis's more infamous decrees was the *Grande Ordonnance sur les Colonies* of 1685, the *Code Noir* (black code). Although it sanctioned slavery, it attempted to humanise the practice by prohibiting the separation of families. Additionally, in the colonies, only Roman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\n- Conseil d'en haut (\"High Council\", concerning the most important matters of state)—composed of the king, the crown prince, the controller-general of finances, and the secretaries of state in charge of various departments. The members of that council were called ministers of state.\n- Conseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n- Conseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n- Conseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an honorary post in most cases)—this was one of the few posts in the council available to the high aristocracy. [38]\n\n# **Early wars in the Low Countries**\n\n### **Spain**\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees. [39] The marriage treaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants.[39] Mazarin\n\nLouis and his family portrayed as Roman gods in a 1670 painting by Jean Nocret. L to R: Louis's aunt, Henriette-Marie; his brother, Philippe, duc d'Orléans; the Duke's daughter, Marie Louise d'Orléans, and wife, Henriette-Anne Stuart; the Queen-mother, Anne of Austria; three daughters of Gaston d'Orléans; Louis XIV; the Dauphin Louis; Queen Marie-Thérèse; *la Grande Mademoiselle*.", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's foreign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish throne would ultimately be delivered to the House of Bourbon.[32]\n\n# **Personal reign and reforms**\n\n### **Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of Mazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring that he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government of my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] will assist me with your counsels when I ask for them. I request and order you to seal no orders except by my command . . . I order you not to sign anything, not even a passport . . . without my command; to render account to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning for peace and order after decades of foreign and civil strife, the young king consolidated central political authority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of Louis\".[34]\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in 1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. Although Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\n\nMonogram\n\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the *Parlement* found him guilty and sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more efficient taxation. The principal taxes included the *aides* and *douanes* (both customs duties), the *gabelle* (salt tax), and the *taille* (land tax). The *taille* was reduced at first, and certain tax-collection contracts were auctioned instead of being sold privately to a favoured few. Financial officials were required to keep regular accounts, revising inventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income from the royal domain reached the king. Reform had to overcome vested interests: the *taille* was collected by officers of the Crown who had purchased their post at a high price, and punishment of abuses necessarily lowered the value of the purchase. Nevertheless, Colbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, with interest on the debt decreasing from 52 million to 24 million livres. The *taille* was reduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nMembers of the *Académie des sciences* with Louis in 1667; in the background appears the new Paris Observatory.\n\nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million in 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The expenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds sterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds.\n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil administration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct taxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private contractors called tax farmers who made a handsome profit. The state coffers leaked at every joint.\n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation without consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the peasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses on the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Alternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French institutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that largely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably foreseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own.[135]\n\nLouis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed that Louis slighted him, criticised him thus:\n\n> There was nothing he liked so much as flattery, or, to put it more plainly, adulation; the coarser and clumsier it was, the more he relished it.\n\nFor his part, Voltaire saw Louis's vanity as the cause for his bellicosity:\n\nRoyal procession passing the Pont-Neuf under Louis XIV\n\nIt is certain that he passionately wanted glory, rather than the conquests themselves. In the acquisition of Alsace and half of Flanders, and of all of Franche-Comté, what he really liked was the name he made for himself.[136]\n\nNonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the only King of France worthy of the name\".[137] Leibniz, the German Protestant philosopher, commended him as \"one of the greatest kings that ever was\".[138] And Lord Acton admired him as \"by far the ablest man who was born in modern times on the steps of a throne\".[139] The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and without summoning the image of an eternally memorable age\".[140] Voltaire's history, *The Age of Louis XIV*, named Louis's reign as not only one of the four great ages in which reason and culture flourished, but the greatest ever. [141][142]\n\n### **Quotes**\n\nNumerous quotes have been attributed to Louis XIV by legend.\n\nThe well-known \"I am the state\" (*\"L'État, c'est moi.\"*) was reported from at least the late 18th century. [143] It was widely repeated but also denounced as apocryphal by the early 19th century. [144][b][145]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV in 1685, the year he revoked the Edict of Nantes\n\nrewarded converts to Catholicism.[68] This discrimination did not encounter much Protestant resistance, and a steady conversion of Protestants occurred, especially among the noble elites.\n\nIn 1681, Louis dramatically increased his persecution of Protestants. The principle of *cuius regio, eius religio* generally also meant that subjects who refused to convert could emigrate, but Louis banned emigration and effectively insisted that all Protestants must be converted. Secondly, following the proposal of René de Marillac and the Marquis of Louvois, he began quartering dragoons in Protestant homes. Although this was within his legal rights, the *dragonnades* inflicted severe financial strain on Protestants and atrocious abuse. Between 300,000 and 400,000 Huguenots converted, as this entailed financial rewards and exemption from the *dragonnades*. [69]\n\nOn 15 October 1685, Louis issued the Edict of Fontainebleau, which cited the redundancy of privileges for Protestants given their scarcity after the extensive conversions. The Edict of Fontainebleau revoked the Edict of Nantes and repealed all the privileges that arose therefrom.[4] By his edict, Louis no longer tolerated the existence of Protestant groups, pastors, or churches in France.\n\nNo further churches were to be constructed, and those already existing were to be demolished. Pastors could choose either exile or secular life. Those Protestants who had resisted conversion were now to be baptised forcibly into the established church.[70]\n\nProtestant peasants rebelled against the officially sanctioned *dragonnades* (conversions enforced by dragoons, labeled \"missionaries in boots\") that followed the Edict of Fontainebleau.\n\nHistorians have debated Louis's reasons for issuing the Edict of Fontainebleau. He may have been seeking to placate Pope Innocent XI, with whom relations were tense and whose aid was necessary to determine the outcome of a succession crisis in the Electorate of Cologne. He may also have acted to upstage Emperor Leopold I and regain international prestige after the latter defeated the Turks without Louis's help. Otherwise, he may simply\n\nhave desired to end the remaining divisions in French society dating to the Wars of Religion by fulfilling his coronation oath to eradicate heresy. [71][72]\n\nMany historians have condemned the Edict of Fontainebleau as gravely harmful to France.[73] In support, they cite the emigration of about 200,000 highly skilled Huguenots (roughly one quarter of the Protestant population, or 1% of the French population) who defied royal decrees and fled France for various Protestant states, weakening the French economy and enriching that of Protestant states. On the other hand, some historians view this as an exaggeration. They argue that most of France's preeminent Protestant businessmen and industrialists converted to Catholicism and remained.[74]\n\nWhat is certain is that the reaction to the Edict was mixed. Even while French Catholic leaders exulted, Pope Innocent XI still argued with Louis over Gallicanism and criticized the use of violence. Protestants across Europe were horrified at the treatment of their co-religionists, but most Catholics in France applauded the move. Nonetheless, it is indisputable that Louis's public image in most of Europe, especially in Protestant regions, was dealt a severe blow.\n\nIn the end, however, despite renewed tensions with the Camisards of south-central France at the end of his reign, Louis may have helped ensure that his successor would experience fewer instances of the religion-based disturbances that had plagued his forebears. French society would sufficiently change by the time of his descendant, Louis XVI, to welcome tolerance in the form of the 1787 Edict of Versailles, also known as the Edict of Tolerance. This restored to non-Catholics their civil rights and the freedom to worship openly. [75] With the advent of the French Revolution in 1789, Protestants were granted equal rights with their Roman Catholic counterparts.\n\n## **Nine Years' War**\n\n#### **Causes and conduct of the war**", - "page_start": 10, - "page_end": 10, - "source_file": "wikipedia5.pdf" - }, - { - "text": "He did say, \"Every time I appoint someone to a vacant position, I make a hundred unhappy and one ungrateful.\"[146][147] Louis is recorded by numerous eyewitnesses as having said on his deathbed: \"*Je m'en vais, mais l'État demeurera toujours.*\" (\"I depart, but the State shall always remain.\")[148]\n\n## **Arms**\n\n# **Order of Saint Louis**\n\nOn 5 April 1693, Louis also founded the Royal and Military Order of Saint Louis (French: *Ordre Royal et Militaire de Saint-Louis*), a military order of chivalry. [150][151] He named it after Louis IX and intended it as a reward for outstanding officers. It is notable as the first decoration that could be granted to non-nobles and is roughly the forerunner of the *Légion d'honneur*, with which it shares the red ribbon (though the *Légion d'honneur* is awarded to military personnel and civilians alike).\n\n# **Family**\n\n### **Ancestry**", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia5.pdf" - }, - { - "text": "- The film, *Le Roi Danse* (2000; translated: *The King Dances*), directed by Gérard Corbiau, reveals Louis through the eyes of Jean-Baptiste Lully, his court musician.\n- Julian Sands portrayed Louis in Roland Jaffe's *Vatel* (2000).\n- Alan Rickman directed, co-wrote, and stars as Louis XIV in the film, *A Little Chaos*, which centres on construction in the gardens of Versaille, at the time immediately before and after the death of Queen Maria Theresa.\n- The 2016 film *The Death of Louis XIV*, directed by Albert Serra, is set during the last two weeks of Louis XIV's life before dying of gangrene, with the monarch played by Jean-Pierre Léaud.\n\n#### **Television**\n\n- Louis XIV is portrayed by Thierry Perkins-Lyautey in the British television film *Charles II: The Power and the Passion.*\n- The 15-year-old Louis XIV, as played by the Irish actor Robert Sheehan, is a major character of the short-lived historical fantasy series *Young Blades* from January to June 2005.\n- George Blagden portrays Louis XIV in the Canal+ series *Versailles* which aired for three seasons from 2015.\n\n#### **Musicals**\n\n- Emmanuel Moire portrayed Louis XIV in the 2005-07 Kamel Ouali musical Le Roi Soleil.\n# **Health and death**\n\nLouis XIV (seated) with his son *le Grand Dauphin* (to the left), his grandson Louis, Duke of Burgundy (to the right), his great-grandson Louis Duke of Anjou, and Madame de Ventadour, Anjou's governess, who commissioned this painting; busts of Henry IV and Louis XIII are in the background.\n\n*The Death of Louis XIV at the Palace of Versailles*, Thomas Jones Barker, 1835-1840\n\nDespite the image of a healthy and virile king that Louis sought to project, evidence exists to suggest that his health was not very good. He had many ailments: for example, symptoms of diabetes, as confirmed in reports of suppurating periostitis in 1678, dental abscesses in 1696, along with recurring boils, fainting spells, gout, dizziness, hot flushes, and headaches.\n\nFrom 1647 to 1711, the three chief physicians to the king (Antoine Vallot, Antoine d'Aquin, and Guy-Crescent Fagon) recorded all of his health problems in the *Journal de Santé du Roi* (*Journal of the King's Health*), a daily report of his health. On 18 November 1686, Louis underwent a painful operation for an anal fistula that was performed by the surgeon Charles Felix de Tassy, who prepared a specially shaped curved scalpel for the occasion. The wound took more than two months to heal.[124]\n\nLouis died of gangrene at Versailles on 1 September 1715, four days before his 77th birthday, after 72 years on the throne. Enduring much pain in his last days, he finally \"yielded up his soul without any effort, like a candle going out\", while reciting the psalm *Deus, in adjutorium me festina* (*O Lord, make haste to help me*).[125] His body was laid to rest in Saint-Denis Basilica outside Paris. It remained there undisturbed for about 80 years until revolutionaries exhumed and destroyed all of the remains found in the Basilica.[126] In 1848, at Nuneham House, a piece of Louis's mummified heart, taken from his tomb and kept in a silver locket by Lord Harcourt, Archbishop of York, was shown to the Dean of Westminster, William Buckland, who ate a part of it.[127]\n\nCardinal Armand Gaston Maximilien de Rohan gave Last Rites (confession, viaticum, and unction) to king Louis XIV. [128]\n\n### **Succession**\n\nLouis outlived most of his immediate legitimate family. His last surviving legitimate son, Louis, Dauphin of France, died in 1711. Barely a year later, the Duke of Burgundy, the eldest of the Dauphin's three sons and then heir-apparent to Louis, followed his father. Burgundy's elder son, Louis, Duke of Brittany, joined them a few weeks later. Thus, on his\n\ndeathbed, Louis's heir-apparent was his five-year-old great-grandson, Louis, Duke of Anjou, Burgundy's younger son.\n\nLouis foresaw an underaged successor and sought to restrict the power of his nephew Philip II, Duke of Orléans, who, as his closest surviving legitimate relative in France, would probably become regent to the prospective Louis XV. Accordingly, the king created a regency council as Louis XIII had in anticipation of Louis XIV's own minority, with some power vested in his", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia5.pdf" - }, - { - "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine. [129] Orléans, however, had Louis's will annulled by the *Parlement of Paris* after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130]\n\n#### **Line of succession in 1715**\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, Philip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish Succession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131]\n\n```\nLouis XIII (1601–1643)\n Louis XIV (1638–1715)\n Louis, Grand Dauphin (1661–1711)\n Louis, Duke of Burgundy (1682–1712)\n Louis, Duke of Brittany (1707–1712)\n (1) Louis, Duke of Anjou (1710–1774)\n Philip V of Spain (1683–1746)\n Charles, Duke of Berry (1686–1714)\nPhilippe I, Duke of Orléans (1640–1701)\n (2) Philippe II, Duke of Orléans (1674–1723)\n (3) Louis, Duke of Chartres (1703–1752)\n```\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin of French King Louis XIII (the father of Louis XIV) in the male line.\n\n## **Legacy**\n\n#### **Reputation**\n\nAccording to Philippe de Courcillon's *Journal*, Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for vanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the burdens of your subjects.[132]\n\nSome historians point out that it was a customary demonstration of piety in those days to exaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed declarations in assessing his accomplishments. Rather, they focus on military and diplomatic successes, such as how he placed a French prince on the Spanish throne. This, they contend, ended the threat of an aggressive Spain that historically interfered in domestic French politics. These historians also emphasise the effect of Louis's wars in expanding France's boundaries and creating more defensible frontiers that preserved France from invasion until the Revolution.[132]\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] subjects.\" For example, he patronised the arts, encouraged industry, fostered trade and commerce, and sponsored the founding of an overseas empire. Moreover, the significant reduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nTerritorial expansion of France under Louis XIV (1643–1715) is depicted in orange.\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised France and marked the birth of the modern French state. They regard the political and military victories as well as numerous cultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France for its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, goods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted France. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting evidence, they cite the literature of the time, such as the social commentary in Montesquieu's *Persian Letters*. [134]", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV was born on 5 September 1638 in the Château de Saint-Germain-en-Laye, to Louis XIII and Anne of Austria. He was named Louis Dieudonné (Louis the God-given)[7] and bore the traditional title of French heirs apparent: *Dauphin*. [8] At the time of his birth, his parents had been married for 23 years. His mother had experienced four stillbirths between 1619 and 1631. Leading contemporaries thus regarded him as a divine gift and his birth a miracle of God.[9]\n\nLouis's relationship with his mother was uncommonly affectionate for the time. Contemporaries and eyewitnesses claimed that the Queen would spend all her time with Louis.[10] Both were greatly interested in food and theatre, and it is highly likely that Louis developed these interests through his close relationship with his mother. This long-lasting and loving relationship can be evidenced by excerpts in Louis's journal entries, such as:\n\n> \"Nature was responsible for the first knots which tied me to my mother. But attachments formed later by shared qualities of the spirit are far more difficult to break than those formed merely by blood.\"[11]\n\nIt was his mother who gave Louis his belief in the absolute and divine power of his monarchical rule.[12]\n\nDuring his childhood, he was taken care of by the governesses Françoise de Lansac and Marie-Catherine de Senecey. In 1646, Nicolas V de Villeroy became the young king's tutor. Louis XIV became friends with Villeroy's young children, particularly François de Villeroy, and divided his time between the Palais-Royal and the nearby Hotel de Villeroy.\n\n# **Minority and the** *Fronde*\n\n#### **Issue** *more...*\n\nLouis, Grand Dauphin Marie Thérèse, Madame Royale Philippe Charles, Duke of Anjou *Illegitimate*: Marie Anne, Princess of Conti Louis, Count of Vermandois Louis Auguste, Duke of Maine Louis César, Count of Vexin Louise Françoise, Princess of Condé Louise Marie Anne, Mademoiselle de Tours Louise, Baroness of La Queue Françoise Marie, Duchess of Orléans Louis Alexandre, Count of Toulouse\n\n#### **Names**\n\nLouis-Dieudonné de France\n\n**House** Bourbon **Father** Louis XIII **Mother** Anne of Austria **Religion** Catholicism **Signature**\n\n### **Accession**\n\nSensing imminent death in the spring of 1643, King Louis XIII decided to put his affairs in order for his four-year-old son Louis XIV. Not trusting the judgement of his Spanish wife Queen Anne, who would normally have become the sole regent of France, the king decreed that a regency council would rule on his son's behalf, with Anne at its head.[13]\n\nLouis XIII died on 14 May 1643. On 18 May[14] Queen Anne had her husband's will annulled by the *Parlement de Paris*, a judicial body of nobles and high-ranking clergy, [15] and she became sole regent. She exiled her husband's ministers Chavigny and Bouthilier and appointed the Count of Brienne as her minister of foreign affairs.[16] Anne kept the direction of religious policy strongly in hand until her son's majority in 1661.\n\nShe appointed Cardinal Mazarin as chief minister, giving him the daily administration of policy. She continued the policies of her late husband and Cardinal Richelieu, despite their persecution of her, in order to win absolute authority in France and victory abroad for her son. Anne protected Mazarin by exiling her followers the Duke of Beaufort and Marie de Rohan, who conspired against him in 1643.[17]\n\nThe best example of Anne's loyalty to France was her treatment of one of Richelieu's men, the Chancellor Pierre Séguier. Séguier had brusquely interrogated Anne in 1637 (like a\n\nLouis XIV as a young child, unknown painter\n\n\"common criminal\", as she recalled) following the discovery that she was giving military secrets to her father in Spain, and Anne was virtually under house arrest for years. By keeping the effective Séguier in his post, Anne sacrificed her own feelings for the interests of France and her son Louis.", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia5.pdf" - }, - { - "text": "- Félix, Joël. \"'The most difficult financial matter that has ever presented itself': paper money and the financing of warfare under Louis XIV.\" *Financial History Review* 25.1 (2018): 43–70 online (http://centaur.reading.ac.uk/72452/ 2/The%20most%20difficult%20financial%20matter%20FH.pdf) Archived (https://web.archive.org/web/2021022610 4833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf) 26 February 2021 at the Wayback Machine.\n- Goubert, Pierre (197). *Louis XIV and Twenty Million Frenchmen*. social history from Annales School. ISBN 978-0- 3947-1751-7.\n- Jones, Colin. *The Great Nation: France from Louis XIV to Napoleon (1715–1799)* (2002)\n- Klaits, Joseph. *Printed propaganda under Louis XIV: absolute monarchy and public opinion* (Princeton University Press, 2015).\n- Le Roy Ladurie, Emmanuel. *The Ancien Régime: A History of France 1610–1774* (1999), survey by leader of the Annales School ISBN 0631211969\n- Lewis, W. H. *The Splendid Century: Life in the France of Louis XIV* (1953) ISBN 0881339210\n- Mitford, Nancy (1966). *The Sun King: Louis XIV at Versailles* (2012 ed.). New York Review of Books. ISBN 978-1- 5901-7491-3.\n\nPrest, Julia, and Guy Rowlands, eds. *The Third Reign of Louis XIV, c. 1682–1715* (Taylor & Francis, 2016).\n\n- Rothkrug, Lionel. *Opposition to Louis XIV: The Political and Social Origins of French Enlightenment* (Princeton University Press, 2015).\n- Rowlands, Guy. *The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest, 1661–1701* (2002)\n- Rubin, David Lee, ed. *Sun King: The Ascendancy of French Culture during the Reign of Louis XIV*. Washington: Folger Books and Cranbury: Associated University Presses, 1992.\n- Rule, John C., *Louis XIV and the craft of kingship* 1969.\n- Shennan, J. H. *Louis XIV* (1993)\n- Thompson, Ian. *The Sun King's Garden: Louis XIV, André Le Nôtre And the Creation of the Gardens of Versailles*. London: Bloomsbury Publishing, 2006 ISBN 1-5823-4631-3\n- Treasure, Geoffrey. *The Making of Modern Europe, 1648–1780* (3rd ed. 2003). pp. 230–296.\n- Wilkinson, Rich. *Louis XIV* (Routledge, 2007). ISBN 978-0-4153-5815-6\n- Cénat, Jean-Philippe. *Le roi stratège: Louis XIV et la direction de la guerre, 1661–1715* (Presses universitaires de Rennes, 2019).\n- Croix, Alain. \"Vingt millions de Français et Louis XIV.\" *Revue dhistoire moderne contemporaine* 2 (2020): 27–46.\n- Engerand, Fernand, editor (1899). (in French) *Inventaire des tableaux du Roy rédigé en 1709 et 1710 par Nicolas Bailly*. Paris: Ernest Leroux. Copy (http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) Archived (https://we b.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) 7 March 2016 at the Wayback Machine at Gallica.\n\n# **External links**\n\n- Ranum, Orest, ed. (1972). *The Century of Louis XIV* (http://www.palgrave.com/in/book/9781349004997). Archived (https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997) from the original on 7 February 2018. Retrieved 7 July 2017. {{cite book}}: |work= ignored (help)\n- Works by or about Louis XIV (https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the +Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29) at the Internet Archive\n- Works by Louis XIV (https://librivox.org/author/9631) at LibriVox (public domain audiobooks)\n- Louis XIV (http://www.history.com/topics/louis-xiv) Archived (https://web.archive.org/web/20170622232619/http://w ww.history.com/topics/louis-xiv) 22 June 2017 at the Wayback Machine at *History.com*\n- Full text of marriage contract (https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/ch oiseul/ressource/pdf/D16590004.pdf), France National Archives transcription (in French)\n- *Le Siècle de Louis XIV* by Voltaire, 1751, hosted by French Wikisource\n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Louis_XIV&oldid=1267574624\"", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What did Louis XIV do to avoid the Spanish War of Succession in 1698?", - "target_page": 13, - "target_passage": "In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son le Grand Dauphin and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "experiences during the *Fronde*, when men of high birth readily took up the rebel cause against their king, who was actually the kinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French Revolution about a century later.\n\n### **France as the pivot of warfare**\n\nUnder Louis, France was the leading European power, and most wars pivoted around its aggressiveness. No European state exceeded it in population, and no one could match its wealth, central location, and very strong professional army. It had largely avoided the devastation of the Thirty Years' War. Its weaknesses included an inefficient financial system that was hard-pressed to pay for its military adventures, and the tendency of most other powers to gang up against it.\n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. There were also two lesser conflicts: the War of Devolution and the War of the Reunions. [64] The wars were very expensive but defined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by a mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to enhance his glory. In peacetime, he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] By 1695, France retained much of its dominance but had lost control of the seas to England and Holland, and most countries, both Protestant and Catholic, were in alliance against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned Louis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that France fight back by licensing French merchant ships to privateer and seize enemy merchant ships while avoiding its navies:\n\nLouis XIV\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in Europe, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies in the East and West Indies; and Holland with all its possessions in the four corners of the world where it has great establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states secretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting and covering their trade.[65]\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England [James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all in Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of peace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they support it by making war against us in concert with the other powers, and they keep it going by means of the money that they pay every year to... Allies.... We must therefore fall back on privateering as the method of conducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more so since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many good officers for the King, and in a short time force his enemies to sue for peace.[66]\n\n# **Edict of Fontainebleau**\n\nLouis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious freedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in Louis's thinking was the prevailing contemporary European principle to assure socio-political stability, *cuius regio, eius religio* (\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in central Europe in the Peace of Augsburg of 1555).[67]\n\nResponding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches outside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also disallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "In July 1695, the city of Namur, occupied for three years by the French, was besieged by an allied army led by William III. Louis XIV ordered the surprise destruction of a Flemish city to divert the attention of these troops. This led to the bombardment of Brussels, in which more than 4,000 buildings were destroyed, including the entire city centre. The strategy failed, as Namur fell three weeks later, but harmed Louis XIV's reputation: a century later, Napoleon deemed the bombardment \"as barbarous as it was useless\".[85]\n\nPeace was broached by Sweden in 1690. By 1692, both sides evidently wanted peace, and secret bilateral talks began, but to no avail.[86] Louis tried to break up the alliance against him by dealing with individual opponents but did not achieve his aim until 1696 when the Savoyards agreed to the Treaty of Turin and switched sides. Thereafter, members of the League of Augsburg rushed to the peace table, and negotiations for a general peace began in earnest, culminating in the Peace of Ryswick of 1697.[87]\n\nMarshal de Luxembourg\n\n#### **Peace of Ryswick**\n\nThe Peace of Ryswick ended the War of the League of Augsburg and disbanded the Grand Alliance. By manipulating their rivalries and suspicions, Louis divided his enemies and broke their power.\n\nThe treaty yielded many benefits for France. Louis secured permanent French sovereignty over all of Alsace, including Strasbourg, and established the Rhine as the Franco-German border (as it is to this day). Pondichéry and Acadia were returned to France, and Louis's *de facto* possession of Saint-Domingue was recognised as lawful. However, he returned Catalonia and most of the Reunions.\n\nFrench military superiority might have allowed him to press for more advantageous terms. Thus, his generosity to Spain with regard to Catalonia has been read as a concession to foster pro-French sentiment and may ultimately have induced King Charles II to name Louis's grandson Philip, Duke of Anjou, heir to the Spanish throne.[88] In exchange for financial compensation, France renounced its interests in the Electorate of Cologne and the Palatinate. Lorraine, which had been occupied by the French since 1670, was returned to its rightful Duke Leopold, albeit with a right of way to the French military. William and Mary were recognised as joint sovereigns of the British Isles, and Louis withdrew support for James II. The Dutch were given the right to garrison forts in the Spanish Netherlands that acted as a protective barrier against possible French aggression. Though in some respects the Treaty of Ryswick may appear a diplomatic defeat for Louis since he failed to place client rulers in control of the Palatinate or the Electorate of Cologne, he did fulfil many of the aims laid down in his 1688 ultimatum.[89] In any case, peace in 1697 was desirable to Louis, since France was exhausted from the costs of the war.\n\n## **War of the Spanish Succession**\n\n#### **Causes and build-up to the war**\n\nBy the time of the Peace of Ryswick, the Spanish succession had been a source of concern to European leaders for well over forty years. King Charles II ruled a vast empire comprising Spain, Naples, Sicily, Milan, the Spanish Netherlands, and numerous Spanish colonies. He produced no children, however, and consequently had no direct heirs.\n\nThe principal claimants to the throne of Spain belonged to the ruling families of France and Austria. The French claim derived from Louis XIV's mother Anne of Austria (the older sister of Philip IV of Spain) and his wife Maria Theresa (Philip IV's eldest daughter). Based on the laws of primogeniture, France had the better claim as it originated from the eldest daughters in two generations. However, their renunciation of succession rights complicated matters. In the case of Maria Theresa, nonetheless, the renunciation was considered null and void owing to Spain's breach of her marriage contract with Louis. In contrast, no renunciations tainted the claims of Emperor Leopold I's son Charles, Archduke of Austria, who was a grandson of Philip III's youngest daughter Maria Anna. The English and Dutch feared that a French or Austrian-born Spanish king would threaten the balance of power and thus preferred the Bavarian Prince Joseph Ferdinand, a grandson of Leopold I through his first wife Margaret Theresa of Spain (the younger daughter of Philip IV).\n\nIn an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son *le Grand Dauphin* and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand. William III consented to permitting the Dauphin's new territories to become part of France when the latter", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV in 1670, engraved portrait by Robert Nanteuil\n\nand Lionne, however, made the renunciation conditional on the full payment of a Spanish dowry of 500,000 écus. [40] The dowry was never paid and would later play a part persuading his maternal first cousin Charles II of Spain to leave his empire to Philip, Duke of Anjou (later Philip V of Spain), the grandson of Louis XIV and Maria Theresa.\n\nThe War of Devolution did not focus on the payment of the dowry; rather, the lack of payment was what Louis XIV used as a pretext for nullifying Maria Theresa's renunciation of her claims, allowing the land to \"devolve\" to him. In Brabant (the location of the land in dispute), children of first marriages traditionally were not disadvantaged by their parents' remarriages and still inherited property. Louis's wife was Philip IV's daughter by\n\nhis first marriage, while the new king of Spain, Charles II, was his son by a subsequent marriage. Thus, Brabant allegedly \"devolved\" to Maria Theresa, justifying France to attack the Spanish Netherlands.\n\nThe future Philip V being introduced as King of Spain by his grandfather, Louis XIV\n\n#### **Relations with the Dutch**\n\nDuring the Eighty Years' War with Spain, France supported the Dutch Republic as part of a general policy of opposing Habsburg power. Johan de Witt, Dutch Grand Pensionary from 1653 to 1672, viewed this as crucial for Dutch security and a counterweight against his domestic Orangist opponents. Louis provided support in the 1665-1667 Second Anglo-Dutch War but used the opportunity to launch the War of Devolution in 1667. This captured Franche-Comté and much of the Spanish Netherlands; French expansion in this area was a direct threat to Dutch economic interests.[41]\n\nThe Battle of Tolhuis, Louis XIV crosses the Lower Rhine at Lobith on 12 June 1672; Rijksmuseum Amsterdam\n\nThe Dutch opened talks with Charles II of England on a common diplomatic front against France, leading to the Triple Alliance, between England, the Dutch and Sweden. The threat of an escalation and a secret treaty to divide Spanish possessions\n\nwith Emperor Leopold, the other major claimant to the throne of Spain, led Louis to relinquish many of his gains in the 1668 Treaty of Aix-la-Chapelle. [42]\n\nLouis placed little reliance on his agreement with Leopold and as it was now clear French and Dutch aims were in direct conflict, he decided to first defeat the Republic, then seize the Spanish Netherlands. This required breaking up the Triple Alliance; he paid Sweden to remain neutral and signed the 1670 Secret Treaty of Dover with Charles, an Anglo-French alliance against the Dutch Republic. In May 1672, France invaded the Republic, supported by Münster and the Electorate of Cologne. [43]\n\nLouis XIV, 1670, by Claude Lefèbvre\n\nRapid French advance led to a coup that toppled De Witt and brought William III to power. Leopold viewed French expansion into the Rhineland as an increasing threat, especially after they seized the strategic Duchy of Lorraine in 1670. The prospect of Dutch defeat led Leopold to an alliance with Brandenburg-Prussia on 23 June, followed by another with the Republic on 25th.[44] Although Brandenburg was forced out of the war by the June 1673 Treaty of Vossem, in August an anti-French alliance was formed by the Dutch, Spain, Emperor Leopold and the Duke of Lorraine. [45]\n\nThe French alliance was deeply unpopular in England, and only more so after the disappointing battles against Michiel de Ruyter's fleet. Charles II of England made peace with the Dutch in the February 1674 Treaty of Westminster. However, French armies held significant advantages over their opponents; an undivided command, talented generals like Turenne, Condé and Luxembourg and vastly superior logistics. Reforms introduced by Louvois, the Secretary of War, helped maintain large field armies that could be mobilised much more quickly, allowing them to mount offensives in early spring before their opponents were ready. [46]", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia5.pdf" - }, - { - "text": "**Louis XIV** (Louis-Dieudonné; 5 September 1638 – 1 September 1715), also known as **Louis the Great** (*Louis le Grand*) or the **Sun King** (*le Roi Soleil*), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself.[4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n# **Early years**\n\nPortrait by Hyacinthe Rigaud , 1701\n\n| | King of France (more...) |\n| --- | --- |\n| Reign | 14 May 1643 – 1 September |\n| | 1715 |\n| Coronation | 7 June 1654 |\n| | Reims Cathedral |\n| Predecessor | Louis XIII |\n| Successor | Louis XV |\n| Regent | Anne of Austria (1643–1651) |\n| Chief ministers See list | |\n| | Cardinal Mazarin |\n| | (1643–1661) |\n| | Jean-Baptiste Colbert |\n| | (1661–1683) |\n| | The Marquis of Louvois |\n| | (1683–1691) |\n| Born | 5 September 1638 |\n| | Château de Saint-Germain |\n| | en-Laye, Saint-Germain-en |\n| | Laye, France |\n| Died | 1 September 1715 (aged 76) |\n| | Palace of Versailles, |\n| | Versailles, France |\n| Burial | 9 September 1715 |\n| | Basilica of Saint-Denis |\n| Spouses | Maria Theresa of Spain |\n| | (m. 1660; died 1683) |\n| | Françoise d'Aubigné, |\n| | Marquise de Maintenon |\n| | (private) |\n| | (m. 1683) |", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in Louis's political and diplomatic fortunes. It arose from two events in the Rhineland. First, in 1685, the Elector Palatine Charles II died. All that remained of his immediate family was Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from succeeding to her brother's lands and electoral dignity, but it was unclear enough for arguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the princess was demonstrably entitled to a division of the family's personal property. Louis pressed her claims to land and chattels, hoping the latter, at least, would be given to her. [76] Then, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France, died. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the Bavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at that time not more than 17 years old and not even ordained. Louis sought instead to install his own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state remained an ally. [77]\n\nIn light of his foreign and domestic policies during the early 1680s, which were perceived as aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created concern and alarm in much of Europe. This led to the formation of the 1686 League of Augsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated intention was to return France to at least the borders agreed to in the Treaty of Nijmegen.[78] Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into a permanent treaty fed Louis's fears that the Emperor would turn on France and attack the Reunions after settling his affairs in the Balkans.[79]\n\nAnother event Louis found threatening was England's Glorious Revolution of 1688. Although King James II was Catholic, his two Anglican daughters, Mary and Anne, ensured the English people a Protestant succession. But when James II's son James Francis Edward Stuart was born, he took precedence in succession over his sisters. This seemed to herald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince\n\nBattle of Fleurus, 1690\n\nLouis in 1690\n\nWilliam III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's warning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest to him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-inlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus transforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to England to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to the German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises. This military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army of sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation of the Palatinate\").[80]\n\nLouis XIV at the siege of Namur (1692)\n\nFrench armies were generally victorious throughout the war because of Imperial commitments in the Balkans, French logistical superiority, and the quality of French generals such as Condé's famous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg. [81] He triumphed at the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles proved to be of little of strategic consequence,[82][83] mostly due to the nature of late 17th-century warfare.[84]\n\nAlthough an attempt to restore James II failed at the Battle of the Boyne in 1690, France accumulated a string of victories from Flanders in the north, Germany in the east, and Italy and Spain in the south, to the high seas and the colonies. Louis personally supervised the captures of Mons in 1691 and Namur in 1692. Luxembourg gave France the defensive line of the Sambre by capturing Charleroi in 1693. France also overran most of the Duchy of Savoy after the battles of Marsaglia and Staffarde in 1693. While naval stalemate ensued after the French victory at the Battle of Beachy Head in 1690 and the Allied victory at Barfleur-La Hougue in 1692, the Battle of Torroella in 1694 exposed Catalonia to French invasion, culminating in the capture of Barcelona.\n\nThe Dutch captured Pondichéry in 1693, but a 1697 French raid on the Spanish treasure port of Cartagena, Spain, yielded a fortune of 10,000,000 livres.", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia5.pdf" - }, - { - "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's foreign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish throne would ultimately be delivered to the House of Bourbon.[32]\n\n# **Personal reign and reforms**\n\n### **Coming of age and early reforms**\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of Mazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring that he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government of my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] will assist me with your counsels when I ask for them. I request and order you to seal no orders except by my command . . . I order you not to sign anything, not even a passport . . . without my command; to render account to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning for peace and order after decades of foreign and civil strife, the young king consolidated central political authority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of Louis\".[34]\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in 1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. Although Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\n\nMonogram\n\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the *Parlement* found him guilty and sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more efficient taxation. The principal taxes included the *aides* and *douanes* (both customs duties), the *gabelle* (salt tax), and the *taille* (land tax). The *taille* was reduced at first, and certain tax-collection contracts were auctioned instead of being sold privately to a favoured few. Financial officials were required to keep regular accounts, revising inventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income from the royal domain reached the king. Reform had to overcome vested interests: the *taille* was collected by officers of the Crown who had purchased their post at a high price, and punishment of abuses necessarily lowered the value of the purchase. Nevertheless, Colbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, with interest on the debt decreasing from 52 million to 24 million livres. The *taille* was reduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nMembers of the *Académie des sciences* with Louis in 1667; in the background appears the new Paris Observatory.\n\nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million in 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The expenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds sterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds.\n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil administration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct taxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private contractors called tax farmers who made a handsome profit. The state coffers leaked at every joint.\n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation without consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the peasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses on the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St Germain for a time, where no one, except a few intimates, was allowed to disturb him.[47] French military advantages allowed them however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual exhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the Scanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of Saint-Germain-en-Laye, Fontainebleau and Lund imposed on Denmark–Norway and Brandenburg.[48] Yet Louis's two primary goals, the destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed.[49]\n\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In 1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too much with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military force alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary treaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his rights and obligations under those treaties.\n\nCities and territories, such as Luxembourg and Casale, were prized for their strategic positions on the frontier and access to important waterways. Louis also sought Strasbourg, an important strategic crossing on the left bank of the Rhine and theretofore a Free Imperial City of the Holy Roman Empire, annexing it and other territories in 1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and was thus not ceded to France in the Peace of Westphalia.\n\nFollowing these annexations, Spain declared war, precipitating the War of the Reunions. However, the Spanish were rapidly defeated because the Emperor (distracted by the Great Turkish War) abandoned them, and the Dutch only supported them minimally. By the Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation of most of the conquered territories, for 20 years.[50]\n\nLouis's policy of the *Réunions* may have raised France to its greatest size and power during his reign, but it alienated much of Europe. This poor public opinion was compounded by French actions off the Barbary Coast and at Genoa. First, Louis had\n\nAlgiers and Tripoli, two Barbary pirate strongholds, bombarded to obtain a favourable treaty and the liberation of Christian slaves. Next, in 1684, a punitive mission was launched against Genoa in retaliation for its support for Spain in previous wars. Although the Genoese submitted, and the Doge led an official mission of apology to Versailles, France gained a reputation for brutality and arrogance. European apprehension at growing French might and the realisation of the extent of the dragonnades' effect (discussed below) led many states to abandon their alliances with France.[51] Accordingly, by the late 1680s, France became increasingly isolated in Europe.\n\n### **Non-European relations and the colonies**\n\nFrench colonies multiplied in Africa, the Americas, and Asia during Louis's reign, and French explorers made important discoveries in North America. In 1673, Louis Jolliet and Jacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur de La Salle, followed the Mississippi to the Gulf of Mexico and claimed the vast Mississippi basin in Louis's name, calling it *Louisiane*. French trading posts were also established in India, at Chandernagore and Pondicherry, and in the Indian Ocean at Île Bourbon. Throughout these regions, Louis and Colbert embarked on an extensive program of architecture and urbanism meant to reflect the styles of Versailles and Paris and the 'gloire' of the realm.[52]\n\nMeanwhile, diplomatic relations were initiated with distant countries. In 1669, Suleiman Aga led an Ottoman embassy to revive the old Franco-Ottoman alliance. [53] Then, in 1682,\n\nafter the reception of the Moroccan embassy of Mohammed Tenim in France, Moulay Ismail, Sultan of Morocco, allowed French consular and commercial establishments in his country. [54] In 1699, Louis once again received a Moroccan ambassador, Abdallah bin Aisha, and in 1715, he received a Persian embassy led by Mohammad Reza Beg.\n\nFrom farther afield, Siam dispatched an embassy in 1684, reciprocated by the French magnificently the next year under Alexandre, Chevalier de Chaumont. This, in turn, was succeeded by another Siamese embassy under Kosa Pan, superbly received at Versailles in 1686. Louis then sent another embassy in 1687, under Simon de la Loubère, and French influence grew at the\n\nThe Persian embassy to Louis XIV sent by Soltan Hoseyn in 1715. *Ambassade de Perse auprès de*\n\n*Louis XIV*, studio of Antoine Coypel.\n\n1674\").", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Philip V of Spain\n\nsucceeded to his father's throne.[90] The signatories, however, omitted to consult the ruler of these lands, and Charles II was passionately opposed to the dismemberment of his empire. In 1699, he re-confirmed his 1693 will that named Joseph Ferdinand as his sole successor. [91]\n\nSix months later, Joseph Ferdinand died. Therefore, in 1700, Louis and William III concluded a fresh partitioning agreement, the Treaty of London. This allocated Spain, the Low Countries, and the Spanish colonies to the Archduke. The Dauphin would receive all of Spain's Italian territories.[92] Charles II acknowledged that his empire could only remain undivided by bequeathing it entirely to a Frenchman or an Austrian. Under pressure from his German wife, Maria Anna of Neuburg, Charles II named Archduke Charles as his sole heir.\n\n### **Acceptance of the will of Charles II and consequences**\n\nOn his deathbed in 1700, Charles II of Spain unexpectedly changed his will. The clear demonstration of French military superiority for many decades before this time, the pro-French faction at the court of Spain, and even Pope\n\nInnocent XII convinced him that France was more likely to preserve his empire intact. He thus offered the entire empire to the Dauphin's second son Philip, Duke of Anjou, provided it remained undivided. Anjou was not in the direct line of French succession, thus his accession would not cause a Franco-Spanish union.[92] If Anjou refused, the throne would be offered to his younger brother Charles, Duke of Berry. If the Duke of Berry declined it, it would go to Archduke Charles, then to the distantly related House of Savoy if Charles declined it.[93]\n\nLouis was confronted with a difficult choice. He could agree to a partition of the Spanish possessions and avoid a general war, or accept Charles II's will and alienate much of Europe. He may initially have been inclined to abide by the partition treaties, but the Dauphin's insistence persuaded him otherwise.[94] Moreover, Louis's foreign minister, Jean-Baptiste Colbert, marquis de Torcy, pointed out that war with the Emperor would almost certainly ensue whether Louis accepted the partition treaties or Charles II's will. He\n\nLouis in 1701\n\nemphasised that, should it come to war, William III was unlikely to stand by France since he \"made a treaty to avoid war and did not intend to go to war to implement the treaty\".[91] Indeed, in the event of war, it might be preferable to be already in control of the disputed lands. Eventually, therefore, Louis decided to accept Charles II's will. Philip,\n\nMost European rulers accepted Philip as king, some reluctantly. Depending on one's views of the war's inevitability, Louis acted reasonably or arrogantly. [95] He confirmed that Philip V retained his French rights despite his new Spanish position. Admittedly, he may only have been hypothesising a theoretical eventuality and not attempting a Franco-Spanish union. But his actions were certainly not read as disinterested. Moreover, Louis sent troops to the Spanish Netherlands to evict Dutch garrisons and secure Dutch recognition of Philip V. In 1701, Philip transferred the *asiento* (the right to supply slaves to Spanish colonies) to France, as a sign of the two nations' growing connections. As tensions mounted, Louis decided to acknowledge James Stuart, the son of James II, as King of England, Scotland and Ireland on the latter's death, infuriating William III. These actions enraged Britain and the Dutch Republic.[96] With the Holy Roman Emperor and the petty German states, they formed another Grand Alliance and declared war on France in 1702. French diplomacy secured Bavaria, Portugal, and Savoy as Franco-Spanish allies.[97]\n\n### **Commencement of fighting**\n\nDuke of Anjou, thus became Philip V, King of Spain.\n\nEven before war was officially declared, hostilities began with Imperial aggression in Italy. Once finally declared, the War of the Spanish Succession lasted almost until Louis's death, at great cost to him and France.\n\nThe war began with French successes, but the talents of John Churchill, 1st Duke of Marlborough, and Eugene of Savoy checked these victories and broke the myth of French invincibility. The duo allowed the Palatinate and Austria to occupy Bavaria after their victory at the Battle of Blenheim. Maximilian II Emanuel, Elector of Bavaria, had to flee to the Spanish Netherlands. The", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia5.pdf" - }, - { - "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine. [129] Orléans, however, had Louis's will annulled by the *Parlement of Paris* after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130]\n\n#### **Line of succession in 1715**\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, Philip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish Succession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131]\n\n```\nLouis XIII (1601–1643)\n Louis XIV (1638–1715)\n Louis, Grand Dauphin (1661–1711)\n Louis, Duke of Burgundy (1682–1712)\n Louis, Duke of Brittany (1707–1712)\n (1) Louis, Duke of Anjou (1710–1774)\n Philip V of Spain (1683–1746)\n Charles, Duke of Berry (1686–1714)\nPhilippe I, Duke of Orléans (1640–1701)\n (2) Philippe II, Duke of Orléans (1674–1723)\n (3) Louis, Duke of Chartres (1703–1752)\n```\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin of French King Louis XIII (the father of Louis XIV) in the male line.\n\n## **Legacy**\n\n#### **Reputation**\n\nAccording to Philippe de Courcillon's *Journal*, Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for vanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the burdens of your subjects.[132]\n\nSome historians point out that it was a customary demonstration of piety in those days to exaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed declarations in assessing his accomplishments. Rather, they focus on military and diplomatic successes, such as how he placed a French prince on the Spanish throne. This, they contend, ended the threat of an aggressive Spain that historically interfered in domestic French politics. These historians also emphasise the effect of Louis's wars in expanding France's boundaries and creating more defensible frontiers that preserved France from invasion until the Revolution.[132]\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] subjects.\" For example, he patronised the arts, encouraged industry, fostered trade and commerce, and sponsored the founding of an overseas empire. Moreover, the significant reduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nTerritorial expansion of France under Louis XIV (1643–1715) is depicted in orange.\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised France and marked the birth of the modern French state. They regard the political and military victories as well as numerous cultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France for its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, goods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted France. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting evidence, they cite the literature of the time, such as the social commentary in Montesquieu's *Persian Letters*. [134]", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - }, - { - "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European territories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, his allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands.[102]\n\n# **Personal life**\n\n#### **Marriages and children**\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted for them in 1660. However, only one child, the eldest, survived to adulthood: Louis, *le Grand Dauphin*, known as *Monseigneur*. Maria Theresa died in 1683, whereupon Louis remarked that she had never caused him unease on any other occasion.\n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria Theresa. He took a series of mistresses, both official and unofficial. Among the better documented are Louise de La Vallière (with whom he had five children; 1661–1667), Bonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), Françoise-Athénaïs, Marquise de Montespan (with whom he had seven children; 1667–1680), Anne de Rohan-Chabot (1669–1675), Claude de Vin des Œillets (one child born in 1676),\n\nIsabelle de Ludres (1675–1678), and Marie Angélique de Scorailles (1679–1681), who died at age 19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of whom he married to members of cadet branches of the royal family.\n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de Maintenon. He first met her through her work caring for his children by Madame de Montespan, noting the care she gave to his favourite, Louis Auguste, Duke of Maine. [103] The king was, at first, put off by her strict religious practice, but he warmed to her through her care for his children.[103]\n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise d'Aubigné became the royal governess at Saint-Germain.[103] As governess, she was one of very few people permitted to speak to him as an equal, without limits.[103] It is believed that they were married secretly at Versailles on or around 10 October 1683[104] or January 1684.[105] This marriage, though never announced or publicly discussed, was an open secret and lasted until his death.[106]\n\n### **Piety and religion**\n\nLouis was a pious and devout king who saw himself as the head and protector of the Catholic Church in France. He made his devotions daily regardless of where he was, following the liturgical calendar regularly. [107] Under the influence of his very religious second wife, he became much stronger in the practice of his Catholic faith.[108] This included banning opera and comedy performances during Lent. [108]\n\nTowards the middle and the end of his reign, the centre for the King's religious observances was usually the Chapelle Royale at Versailles. Ostentation was a distinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and special ceremonies.[109] Louis established the Paris Foreign Missions Society, but his informal alliance with the Ottoman Empire was criticised for undermining Christendom. [110]\n\n#### **Patronage of the arts**\n\nLouis generously supported the royal court of France and those who worked under him. He brought the Académie Française under his patronage and became its \"Protector\". He allowed Classical French literature to flourish by protecting such writers as Molière, Racine, and La Fontaine, whose works remain influential to this day. Louis also patronised the visual arts by funding and commissioning artists such as Charles Le Brun, Pierre Mignard, Antoine Coysevox, and Hyacinthe Rigaud, whose works became\n\nWedding of Louis and Maria Theresa\n\nDual Cypher of King Louis XIV & Queen Marie Thérèse\n\nLouis XIV encouraged Catholic missions through the creation of the Paris Foreign Missions Society", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Does nerve transection or crushing affect small afferents within the dorsal root ganglion in the same way?", - "target_page": 5, - "target_passage": "Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: FLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. Scale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG 1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; Timepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) Volume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) Neuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by cross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , 0.001; n 5 310 to 427 neurons from 3 mice. *P , 0.05, **P , 0.01, ***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green fluorescent protein.\n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A and B). SNItrans, but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 DRG (Fig. 3C).\n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is driven by the endogenous Mrgprd promotor, which has been reported to be upregulated or downregulated following axonal damage.44,58 Such changes in promoter activity could affect the proportion of nonpeptidergic nociceptors identified by YFP expression. Therefore, to verify these findings, we used MrgDCreERT2;Ai32 mice and tamoxifen administration before injury, to permanently label Mrgprd-expressing afferents with ChR2-YFP (Figs. 3D–F). We then tested whether the proportion of cutaneous tibial afferents that were YFP1 was altered following nerve injury. Following hindpaw FB injection, ;15% of contralateral, FB-labelled DRG neurons expressed YFP. This was reduced to 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9% 28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 neurons was equivalent 7 and 35 days after FB injection, demonstrating that this reduction was not because 7 days were insufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// links.lww.com/PAIN/C84). No significant difference in the percentage of FB-labelled YFP1 DRG neurons between ipsilateral and contralateral DRG was observed at 7 days following SNItrans (Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrating that loss occurred after this timepoint. Analysis of the crosssectional soma area of FB-labelled, YFP1 neurons in uninjured DRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, http://links.lww.com/PAIN/C84), which is a distribution profile matching those neurons presumed lost. Collectively, these data show that peripheral nerve injury results in a substantial loss of nonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an unrepaired axonal transection) resulting in an almost complete loss of this population.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - }, - { - "text": "# Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Coopera , Allison M. Barryb , Paschalina Chrysostomidoua , Romane Loligniera , Jinyi Wanga , Magdalena Redondo Canalesa , Heather F. Tittertona , David L. Bennettb , Greg A. Weira,*\n\n# Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n# 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability,57 which is a key pathological driver of neuropathic pain.20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell37,44 and subpopulation-specific sequencing studies.3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury.3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSponsorships or competing interests that may be relevant to content are disclosed at the end of this article.\n\n*Corresponding author. Address: School of Psychology and Neuroscience, University of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 144 (0) 141 330 7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321\n\nnerve injury in experimental rodent models.24,50,53,56 Some studies have suggested that neuron loss occurs in certain patient cohorts,48,66 but this is yet to be definitively demonstrated in humans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers53 but some contrasting studies describe the preferential loss of large cells6 or loss of cells of all sizes.46 Variation is evident across studies in terms of experimental species, age, type of injury, and quantification methods.56 Shi et al.50 used stereological counting methods to identify a 54% loss of DRG neuron number 4 weeks after \"mid-thigh\" sciatic nerve transection in C57BL/6 mice. Estimates for the degree of loss following commonly used nerve injury paradigms (eg, spared nerve injury [SNI] and sciatic nerve crush) are not available and because of the neurochemical changes following injury and the loss of subpopulation marker gene expression,5,44,50 the vulnerability of molecularly defined subpopulations has not been characterized. Moreover, more recent studies have cast doubt on the extent or even presence of DRG neuron death following nerve injury. One study which developed a deep learning approach to assess rat DRG cellular plasticity found no loss of neurons up to 2 weeks post-SNI,49 while another observed no loss of genetically labelled damaged DRG neurons 2 months after sciatic nerve crush.44\n\nThe issue of whether neuron loss occurs, and if so, in what subpopulations, is important. It will likely have implications for our understanding of reinnervation and functional recovery in patients. Furthermore, better insight will provide critical context for those investigating the plasticity that occurs following nerve injury and may inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines now makes it possible to permanently label DRG neuron subpopulations and study their fate in rodent nerve injury paradigms. The aim of this study was to use this technology to characterize\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, b Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; Sˇ ´ıd ´ak multiple comparisons tests: **P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n# 3.3. Spared nerve injury induces a loss of Trpm81 and calcitonin gene-related peptide1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injuryinduced loss. To investigate potential loss of Trpm81 (coldsensitive), calcitonin gene-related peptide1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8FlpO; RC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgDChR2-YFP L4 DRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (C) Quantification of total number of MrgD-YFP1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG. Two-way RM ANOVA with Sˇ ´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach used to generate data presented in (E–G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to injury. White boxes represent regions enlarged in (F). Scale bars 5 100 mm (E) or 20 mm (F). (G) The proportion of FB-labelled DRG neurons decreased after spared nerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with Sˇ ´ıd ´ak multiple comparisons tests; side 3 injury interaction: F1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: *P , 0.05, **P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB, FastBlue; RM, repeated measures.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations was not biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm81 and CGRP1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84).3 We found that early after injury (3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- CreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and Ad-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n# 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection.5 We sought to use the DRG neurons from MrgDCreERT2;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury (Figs. 5A–E). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF (Fig. 5F). However, in the absence of GFs, YFP1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density (Figs. 5C and F). YFP1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media (Figs. 5D–F). These results contrasted with experiments using neurons derived from CalcaCreERT2;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP1 after 28 days in culture, regardless of exogenous GF addition (Figs. 5G–L). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n# 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly developed transgenic recombinase driver lines, we have shown that loss is biased across molecularly defined subpopulations. Nonpeptidergic nociceptive neurons are particularly susceptible to loss, with almost all Mrgprd1 axotomized afferents lost following an unrepaired transection injury (SNItrans) and roughly half lost following a model which contrastingly allows for nerve regenerations (SNIcrush). Finally, we have observed that the vulnerability of Mrgprd1 neurons extends to the in vitro setting and provide data to support the hypothesis that loss is driven by a lack of neurotrophic support following injury.\n\n# 4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic injury has been addressed by several groups over the last few decades. Despite contrasting findings on the extent, timing, and form that loss takes, most studies have observed frank loss of DRG neurons.6,38,46,53 However, more recent studies using recombinase driver lines and novel machine-learning approaches have cast doubt on this consensus.44,49 Our data strongly support the loss hypothesis and suggest that approximately 60% of axotomized afferents die within 2 weeks of SNI. The discrepancy between our findings and other recent studies may be partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al.49 developed a novel machine-learning approach and found no reduction in neuron density across serial sections of rat DRG following SNI, and they inferred from this that frank loss did not occur. Our results are congruous, in that we also observed no reduction in neuron density. However, we found a substantial loss in the total neuron-containing volume of injured DRG, which underlies our contrasting conclusion of frank loss. Of note, morphological volumetric analysis and MRI have also previously demonstrated volume loss in both rodent and human DRG following nerve injury.35,65,66 These findings occur despite a major increase of nonneuronal cells in the injured DRG30 and support the notion that the total DRG neuron number is decreased.\n\n#### 4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined subpopulations was challenging before the advent of recombinase driver lines, a consensus emerged that small-diameter neurons are more vulnerable to nerve injury–induced loss.50,53 Our data support this consensus and extend it to reveal that while there is a generalized partial loss of C-fiber populations including CGRP- and Trpm8-expressing neurons, Mrgprd-expressing neurons are particularly sensitive to loss. This selective vulnerability has been hinted at previously by the stark reduction in the number of DRG neurons and their central terminals that bind IB4 and express canonical markers such as the P2X3 receptor following nerve injury.5,8,29,36 Type 1a glomeruli are also reduced in lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding.2 However, it was not clear whether these data represented phenotypic changes in nonpeptidergic nociceptors or frank loss of neurons. We describe neuron loss that is delayed (occurring .7 days postinjury) with respect to histochemical and structural changes (occurring 1- 5 days postinjury2,29), suggesting that these changes precede and are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous with recent subpopulation bulk RNA-seq data, which found that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is not equally distributed across molecular populations.\n\n# 2. Methods\n\n#### 2.1. Animals\n\nMice were housed in groups in humidity- and temperature-controlled rooms with free access to food and water, on a 12-hour light–dark cycle, and with environmental enrichment. Animal procedures were performed under a UK Home Office Project Licence and in accordance with the UK Home Office (Scientific Procedures) Act (1986). All studies were approved by the Ethical Review Process Applications Panel ofthe University of Glasgow or Oxford and conform to the ARRIVE guidelines. Experiments were performed on adult male and female mice aged 7to 16 weeks atthe start ofthe experiments. All experimental cohorts contained a mix of male and female mice, apart from the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush surgery, which was exclusively female. Details of transgenic lines are provided in Table 1. Tamoxifen was administered by i.p. injection of 20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil (doses described in Table 1). There were 2 instances where animals were excluded from data analysis: One (cyan fluorescent protein) Thy1-CFP died of unknown causes not related to the procedure and before the experimental endpoint, and one MrgDCreERT2;Ai32 exhibited no fluorophore expression and was therefore deemed to have been incorrectly genotyped. Group sizes were based on the extent of neuronal loss 28d following sciatic nerve transection identified by Shi et al.50 Given a 5 0.05, power 5 0.8, and an effect size of 4.81, power analysis projects that a group size of 3 mice would be needed.\n\n#### 2.2. Spared nerve transection and crush surgeries\n\nSpared nerve injury (transection of the common peroneal and tibial branches of the sciatic nerve; SNItrans) and common peroneal and tibial crush injury (SNIcrush), in which nerve axons were severed but the epineurium remained intact, were performed as previously described.12 Anesthesia was induced with 3% to 5% isoflurane and then maintained at 1.5% to 2% as required. Analgesia, consisting of carprofen (10 mg/kg) and buprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg) and local bupivacaine (2 mg/kg) (Oxford) was provided perioperatively. The left hindpaw was secured with tape in hip abduction, and the operative field (lateral surface of the thigh) was shaved. Ophthalmic ointment was applied to the eyes, and the shaved area was swabbed with chlorhexidine solution. A longitudinal incision was made in the skin at the lateral mid-thigh. Using blunt dissection, an opening was made through the biceps femoris, exposing the sciatic nerve and the 3 peripheral branches (sural, tibial, and common peroneal nerves). For SNItrans, the common peroneal and tibial nerves were ligated using a 6-0 Vicryl suture (Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture was removed using spring scissors. For SNIcrush, the exposed tibial and common peroneal nerves were clamped using a pair of fine hemostats (Fine Science Tools, Heidelberg, Germany) closed to their second clip, leaving the nerve branches intact but translucent. The muscle was closed with one 6-0 Vicryl suture (Ethicon), and the skin incision was closed with one 10 mm wound clip (Alzet, Cupertino, CA). Animals were monitored daily for self-mutilation, and no animals required sacrifice due to tissue damage.\n\n#### Table 1\n\n#### Transgenic lines used in the study.\n\n| Used name | Full name | Putative population | Ref | Source | Tamoxifen regime |\n| --- | --- | --- | --- | --- | --- |\n| Atf3CreERT2 | Atf3tm1.1(cre/ERT2)Msra | Axotomised afferents | 13 | Gift: Dr Franziska Denk | 50 mg/kg on days 0, 3, and 7 after surgery |\n| AvilFlpO | Aviltm1(flpo)Ddg | Sensory neurons | 1 | Gift: Prof David Ginty | N.A. |\n| MrgDCreERT2 | Mrgprdtm1.1(cre/ERT2)Wql | Major class of nonpeptidergic | 39 | The Jackson Laboratory (RRID: | General: 1x 50 mg/kg in adulthood, (.1 week |\n| | | neurons | | IMSR_JAX:031286) | before experiment) |\n| | | | | | 3D volumetric analysis: 5x i.p. (0.5 mg/animal/ |\n| | | | | | day), beginning between P10 and P17 |\n| MrgDChR2- | Mrgprdtm4.1(COP4)Mjz | Major class of nonpeptidergic | 59 | Mutant Mouse Resource & Research | N.A. |\n| YFP | | neurons | | Centers (RRID:MMRRC_036112-UNC) | |\n| CalcaCreERT2 | Calcatm1.1(cre/ERT2)Ptch | Peptidergic neurons | 51 | Gift: Prof Pao-Tien Chuang | 1x 75 mg/kg in adulthood (.1 week before |\n| | | | | | experiment) |\n| Trpm8FlpO | | Cold afferents | 4 | Gift: Dr Mark Hoon | N.A. |\n| Thy1-CFP | B6.Cg-Tg(Thy1-CFP) | Sample of myelinated afferents | 16 | The Jackson Laboratory (RRID: | N.A. |\n| | 23Jrs/J | | | IMSR_JAX:003710) | |\n| ThCreERT2 | Thtm1.1(cre/ERT2)Ddg/J | C low threshold | 1 | Gift: Prof David Ginty; The Jackson | 1x 50 mg/kg in adulthood (.2 weeks before |\n| | | mechanoreceptors | | Laboratory (RRID:IMSR_JAX:025614) | experiment) |\n| RC::FLTG | B6.Cg- Gt(ROSA) | Flp-mediated tdTomato; | 40 | The Jackson Laboratory (RRID: | N.A. |\n| | tm1.3(CAG-tdTomato,- 26Sor | Cre1Flp-mediated GFP | | IMSR_JAX:026932) | |\n| | EGFP)Pjen /J | expression | | | |\n| Ai14 | B6.Cg- Gt(ROSA) | Cre-mediated tdTomato | 33 | The Jackson Laboratory (RRID: | N.A. |\n| | tm14(CAG-tdTomato)Hze 26Sor / | expression | | IMSR_JAX:007914) | |\n| J | | | | | |\n| Ai32 | B6.Cg- Gt(ROSA) | Cre-mediated ChR2-eYFP | 32 | The Jackson Laboratory (RRID: | N.A. |\n| | tm32(CAG 26Sor | expression | | IMSR_JAX:024109) | |\n| | COP4*H134R/EYFP)Hze | | | | |\n\nCFP, cyan fluorescent protein; GFP, Green fluorescent protein; YFP, yellow fluorescent protein.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "SNI-related gene expression signatures were less evident in Mrgprd-expressing and C-LTMR neurons at later timepoints, compared with other populations in injured DRG.3 This could be explained by a loss of axotomized neurons of these classes and therefore sampling of only uninjured neurons at this timepoint.24,43,64 In terms of the transcriptional response to injury, nonpeptidergic nociceptors show enrichment of individual proapoptotic factors early after injury,23,68 and we extend these results in this study, by describing a subpopulation-specific enrichment of GO terms associated with apoptosis that is evident as early as 3 days after injury. Such data and single-cell transcriptomic profiling of all DRG neurons following injury37,44 may offer the opportunity to elucidate the cell death pathways engaged and upstream effectors that enrich this process to nonpeptidergic nociceptive neurons.\n\n#### 4.3. Implications for pain pathogenesis\n\nNeuronal loss has been proposed as a key contributor to poor functional recovery following nerve injury,54 and biased survival of different afferent types might be expected to contribute to modality-specific sensory deficits. Beyond loss of function, does DRG neuron loss contribute to chronic pain, in either an adaptive or maladaptive manner? Intrathecal delivery of GDNF is neuroprotective and reverses the reduction in the number of IB4-binding DRG neurons and central terminals seen following transection.5 Treatment is concurrently analgesic and abrogates pain-related behaviors.7,60 However, the pleiotropic nature of GDNF makes it impossible to directly attribute the analgesic effects to the reversal of neuron loss. Indeed, it is possible that GDNF exerts its effect by actions on intact nonpeptidergic nociceptive afferents,52 activation of which is known to drive aversive behaviors in the neuropathic state.62 These data leave the contribution of nonpeptidergic nociceptor loss to behavior in the GDNF treatment paradigm ambiguous. Other pharmacological approaches have been found effective at reversing a neuronal loss in rodent models, but the impact on pain behavior was not studied.21,22\n\nRodents develop marked mechanical and thermal hypersensitivity rapidly following nerve injury and before timepoints at which neuron loss is observed.10 This lack of a temporal correlation may suggest a limited contribution to evoked hypersensitivities. The temporal profile of ongoing tonic pain (eg, pain aversiveness as measured by condition place preference assays26) is less defined and so is its correlation to the timing of neuron loss.\n\nThere are many anatomical sites within the somatosensory nervous system where differential loss of sensory neuron populations could impact neurobiology. For example, loss of cutaneous afferents may afford more opportunity for plasticity in reinnervation patterns, such as collateral sprouting of uninjured or surviving afferents, and the types of nerve endings made by different molecular subpopulations.17,27 It also seems likely that the death of many neurons within a DRG could contribute to the expansion and activation of immune cell types, which are known to play a major role in neuropathic pain.30,69 Finally, under normal conditions, peripheral sensory input is integrated into the dorsal horn of the spinal cord by complex interneuron circuitry. Many spinal circuits are engaged by convergent input from different afferent types.9,41,70 Therefore, selective loss of input from discrete afferent types could undoubtedly impact the normal processing of remaining afferent signals.34 Experimentally abrogating neuronal loss may be a fruitful approach to assess the contribution to nervous system plasticity (adaptive or maladaptive) following injury. In this regard, our in vitro readout would be a useful experimental platform to help delineate the precise cell death pathways and signaling cascades engaged (which could then be experimentally manipulated). Such studies should consider that plasticity may evolve over time. The loss of IB41 central terminals is transient following crush and has even been observed to reverse at longer timepoints following SNItrans. 36 These observations, in conjunction with ours of loss of neurons, raise the intriguing question of the source of such central reinnervation.\n\n#### 4.4. Study limitations\n\nOur efforts focused on traumatic nerve injury paradigms owing to previous contrasting results using these robust and reproducible experimental models. We did not extend our studies to systemic neuropathy models, such as chemotherapy or diabetic neuropathy. A recent postmortem analysis reported a neuronal loss in the DRG from patients with painful diabetic peripheral neuropathy.19 Transcriptional responses vary substantially across different nerve insults,44 so it would be of interest to test whether neuronal loss and the subpopulation vulnerability reported in this study are common features across different types of insults.\n\nUsing multiple approaches, we assess the na¨ıve mouse L4 DRG to contain approximately 8000 neurons, consistent with a previous estimate,67 and observed a frank loss of smalldiameter neurons following injury. However, the extent of loss observed using our semiautomated approach was less than that observed using manual techniques.67 Two major limitations in this study may explain this discrepancy: First, owing to technical issues, the cleared DRG dataset is unpaired ipsilateral–contralateral which adds larger variability. Second, the analysis method is prone to undercounting deep nuclei. The signal-to-noise is better for superficial nuclei and smaller tissue volumes. Given the reduction in DRG volume after SNItrans, nuclei in larger contralateral DRG may be undercounted.\n\nWhile we made efforts to profile the loss of several molecularly discrete sensory neuron populations, we acknowledge that not all subtypes were profiled. Furthermore, recent single-cell RNA sequencing has given us a more granular appreciation of the heterogeneity of sensory neurons.42 Future studies could leverage our experimental approach and new transgenic lines to characterize the loss of neurons in more detail. Such experiments may be pertinent before embarking on molecular or functional profiling of populations post–nerve injury.\n\n#### 4.5. Conclusions\n\nIn sum, we have provided data from multiple complementary experimental approaches to support the hypothesis that DRG neurons are lost following nerve injury in mice. We describe a substantial loss, which is biased towards specific subpopulations and particularly present in small-diameter nonpeptidergic nociceptive neurons.\n\n# Conflict of interest statement\n\nD.L.B. has acted as a consultant in the last 2 years for AditumBio, Biogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon therapeutics, Neuvati, Olipass, Orion, Replay, SC Health Managers, Theranexus, Third Rock Ventures, and Vida Ventures on behalf of Oxford University Innovation. D.L.B. has received research funding from Lilly and Astra Zeneca, and G.A.W. has received research funding from Ono Pharmaceutical. D.L.B. has received", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 4. Spared nerve injury induces a loss of Trpm81 and CGRP1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B–D) FastBlue labelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNItrans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (E–G) Quantification of the proportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNItrans. Paired t tests; Trpm8-tdTom: t2 5 5.31, P 5 0.034, n 5 3 mice; Calca-YFP: t3 5 4.12, P 5 0.026, n 5 4 mice; Thy1-CFP: t3 5 4.42, P 5 0.022, n 5 4 mice. *P , 0.05. CFP, cyan fluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue.\n\nby a population of small-diameter, putative cold-sensitive neurons (Fig. 4B), accounting for 8.3 6 0.27% of FB-labelled neurons in contralateral DRG. This decreased to 4.2 6 0.96% ipsilateral to SNItrans injury (Fig. 4E), indicating a partial loss of Trpm81 afferents. When examining peptidergic afferents, we found that 48.1 6 2.42% of FB-labelled neurons in contralateral DRG were Calca-YFP1, compared with 34.3 6 2.54% 4 weeks after SNItrans injury (Figs. 4C and F), consistent with a partial loss of CGRP1 afferents. We used a Thy1-CFP line that demonstrates consistent expression postinjury61 and labels a sample of medium/large diameter myelinated afferents. CFP was largely restricted to NF2001 neurons, labelling 56% of this population. Expression was present in a heterogenous population of nociceptive (TrkA1) and nonnociceptive (TrkA-) myelinated neurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral to injury, 15.6 6 1.8% of FB-labelled neurons expressed Thy1- CFP (Figs. 4D and G). In contrast to unmyelinated subpopulations, this proportion was higher in ipsilateral DRG following SNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of Thy1-CFP-expressing afferents, accompanied by a loss of Thy1- CFP-negative neurons. We did not observe significant alterations in the population distributions of the cross-sectional area of surviving, damaged Trpm8-tdTom1, Calca-YFP1, or Thy1- CFP1 DRG neurons when compared with DRG contralateral to", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were examined. Filtered count data of expressed and nondifferentially expressed genes were used as a background.\n\n#### 2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and CalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and enzymatically digested at 37˚˚C for 80 minutes in dispase type II (4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously.63 Mechanically dissociated cells were plated onto laminin/poly-D-lysine (R&D Systems, Minneapolis, MN) treated coverslips in complete Neurobasal Plus medium (Neurobasal Plus media supplemented with 2% (vol/vol) B27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic [ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth factor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, Cranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor (GDNF, PeproTech) were added to the media under some conditions. Cytosine b-D-arabinofuranoside (4 mM) was added to the media for 24 hours the day after plating to reduce the proliferation of nonneuronal cells. Media was refreshed 3 times per week thereafter. Cultures were fixed for 10 minutes at room temperature with 4% paraformaldehyde and subsequently processed by immunocytochemistry (described earlier).\n\n#### 2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified, and P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7.15 A quantitative Venn diagram was created using BioVenn.25 All other statistical analyses were performed in Prism 10 (GraphPad Software, Inc, Boston, MA) or R using paired t tests or 1- or 2-way RM ANOVAs (repeated measures analysis of variance), where appropriate. Normality was assessed by the Shapiro–Wilk test. If the main analysis of variance effect was significant, Sˇ ´ıd ´ak or Tukey multiple comparisons tests were performed. To compare population distributions of soma cross-sectional area or volume, Kolmogorov–Smirnov tests were performed.\n\n#### 3. Results\n\n# 3.1. Peripheral nerve injury induces a loss of small neurons from the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve injury, we generated the AvilFlpO;Atf3CreERT2;RC::FLTG mouse line in which na¨ıve and axotomized sensory neurons were differentially labelled. In this mouse line, all neurons express tdTomato (Flp-dependent) in the na¨ıve state and switch to expressing green fluorescent protein (GFP) upon axonal damage and concurrent tamoxifen treatment (Flp- and Cre-dependent) (Figs. 1A and B). Following pilot experiments to optimize tamoxifen dosing regimen, this approach was both highly efficient and specific (with the caveat that it was necessary to wait for several days after nerve injury for Cre-induced GFP expression): 14 days after SNItrans surgery, GFP was expressed by 99.1 6 0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we observed GFP in only 4.6 6 0.7% of contralateral DRG neurons (Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used a stereological approach to quantify the total number of neurons in L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as well as contralateral to injury. One week after SNItrans, we observed 7809 6 153 neurons per DRG; this was not significantly different to the number of neurons in the contralateral DRG (7917 6 349), whereas cell number approximately halved by 8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). Separating analysis into intact vs axotomized afferents revealed that only axotomized afferents were lost, with no difference observed in numbers of intact afferents (Fig. 1D). Between 1 and 8 weeks after injury, we observed a 61.0 6 7.0% decrease in the number of GFP1 neurons. This loss of injured afferents resulted in a loss of neuron-containing (ie, excluding white matter regions) DRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss predominantly occurred between 1 and 2 weeks postinjury and stabilized after this timepoint. Population distributions of the cross-sectional area of nucleated, tdTomato-expressing cell profiles were not significantly different at 1 vs 8 weeks post-SNItrans, in contrast to GFP-expressing/injured afferents, in which a loss of a population of small afferents at 8 weeks postinjury was observed (Fig. 1G).\n\nSNItrans resulted in a mixed population of axotomized and intact afferents within the L4 DRG. Therefore, we developed an approach to restrict our analysis to axotomized afferents, without relying on transgenic labelling, and used this as a complementary approach to confirm our findings. We injected the neuronal tracer FB into the glabrous, tibial innervation territory of both hindpaws 1 week before common peroneal and tibial transection (SNItrans) or crush (SNIcrush) surgeries (Figs. 2A and B). FastBlue-uptake was complete across neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ C84), so this approach allowed us to profile a sample of the axotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.\n\nAs a third complementary approach, we applied semiautomated volumetric analyses of nuclei size following tissue clearing. In this study, whole DRGs were cleared 4 weeks after SNItrans for nuclei counting in \"complete\" tissue (Figs. 2E–H). Nuclei were labelled by TDP-43, in line with the study by West et al.,67 and were quantified using Imaris software (Fig. 2F, Video 1). We observed a slight but significant rightward shift in nuclear spot volume population distribution 4 weeks after SNItrans (Fig. 2G). In addition, there was a significant reduction in the number of small but not medium or large nuclear spots, in support of a loss of small-diameter neuron populations (Fig. 2H).\n\nTogether, our data derived from several different experimental approaches show that a population of small-diameter afferents are lost following peripheral nerve injury.\n\n# 3.2. Spared nerve crush or transection results in death of Mrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of afferent neurons has proved challenging due to the downregulation of subpopulation-specific marker genes following axonal transection.37,44 To overcome this issue, we took advantage of transgenic strategies to label populations in a manner that persisted after injury. Owing to the bias for the loss of small neurons and the known loss of IB4-binding central terminals postinjury,36 we initially focused on nonpeptidergic nociceptive neurons. We used MrgDChR2-YFP mice to identify neurons belonging to the largest of the 3 classes of nonpeptidergic nociceptors, NP1.55,59 To determine whether these neurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP1 (yellow fluorescent", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.- A.W.—gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n#### Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n#### Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n#### Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n#### Article history:\n\nReceived 14 November 2023 Received in revised form 11 April 2024 Accepted 25 May 2024 Available online 15 August 2024\n\n# References\n\n- [1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman AL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O'Neill TG, Zhuo J, Tsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M, Dymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and synaptic architecture of the mechanosensory dorsal horn. Cell 2017;168: 295–310.e19.\n- [2] Bailey AL, Ribeiro-Da-Silva A. 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Behav Res Methods 2007;39:175–91.\n- [16] Feng G, Mellor RH, Bernstein M, Keller-Peck C, Nguyen QT, Wallace M, Nerbonne JM, Lichtman JW, Sanes JR. Imaging neuronal subsets in transgenic mice expressing multiple spectral variants of GFP. Neuron 2000;28:41–51.\n- [17] Gangadharan V, Zheng H, Taberner FJ, Landry J, Nees TA, Pistolic J, Agarwal N, M ¨annich D, Benes V, Helmstaedter M, Ommer B, Lechner SG, Kuner T, Kuner R. Neuropathic pain caused by miswiring and abnormal end organ targeting. Nature 2022;606:137–45.\n- [18] Guillery RW. On counting and counting errors. J Comp Neurol 2002;447: 1–7.\n- [19] Hall BE, Macdonald E, Cassidy M, Yun S, Sapio MR, Ray P, Doty M, Nara P, Burton MD, Shiers S, Ray-Chaudhury A, Mannes AJ, Price TJ, Iadarola MJ, Kulkarni AB. Transcriptomic analysis of human sensory neurons in painful diabetic neuropathy reveals inflammation and neuronal loss. Sci Rep 2022;12:4729.\n- [20] Haroutounian S, Nikolajsen L, Bendtsen TF, Finnerup NB, Kristensen AD, Hasselstrøm JB, Jensen TS. Primary afferent input critical for maintaining spontaneous pain in peripheral neuropathy. PAIN 2014;155:1272–9.\n- [21] Hart AM, Terenghi G, Kellerth JO, Wiberg M. Sensory neuroprotection, mitochondrial preservation, and therapeutic potential of n-acetyl-cysteine after nerve injury. Neuroscience 2004;125:91–101.\n- [22] Hart AM, Wiberg M, Youle M, Terenghi G. Systemic acetyl-l-carnitine eliminates sensory neuronal loss after peripheral axotomy: a new clinical approach in the management of peripheral nerve trauma. Exp Brain Res 2002;145:182–9.\n- [23] Hu G, Huang K, Hu Y, Du G, Xue Z, Zhu X, Fan G. Single-cell RNA-seq reveals distinct injury responses in different types of DRG sensory neurons. Sci Rep 2016;6:31851.\n- [24] Hu P, McLachlan EM. Selective reactions of cutaneous and muscle afferent neurons to peripheral nerve transection in rats. J Neurosci 2003; 23:10559–67.\n- [25] Hulsen T, de Vlieg J, Alkema W. BioVenn—a web application for the comparison and visualization of biological lists using area-proportional Venn diagrams. BMC Genomics 2008;9:488.\n- [26] King T, Vera-Portocarrero L, Gutierrez T, Vanderah TW, Dussor G, Lai J, Fields HL, Porreca F. Unmasking the tonic-aversive state in neuropathic pain. Nat Neurosci 2009;12:1364–6.\n- [27] Leibovich H, Buzaglo N, Tsuriel S, Peretz L, Caspi Y, Katz B, Lev S, Lichtstein D, Binshtok AM. Abnormal reinnervation of denervated areas following nerve injury facilitates neuropathic pain. Cells 2020;9:1007.\n- [28] Li H, Handsaker B, Wysoker A, Fennell T, Ruan J, Homer N, Marth G, Abecasis G, Durbin R; 1000 Genome Project Data Processing Subgroup. The sequence alignment/map format and SAMtools. Bioinformatics 2009;25:2078–9.\n- [29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring structures in the dorsal root ganglia following peripheral nerve injury in rats. J Comp Neurol 2001;439:259–74.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What are the EU's key nature conservation commitments for 2030?", - "target_page": 6, - "target_passage": "1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. **Every Member State will have to do its fair share of the effort** based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical marine and terrestrial ecosystems in the EU's outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up **ecological corridors** to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure27 and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the **Overseas Countries and Territories** also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n#### **Nature protection: key commitments by 2030**\n\n- 1. Legally protect a minimum of 30% of the EU's land area and 30% of the EU's sea area and integrate ecological corridors, as part of a true Trans-European Nature Network.\n- 2. Strictly protect at least a third of the EU's protected areas, including all remaining EU primary and old-growth forests.\n- 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.\n\n27 Guidance on a strategic framework for further supporting the deployment of EU-level green and blue infrastructure (SWD(2019) 193).", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries practices and actions to protect and restore the world's forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the **One Health approach**83, which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the **NaturAfrica** initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between **biodiversity protection and human rights**, gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the **Global Biodiversity Coalition** of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n### **5. CONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes – changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15th Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.\n\n83 https://www.who.int/features/qa/one-health/en/", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "build on the headline ambition to ensure that by 2050 **all of the world's ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. As part of this, the world should commit to no human-induced extinction of species, at minimum where avoidable.\n\nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to ensure that **Europe's biodiversity will be on the path to recovery by 2030** for the benefit of people, the planet, the climate and our economy, in line with the 2030 Agenda for Sustainable Development and with the objectives of the Paris Agreement on Climate Change. It addresses the five main drivers of biodiversity loss, sets out an enhanced governance framework to fill remaining gaps, ensures the full implementation of EU legislation, and pulls together all existing efforts. This strategy is enterprising and incentivising in spirit and action. It reflects the fact that **protecting and restoring nature will need more than regulation alone**. It will require action by citizens, businesses, social partners and the research and knowledge community, as well as strong partnerships between local, regional, national and European level. This strategy is in line with the ambitions and commitment set out in President von der Leyen's Political Guidelines and in the European Green Deal.\n\nAdopted in the heart of the COVID-19 pandemic, this strategy will also be a central element of the EU's recovery plan. It will be crucial to prevent and build resilience to future zoonosis outbreaks and to provide immediate business and investment opportunities for restoring the EU's economy.\n\nAll new initiatives and proposals will be underpinned by the Commission's better regulation tools. Based on public consultations and on the identification of the environmental, social and economic impacts, impact assessments will contribute to ensuring that all initiatives achieve their objectives in the most effective and least burdensome way and live up to a green oath to \"do no harm\".\n\n### **2. PROTECTING AND RESTORING NATURE IN THE EUROPEAN UNION**\n\nThe EU has legal frameworks, strategies and action plans to protect nature and restore habitats and species. But protection has been incomplete, restoration has been smallscale, and the implementation and enforcement of legislation has been insufficient17 .\n\nTo put biodiversity on the path to recovery by 2030, we need to step up the protection and restoration of nature. This should be done by improving and **widening our network of protected areas** and by developing an ambitious **EU Nature Restoration Plan**.\n\n#### **2.1. A coherent network of protected areas**\n\nBiodiversity fares better in protected areas. However, the current network of legally protected areas, including those under strict protection, is not sufficiently large to safeguard biodiversity. Evidence shows that the targets defined under the Convention on Biological Diversity are insufficient to adequately protect and restore nature18. Global\n\n17 Mid-term review of the EU Biodiversity Strategy to 2020 (COM(2015) 478 and SWD(2015) 187); Fitness Check of the EU Nature Legislation (Birds and Habitats Directives) (SWD(2016) 472); Fitness Check of the EU Water Legislation (SWD(2019) 439).\n\n18 The global Aichi biodiversity targets are that protected areas should cover 17% on land and 10% at sea, while scientific studies' figures range from 30% to 70%. See e.g. IPBES 2019.", - "page_start": 3, - "page_end": 3, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "encouraging cooperation in **education for environmental sustainability** in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n### **4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU's external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed throughout bilateral and multilateral engagements, through the EU's 'Green Deal diplomacy', and forthcoming green alliances76. The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world's biodiversity.\n\n# **4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in **a high-ambition coalition on biodiversity** – to agree an ambitious new global framework for post-2020 at the upcoming 15th Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n- Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of 'living in harmony with nature'. The ambition should be that, **by 2050, all of the world's ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n- Ambitious **global 2030 targets in line with EU commitments** in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n- A much **stronger implementation, monitoring and review** process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a **regular review cycle** to look at progress towards the\n\n76 Green alliances focus on cooperation with African and other partners to implement the European Green Deal.", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "EUROPEAN COMMISSION\n\n> Brussels, 20.5.2020 COM(2020) 380 final\n\n# **COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS**\n\n**EU Biodiversity Strategy for 2030** \n\n **Bringing nature back into our lives**", - "page_start": 0, - "page_end": 0, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "### **2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a **new EU Nature Restoration Plan**, Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n#### *2.2.1. Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU legislation28 . However, **significant implementation and regulatory gaps hinder progress**. For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives29 . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU's resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n- Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding **EU nature restoration targets** in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n- In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure **no deterioration in conservation trends and status** of all protected habitats and species by 203030. In addition, Member States will have to ensure that at least 30% of species and habitats not\n\n28 Notably the EU Birds Directive (2009/147/EC), Habitats Directive (92/43/EEC), Water Framework Directive (2000/60/EC), Floods Directive (2007/60/EC) and Marine Strategy Framework Directive (2008/56/EC).\n\n29 See Fitness Check of the EU Nature Legislation (SWD(2016) 472) and Fitness Check of the EU Water Legislation (SWD(2019) 439). See also below, Section 3.2.\n\n30 Habitats and species listed under the Birds and Habitats Directives.", - "page_start": 6, - "page_end": 6, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "#### *3.3.2. Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its **biodiversity proofing framework**69 , *inter alia* by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, **at least €20 billion a year70 should be unlocked for spending on nature**. This will require mobilising private and public funding at national and EU level71, including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be established to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU **sustainable finance taxonomy** will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation72 to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a **Renewed Sustainable Finance Strategy** later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies' profitability and long-term prospects73 .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The '**user pays' and 'polluter pays' principles** have to be applied to prevent and correct environmental degradation.\n\nPublic authorities' purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further\n\n69 See Common framework and guidance documents for biodiversity proofing of the EU budget.\n\n70 The cost estimate is based on the 2018 Impact Assessment of the LIFE Regulation (SWD(2018) 292), a Study on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020 and data submitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will update the estimate, notably based on Member States' Prioritised Action Frameworks under the Habitats Directive.\n\n71 Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European Maritime and Fisheries Fund, LIFE and external action funds.\n\n72 See EU taxonomy for sustainable activities.\n\n73 World Wildlife Fund (2019), The Nature of Risk – A Framework for Understanding Nature-Related Risk to Business.", - "page_start": 17, - "page_end": 17, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "efforts are needed and the EU itself needs to do more and better for nature and build a truly **coherent Trans-European Nature Network**.\n\nEnlarging protected areas is also an economic imperative. Studies on marine systems estimate that every euro invested in marine protected areas would generate a return of at least €3 19. Similarly, the Nature Fitness Check20 showed that the benefits of Natura 2000 are valued at between €200-300 billion per year. The investment needs of the network are expected to support as many as 500,000 additional jobs21 .\n\nFor the good of our environment and our economy, and to support the EU's recovery from the COVID-19 crisis, we need to protect more nature. In this spirit, **at least 30% of the land and 30% of the sea should be protected in the EU**. This is a minimum of an extra 4% for land and 19% for sea areas as compared to today22. The target is fully in line with what is being proposed23 as part of the post-2020 global biodiversity framework (see Section 4).\n\nWithin this, there should be specific focus on areas of very high biodiversity value or potential. These are the most vulnerable to climate change and should be granted special care in the form of strict protection24 . Today, only 3% of land and less than 1% of marine areas are strictly protected in the EU. We need to do better to protect these areas. In this spirit, at least one third of protected areas – representing **10% of EU land and 10% of EU sea – should be strictly protected**. This is also in line with the proposed global ambition.\n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and **strictly protect all the EU's remaining primary and old-growth forests**25 . It will also be important to advocate for the same globally and ensure that EU actions do not result in deforestation in other regions of the world. Primary and old-growth forests are the richest forest ecosystems that remove carbon from the atmosphere, while storing significant carbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, grasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, taking into account projected shifts in vegetation zones.\n\nMember States will be responsible for designating the additional protected and strictly protected areas26. Designations should either help to complete the Natura 2000 network or be under national protection schemes. All protected areas will need to have clearly defined conservation objectives and measures. The Commission, working with Member\n\n19 Brander et al. (2015), The benefits to people of expanding Marine Protected Areas.\n\n20 Fitness Check of the EU Nature Legislation (SWD(2016) 472).\n\n21 Member States' Prioritised Action Frameworks 2020; Mutafoglu et al. (2017), Natura 2000 and Jobs: Scoping Study.\n\n22 Latest EU-27 statistics (European database of nationally designated protected areas) v. 2019, and Natura 2000 dataset 'end 2018'. Today, 26% of the EU's land area is already protected, with 18% as part of Natura 2000 and 8% under national schemes. Of EU seas, 11% are protected, with 8% in Natura 2000 and 3% under additional national protection. To note: offshore wind projects will be possible if in compliance with relevant environmental and nature protection legislation.\n\n23 Zero draft of the post-2020 global biodiversity framework (CBD/WG2020/2/3), available at https://www.cbd.int/conferences/post2020/wg2020-02/documents.\n\n24 Strict protection does not necessarily mean the area is not accessible to humans, but leaves natural processes essentially undisturbed to respect the areas' ecological requirements.\n\n25 https://www.cbd.int/forest/definitions.shtml; Natura 2000 and Forests.\n\n26 Additional Natura 2000 designations will be implemented with support from EU funds and enforcement as appropriate.", - "page_start": 4, - "page_end": 4, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "- 9. There is a 50% reduction in the number of Red List species threatened by invasive alien species.\n- 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%.\n- 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan.\n- 12. No chemical pesticides are used in sensitive areas such as EU urban green areas.\n- 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status.\n- 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n### **3. ENABLING TRANSFORMATIVE CHANGE**\n\n### **3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place **a new European biodiversity governance framework**. This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a **clear set of agreed indicators** and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all relevant actors in meeting the EU's biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n## **3.2. Stepping up implementation and enforcement of EU environmental legislation**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind60. This is having dramatic consequences on biodiversity and comes with a substantial economic cost61 . **The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy**, for which political support and financial and human resources will need to be prioritised.\n\n60 See 2015 State of Nature in the EU report (COM (2015)219).\n\n61 The costs of non-implementation are estimated at EUR 50 billion per year.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "legislation and guidance on **green public procurement**, the Commission will integrate criteria and monitoring to boost nature-based solutions.\n\n## *3.3.3. Measuring and integrating the value of nature*\n\nBiodiversity considerations need to be better integrated into public and business decisionmaking at all levels. Building on existing work74, the Commission will develop in 2021 methods, criteria and standards to describe the essential features of biodiversity, its services, values, and sustainable use.\n\nThese will include **measuring the environmental footprint of products and organisations on the environment**, including through life-cycle approaches and natural capital accounting. In this context, the Commission will support the establishment of an international natural capital accounting initiative.\n\n### *3.3.4. Improving knowledge, education and skills*\n\nThe fight against biodiversity loss must be underpinned by sound science. Investing in research, innovation and knowledge exchange will be key to gathering the best data and developing the best nature-based solutions. Research and innovation can test and develop how to prioritise 'green' over 'grey' solutions and help the Commission to support investments in nature-based solutions, such as in old-industrialised, low-income or disasterhit areas.\n\nThe new Skills Agenda will play a key role in the transition to a green economy and the fight against biodiversity loss, focusing on training and reskilling of the workforce across a wide range of sectors.\n\nThe future Horizon Europe programme will include a **long-term strategic research agenda for biodiversity,** including a science policy mechanism for research-based options for ratcheting up the implementation of biodiversity commitments**,** with increased funding. Horizon Europe's Missions75 will significantly contribute to filling knowledge gaps and finding solutions to improve the health of ecosystems and their contribution to human health.\n\nIn parallel, the Commission will promote and facilitate partnerships, including a dedicated Biodiversity Partnership, to make the bridge between science, policy and practice and make nature-based solutions a reality on the ground. The Commission will also establish in 2020 **a new Knowledge Centre for Biodiversity** in close cooperation with the European Environment Agency. The Centre will: (i) track and assess progress by the EU and its partners including in relation to implementation of biodiversity related international instruments; (ii) foster cooperation and partnership, including between climate and biodiversity scientists; and (iii) underpin policy development. Moreover, the Commission will increase its support to the Intergovernmental science-policy Platform on Biodiversity and Ecosystem Services.\n\nTo help integrate biodiversity and ecosystems into school, higher education and professional training, the Commission will propose a Council Recommendation on\n\n74 SWD(2019) 305.\n\n75 Missions on adaptation to climate change including societal transformation, on healthy oceans, seas coastal and inland waters, on climate-neutral and smart cities, and on soil health and food.", - "page_start": 18, - "page_end": 18, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "Was there a biodiversity governance framework in place in the EU before the European Commission's proposal?", - "target_page": 16, - "target_passage": "In the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "#### *3.3.2. Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its **biodiversity proofing framework**69 , *inter alia* by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, **at least €20 billion a year70 should be unlocked for spending on nature**. This will require mobilising private and public funding at national and EU level71, including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be established to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU **sustainable finance taxonomy** will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation72 to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a **Renewed Sustainable Finance Strategy** later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies' profitability and long-term prospects73 .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The '**user pays' and 'polluter pays' principles** have to be applied to prevent and correct environmental degradation.\n\nPublic authorities' purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further\n\n69 See Common framework and guidance documents for biodiversity proofing of the EU budget.\n\n70 The cost estimate is based on the 2018 Impact Assessment of the LIFE Regulation (SWD(2018) 292), a Study on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020 and data submitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will update the estimate, notably based on Member States' Prioritised Action Frameworks under the Habitats Directive.\n\n71 Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European Maritime and Fisheries Fund, LIFE and external action funds.\n\n72 See EU taxonomy for sustainable activities.\n\n73 World Wildlife Fund (2019), The Nature of Risk – A Framework for Understanding Nature-Related Risk to Business.", - "page_start": 17, - "page_end": 17, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "- 9. There is a 50% reduction in the number of Red List species threatened by invasive alien species.\n- 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%.\n- 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan.\n- 12. No chemical pesticides are used in sensitive areas such as EU urban green areas.\n- 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status.\n- 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n### **3. ENABLING TRANSFORMATIVE CHANGE**\n\n### **3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place **a new European biodiversity governance framework**. This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a **clear set of agreed indicators** and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all relevant actors in meeting the EU's biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n## **3.2. Stepping up implementation and enforcement of EU environmental legislation**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind60. This is having dramatic consequences on biodiversity and comes with a substantial economic cost61 . **The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy**, for which political support and financial and human resources will need to be prioritised.\n\n60 See 2015 State of Nature in the EU report (COM (2015)219).\n\n61 The costs of non-implementation are estimated at EUR 50 billion per year.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "encouraging cooperation in **education for environmental sustainability** in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n### **4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU's external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed throughout bilateral and multilateral engagements, through the EU's 'Green Deal diplomacy', and forthcoming green alliances76. The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world's biodiversity.\n\n# **4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in **a high-ambition coalition on biodiversity** – to agree an ambitious new global framework for post-2020 at the upcoming 15th Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n- Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of 'living in harmony with nature'. The ambition should be that, **by 2050, all of the world's ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n- Ambitious **global 2030 targets in line with EU commitments** in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n- A much **stronger implementation, monitoring and review** process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a **regular review cycle** to look at progress towards the\n\n76 Green alliances focus on cooperation with African and other partners to implement the European Green Deal.", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "legislation and guidance on **green public procurement**, the Commission will integrate criteria and monitoring to boost nature-based solutions.\n\n## *3.3.3. Measuring and integrating the value of nature*\n\nBiodiversity considerations need to be better integrated into public and business decisionmaking at all levels. Building on existing work74, the Commission will develop in 2021 methods, criteria and standards to describe the essential features of biodiversity, its services, values, and sustainable use.\n\nThese will include **measuring the environmental footprint of products and organisations on the environment**, including through life-cycle approaches and natural capital accounting. In this context, the Commission will support the establishment of an international natural capital accounting initiative.\n\n### *3.3.4. Improving knowledge, education and skills*\n\nThe fight against biodiversity loss must be underpinned by sound science. Investing in research, innovation and knowledge exchange will be key to gathering the best data and developing the best nature-based solutions. Research and innovation can test and develop how to prioritise 'green' over 'grey' solutions and help the Commission to support investments in nature-based solutions, such as in old-industrialised, low-income or disasterhit areas.\n\nThe new Skills Agenda will play a key role in the transition to a green economy and the fight against biodiversity loss, focusing on training and reskilling of the workforce across a wide range of sectors.\n\nThe future Horizon Europe programme will include a **long-term strategic research agenda for biodiversity,** including a science policy mechanism for research-based options for ratcheting up the implementation of biodiversity commitments**,** with increased funding. Horizon Europe's Missions75 will significantly contribute to filling knowledge gaps and finding solutions to improve the health of ecosystems and their contribution to human health.\n\nIn parallel, the Commission will promote and facilitate partnerships, including a dedicated Biodiversity Partnership, to make the bridge between science, policy and practice and make nature-based solutions a reality on the ground. The Commission will also establish in 2020 **a new Knowledge Centre for Biodiversity** in close cooperation with the European Environment Agency. The Centre will: (i) track and assess progress by the EU and its partners including in relation to implementation of biodiversity related international instruments; (ii) foster cooperation and partnership, including between climate and biodiversity scientists; and (iii) underpin policy development. Moreover, the Commission will increase its support to the Intergovernmental science-policy Platform on Biodiversity and Ecosystem Services.\n\nTo help integrate biodiversity and ecosystems into school, higher education and professional training, the Commission will propose a Council Recommendation on\n\n74 SWD(2019) 305.\n\n75 Missions on adaptation to climate change including societal transformation, on healthy oceans, seas coastal and inland waters, on climate-neutral and smart cities, and on soil health and food.", - "page_start": 18, - "page_end": 18, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries practices and actions to protect and restore the world's forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the **One Health approach**83, which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the **NaturAfrica** initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between **biodiversity protection and human rights**, gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the **Global Biodiversity Coalition** of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n### **5. CONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes – changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15th Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.\n\n83 https://www.who.int/features/qa/one-health/en/", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "EUROPEAN COMMISSION\n\n> Brussels, 20.5.2020 COM(2020) 380 final\n\n# **COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS**\n\n**EU Biodiversity Strategy for 2030** \n\n **Bringing nature back into our lives**", - "page_start": 0, - "page_end": 0, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "principle79 and taking into account the call of the European Parliament80 . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n#### *4.2.2. Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition**. In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market81, and to promote forest-friendly imports and value chains. The Commission will take a number of steps to **crack down on illegal wildlife trade**. This trade contributes to the depletion or extinction of entire species, is the world's fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further **tightening of the rules on EU ivory trade** later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n### *4.2.3. International cooperation, neighbourhood policy and resource mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to **double financial flows to developing countries for biodiversity**82. The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership\n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection and shall be based on the precautionary principle.\n\n80 European Parliament Resolution on international ocean governance (2017/2055(INI)).\n\n81 In line with the Commission Communication on Stepping up EU Action to Protect and Restore the World's Forests (COM(2019) 352).\n\n82 Including international financing where biodiversity is the principal objective and where it is a significant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States financial reports submitted to the Convention on Biological Diversity in 2015 and 2018.", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. **Every Member State will have to do its fair share of the effort** based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical marine and terrestrial ecosystems in the EU's outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up **ecological corridors** to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure27 and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the **Overseas Countries and Territories** also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n#### **Nature protection: key commitments by 2030**\n\n- 1. Legally protect a minimum of 30% of the EU's land area and 30% of the EU's sea area and integrate ecological corridors, as part of a true Trans-European Nature Network.\n- 2. Strictly protect at least a third of the EU's protected areas, including all remaining EU primary and old-growth forests.\n- 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.\n\n27 Guidance on a strategic framework for further supporting the deployment of EU-level green and blue infrastructure (SWD(2019) 193).", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n- **An enabling framework** to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n- **Fair and equitable sharing of the benefits** from the use of genetic resources linked to biodiversity.\n- **A principle of equality**. This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n### **4.2. Using external action to promote the EU's ambition**\n\n### *4.2.1. International Ocean Governance*\n\nIn line with the International Ocean Governance agenda77, the EU will support the conclusion of an ambitious legally binding agreement on **marine biological diversity of areas beyond national jurisdiction** (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast **Marine Protected Areas in the Southern Ocean**78, two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply **zero tolerance towards illegal, unreported and unregulated fishing** and will combat overfishing, including through WTO negotiations on a **global agreement to ban harmful fisheries subsidies**.\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the **effects of deep-sea mining** on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary\n\n77 International ocean governance agenda: an agenda for the future (JOIN(2016) 49).\n\n78 In the framework of the Commission for the Conservation of Antarctic Marine Living Resources.", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "As regards the Birds and Habitats Directives, enforcement will focus on **completing the Natura 2000 network**, the effective management of all sites, species-protection provisions, and species and habitats that show declining trends. The Commission will also ensure that environment-related legislation with an impact on biodiversity62 is better implemented, enforced and – where necessary – reviewed and revised.\n\nThe Commission will strive to **improve compliance assurance**, working closely with Member States and European networks of environmental agencies, inspectors, auditors, police, prosecutors and judges.\n\nIn addition, the Commission will support civil society's role as a compliance watchdog and will engage with Member States to improve access to justice in national courts in environmental matters for individuals and NGOs. It will also broaden standing for NGOs by proposing **a revision of the Aarhus Regulation63** .\n\n### **3.3. Building on an integrated and whole-of-society approach**\n\n#### *3.3.1. Business for biodiversity*\n\nIn the partnership spirit of this strategy, all parts of the economy and society will have to play their role. Industry and business have an impact on nature, but they also produce the important innovations, partnerships and expertise that can help address biodiversity loss.\n\nTo ensure environmental and social interests are fully embedded into business strategies, the Commission will put forward a new initiative in 2021 on **sustainable corporate governance**. This initiative, which may take the form of a legislative proposal, will address human rights and environmental duty of care and due diligence across economic value chains in a proportionate way according to different sizes of entreprises64. This will help ensure that shareholder and stakeholder interests are fully aligned with the objectives set out in this strategy. In addition, in 2020, the Commission launched a review of the reporting obligations of businesses under the **Non-Financial Reporting Directive**65, with a view to improving the quality and scope of non-financial disclosures, including on environmental aspects such as biodiversity.\n\nThrough its existing platforms66, the Commission will help to build a **European Business for Biodiversity** movement, taking inspiration from recent initiatives67 and making this movement an integral part of the European Climate Pact. Particular attention will be paid to measures to incentivise and eliminate barriers for the take-up of naturebased solutions, as these can lead to significant business and employment opportunities in various sectors68 and are the key to innovation for economic or societal needs that rely on nature.\n\n62 Such as the Directives on Environmental Impact Assessment (2014/52/EU), on Strategic Environmental Assessment (2001/42/EC), on Environmental Liability (2004/35/CE) and on Environmental Crime (2008/99/EC).\n\n63 https://ec.europa.eu/environment/aarhus/\n\n64 Study on due diligence requirements through the supply chain – Final Report.\n\n65 Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non-financial and diversity information by certain large undertakings.\n\n66 Such as the EU Business @ Biodiversity Platform (B@B).\n\n67 See for example Business for Nature or One Planet Business for Biodiversity.\n\n68 BenDor et al. (2015), Estimating the Size and Impact of the Ecological Restoration Economy.", - "page_start": 16, - "page_end": 16, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What is the EU's tolerance for unauthorised fishing?", - "target_page": 21, - "target_passage": "The EU will apply zero tolerance towards illegal, unreported and unregulated fishing", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "threaten their conservation status. To support this, data collection on by-catch for all sensitive species needs to be stepped up.\n\nIn addition, **fisheries-management measures** must be established in all marine protected areas according to clearly defined conservation objectives and on the basis of the best available scientific advice.\n\n#### *2.2.7. Restoring freshwater ecosystems*\n\nThe EU's legal framework on water is ambitious but implementation is lagging behind and enforcement must be stepped up46. Greater efforts are needed to **restore freshwater ecosystems and the natural functions of rivers** in order to achieve the objectives of the Water Framework Directive. This can be done by removing or adjusting barriers that prevent the passage of migrating fish and improving the flow of water and sediments. To help make this a reality, **at least 25,000 km of rivers will be restored into free-flowing rivers by 2030**47 through the removal of primarily obsolete barriers and the restoration of floodplains and wetlands. Technical guidance and support to the Member States to identify sites and help mobilise funding will be provided by the Commission in 2021, in consultation with all relevant authorities48 . Member State authorities should review water abstraction and impoundment permits to implement ecological flows in order to achieve good status or potential of all surface waters and good status of all groundwater by 2027 at the latest, as required by the Water Framework Directive49 . To that effect, the Commission will provide technical support to Member States on their measures by 2023.\n\nOverall, large-scale river and floodplain restoration investments50 can provide a major economic boost for the restoration sector and for local socioeconomic activities such as tourism and recreation. At the same time, these investments can improve water regulation, flood protection, nursery habitats for fish, and the removal of nutrient pollution.\n\n#### *2.2.8. Greening urban and peri-urban areas*\n\n**Green urban spaces**, from parks and gardens to green roofs and urban farms, provide a wide range of benefits for people. They also provide opportunities for businesses and a refuge for nature. They reduce air, water and noise pollution, provide protection from flooding, droughts and heat waves, and maintain a connection between humans and nature51 .\n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the **value of green urban spaces for our physical and mental wellbeing**. While protection of some urban\n\n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water Treatment Directive (SWD(2019) 700).\n\n47 The target of 25,000 km is based on the Commission's assessment of what is achievable in the EU by 2030.\n\n48 The guidelines will take a wide range of issues into account, including hydropower generation, flood management, water supply, agriculture and navigability.\n\n49 These measures should be planned in the 3rd River Basin Management Plans to be adopted by Member States in 2021, under the Water Framework Directive.\n\n50 Fitness Check of the EU Water Legislation (SWD(2019) 439).\n\n51 EnRoute project.", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "**energy**41. It will also review in 2021 the data on biofuels with high indirect land-use change risk and establish a trajectory for their gradual phase out by 2030.\n\nThe overall objective is to ensure that EU regulatory framework on bioenergy is in line with the increased ambition set out in the European Green Deal.\n\n#### *2.2.6. Restoring the good environmental status of marine ecosystems*\n\n**Restored and properly protected marine ecosystems** bring substantial health, social and economic benefits to coastal communities and the EU as a whole. The need for stronger action is all the more acute as marine and coastal ecosystem biodiversity loss is severely exacerbated by global warming42 .\n\nAchieving good environmental status of marine ecosystems, including through strictly protected areas, must involve the restoration of carbon-rich ecosystems as well as important fish spawning and nursery areas. Some of today's sea uses endanger food security, fishers' livelihoods, and the fishery and seafood sectors. **Marine resources must be harvested sustainably and there must be zero-tolerance for illegal practices**. In this regard, the full implementation of the EU's Common Fisheries Policy, the Marine Strategy Framework Directive and the Birds and Habitats Directives is essential.\n\nThe application of an ecosystem-based management approach under EU legislation43 will reduce the adverse impacts of fishing, extraction and other human activities, especially on sensitive species and seabed habitats. To support this, **national maritime spatial plans**, which Member States have to deliver in 2021, should aim at covering all maritime sectors and activities, as well as area-based conservation-management measures.44 The Commission will also propose a **new action plan to conserve fisheries resources and protect marine ecosystems** by 2021. Where necessary, measures will be introduced to limit the use of fishing gear most harmful to biodiversity, including on the seabed. It will also look at how to reconcile the use of bottom-contacting fishing gear with biodiversity goals, given it is now the most damaging activity to the seabed. This must be done in a fair and just way for all. The European Maritime and Fisheries Fund should also support the transition to more selective and less damaging fishing techniques.\n\nHealthy fish stocks are key to the long-term prosperity of fishermen and the health of our oceans and biodiversity. This makes it all the more important to maintain or reduce fishing mortality at or under **Maximum Sustainable Yield levels**. This will help achieve a healthy population age and size distribution for fish stocks.\n\nThe **by-catch of species threatened with extinction** must also be eliminated or reduced to a level that allows full recovery. This should also be the case for those in bad conservation status or not in good environmental status. Furthermore, the by-catch of other species45 must be eliminated or, where this is not possible, minimised so as not to\n\n41 Article 29 of the EU Renewable Energy Directive 2018/2001.\n\n42 See for example Intergovernmental Panel on Climate Change (2019), Special Report on the Ocean and the Cryosphere in a Changing Climate.\n\n43 The Common Fisheries Policy, the Marine Strategy Framework Directive (2008/56/EC) and the Maritime Spatial Planning Directive (2014/89/EU).\n\n44 The Commission will report on the implementation of the Maritime Spatial Planning Directive by March 2022 at the latest, including the application of ecosystem-based management.\n\n45 Protected by international and EU law.", - "page_start": 11, - "page_end": 11, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "principle79 and taking into account the call of the European Parliament80 . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n#### *4.2.2. Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition**. In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market81, and to promote forest-friendly imports and value chains. The Commission will take a number of steps to **crack down on illegal wildlife trade**. This trade contributes to the depletion or extinction of entire species, is the world's fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further **tightening of the rules on EU ivory trade** later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n### *4.2.3. International cooperation, neighbourhood policy and resource mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to **double financial flows to developing countries for biodiversity**82. The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership\n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection and shall be based on the precautionary principle.\n\n80 European Parliament Resolution on international ocean governance (2017/2055(INI)).\n\n81 In line with the Commission Communication on Stepping up EU Action to Protect and Restore the World's Forests (COM(2019) 352).\n\n82 Including international financing where biodiversity is the principal objective and where it is a significant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States financial reports submitted to the Convention on Biological Diversity in 2015 and 2018.", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Obviously, **most informal, and** — in particular — **irregular and illegal types of work do not respect** legal OSH obligations — and at the same time legal monitoring obligations also fail. The EU Fundamental Rights Agency (FRA) published several case studies and examples in a series called 'Severe labour exploitation reports; 359 these studies provide an insight into most irregular working conditions.\n\n**Undeclared work** is defined as paid and lawful (not criminal) activity but undeclared to public authorities. ('paid activities that are lawful as regards their nature but not declared to public authorities, taking into account the differences in the regulatory systems of Member States'.)\n\nIn 2018, the European Commission estimated the scale of **undeclared work** in the EU. According to this estimate, on average, 11.6% of total labour input in the private sector is undeclared, and undeclared work constitutes on average 16.4% of gross value added. The main sectors according to the Special Flash Eurobarometer from 2019360 are personal services (childcare/elderly care/cleaning) followed by construction and hospitality services.361 The 'European Platform tackling undeclared work' provides fact sheets about the type and quantity of undeclared work in all EU Member States.362\n\nThe compliance of enterprises with OSH regulations is **supervised by state institutions, mainly the Labour Inspectorates**.363 At EU level, the SLIC developed common principles for their work. These common principles aim at harmonising their work and facilitate collaboration; they include planning and monitoring, inspectors' competencies and independence, prevention, protection, and assistance and guidance for inspectors, and internal and external communication.364\n\nPractically all labour inspections in the EU Member States worked in the past two decades on **organisational and strategic measures to achieve an effective and broad impact**, and also to better adapt to new and emerging risks.365 To enhance the level of implementation in terms of coverage and quality, many labour inspections developed **smart enforcement** and **supervision concepts**.366\n\nOn average, two million visits per year were made by labour inspectorates, in approximately 22 million businesses in the EU, in the decade 2010-2020, with a steady decline over the years.367 .368 Many enterprises that are regarded as low-risk establishments have never been inspected by a labour inspectorate. Often more than one inspection is done in large enterprises, for example, as a follow-up inspection; there might also be more than one annual inspection in enterprises with high risks. The labour inspection is also tasked to supervise enterprises with many separated sites or establishments, for example, construction companies and shops of supermarket chains. The visit of one headquarter or one shop cannot be regarded as a visit of a representative selection of enterprises' locations, which possibly show different levels of safety and health.\n\nIn the decade between 2000 and 2010, the development of the resources of labour inspections show a mixed picture, **some countries extended the capacities of labour inspections, others cut resources**. 369 For the period between 2010 and 2020, the European Trade Union Institute (ETUI) counted a decrease of labour inspectors and inspections in 20 of 27 Member States, a drop of 7% for inspectors and of 18% for inspections.370 Again, the picture between Member States differs but, in general, budget or staff cuts dominate. ESENER findings show that there was a significant decline between 2014 and 2019 regarding the number of visits by Labour Inspectorates.371\n\nAlthough labour inspections are at the core of supervision of working conditions, **other state authorities have similar or related tasks**, for example, regarding the control of undeclared work, checking minimum wages and social insurance contributions, and performing control of environmental or hygiene standards, of fire safety, or technical control of particularly dangerous production sites or equipment.\n\nThe **shift in working conditions towards psychosocial risks** generates new challenges for state supervision. SLIC recommends in its labour inspectors' guide for assessing the quality of risk assessments and risk management measures with regard to prevention of psychosocial risks:372\n\n*'When striving to prevent psychosocial risks, labour inspectors should take into account the fact that there is no single, across-the-board solution, and should recommend expert advice, for example, external OSH services, if needed for unusual or serious problems. A holistic approach is necessary in order to address psychosocial risks.'*\n\nPsychosocial risks at work were a topic in campaigns (EU-OSHA,373 European Commission,374 ILO,375 WHO, 376) in many national OSH strategies (see OSH Barometer 377), or in guiding regulations, for", - "page_start": 122, - "page_end": 122, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### **Prohibition on arrival of vessels into England**\n\n**3.**—(1) A controller must not cause or permit a vessel whose last point of departure was a country or territory listed in paragraph 5 to moor at a port in England unless mooring at a port in England—\n\n- (a) is reasonably necessary to secure the safety of the vessel or the health and safety of any person aboard it; or\n- (b) is otherwise required pursuant to a direction issued under Schedule 3A to the Merchant Shipping Act 1995.\n\n(2) This paragraph does not apply in relation to—\n\n- (a) a commercially operated vessel carrying no passengers;\n- (b) a vessel operated by or in support of Her Majesty's Government in the United Kingdom;\n- (c) a vessel operated by or in support of a foreign country or territory where, prior to its arrival in England, a United Kingdom Government Department has provided written confirmation to the operator that the vessel is carrying passengers who are travelling to conduct official business with the United Kingdom.\n\n**4.** The countries or territories referred to in paragraph 2(1) are—\n\n- (a) Argentina;\n- (b) Brazil;\n- (c) Cape Verde;\n- (d) Chile;\n- (e) Ethiopia;\n- (f) The Maldives;\n- (g) Oman;\n- (h) Qatar;\n- (i) South Africa;\n- (j) Turkey;\n- (k) United Arab Emirates.\n- **5.** The countries or territories referred to in paragraph 3(1) are—\n\n#### Turkey\n\n**6.** A controller who contravenes paragraph 2(1) or 3(1) commits an offence punishable on summary conviction by a fine.\n\n# SCHEDULE 14 Regulation 20(4)(c)\n\n### Amounts of fixed penalties\n\n#### **Amounts of fixed penalties**\n\n**1.** The amounts specified for the purposes of regulation 20(4)(c) are the amounts specified in paragraphs 2 to 17 in relation to the offences described in each paragraph.\n\n#### **Regulation 19(1)(a)**\n\n**2.** Breach of regulation 3(1), (2) (3) (5), (7) or (8) (without reasonable excuse fail to provide passenger information, or evidence of having provided passenger information, or to update passenger information)—\n\n- (a) in the case of the first fixed penalty notice, £500;", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n- **An enabling framework** to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n- **Fair and equitable sharing of the benefits** from the use of genetic resources linked to biodiversity.\n- **A principle of equality**. This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n### **4.2. Using external action to promote the EU's ambition**\n\n### *4.2.1. International Ocean Governance*\n\nIn line with the International Ocean Governance agenda77, the EU will support the conclusion of an ambitious legally binding agreement on **marine biological diversity of areas beyond national jurisdiction** (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast **Marine Protected Areas in the Southern Ocean**78, two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply **zero tolerance towards illegal, unreported and unregulated fishing** and will combat overfishing, including through WTO negotiations on a **global agreement to ban harmful fisheries subsidies**.\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the **effects of deep-sea mining** on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary\n\n77 International ocean governance agenda: an agenda for the future (JOIN(2016) 49).\n\n78 In the framework of the Commission for the Conservation of Antarctic Marine Living Resources.", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "tackling undeclared work' provides fact sheets of the type and quantity of undeclared work in all EU Member States;464 Eurofound published several reports on platform work,465 and the FRA had a series of publications and fact sheets on severe cases of exploitation, particularly of migrant workforces.466 Also, the creation of the European Labour Authority (ELA)467 is partly a consequence of the **often irregular working conditions of mobile, posted, contracted or seasonal workers** who leave their country to work in the EU or in another European country. ELA particularly aims to mitigate such critical issues related to labour mobility and social security coordination between countries.\n\n**In this report**, the quantitative data and the interpretation of the developments will cover — in an ideal case — **the period 2005 to 2020**. In 2004, a major extension of the EU took place, from 15 to 25 Member States. If it is not possible to cover the whole period, the analysis is limited to the maximum possible period. If comparability is high, for a very few selected data a further look back to the 1990s was taken.\n\nMoreover, there can be **major comparability difficulties** caused by the change of methodological approaches, geographical coverage and other context factors during the last 10 to 30 years. Major challenges for comparative assessments of EU-wide harmonised data collections from different years were:\n\n- The EU went through **several enlargement processes**, expanded from EU-12 to EU-15 in 1994, expanded from EU-15 to EU-25 in 2004, to EU27 in 2007 and to EU28 in 2013, and from 2020 on — due to the departure of the United Kingdom — the EU consists of 27 Member States. In statistical publications the identifier EU27_2020 is often used to distinguish this period from the EU27 phase between 2008 and 2012, before Croatia joined and the EU27 became EU28.\n- **Methodologies of data collection changed**, questions in surveys were abandoned or changed, and sample sizes or structures changed, for example, the given period in survey questions changed. One example is from the EWCS: the time categories for health-related absence from work changed from 'between 10 and 20 days' to absence of 'more than 15 days'.\n- Important **structural decisions were taken in the sector of economic statistics**, like the change of the statistical composition and the coding of economic sectors, NACE Code 1, Revision 1 (NACE 1.1) was applied until 2007, and from 2008 NACE Code 2 is applied.\n- The survey providers use(d) for **occupation and educational attainment different categories** and aggregations levels, for example, ESEG, ISCED or ISCO.\n- Some important categories and definitions are **not fully harmonised** in statistics, for example, the definition of 'manual worker' or of 'migration status'.468\n\n### **7.3 Qualitative data and research**\n\n**Quantitative data gain importance by a comprehensive description of the reasons behind these data** and their development, **by interpretation and analysis**. Such analytical explanations are elaborated by (roughly categorised): the providers of the quantitative data themselves, in addition by scientists at universities and governmental institutions, by European, national or regional governmental organisations, by business federations and trade unions, by professional associations and by international organisations.\n\nThis analytical work covers a large variety of topics like detailed studies and reports on **risks, exposures and outcomes**, on the development and application of **effective technical and organisational preventive measures**, on preventive **OSH systems and infrastructures**, for example, evaluations and assessments of the level of implementation of OSH directives, and finally on the **societal, economic and legal frame and context** of OSH.\n\nThere is **no strict separation between the following four types for research categories**. For example, the EU-OSHA study 'Analysis of the determinants of workplace occupational safety and health practice in a selection of EU Member States'469 includes an analysis of the systems and infrastructures as well as of the framework and context influence. To fully cover understanding and support of OSH prevention in workplaces, all these types of research are needed.", - "page_start": 133, - "page_end": 133, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "(4) For the purposes of these Regulations a person is not treated as having been in a country or territory if—\n\n- (a) the person has only been on a vessel which has been in the territorial waters of that country or territory;\n- (b) the person did not disembark from that vessel while it was in the territorial waters of that country or territory;\n- (c) that vessel did not moor at a port in that country or territory; and\n- (d) no passenger was permitted to be taken on board that vessel while it was in the territorial waters of that country or territory.\n\n(5) Schedule 4 (exemptions) describes categories of person who are exempt from certain requirements in accordance with these Regulations.\n\n### PART 2\n\n### Requirements on persons arriving in England\n\n#### **Requirement on passengers to provide information**\n\n**3.**—(1) A person who arrives in England from a country or territory outside the common travel area must, subject to paragraph (2), provide on the Passenger Locator Form the information set out in Schedule 6 (\"passenger information\") on their arrival.\n\n(2) A person who presents at immigration control at the Channel Tunnel shuttle terminal area in France(**a**), with the intention of boarding a shuttle service destined for the United Kingdom, must provide on the Passenger Locator Form their passenger information on so presenting.\n\n(3) Subject to paragraph (4), a person who arrives in England from within the common travel area who has been in a country or territory outside the common travel area at any time in the period beginning with the 10th day before the date of their arrival in England must provide on the Passenger Locator Form their passenger information on their arrival.\n\n(4) Paragraph (3) does not apply to a person who arrives in England from Scotland, Wales or Northern Ireland and who has completed a form equivalent to a Passenger Locator Form pursuant to an enactment in Scotland, Wales or Northern Ireland, specifying—\n\n- (a) in the case of a person who is required to comply with regulation 9 (category 2 and category 3 arrivals), an address in England where that person intends to self-isolate; or\n- (b) in the case of any other person, an address in England where that person intends to stay during the period of 10 days beginning on the day after the date of their arrival in the United Kingdom.\n\n(5) A person who is travelling with a child for whom they have responsibility, must ensure that passenger information is provided in relation to that child on the Passenger Locator Form—\n\n- (a) on their arrival in England, in the case of a person described in paragraph (1) or (3); or\n- (b) when they present at immigration control, in the case of a person described in paragraph (2).\n\n(6) A person described in any of paragraphs (1) to (3) who provides their passenger information, and any passenger information required by virtue of paragraph (5), on the Passenger Locator Form in the 48 hours before they are required to do so, is treated as having complied with those paragraphs (as applicable).\n\n(<b>a) Article 4(1) of the Channel Tunnel (International Arrangements) Order 1993 (S.I. 1993/1813) has the effect of extending all frontier control enactments to the control zone in France. A \"frontier control enactment\" is an enactment which contains provision relating to frontier controls and the definition of \"frontier controls\" in Schedule 1 to that Order includes controls in relation to health. The Public Health (Control of Disease) Act 1984 and these Regulations made under it therefore apply in the control zone.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Neither the European Agency for Safety and Health at Work nor any person acting on behalf of the agency is responsible for the use that might be made of the following information.\n\nLuxembourg: Publications Office of the European Union, 2023\n\nPrint ISBN 978-92-9479-934-0 doi: 10.2802/26873 PDF ISBN 978-92-9479-935-7 doi: 10.2802/56459\n\n© European Agency for Safety and Health at Work, 2023\n\nReproduction is authorised provided the source is acknowledged.\n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and Health at Work, permission must be sought directly from the copyright holders.\n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or compliance with legislative requirements.\n\nFor one-click access to websites and references please consult the online version of this publication https://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", - "page_start": 1, - "page_end": 1, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "What are the missions of the Sumitomo Mitsui Financial Group?", - "target_page": 7, - "target_passage": "• To provide optimum added value to our customers and together with them achieve growth • To create sustainable shareholder value through business growth• To create sustainable shareholder value through business growth • To provide a challenging and professionally rewarding work environment for our dedicated employees• To provide a challenging and professionally rewarding work environment for our dedicated employee", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "## **Corporate Outline (as of September 30, 2011)**\n\n| Company Name | : | Sumitomo Mitsui Financial Group, Inc. |\n| --- | --- | --- |\n| Business Description | : | Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of |\n| | | non-bank subsidiaries, as well as the performance of ancillary functions |\n| Established | : | December 2, 2002 |\n| Head Office | : | 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan |\n| Chairman of the Board | : | Masayuki Oku |\n| President | : | Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) |\n| Capital | : | ¥2,337.8 billion |\n| Stock Exchange Listings | : | Tokyo Stock Exchange (First Section) |\n| | | Osaka Securities Exchange (First Section) |\n| | | Nagoya Stock Exchange (First Section) |\n| | | Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. |\n\n## **Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\n# **Our CSR reporting**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n| CSR report 2011 (digest version) | CSR disclosure through |\n| --- | --- |\n| Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, | specific examples |\n| centered on specific examples centered on specific examples | |\n| CSR report 2011 | Comprehensive |\n| (digest version with examples of activities and | |\n| statistical performance, online PDF file) | disclosure of |\n| Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed | CSR activities |\n| information on CSR activities information on CSR activities | |\n| CSR report (online version, Japanese only) | Enriched |\n| www.smfg.co.jp/responsibility | CSR disclosure |\n| This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of | |\n| CSR activities at SMFG CSR activities at SMFG | |\n\n# **Editorial Policy**\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society. We have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is the essence of business itself, and our initiatives act upon this. Our CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group's CSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report 2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR activities and statistical data omitted in the CSR Report 2011 (digest version). We disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in Japanese only). It is recommended that you read it in combination with the above two digest versions in order to understand our CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n# **Scope of this Report**\n\n- Sumitomo Mitsui Financial Group, Inc.\n- Sumitomo Mitsui Banking Corporation\n- SMFG Card & Credit, Inc.\n- Sumitomo Mitsui Card Company, Limited\n- Cedyna Financial Corporation\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n- The Japan Research Institute, Limited\n- SMBC Friend Securities Co., Ltd.\n- SMBC Nikko Securities Inc.\n- THE MINATO BANK, LTD.\n- Kansai Urban Banking Corporation\n- Other Group companies\n\nThroughout this report, **\"Sumitomo Mitsui Financial Group\"** or **\"SMFG\"** refers to the holding company alone. **\"The SMFG Group\"** refers to the holding company and its primary domestic and international subsidiaries and affiliates. Company name abbreviations and other special terminology\n\n## **Reference guidelines**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) * Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international organization (GRI) in 1997 to encourage its adoption worldwide.\n\n# **About this Report**\n\n- Period Covered : April 1, 2010 to March 31, 2011 ( \"Fiscal 2010\" ) Note: Certain items in this report refer to activities taking place after April 2011.\nPublication Date of Japanese Document : December 2011\n\n- Contact :\n\t- 1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 TEL: +81-3-3282-8111\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Sumitomo Mitsui Financial Group CSR Report **Digest version**", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# Today, Tomorrow and Beyond\n\n**President Sumitomo Mitsui Financial Group, Inc.**\n\n**Koichi Miyata**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them. Through our basic policy of becoming \"a globally competitive Through our basic policy of becoming \"a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders\" with the highest trust of our clients, society and other stakeholders\" by maximizing our core strengths of by maximizing our core strengths of \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## **INDEX**\n\n| Foreword | 1 |\n| --- | --- |\n| Commitment from the Top A Conversation with Tadao Ando, | 3 |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the reconstruction and revitalization of Japan, | |\n| and help resolve global issues? | |\n| Measures to Support Reconstruction | |\n| after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Priority Issues for Us | 9 |\n| Our Mission and CSR at SMFG | 11 |\n| 〈Specific Examples of CSR Activities〉 | |\n| Together with Our Customers | 13 |\n| Together with Our Shareholders | |\n| and Markets | 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |\n| Corporate Outline/Editorial Policy | 29 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Priority Issues for Us** As one of Japa As one of Japan's leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues we have identified as significantly impacting the nation. we have identified as significantly impacting the nation.\n\n**Measures for Japan's regeneration**\n\n# **Reconstruction after the earthquake and tsunami**\n\nMitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\nThe March 11 earthquake and tsunami (The Gr The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power eat East Japan Earthquake) undermined power generation capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition to the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as a leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the enormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders including enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\n#### **Further measures needed**\n\n- Wide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n- Ongoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n- Comprehensive support for industrial recovery Comprehensive support for industrial recovery in partnership with local governments and in partnership with local governments and financial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\n**Environmental measures Creating systems for sustainability Global challenges**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively leverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future. Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to contribute to sustainable development by supporting contribute to sustainable development by supporting the worldwide adoption of Japan's much-admired the worldwide adoption of Japan's much-admired technological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\n#### **Further measures needed**\n\n- Give further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas reduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n- Do more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a financial institution financial institution\n- Share our information assets and know-how globally in the Share our information assets and know-how globally in the environmental business environmental business\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper mine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this corporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business philosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 years of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving problems facing the international problems facing the international community through our financial community through our financial service service operations. operations.\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\n# **Shrinking and aging population Ensuring peace of mind for the future**\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifest frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle yle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to crea planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound te systems and a corporate culture that foster a sound balance between work and care needs, given that many gr balance between work and care needs, given that many group employees will later need to nurse ailing relatives. oup employees will later need to nurse ailing relatives. *Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n#### **Further measures needed**\n\n- nursing care nursing care\n- elderly (planning for asset management for old age) elderly (planning for asset management for old age)\n- Foster a better work-life balance Foster a better work-life balance\n\n# **Symbiosis and diversity**\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its operations both in Japan and overseas. Initiative operations both in Japan and overseas. Initiatives include aggressive development of advisory include aggressive development of advisory services for infrastructure upgrades in emergi services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, g economies, a cross-departmental endeavor, as well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly through branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international community so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n#### **Further measures needed**\n\n- Share expertise in corporate social responsibility Share expertise in corporate social responsibility with the international community with the international community\n- Improve financial services in preparation for the Improve financial services in preparation for the globalization of operations in Japan (multilingual globalization of operations in Japan (multilingual support) support)\n- Promote diversity Promote diversity", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Specific Examples of CSR Activities\n\n# **Together with Our Shareholders and Markets**\n\n**Contributing to the development of sounder financial markets**\n\n# **We aim to further strengthen communication with our shareholders and investors**\n\nSMFG is committed to ensuring financial SMFG is committed to ensuring financial soundness through appropriate policy-making soundness through appropriate policy-making and business operations. At the same time, and business operations. At the same time, we disclose corporate information in a we disclose corporate information in a timely and precise way to shareholders and timely and precise way to shareholders and markets. We believe full disclosure not only markets. We believe full disclosure not only helps foster a more correct understanding helps foster a more correct understanding and evaluation of the Group, but also and evaluation of the Group, but also contributes to the development of sounder contributes to the development of sounder financial markets. financial markets.\n\nBased on this approach, SMFG goes Based on this approach, SMFG goes beyond legal requirements in enriching its beyond legal requirements in enriching its disclosure of information on management disclosure of information on management policy and operational strategy. These policy and operational strategy. These initiatives have won the support of many initiatives have won the support of many market participants. We were selected as market participants. We were selected as a winner of the Awards for Excellence in a winner of the Awards for Excellence in Corporate Disclosure for fiscal 2011 by The Corporate Disclosure for fiscal 2011 by The Securities Analysts Association of Japan. Securities Analysts Association of Japan.\n\nmaterials\n\nmaterials\n\n### Examples of Group disclosure activities\n\nQuarterly and interim financial reports, Quarterly and interim financial reports, results announcements, securities results announcements, securities reports, legal disclosure statements, reports, legal disclosure statements, regular publications, etc. regular publications, etc.\n\nAnnual and interim reports (in Japanese Annual and interim reports (in Japanese and English) and English)\n\nInvestor briefings twice a year Investor briefings twice a year\n\nConferences sponsored by securities Conferences sponsored by securities companies, etc., as needed companies, etc., as needed\n\nOnline conferences held as needed Online conferences held as needed\n\n# **Listing on the New York Stock Exchange**\n\nIn November 2010, the Sumitomo Mitsui In November 2010, the Sumitomo Mitsui Financial Group listed on the New York Financial Group listed on the New York Stock Exchange. This move, we believe, not Stock Exchange. This move, we believe, not only significantly increases convenience for only significantly increases convenience for our overseas shareholders and investors, our overseas shareholders and investors, but also broadens our customer base as it but also broadens our customer base as it further increases the transparency of our further increases the transparency of our financial position. Listing on the New York financial position. Listing on the New York Stock Exchange as a socially responsible Stock Exchange as a socially responsible corporation accelerates our evolution into a corporation accelerates our evolution into a global player. global player.\n\n**Together with our investors: Creating a platform for social contribution through the financial markets**\n\nWe believe that the SMFG Group can contribute We believe that the SMFG Group can contribute further to the creation of a sustainable society further to the creation of a sustainable society through its activities in financial markets. through its activities in financial markets. For example, SMBC Friend Securities markets For example, SMBC Friend Securities markets \"Environmental Sustainability Bond\" \"Environmental Sustainability Bond\" *1 while SMBC Nikko Securities markets \"WB Green SMBC Nikko Securities markets \"WB Green Bonds (Green Bonds)\" Bonds (Green Bonds)\" *2. These are bonds . These are bonds for fund procurement that are also intended for fund procurement that are also intended as tools for contributing to protecting and as tools for contributing to protecting and\n\nconserving the global environment. For conserving the global environment. For customers who wish to invest in companies customers who wish to invest in companies that contribute to a sustainable society, that contribute to a sustainable society, we offer a wide range of socially responsible we offer a wide range of socially responsible\n\nThe Japan Research Institute analyzes applicant Japan Research Institute analyzes applicant\n\ncompanies' corporate social responsibility companies' corporate social responsibility activities, and uses the information it gathers activities, and uses the information it gathers to create a basic file on companies managing to create a basic file on companies managing socially responsible investment fund socially responsible investment funds*3.\n\n# **SMFG has listed its shares on SRI indexes**\n\nSRI indexes are for socially responsible SRI indexes are for socially responsible investments in which major investment investments in which major investment decisions are based on environmental and decisions are based on environmental and social factors as well as the target company social factors as well as the target company's financial standing. financial standing. SMFG's proactive corporate s proactive corporate social responsibility activities have won social responsibility activities have won plaudits from the markets. As the right-hand plaudits from the markets. As the right-hand graphic shows, SMFG is listed on globally graphic shows, SMFG is listed on globally leading SRI indexes. We believe that this is eading SRI indexes. We believe that this is an endorsement by the market of the Grou an endorsement by the market of the Group's future corporate social responsibility future corporate social responsibility activities. activities.\n\n*1 In December 2010, SMBC Friend Securities sold a total of AUD25 million in \"Environmental Sustainability Bond.\" *2 This fund is provided by SMBC Nikko Securities under the full name Bond for Contributing to Environmental Protection. *3 As of the end of June 2011, approximately ¥63.5 billion in total had been invested in nine publicly offered socially responsible investment (SRI) trust funds.\n\n### The Group's Principal SRI Funds\n\ninvestment vehicles. investment vehicles.\n\n| | | | | (¥ million) |\n| --- | --- | --- | --- | --- |\n| Date of opening | Official name of fund | Nickname | Sold by | Balance at March 31, 2011 |\n| Aug. 20, 1999 | Nikko Eco Fund | | SMBC Nikko Securities | 8,888 |\n| Mar. 14, 2006 | Six-Asset Balanced Fund (distribution type, growth type) | Double Wing | Sumitomo Mitsui Banking Corporation | 1,494 |\n| Dec. 20, 2006 | Nikko DWS New Resource Fund | Rising Tomorrow | SMBC Nikko Securities | 31,810 |\n| Aug. 31, 2007 | UBS (JP) Climate Change Fund | Cool Earth | SMBC Nikko Securities | 12,810 |\n| Aug. 31, 2007 | DWS New Resources Technology Fund | Global Shift | Sumitomo Mitsui Banking Corporation | 20,888 |\n| Apr. 28, 2009 | Nikko World Trust – Nikko Green New Deal Fund (JPY Non-hedged Class)/(JPY Hedged Class) | | SMBC Nikko Securities | 14,935 |\n| Feb. 19, 2010 | SMBC Nikko World Bank Bond Fund | The World Bank Green Fund | SMBC Nikko Securities / Sumitomo Mitsui Banking Corporation | 13,870 |\n| Jun. 30, 2010 | UBS (JP) Global Smart Grid Fund | | SMBC Nikko Securities | 1,230 |\n\n### 17 **CSR REPORT 2011 CSR REPORT 2011** 18\n\n**Keeping** \n\n**our shareholders informed**\n\nAnnual report\n\n#### SRI Indexes on which SMFG is listed\n\nAn index compiled by the Belgian SRI company Ethibel", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Social Contribution Activities**\n\n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\n# **SMFG and its Group companies participate in neighborhood cleanup programs**\n\nIn fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the SMFG Group participated in beach cleanup SMFG Group participated in beach cleanup activities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures on \"SMFG Clean-up Day.\" This initiative is on \"SMFG Clean-up Day.\" This initiative is not simply a matter of picking up garbage. It not simply a matter of picking up garbage. It also involves inspections and analysis of also involves inspections and analysis of garbage to identify pointers for providing garbage to identify pointers for providing solutions for environmental issues in the solutions for environmental issues in the future. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in Chiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC Friend Securities, Group companies of Friend Securities, Group companies of Cedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing, the Japan Research Institute and SMBC the Japan Research Institute and SMBC Nikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup and other activities in the areas around their and other activities in the areas around their offices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking Corporation also engage in cleanup activities Corporation also engage in cleanup activities around Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to protect the regional environment. protect the regional environment.\n\n# **Supporting education in developing countries, together with our customers and employees**\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo Mitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution initiative by participating in the Books To initiative by participating in the Books To The People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF CORP. This project aims to provide CORP. This project aims to provide environ environments in which children can read books in ments in which children can read books in purpose-built facilities, through donations to purpose-built facilities, through donations to Room to Read, a non-governmental organi Room to Read, a non-governmental organization that supports education in developing zation that supports education in developing countries. These NGO donations are pegged countries. These NGO donations are pegged to total numbers of used books and other to total numbers of used books and other items purchased by cardholders. Through items purchased by cardholders. Through the Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online shopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders are encouraged to buy used books through are encouraged to buy used books through BOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate used books from their homes and companies. used books from their homes and companies.\n\nCollection box for used books and other items\n\nBuilding libraries in developing countries through the NGO Room to Read\n\ninstalled in an employee canteen Supporting education in developing countries\n\n# **Donations through \"The World Bank Green Fund\"**\n\nSMBC and SMBC Nikko Securities donate a SMBC and SMBC Nikko Securities donate a portion of the profits from marketing of the portion of the profits from marketing of the SMBC Nikko World Bank Bond Fund SMBC Nikko World Bank Bond Fund ( \"The World Bank Green Fund World Bank Green Fund\" ) to the Japanese ) to the Japanese Red Cross Society and the Japan Committee Red Cross Society and the Japan Committee for UNICEF. for UNICEF.\n\nThis investment trust is the world This investment trust is the world's first s first fund developed in cooperation with the fund developed in cooperation with the World Bank that invests in World Bank green World Bank that invests in World Bank green bonds, according to research by Nikko bonds, according to research by Nikko Asset Management Co., Ltd. Funds from Asset Management Co., Ltd. Funds from the World Bank green bonds support only the World Bank green bonds support only World Bank-funded projects in developing World Bank-funded projects in developing countries to mitigate global warming. countries to mitigate global warming.\n\n*Research by Nikko Asset Management Co., Ltd.\n\nDonating to the Japanese Red Cross\n\n# **SMBC Nikko Securities' \"Green Week\"**\n\nIn the fall of 2010, SMBC Nikko Securities In the fall of 2010, SMBC Nikko Securities established its \"Green Week\" for strength established its \"Green Week\" for strengthening environmental protection and social ening environmental protection and social contribution activities, with the aim of contribution activities, with the aim of promoting communication within regional promoting communication within regional society and among participating employees society and among participating employees and their families, while deepening under and their families, while deepening understanding of environmental protection through standing of environmental protection through participation in social contribution activities. participation in social contribution activities. Between November 13 and December 5, Between November 13 and December 5, 2010, environmental protection programs 2010, environmental protection programs were rolled out by cross-organizational were rolled out by cross-organizational \"Green Committees\" in four locations in \"Green Committees\" in four locations in Japan, with the participation of 280 employ Japan, with the participation of 280 employees and their families. In addition, regional ees and their families. In addition, regional contribution activities were carried out by contribution activities were carried out by\n\nRegional contribution activities at the branch level\n\nCollection of PET bottle caps Donating to Japan Committee for UNICEF for international contribution purposes\n\nbranches at their own initiative. A wide variety branches at their own initiative. A wide variety of social contribution activities, such as the of social contribution activities, such as the collection of used stamps and PET bottle collection of used stamps and PET bottle caps, were carried out for global causes. caps, were carried out for global causes. SMBC Nikko Securities will continue activi SMBC Nikko Securities will continue activities that contribute to society and prioritize ties that contribute to society and prioritize communication between employees. communication between employees.\n\nEmployees and their families pitch in to clean up the bed of the Ara River in Tokyo\n\n| Environmental protection activities |\n| --- |\n| Forestry management volunteering experience in Osaka |\n| (Izumi no Mori) |\n| 117 participants |\n| Volunteers at the Shonan Erosion Control Forest project |\n| 62 participants |\n| Helping clean up Senju Shinbashi bridge that spans Ara River |\n| 64 participants |\n| Helping clean up Nishi Araibashi bridge that spans Ara River |\n| 37 participants |\n| Social contribution collection activities |\n| Support for overseas causes through used-stamp collection |\n| 11.4 kg of stamps were collected |\n| Presentation of stationery to children in developing countries |\n| 788 ballpoint pens and pencils |\n| Vaccine donation from the collection of PET bottle caps |\n| 168.9 kg (enough to vaccinate 84.45 people against polio) |\n| Activities organized by branches |\n| Sendai Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Matsudo Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Shizuoka Branch |\n\nAbekawa River driftwood-clearing festival", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "#### 22. SUBSEQUENT EVENTS\n\na) In accordance with Articles 280-20 and 280-21 of the Commercial Code of Japan and a resolution approved at the annual general meeting of the shareholders held on June 23, 2004, the Board of Directors of the Company resolved on April 15, 2005 to grant stock subscription rights free of charge to certain employees of the Company and certain directors and employees of the Company's subsidiaries effective April 25, 2005. The holders of these rights are entitled to subscribe for shares of common stock of the Company at a fixed price of ¥1,119 per share. The maximum aggregate number of units and shares granted for subscription are 133,950 units and 13,395,000 shares, respectively.\n\nb) The following appropriations of retained earnings of the Company were approved at a shareholders' meeting held on June 21, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Year-end cash dividends | | |\n| (¥12.00 = U.S.$0.112 per share) | ¥52,553 | $491,150 |\n| Bonuses to directors | 390 | 3,645 |\n\nc) The Company issued the following bonds in yen without collateral to fund the unfunded retirement benefit obligation on June 2, 2005 and June 15, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Bonds in yen due 2008 at 0.4% | ¥50,000 | $467,290 |\n| Bonds in yen due 2010 at 0.71% | 128,000 | 1,196,262 |\n| Bonds in yen due 2009 at 0.62% | 50,000 | 467,290 |", - "page_start": 104, - "page_end": 104, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# Our Mission and CSR at SMFG\n\n## **Our Mission**\n\n- To provide optimum added value to our customers and together with them achieve growth To provide optimum added value to our customers and together with them achieve growth\n- To create sustainable shareholder value through business growth To create sustainable shareholder value through business growth\n- To provide a challenging and professionally rewarding work environment for our dedicated employees To provide a challenging and professionally rewarding work environment for our dedicated employees\n\n### **SMFG's Definition of CSR**\n\nIn the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to In the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to the sustainable development of society as a whole through offering higher added value to the sustainable development of society as a whole through offering higher added value to (i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees. (i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees.\n\n## **Common SMFG CSR Philosophy: Business Ethics**\n\n### **Satisfactory Customer Services**\n\nWe intend to be a financial services group that has the complete trust and support of We intend to be a financial services group that has the complete trust and support of our customers. For this purpose, we will always provide services that meet the true our customers. For this purpose, we will always provide services that meet the true *1.* needs of our customers to assure their satisfaction and earn confidence in the Group. needs of our customers to assure their satisfaction and earn confidence in the Group.\n\n> We intend to be a financial services group that maintains fair, transparent, and sound We intend to be a financial services group that maintains fair, transparent, and sound management based on the principle of self-responsibility. For this purpose, along with management based on the principle of self-responsibility. For this purpose, along with earning the firm confidence of our shareholders, our customers, and the general public, earning the firm confidence of our shareholders, our customers, and the general public, we take a long-term view of our business and operate it efficiently, and actively disclose we take a long-term view of our business and operate it efficiently, and actively disclose accurate business information about the Group. Through these activities, we work to accurate business information about the Group. Through these activities, we work to\n\nmaintain continued growth based on a sound financial position. maintain continued growth based on a sound financial position.\n\n*2.* **Sound Management**\n\n*3.* **Contributing to Social Development**\n\n*4.* **Free and Active Business Environment**\n\n*5.* **Compliance**\n\nWe intend to be a financial services group that contributes to the healthy development We intend to be a financial services group that contributes to the healthy development of society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a crucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such recognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady development of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate citizen, to make a positive contribution to society. citizen, to make a positive contribution to society.\n\nWe intend to be a financial services group for which all officers and employees work We intend to be a financial services group for which all officers and employees work with pride and commitment. For this purpose, we respect people and develop with pride and commitment. For this purpose, we respect people and develop employees with extensive professional knowledge and capabilities, thereby creating a employees with extensive professional knowledge and capabilities, thereby creating a free and active business environment. free and active business environment.\n\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of compliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business activities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and inspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral standards in our business practices. standards in our business practices.\n\n### **Key points of CSR activities**\n\nThe focus of the Group The focus of the Group's CSR activities is to offer the most value s CSR activities is to offer the most value for our four major stakeholder groups based on for our four major stakeholder groups based on sound management, and we shall strive to ultimately sound management, and we shall strive to ultimately contribute to the sustainable development of society as a whole. contribute to the sustainable development of society as a whole.\n\n- We shall endeavor to develop and prosper with our customers by offering top-quality, highly-valued products and services.\n- We shall engage in solid management by disclosing appropriate information and developing our internal control system in an effort to maximize our shareholders' value.\n- We shall contribute to society and preserve the natural environment by continuously and proactively implementing initiatives including social and environmental activities.\n- We shall foster a free and active business environment which respects individuals and allows each employee to realize his or her full potential.\n\n## **Management approach for target achievement**\n\nWe have established the Group CSR Committee, administered by the Group CSR Department, We have established the Group CSR Committee, administered by the Group CSR Department, to assess the CSR implementation plans of to assess the CSR implementation plans of the whole Group, and manage progress. the whole Group, and manage progress. Specifically, departments are assigned responsibility for each Specifically, departments are assigned responsibility for each target, and the Group CSR Department and assigned departments jo target, and the Group CSR Department and assigned departments jointly conduct annual reviews of progress made in conduct annual reviews of progress made in these initiatives. The results of these reviews are reported to the Group CSR Commit these initiatives. The results of these reviews are reported to the Group CSR Committee. The Group CSR Department and assigned depa The Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year, rtments also conduct a joint examination of plans for the following financial year, the findings of which are subsequently assessed by the Group CSR Committee. the findings of which are subsequently assessed by the Group CSR Committee. In this way, we use the PDCA cycle in our CSR initiatives. In this way, we use the PDCA cycle in our CSR initiatives.\n\n#### **SMFG CSR promotion structure**\n\n### **Participation in global initiatives**\n\nRecent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global en Recent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment. vironment. As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and p As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of rinciples of the following initiatives and organizations: the following initiatives and organizations:\n\n#### United Nations Global Compact\n\nThe 10 principles advocated by the United Nations in the areas of human rights, labor standards, the environment, and anti-corruption measures\n\n#### The United Nations Environment Programme Finance Initiative (UNEP FI)\n\nThe global partnership between the UNEP and financial institutions who are signatories to the UNEP FI Statements seeks to identify, promote, and ensure best environmental and sustainability practice at all operational levels of financial institutions\n\n- \n- \n- \n\n#### Carbon Disclosure Project (CDP)\n\nAn initiative to measure, manage and alleviate climate change by encouraging sustained dialog with institutional investors and business leaders on this issue\n\n### Equator Principles\n\nA set of guiding principles for managing social and environmental issues in project finance, based on the guidelines of the International Finance Corporation (IFC)", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **Social Contribution Activities**\n\n# **Helping build prosperity in Asia and the world**\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities that contribute to development at both the regional that contribute to development at both the regional and international level. In addition to overseas units' and international level. In addition to overseas units' independent initiatives, which are geared to host independent initiatives, which are geared to host country issues and characteristics, the Group supports country issues and characteristics, the Group supports projects that have contributed to achievement of the projects that have contributed to achievement of the United Nations' global Millennium Development Goals, United Nations' global Millennium Development Goals, such as poverty eradication, health improvement and such as poverty eradication, health improvement and status improvement for education and women in status improvement for education and women in developing countries. Our support takes the form of developing countries. Our support takes the form of donations to non-profit and non-governmental donations to non-profit and non-governmental organizations, through the employee volunteer fund. organizations, through the employee volunteer fund. (The map shows areas where fund money is used, (The map shows areas where fund money is used, marked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for more details. more details.\n\n### **International cooperation begins at home**\n\n#### **Employees put school meals on the table through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing have a program that provides donations to the non have a program that provides donations to the nonprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing countries, for every low-calorie countries, for every low-calorie meal ordered for lunch. SMBC meal ordered for lunch. SMBC Friend Securities has also F riend S e curitie s ha s a l s o installed vending machines ins talled vending machines selling healthy drinks, donating selling healthy drinks, donating part of their sales to TABLE FOR part of their sales to TABLE FOR TWO International. TWO International.\n\n#### **Donation boxes for foreign currency coins**\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency coins at the entrances of all manned branches and coins at the entrances of all manned branches and offices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by currency for delivery to UNICEF. currency for delivery to UNICEF.\n\n#### **The SMBC Foundation for International Cooperation**\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation strives to assist in developing the human resources strives to assist in developing the human resources necessary to achieve sustainable growth in develop necessary to achieve sustainable growth in developing economies as well as to promote international ing economies as well as to promote international exchange activities. The foundation has provided exchange activities. The foundation has provided financial support for students from Asian countries financial support for students from Asian countries each year, enabling them to attend universities in each year, enabling them to attend universities in Japan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to research institutes and researchers undertaking research institutes and researchers undertaking projects related to developing countries. projects related to developing countries.\n\n#### **1 South Korea**\n\n**Support for a South Korean students' Japanese-language theater competition**\n\nAs a way of increasing understanding of Japanese culture, As a way of increasing understanding of Japanese culture, SMBC's Seoul Branch donates funds to make possible the s Seoul Branch donates funds to make possible the holding of a competition holding of a competition\n\ninvolving theatrical perfor involving theatrical performances in the Japanese mances in the Japanese language by South Korean language by South Korean students of Japanese. students of Japanese.\n\nPerforming a Japanese-language drama\n\n### **Scholarships at major universities**\n\nSumitomo Mitsui Banking Corporation (China) Limited Sumitomo Mitsui Banking Corporation (China) Limited established a scholarship program for students of Zhejiang established a scholarship program for students of Zhejiang\n\nUniversity, Shanghai Inter University, Shanghai International Studies University, national Studies University, Sun Yat-sen University, Sun Yat-sen University, and other universities. and other universities.\n\n#### Scholarship students at Sun Yat-sen University\n\n# **3 Hong Kong**\n\n**2**\n\n**China**\n\n#### **Supporting performances by young Asian musicians**\n\nSMBC Hong Kong Branch makes donations to the Asian SMBC Hong Kong Branch makes donations to the Asian\n\nYouth Orchestra (AYO), Youth Orchestra (AYO), comprising young Asian comprising young Asian musicians selected mu s i c i a n s s e l e c t e d through auditioning who through auditioning who perform all over Asia. perform all over Asia.\n\nPhotographs supplied by AYO\n\n#### **Providing work 4 Vietnam**\n\n**experience to students** SMBC's Hanoi Branch provided s Hanoi Branch provided international school students international school students with vocational experiences. with vocational experiences.\n\n#### **5 Thailand**\n\n#### **Supporting farming villages in the northeast**\n\nSMBC's Bangkok Branch assisted s Bangkok Branch assisted farmers by donating underground farmers by donating underground water storage tanks and assisting water storage tanks and assisting with vegetable planting and with vegetable planting and harvesting. harvesting.\n\nBank employees helped plant\n\n# vegetables as volunteers\n\n### **Donating furniture to welfare facilities 6 Malaysia**\n\nSMBC' s Labuan Branch in s L abuan Br anch in Malaysia, following its relocation, Malaysia, following its relocation, donated desks, chairs and donated desks , chair s and cabinets to occupational training cabinets to occupational training centers for the disabled. centers for the disabled.\n\n# **Europe**\n\n**7**\n\n#### **Donations to charity groups**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe (SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off. SMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an in-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a certain amount for certain amount for every donation made every donation made by its employees. by its employees.\n\nEmployee volunteers who participated in landscape improvement projects\n\n## **8 Europe**\n\n### **Donation for a Japanese-language speech contest**\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI) made a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech contest. contest.\n\n## **UNICEF support initiatives**\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank has supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting children and improving children and improving\n\nfor further details (in Japanese): www.smbc.co.jp/ccs/\n\n#### **SMBC GLOBAL FOUNDATION 10 The United States**\n\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has provided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students in Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the United States, it supports educational trips to Japan United States, it supports educational trips to Japan organized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City, and volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in school beautification programs. The foundation also provides school beautification programs. The foundation also provides matching gifts for SMBC employees. matching gifts for SMBC employees.\n\nHigh school students from New York who visited Japan on a study trip\n\nScholarship award ceremony for university students in Vietnam", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Did Katsutoshi Konuma participate in the August 2011 expert roundtable on the role of the Sumitomo Mitsui Financial Group's new Food and Agricultural Assessment Loan? ", - "target_page": 8, - "target_passage": "Key comments of participants Together with Our Customers Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## **Corporate Outline (as of September 30, 2011)**\n\n| Company Name | : | Sumitomo Mitsui Financial Group, Inc. |\n| --- | --- | --- |\n| Business Description | : | Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of |\n| | | non-bank subsidiaries, as well as the performance of ancillary functions |\n| Established | : | December 2, 2002 |\n| Head Office | : | 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan |\n| Chairman of the Board | : | Masayuki Oku |\n| President | : | Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) |\n| Capital | : | ¥2,337.8 billion |\n| Stock Exchange Listings | : | Tokyo Stock Exchange (First Section) |\n| | | Osaka Securities Exchange (First Section) |\n| | | Nagoya Stock Exchange (First Section) |\n| | | Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. |\n\n## **Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\n# **Our CSR reporting**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n| CSR report 2011 (digest version) | CSR disclosure through |\n| --- | --- |\n| Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, | specific examples |\n| centered on specific examples centered on specific examples | |\n| CSR report 2011 | Comprehensive |\n| (digest version with examples of activities and | |\n| statistical performance, online PDF file) | disclosure of |\n| Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed | CSR activities |\n| information on CSR activities information on CSR activities | |\n| CSR report (online version, Japanese only) | Enriched |\n| www.smfg.co.jp/responsibility | CSR disclosure |\n| This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of | |\n| CSR activities at SMFG CSR activities at SMFG | |\n\n# **Editorial Policy**\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society. We have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is the essence of business itself, and our initiatives act upon this. Our CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group's CSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report 2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR activities and statistical data omitted in the CSR Report 2011 (digest version). We disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in Japanese only). It is recommended that you read it in combination with the above two digest versions in order to understand our CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n# **Scope of this Report**\n\n- Sumitomo Mitsui Financial Group, Inc.\n- Sumitomo Mitsui Banking Corporation\n- SMFG Card & Credit, Inc.\n- Sumitomo Mitsui Card Company, Limited\n- Cedyna Financial Corporation\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n- The Japan Research Institute, Limited\n- SMBC Friend Securities Co., Ltd.\n- SMBC Nikko Securities Inc.\n- THE MINATO BANK, LTD.\n- Kansai Urban Banking Corporation\n- Other Group companies\n\nThroughout this report, **\"Sumitomo Mitsui Financial Group\"** or **\"SMFG\"** refers to the holding company alone. **\"The SMFG Group\"** refers to the holding company and its primary domestic and international subsidiaries and affiliates. Company name abbreviations and other special terminology\n\n## **Reference guidelines**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) * Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international organization (GRI) in 1997 to encourage its adoption worldwide.\n\n# **About this Report**\n\n- Period Covered : April 1, 2010 to March 31, 2011 ( \"Fiscal 2010\" ) Note: Certain items in this report refer to activities taking place after April 2011.\nPublication Date of Japanese Document : December 2011\n\n- Contact :\n\t- 1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 TEL: +81-3-3282-8111\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# Today, Tomorrow and Beyond\n\n**President Sumitomo Mitsui Financial Group, Inc.**\n\n**Koichi Miyata**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them. Through our basic policy of becoming \"a globally competitive Through our basic policy of becoming \"a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders\" with the highest trust of our clients, society and other stakeholders\" by maximizing our core strengths of by maximizing our core strengths of \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## **INDEX**\n\n| Foreword | 1 |\n| --- | --- |\n| Commitment from the Top A Conversation with Tadao Ando, | 3 |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the reconstruction and revitalization of Japan, | |\n| and help resolve global issues? | |\n| Measures to Support Reconstruction | |\n| after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Priority Issues for Us | 9 |\n| Our Mission and CSR at SMFG | 11 |\n| 〈Specific Examples of CSR Activities〉 | |\n| Together with Our Customers | 13 |\n| Together with Our Shareholders | |\n| and Markets | 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |\n| Corporate Outline/Editorial Policy | 29 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# Commitment from the Top\n\n**A Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata** \n\n# **What can we do now to spur the reconstruction and revitalization of Japan, and help resolve global issues?**\n\n#### *Uplifting the nation's spirits Uplifting the nation's spirits*\n\nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region o Japan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) Japan) after the March 11 earthquake and tsunami (\"the Great East Japan Earthquake\") to a shrinking and aging population, with falling after the March 11 earthquake and tsunami (\"the Great East Japan Earthquake\") to a shrinking and aging population, with falling birth rates birth rates and increasing numbers of the aged. and increasing numbers of the aged.\n\nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. We must now find ways for people to coexist in harmony with nature, based on a global perspective.\n\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues fa Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society ing society and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group. and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\n# Tadao Ando\n\nArchitect. Professor Emeritus at the University of Tokyo, Representative and Vice-chairman of the Great East Japan Earthquake Reconstruction Design Council. Awarded the Order of Cultural Merit in 2010.\n\n**Our measures to support reconstruction after the disastrous earthquake and tsunami Uplifting the nation's spirits**\n\n̶ SMFG has the following priorities in its SMFG has the following priorities in its corporate social responsibility program: corporate social responsibility program: Reconstruction after the earthquake Reconstruction after the earthquake and tsunami, environmental measures, and tsunami, environmental measures, addressing the shrinking and aging addressing the shrink ing a nd aging population, and global challenges. — population, and global challenges. —\n\n**Kunibe**: Japan is facing a difficult period Japan is facing a difficult period with limited prospects for economic growth with limited prospects for economic growth due to a shrinking, aging population and due to a shrinking, aging population and a mature economy. Against this backdrop, a mature economy. Against this backdrop, the country was hit by the unprecedented the country was hit by the unprecedented catastrophe of the Great East Japan catastrophe of the Great East Japa n Earthquake. We must face up to the new Earthquake. We must face up to the new challenges arising from this disaster. challenges arising from this disaster.\n\nI believe the time has come for us to I believe the time has come for us to reconsider what we can do in our capacity reconsider what we can do in our capacity as a financial institution to address a variety as a financial institution to address a variety of issues, including the four priorities. of issues, including the four priorities. Today I hope we can discuss not only the road Today I hope we can discuss not only the road to reconstruction after the disaster, but also to reconstruction after the disaster, but also ways to uplift the nation's spirits. ways to uplift the nation's spirits.\n\n**Ando**: Japan has achieved two miracles - the : Japan has achieved two miracles - the Meiji Restoration of 1868, and the economic Meiji Restoration of 1868, and the economic recovery following the end of World War II in recovery following the end of World War II in 1945. Both events are also regarded globally 1945. Both events are also regarded globally as being miraculous. as being miraculous.\n\nIn 1945, foreign diplomats and businessmen In 1945, foreign diplomats and businessmen visiting Japan were fully confident that the visiting Japan were fully confident that the country would recover as they surveyed the country would recover as they surveyed the ruins and the scorched earth around them, ruins and the scorched earth around them, because, in the words of one of them, \"People because, in the words of one of them, \"People really work hard and help each other, and really work hard and help each other, and children take heed of what their parents say children take heed of what their parents say and study hard. And because there is a and study hard. And because there is a sparkle in their eyes.\" sparkle in their eyes.\"\n\nThereafter, the Japanese worked furiously Thereafter, the Japanese worked furiously\n\nuntil the country became an economic until the country became an economic juggernaut. However, in the early 1970s, juggernaut. However, in the early 1970s, people became complacent about their people became complacent about their affluence, and stopped working hard and affluence, and stopped working hard and making efforts. Children assumed that if they making efforts. Children assumed that if they went to a top-class university they would walk went to a top-class university they would walk into a top-class company and have nothing to into a top-class company and have nothing to worry about thereafter. So they started going worry about thereafter. So they started going to cram schools even before kindergarten. to cram schools even before kindergarten. I give lectures on the theme \"students born in I give lectures on the theme \"students born in and after 1980 are hopeless cases\" (laughs). and after 1980 are hopeless cases\" (laughs). That was because of the prevailing attitude at That was because of the prevailing attitude at the time that Japan the time that Japan's national development s national development would go on for ever and the economy would would go on for ever and the economy would remain stable. As a result, parents spoilt their remain stable. As a result, parents spoilt their children, and we saw more children who children, and we saw more children who could not do anything. Many such children could not do anything. Many such children are in their 30s now. are in their 30s now.\n\nAnd in this situation, the asset bubble burst And in this situation, the asset bubble burst [in the early 1990s], and the collapse of [in the early 1990s], and the collapse of Lehman [hit world markets] in 2008, and Lehman [hit world markets] in 2008, and now we have the earthquake and tsunami now we have the earthquake and tsunami disaster. It seems that everything that disaster. It seems that everything that happens these days merely makes us more happens these days merely makes us more anxious. I think everyone needs to hit the anxious. I think everyone needs to hit the 'reset' button in some sense. If we don 'reset' button in some sense. If we don't, more difficulties lie ahead. more difficulties lie ahead.\n\n**Miyata**: Indeed, prior to 1970, living : Indeed, prior to 1970, living standards or wage levels were very low, standards or wage levels were very low, but I think it was a very happy time. People but I think it was a very happy time. People believed that if they really worked hard, believed that if they really worked hard, their daily lives would improve and their their daily lives would improve and their\n\n# Takeshi Kunibe\n\nPresident and CEO Sumitomo Mitsui Banking Corporation\n\ncompanies would do better and companies would do better and the whole country would benefit. the whole country would benefit. Returning to Mr. Ando Returning to Mr. Ando's words, s words, and his comments about a nd h is c omme n ts a b ou t clinging to the status quo, more clinging to the status quo, more people now think, \"Oh, well, my people now think, \"Oh, well, my life is fairly comfortable and life is fairly comfortable and that's enough for me.\" This sense that's enough for me.\" This sense of stagnation, or resignation, of stagnation, or resignation,\n\nthat people feel in their lives has spread that people feel in their lives has spread throughout Japan. But when the disaster throughout Japan. But when the disaster struck, people again came together and struck, people again came together and worked together in the recovery effort. I worked together in the recovery effort. I thought, \"Not everything that happened has thought, \"Not everything that happened has been bad.\" But I fear the consequences if we been bad.\" But I fear the consequences if we don't galvanize, coordinate and maximize t galvanize, coordinate and maximize efforts more effectively. efforts more effectively.\n\n**Kunibe**: As for SMBC, I wondered if : As for SMBC, I wondered if employees at all the branches and other employees at all the branches and other offices in the affected areas would be able to offices in the affected areas would be able to get to work and carry out their duties at such get to work and carry out their duties at such a difficult time for their own families; or if a difficult time for their own families; or if they would be able to open their offices for they would be able to open their offices for business on weekends and other holidays. business on weekends and other holidays. Despite the lack of water and gas, they really Despite the lack of water and gas, they really gave their all to provide banking services. gave their all to provide banking services. It was really uplifting to see such dedication It was really uplifting to see such dedication and sense of responsibility as an employee of and sense of responsibility as an employee of a financial institution entrusted with essential a financial institution entrusted with essential social infrastructure. I talk about \"the strength social infrastructure. I talk about \"the strength of our front-line staff,\" but I was able to fully of our front-line staff,\" but I was able to fully appreciate just how extraordinarily strong appreciate just how extraordinarily strong SMFG and SMBC are thanks to SMFG and SMBC are thanks to this display display of front-line commitment. of front-line commitment.\n\nMoving forward on the reconstruction of Moving forward on the reconstruction of the Tohoku region, I believe we can also the Tohoku region, I believe we can also contribute to the rebuilding of infrastructure contribute to the rebuilding of infrastructure through project finance and other t h roug h project f i n a nce a nd ot her fundamental businesses of financial f undamental businesses of financial institutions in which we excel. institutions in which we excel. We are now actively engaged in promoting We are now actively engaged in promoting business in the Tohoku region, including business in the Tohoku region, including business matching with parties outside business matching with parties outside the region. In addition, we have a range of the region. In addition, we have a range of support activities in partnership with the Miyagi support activities in partnership with the Miyagi prefectural government and The 77 Bank, prefectural government and The 77 Bank, Ltd., which is based in Miyagi. Ltd., which is based in Miyagi.\n\n**Miyata**: In the same way, other SMFG In the same way, other SMFG Group companies have been sending out Group companies have been sending out volunteers, and providing donations not only volunteers, and providing donations not only as a company, but also through individual as a company, but also through individual employees. SMBC was at the heart of all these employees. SMBC was at the heart of all these activities, and this was a good opportunity activities, and this was a good opportunity for us to appreciate anew how our business for us to appreciate anew how our business contributes to the public good. contributes to the public good.\n\n# Koichi Miyata\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\nThe SMFG Group has 62,000 employees, The SMFG Group has 62,000 employees, \"stepping up to the plate and working hard \"stepping up to the plate and working hard to give something back to society.\" I think it to give something back to society.\" I think it is important to develop ways of making this is important to develop ways of making this a shared aspiration of all the employees of a shared aspiration of all the employees of the Group. the Group.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Commitment from the Top**\n\n**A Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata** \n\n**Miyata**: When I think about what the When I think about what the SMFG Group can do, through its core SMFG Group can do, through its core financial operations, to help a society that financial operations, to help a society that is living longer with a falling birthrate, is living longer with a falling birthrate, I think we can help people plan for the I think we can help people plan for the future, help them put a certain amount future, help them put a certain amount aside for later. If this kind of service works aside for later. If this kind of service works well in Japan, I think we might be able to well in Japan, I think we might be able to help China and Thailand too, where the help China and Thailand too, where the same problem — a shrinking, aging same problem — a shrink ing, aging population — is population — is brewing. brewing.\n\n### **Financial services:**\n\n- **A strong helping hand for environmental businesses leads to sustainable development based on Japanese technologies**\n### — What are the key issues with regard to — What are the key issues with regard to environment protection, and living in environment protection, and living in harmony with nature? — harmony with nature? —\n\n**Ando**: Environmental issues are also : Environmental issues are also important. This is a global issue. People important. This is a global issue. People living around the world should link hands living around the world should link hands and find new ways of safeguarding the and find new ways of safeguarding the environment. We need to secure stable environment. We need to secure stable supplies of energy while protecting the supplies of energy while protecting the environment. With resources, energy and environment. With resources, energy and food supplies dwindling around the world, food supplies dwindling around the world, Japan could fill quite a lot of the gaps Japan could fill quite a lot of the gaps through its world-class energy-saving through its world-class energy-saving technologies, from air-conditioning to technologies, from air-conditioning to refrigeration. I think people are going to refrigeration. I think people are going to be looking to Japan for such technologies. be looking to Japan for such technologies. **Kunibe**: I believe that energy is the most : I believe that energy is the most important thing governing a country important thing governing a country's competitiveness and industrial strength. competitiveness and industrial strength. Certainly, the tim Certainly, the timeframe is an issue. We frame is an issue. We must not engage in short-termism, nor be must not engage in short-termism, nor be self-serving, but should devise energy self-serving, but should devise energy strategies for the future needs of society strategies for the future needs of society as a whole. as a whole.\n\n**Ando** : I agree. We need industry, : I agree. We n ee d i n d u stry, government and academia to really talk government and academia to really talk to each other and take this seriously. If to each other and take this seriously. If they just butt heads, that won just butt heads, that won't get us t get us anywhere. anywhere.\n\n**Kunibe**: I see the environmental business : I see the environmental business as a linchpin of our CSR program, which we as a linchpin of our CSR program, which we can promote through our core businesses. can promote through our core businesses. For example, SMBC has created a Fo r examp le, SMB C h as create d a \"Growing Industrial Cluster Project \"Growing Industrial Cluster Project Team\" to organize projects in the fields Team\" to organize projects in the fields of water, resources, the environment and of water, resources, the environment and new energy sources, involving entities new energy sources, involving entities from different fields, not just working from different fields, not just working within one particular sector. We regard within one particular sector. We regard this process of engagement as forming a this process of engagement as forming a single undertaking and act accordingly. single undertaking and act accordingly. We believe this initiative can contribute We believe this initiative can contribute to the sustainable development of Asia to the sustainable development of Asia and the rest of the world. and the rest of the world.\n\n**Miyata** : SMFG unit Japan Research : SMFG u n it Japa n Research Institute serves as an adviser to the Institute serves as a n adviser to the Tianjin Eco-City project in China, and Tianjin Eco-City project in China, and SMBC and our securities units can SMBC a nd ou r sec u rit ies u n its ca n provide funding when needed. Through provide funding when needed. Through such organic assistance, we provide such organic assistance, we provide support through our core operations as support through our core operations as a comprehensive financial services group. a comprehensive financial services group. **Kunibe** : Mr. Ando pointed out that : Mr. A ndo poi nted out t hat Japanese companies hold a lot of good Japanese companies hold a lot of good technology. I think that technology. I think that's true. With the s true. With the above-mentioned \"Growing Industrial above-mentioned \"Growing Industrial Cluster Project Team,\" for example, if Cluster Project Team,\" for example, if technologies are being exported to Asia technologies are being exported to Asia for an infrastructure project, bank for a n i n frastr uct ure project, ba nk employees will be involved from the employees wil l be involved from the project planning stage. I think this is one project planning stage. I think this is one of the roles of a financial institution. of the roles of a financial institution. **Ando**: I think that the role of financial I think that the role of financial institutions is significant. They do indeed institutions is significant. They do indeed have the power to get things moving, and have the power to get things moving, and\n\nit is a very great power. it is a very great power.\n\nWe need somebody to instill in the people We need somebody to instill in the people the idea that as long as they have hope, the idea that as long as they have hope, they can go forward; and to lead them. they can go forward; and to lead them. I believe individuals must realize that if I believe individuals must realize that if they have hope in their hearts, they will they have hope in their hearts, they will see that progress is possible. We must see that progress is possible. We must ensure that students are educated with a ensure that students are educated with a global perspective and a sense of hope global perspective and a sense of hope as well. as well.\n\nThere is trust in the strength of Japanese There is trust in the strength of Japanese technology and the humanity of the tech nology a nd the huma n ity of the Japanese people. The question is who will Japanese people. The question is who will take the leading role in harnessing these take the leading role in harnessing these assets, in all their aspects? assets, in all their aspects?\n\n**Miyata** : The group has been : T h e g r o u p h a s b e e n implementing systems such as allowing implementing systems such as allowing employees to take time off for volunteer employees to take time off for volunteer activities, or take care of a family member activities, or take care of a family member while working. while working.\n\nOne more thing, how can you contribute One more thing, how can you contribute by bringing together the power of a by bri ngi ng together the power of a comprehensive financial services group comprehensive financial services group and making it work on behalf of the and mak ing it work on behal f of the community? How do you harness that community? How do you harness that power? In that regard, I would like our power? In that regard, I would like our group to be one in which employees group to be one in which employees believe that they have their own distinct believe that they have their own distinct role in such endeavors and through that role in such endeavors and through that find their work rewarding. find their work rewarding.\n\n**Kunibe**: I wish the same for SMBC. I want : I wish the same for SMBC. I want our bank to be a vibrant place where our bank to be a vibrant place where employees work with a light in their eyes. employees work with a light in their eyes. I would be grateful for any guidance in I would be grateful for any guidance in this respect from Mr. Ando and experts this respect from Mr. Ando and experts from other fields. from other fields.\n\nPresiding over the discussion was Presiding over the discussion was Mr. Eiichiro Adachi, Research Chief, Mr. Eiichiro Adachi, Research Chief, The Japan Research Institute, Limited The Japan Research Institute, Limited\n\n# **Measures to Support Reconstruction after the March 11 Earthquake and Tsunami**\n\nEmployee proposal: \"Save Power & the Nation\"\n\n## **Combining the proposals of every employee**\n\nThe Great East Japan Earthquake of March The Great East Japan Earthquake of March 2011 not only devastated the directly hit 2011 not only devastated the directly hit areas of northeastern Japan at the epicenter, areas of northeastern Japan at the epicenter, but also had severe consequences for the but also had severe consequences for the entire Japanese economy, due to loss of entire Japanese economy, due to loss of power generation capacity, disruption of power generation capacity, disruption of manufacturing supply chains and damage to manufacturing supply chains and damage to agriculture and fisheries. The earthquake and agriculture and fisheries. The earthquake and tsunami raised a wide range of issues. tsunami raised a wide range of issues. Under the Save Power & the Nation Under the Save Power & the Nation (\"SPN\")\n\nbanner, all employees and executives of the banner, all employees and executives of the bank urged each other to rack their brains to bank urged each other to rack their brains to come up with ways of saving energy, a press come up with ways of saving energy, a pressing issue, and of supporting reconstruction ing issue, and of supporting reconstruction in the disaster-affected areas. Ideas were the disaster-affected areas. Ideas were solicited in the following categories. solicited in the following categories.\n\n#### 【Categories Categories】\n\n- ・Saving energy in-house and in public Saving energy in-house and in public spaces\n- ・Offering products and services, and Offering products and services, and supporting reconstruction in the supporting reconstruction in the disaster-hit areas and other contribu disaster-hit areas and other contributions to the community. tions to the community.\n\nThree weeks after the start of the campaign, Three weeks after the start of the campaign, over 3,000 ideas and suggestions had been over 3,000 ideas and suggestions had been\n\n# **Save Power & the Nation**\n\nthe \"SPN\" campaign with regard to supporting the \"SPN\" campaign with regard to supporting reconstruction in the disaster-hit areas, some reconstruction in the disaster-hit areas, some employees said they wanted to go to the employees said they wanted to go to the Tohoku region to work as volunteers. To Tohoku region to work as volunteers. To support those wishing to do \"what can be support those wishing to do \"what can be done now\" as a first step, SMBC set up a done now\" as a first step, SMBC set up a framework to enable employees to take framework to enable employees to take special leave for volunteer activities in the special leave for volunteer activities in the earthquake and tsunami area. This system earthquake and tsunami area. This system became operational in May 2011. became operational in May 2011. To date, volunteers have been recruited not To date, volunteers have been recruited not only from the bank but also from other SMFG only from the bank but also from other SMFG Group companies. Based on needs identified Group companies. Based on needs identified by local government and volunteer centers by local government and volunteer centers in the areas concerned, SMFG staff have in the areas concerned, SMFG staff have been involved in voluntary activities such been involved in voluntary activities such as clearing mud from residential areas and as clearing mud from residential areas and concrete water runoff troughs alongside concrete water runoff troughs alongside roads, clearing up debris, and cleaning and roads, clearing up debris, and cleaning and restoring photographs and other personal restoring photographs and other personal items with memorabilia value. items with memorabilia value. In July 2011, over 400 employees of SMBC In July 2011, over 400 employees of SMBC Nikko Securities — mainly 350 new hires — Nikko Securities — mainly 350 new hires were divided into three teams, each of which were divided into three teams, each of which spent one to three weeks on volunteer spent one to three weeks on volunteer\n\nsubmitted by employees submitted by employees from a wide range of depart from a wide range of departments and job grades. Steps ments and job grades. Steps were taken to put into prac were taken to put into practice energy-saving measures tice energy-saving measures that were judged to be that were judged to be potentially effective. tially effective.\n\n# **(\"SPN\"): Practical Measures**\n\nIn addition to the many ideas sent in under In addition to the many ideas sent in under\n\n#### activities in the disaster zone. activities in the disaster zone.\n\nMany respondents in the \"SPN\" campaign Many respondents in the \"SPN\" campaign suggested that there should be more oppor suggested that there should be more opportunities to make donations directly and tunities to make donations directly and continuously to the affected areas. Just after continuously to the affected areas. Just after the earthquake, many employees at all grades the earthquake, many employees at all grades made donations. To support longer-term made donations. To support longer-term initiatives by local government and support initiatives by local government and support activity groups in the disaster-hit areas, SMBC activity groups in the disaster-hit areas, SMBC established the \"Great East Japan Earthquake established the \"Great East Japan Earthquake support fund\" for all employees. In October support fund\" for all employees. In October 2011, the bank made donations through the 2011, the bank made donations through the support fund to help the four worst-affected support fund to help the four worst-affected prefectures (Iwate, Miyagi, Fukushima and prefectures (Iwate, Miyagi, Fukushima and Ibaraki). These supplemented donations Ibaraki). These supplemented donations made by SMBC and SMBC Nikko Securities made by SMBC and SMBC Nikko Securities from fees on investment trust business. from fees on investment trust business.\n\nTo promote reconstruction following the To promote reconstruction following the disaster, the SMFG Group has ongoing disaster, the SMFG Group has ongoing support support programs run through both its core programs run through both its core operations and its community contribution operations and its community contribution program. Measures are designed to reflect program. Measures are designed to reflect changing needs in the affected areas. changing needs in the affected areas.\n\n### **Comments by employee volunteers in the disaster-hit areas**\n\n- ・I was not really able to appreciate the I was not really able to appreciate the situation in the Tohoku region until I situation in the Tohoku region until I actually went there myself. I want to talk actually went there myself. I want to talk about what I experienced there, because about what I experienced there, because public concern about the aftermath of public concern about the aftermath of the tsunami is now fading. the tsunami is now fading.\n- ・It was really good to hear local people It was really good to hear local people thanking us directly for our participation, thanking us directly for our participation, I think. Although I had a little muscle pain I think. Although I had a little muscle pain from what I was doing, I was moved by from what I was doing, I was moved by these expressions of gratitude. I could these expressions of gratitude. I could not do much to help, but I was keenly not do much to help, but I was keenly aware of the importance of everybody aware of the importance of everybody contributing a little for the greater good. contributing a little for the greater good.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Priority Issues for Us** As one of Japa As one of Japan's leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues we have identified as significantly impacting the nation. we have identified as significantly impacting the nation.\n\n**Measures for Japan's regeneration**\n\n# **Reconstruction after the earthquake and tsunami**\n\nMitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\nThe March 11 earthquake and tsunami (The Gr The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power eat East Japan Earthquake) undermined power generation capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition to the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as a leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the enormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders including enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\n#### **Further measures needed**\n\n- Wide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n- Ongoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n- Comprehensive support for industrial recovery Comprehensive support for industrial recovery in partnership with local governments and in partnership with local governments and financial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\n**Environmental measures Creating systems for sustainability Global challenges**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively leverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future. Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to contribute to sustainable development by supporting contribute to sustainable development by supporting the worldwide adoption of Japan's much-admired the worldwide adoption of Japan's much-admired technological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\n#### **Further measures needed**\n\n- Give further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas reduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n- Do more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a financial institution financial institution\n- Share our information assets and know-how globally in the Share our information assets and know-how globally in the environmental business environmental business\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper mine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this corporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business philosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 years of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving problems facing the international problems facing the international community through our financial community through our financial service service operations. operations.\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\n# **Shrinking and aging population Ensuring peace of mind for the future**\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifest frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle yle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to crea planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound te systems and a corporate culture that foster a sound balance between work and care needs, given that many gr balance between work and care needs, given that many group employees will later need to nurse ailing relatives. oup employees will later need to nurse ailing relatives. *Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n#### **Further measures needed**\n\n- nursing care nursing care\n- elderly (planning for asset management for old age) elderly (planning for asset management for old age)\n- Foster a better work-life balance Foster a better work-life balance\n\n# **Symbiosis and diversity**\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its operations both in Japan and overseas. Initiative operations both in Japan and overseas. Initiatives include aggressive development of advisory include aggressive development of advisory services for infrastructure upgrades in emergi services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, g economies, a cross-departmental endeavor, as well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly through branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international community so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n#### **Further measures needed**\n\n- Share expertise in corporate social responsibility Share expertise in corporate social responsibility with the international community with the international community\n- Improve financial services in preparation for the Improve financial services in preparation for the globalization of operations in Japan (multilingual globalization of operations in Japan (multilingual support) support)\n- Promote diversity Promote diversity", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Specific Examples of CSR Activities\n\n# **Together with Our Customers**\n\n**We work as a team to improve customer satisfaction and product quality, and, while supporting the customer, contribute to the sustainable development of society as a whole.**\n\n# **The financial sector's role in improving the nation's diet and in strengthening the agricultural and fisheries sectors**\n\nFor many years, food supply networks in For many years, food supply networks in Japan were premised on mass production and Japan were premised on mass production and mass consumption, enabling the country to mass consumption, enabling the country to meet soaring food demand at a time of rapid meet soaring food demand at a time of rapid growth in the population and economy. growth in the population and economy. But in recent years, consumers have come to But in recent years, consumers have come to place more priority on factors other than place more priority on factors other than volume and price, such as food safety and volume and price, such as food safety and healthiness, and the cultural aspects of diet. healthiness, and the cultural aspects of diet. As discussion continues on the need for As discussion continues on the need for farmers to increase production scale and farmers to increase production scale and move into processing and marketing, major move into processing and marketing, major changes are underway in the agriculture and changes are underway in the agriculture and fisheries sector in Japan. fisheries sector in Japan.\n\nAgainst this backdrop, SMBC has developed Against this backdrop, SMBC has developed a new financial product for this sector. a new financial product for this sector. The SMBC Food and Agricultural Assessment The SMBC Food and Agricultural Assessment Loan comes with conditions, depending on Loan comes with conditions, depending on the results of an evaluation of food-producers' the results of an evaluation of food-producers' progress in areas such as food safety and progress in areas such as food safety and environment-friendliness, healthiness and environment-friendliness, healthiness and nutritional value, and efficiency of distribution. nutritional value, and efficiency of distribution. The Japan Research Institute researches The Japan Research Institute researches\n\nmeasures in the me a s u r e s i n t h e areas of food and of food and farming being taken farming being taken by the loan applicant, by the loan applicant, and drafts a simple and drafts a simple \"diagnosis\" stating \"diagnosis\" stating whether there is room whether there is room\n\nfor future improvement. Ernst & Young for future improvement. Ernst & Young ShinNihon LLC provides expert opinions on ShinNihon LLC provides expert opinions on ongoing improvement of this system. ongoing improvement of this system.\n\nBy backing customer companies' own By backing customer companies' own initiatives in the areas of food and agriculture initiatives in the areas of food and agriculture in this way, SMBC will be supporting measures in this way, SMBC will be supporting measures to improve the diet of the Japanese and to improve the diet of the Japanese and strengthen the agriculture and fisheries sector. strengthen the agriculture and fisheries sector.\n\n#### **For further details, please see our website.**\n\nA roundtable session with experts held in August 2011 eyesight concerns. eyesight concerns. considered the role of the new SMBC Food and Agricultural Assessment Loan in improving the food supply chain that links food and fishery producers with food processors and consumers. Opinions were also exchanged on what other future role the bank might assume in this regard, given the current situation and issues facing the food industry\n\nand agriculture in Japan.\n\n**Roundtable session: SMBC Food and Agricultural Assessment Loan**\n\n#### **Key comments of participants**\n\n\"We want to deliver value by creating demand and quality combined with safety, peace of mind and trust.\" Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd.\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, The University of Tokyo\n\n\"Eating should be something that generates emotion. New potential exists in the world of cuisine.\" Daisuke Yamamoto, Vice Senior Consultant, Research Department, The Japan Research Institute, Limited\n\n\"As consumer tastes go through a time of great change, I think it is important to prioritize ingredients and the attitude of customers toward eating.\"\n\n\"An important concept is multilateral dialogue as the number of parties involved in food production increases throughout the supply chain.\" Yoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of the Corporate Banking Unit & Middle Market Banking Unit, SMBC\n\nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC\n\n# **Making banking a more pleasant experience for all customers**\n\nWith the old-age dependency ratio soaring, With the old-age dependency ratio soaring, the SMFG Group aims to provide friendly, the SMFG Group aims to provide friendly, easy-to-use banking services for all its easy-to-use banking services for all its customers. customers.\n\nSome Group companies are likewise making Some Group companies are likewise making their facilities barrier-free at bank branches their facilities barrier-free at bank branches with large numbers of customers, to tailor with large numbers of customers, to tailor services to the needs of all customers. services to the needs of all customers.\n\nFor example at the Minato Bank, we have For example at the Minato Bank, we have equipped all ATMs at all our branches and equipped all ATMs at all our branches and cashpoints with voice-guidance handsets for cashpoints with voice-guidance handsets for the visually impaired. the visually impaired.\n\nIn addition, we have set up priority seating In addition, we have set up priority seating in the lobby of each of our branches for in the lobby of each of our branches for customers who are very old or who have customers who are very old or who have mobility problems. We are also steadily mobility problems. We are also steadily introducing queue-number displays using introducing queue-number displays using Color Universal Design (CUD) principles, Color Universal Design (CUD) principles, which are easier to read for customers with which are easier to read for customers with\n\nHandheld hearing support device (The Minato Bank)\n\nA further measure is installation of handheld A further measure is installation of handheld hearing support devices at all branches hearing support devices at all branches (except housing loan promotion offices), to (except housing loan promotion offices), to allay the concerns of hearing-impaired allay the concerns of hearing-impaired customers who find it difficult to converse customers who find it difficult to converse and follow spoken instructions. By using the and follow spoken instructions. By using the devices as communication tools, bank devices as communication tools, bank employees can respect customer privacy employees can respect customer privacy and do not have to talk loudly. and do not have to talk loudly. Further measures include posting of \"green Further measures include posting of \"green ear\" logos at branches to reassure customers ear\" logos at branches to reassure customers that the bank has facilities for conversing that the bank has facilities for conversing in writing. All branches are being equipped writing. All branches are being equipped with white boards and special message with white boards and special message tablets for dialogue with customers who ablets for dialogue with customers who have concerns about their hearing and who have concerns about their hearing and who dislike written conversations. dislike written conversations.\n\n# **Peace of mind at the bank counter**\n\nThe Minato Bank has created a position The Minato Bank has created a position titled \"Service Care Manager\" at each of titled \"Service Care Manager\" at each of its branches, filled by at least one branch its branches, filled by at least one branch managerial staffer, as part of measures to managerial staffer, as part of measures to make branch visits more pleasant for make branch visits more pleasant for customers, following earlier nuts-and-bolts customers, following earlier nuts-and-bolts improvements. improvements.\n\nService Care Managers are dedicated to Service Care Managers are dedicated to improving support and services for the improving support and services for the customer at each branch. Their training customer at each branch. Their training includes simulations of the problems faced includes simulations of the problems faced by persons with disabilities, awareness by persons with disabilities, awareness raising and support methods for the elderly raising and support methods for the elderly and persons with disabilities. and persons with disabilities.\n\n### **New queue-number display system installed at bank counters**\n\nColors and special designs are used to make queue-number displays more visible to all customers (The Minato Bank)\n\nTelephone handset-type ATM (The Minato Bank)\n\n# **Preparing our businesses for a higher old-age dependency ratio**\n\nIn addition to removing mobility barriers at In addition to removing mobility barriers at branches, the bank plans to aggressively branches, the bank plans to aggressively support installation of facilities needed to support installation of facilities needed to cope with the rapidly rising old-age cope with the rapidly rising old-age dependency ratio. As a first step, SMBC dependency ratio. As a first step, SMBC has established clear guidelines for has established clear guidelines for supporting the construction of rental supporting the construction of rental housing for the elderly, expected to be a housing for the elderly, expected to be a future growth area. future growth area.\n\nWhile continuing to tailor business While continuing to t ailor busines s activities to the needs of the community at activities to the needs of the community at large and ensuring a friendly banking large and ensuring a friendly banking environment for our customers, the SMFG environment for our customers, the SMFG Group also plans to support the creation of Group also plans to support the creation of frameworks that enable the elderly to live frameworks that enable the elderly to live active lives with peace of mind. active lives with peace of mind.", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Sumitomo Mitsui Financial Group CSR Report **Digest version**", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "#### 22. SUBSEQUENT EVENTS\n\na) In accordance with Articles 280-20 and 280-21 of the Commercial Code of Japan and a resolution approved at the annual general meeting of the shareholders held on June 23, 2004, the Board of Directors of the Company resolved on April 15, 2005 to grant stock subscription rights free of charge to certain employees of the Company and certain directors and employees of the Company's subsidiaries effective April 25, 2005. The holders of these rights are entitled to subscribe for shares of common stock of the Company at a fixed price of ¥1,119 per share. The maximum aggregate number of units and shares granted for subscription are 133,950 units and 13,395,000 shares, respectively.\n\nb) The following appropriations of retained earnings of the Company were approved at a shareholders' meeting held on June 21, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Year-end cash dividends | | |\n| (¥12.00 = U.S.$0.112 per share) | ¥52,553 | $491,150 |\n| Bonuses to directors | 390 | 3,645 |\n\nc) The Company issued the following bonds in yen without collateral to fund the unfunded retirement benefit obligation on June 2, 2005 and June 15, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Bonds in yen due 2008 at 0.4% | ¥50,000 | $467,290 |\n| Bonds in yen due 2010 at 0.71% | 128,000 | 1,196,262 |\n| Bonds in yen due 2009 at 0.62% | 50,000 | 467,290 |", - "page_start": 104, - "page_end": 104, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "### CONSOLIDATED STATEMENTS OF CASH FLOWS\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries *Fiscal years 2004, 2003 and 2002*\n\n| | | Millions of yen | | Thousands of U.S. dollars (Note 3) |\n| --- | --- | --- | --- | --- |\n| | 2004 | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Operating activities | | | | |\n| Income before income taxes and minority interests | ¥ 793,233 | ¥736,497 | ¥694,624 | $ 7,413,393 |\n| Depreciation and amortization relating to: | | | | |\n| Leased assets | 157,346 | 134,354 | 158,370 | 1,470,523 |\n| Other assets | 368,580 | 326,683 | 212,755 | 3,444,673 |\n| (Reversal of) provision for allowance for doubtful receivables | (6,464) | 3,732 | (503) | (60,411) |\n| Loss on devaluation of securities | 128 | 323 | 769 | 1,196 |\n| Interest and dividend income | (16,274) | (11,591) | (8,520) | (152,093) |\n| Interest expense | 73,220 | 63,423 | 80,255 | 684,299 |\n| Gain on sales of property, plant and equipment | (24,038) | (4,163) | (58,796) | (224,654) |\n| Loss on disposal of property, plant and equipment | 20,115 | 24,823 | 15,587 | 187,991 |\n| | (7,232) | | | (67,589) |\n| (Gain) loss on sales of securities | | 7,113 | (4,324) | |\n| Amortization of net retirement benefit obligation at transition | 11,795 | 13,936 | 23,923 | 110,234 |\n| Provision for accrued retirement benefits | 65,103 (82,924) | 67,262 | 100,629 | 608,439 |\n| Retirement benefits paid | | (80,650) | (86,917) | (774,991) |\n| Business restructuring costs paid | — | — | (4,644) | — |\n| Other | (115) | 45,934 | (77,897) | (1,076) |\n| Changes in operating assets and liabilities: | | | | |\n| Notes and accounts receivable | 15,494 | 24,539 | 44,989 | 144,804 |\n| Finance receivables | (794,349) | (463,110) | (327,357) | (7,423,822) |\n| Inventories | (108,903) | (28,220) | (28,404) | (1,017,785) |\n| Notes and accounts payable | 152,213 | 68,879 | 36,877 | 1,422,551 |\n| Subtotal | 616,928 | 929,764 | 771,416 | 5,765,682 |\n| Interest and dividends received | 16,098 | 10,699 | 8,238 | 150,449 |\n| Interest paid | (71,318) | (65,231) | (80,902) | (666,523) |\n| Income taxes paid | (192,293) | (77,815) | (123,374) | (1,797,131) |\n| Net cash provided by operating activities | 369,415 | 797,417 | 575,378 | 3,452,477 |\n| Investing activities | | | | |\n| (Increase) decrease in short-term investments | (12,370) | (710) | 789 | (115,607) |\n| Purchases of investment securities | (31,896) | (119,372) | (32,053) | (298,093) |\n| Proceeds from sales of investment securities | 3,098 | 40,330 | 45,263 | 28,953 |\n| Long-term loans made | (4,019) | (3,741) | (11,343) | (37,561) |\n| Collection of long-term loans receivable | 4,860 | 4,766 | 13,097 | 45,421 |\n| Purchases of fixed assets | (461,146) | (428,387) | (377,929) | (4,309,776) |\n| Proceeds from sales of property, plant and equipment | 71,256 | 53,932 | 98,699 | 665,944 |\n| Purchases of leased vehicles | (590,605) | (476,613) | (483,704) | (5,519,673) |\n| Proceeds from sales of leased vehicles | 173,812 | 191,105 | 259,075 | 1,624,411 |\n| Purchase of subsidiaries' stock resulting in changes | | | | |\n| in the scope of consolidation | (1,292) | — | — | (12,075) |\n| Proceeds from sales of subsidiaries' stock resulting in changes | | | | |\n| in the scope of consolidation (Note 15) | 7,697 | 192 | 8,395 | 71,935 |\n| Additional acquisition of shares of consolidated subsidiaries | (500) | (2,531) | (692) | (4,673) |\n| Other | (23,930) | (15,097) | (34,971) | (223,645) |\n| Net cash used in investing activities | (865,035) | (756,126) | (515,374) | (8,084,439) |\n| Financing activities | | | | |\n| Increase (decrease) in short-term borrowings | 666,191 | (137,575) | (54,310) | 6,226,084 |\n| Increase in long-term borrowings | 1,050,841 | 847,393 | 534,053 | 9,820,944 |\n| Increase in bonds and debentures | 140,663 | 150,000 | 85,000 | 1,314,607 |\n| Repayment or redemption of long-term debt | (1,145,534) | (720,694) | (524,115) | (10,705,925) |\n| Purchases of treasury stock | (33,366) | (101,957) | (58,383) | (311,832) |\n| Proceeds from sales of treasury stock | 6,816 | 9,744 | 5,670 | 63,701 |\n| Repayment of lease obligations | (69,244) | (84,742) | (9,879) | (647,140) |\n| Cash dividends paid | (94,236) | (74,594) | (50,800) | (880,710) |\n| Other | (1,085) | (1,315) | — | (10,140) |\n| Net cash provided by (used in) financing activities | 521,046 | (113,740) | (72,764) | 4,869,589 |\n| Effect of exchange rate changes on cash and cash equivalents | 4,369 | (2,604) | 654 | 40,831 |\n| Increase (decrease) in cash and cash equivalents | 29,795 | (75,053) | (12,106) | 278,458 |\n| Cash and cash equivalents at beginning of the year | 194,164 | | | 1,814,617 |\n| | | 269,817 | 279,653 | |\n| Increase due to inclusion in consolidation (Note 15) | 65,825 | 310 | 2,297 | 615,187 |\n| Decrease due to exclusion from consolidation | — | (910) | (27) | — |\n| Cash and cash equivalents at end of the year | ¥ 289,784 | ¥194,164 | ¥269,817 | $ 2,708,262 |\n\nSee notes to consolidated financial statements.", - "page_start": 77, - "page_end": 77, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### **Item 11.** *EXECUTIVE COMPENSATION*\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of Directors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 12.** *SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS*\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and information under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 13.** *CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS*\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **Item 14.** *PRINCIPAL ACCOUNTING FEES AND SERVICES*\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors—Audit Fees\" through \"—Audit Committee Preapproval Policies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## **PART IV**\n\n### **Item 15.** *EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K*\n\n- (a) (1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report. (3) List of Exhibits—The response to this portion of Item 15 is submitted as a separate section of this report.\n- (b) The following reports on Form 8-K were filed during the fourth quarter:\n\nForm 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and member of the Board of Directors.\n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003.\n\nForm 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year labor contract.\n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of $150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001.\n\n- (c) The response to this portion of Item 15 is submitted as a separate section of this report.\n- (d) The response to this portion of Item 15 is submitted as a separate section of this report.\n\n## **SIGNATURES**\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n### **HORMEL FOODS CORPORATION**\n\nBy: /s/ JOEL W. JOHNSON\n\nDate: January 23, 2004\n\nJOEL W. JOHNSON Chairman of the Board, President and Chief Executive Officer\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "What is the trend of flood risk in Canada in 2024?", - "target_page": 1, - "target_passage": "(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n# **Three ways Canadian communities are reducing flood risks**\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com Word Count: 281\n\n#### M e d i a Att a c h m e n ts −\n\nHave your say! Complete our 2025 Media Survey\n\nRetrain your way to a new job\n\nThe top AI-powered tech trends in 2025", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "April 2024", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## rsta.royalsocietypublishing.org\n\n# Research\n\n**Cite this article:** Betts RA *et al*. 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model.*Phil. Trans. R. Soc. A* **376**: 20160452. http://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted: 13 February 2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n#### **Subject Areas:**\n\nclimatology, hydrology\n\n#### **Keywords:**\n\n1.5°C, Paris Agreement, 2°C, global climate impacts, water resources, terrestrial ecosystems\n\n#### **Author for correspondence:**\n\nRichard A. Betts e-mail: richard.betts@metoffice.gov.uk\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5°C and 2°C global warming with a higher-resolution global climate model\n\nRichard A. Betts1,2, Lorenzo Alfieri3 , Catherine Bradshaw2 , John Caesar2 , Luc Feyen3 , Pierre Friedlingstein4 , Laila Gohar2 , Aristeidis Koutroulis5 , Kirsty Lewis2 , Catherine Morfopoulos1 , Lamprini Papadimitriou5,6, Katy J. Richardson2 , Ioannis Tsanis5 and Klaus Wyser7\n\n1 College of Life and Environmental Sciences, University of Exeter, Exeter EX4 4PS, UK 2 Met Office Hadley Centre, FitzRoy Road, Exeter EX1 3PB, UK 3 European Commission – Joint Research Centre, 21027 Ispra, Italy 4 College of Engineering, Mathematics and Physical Sciences, University of Exeter, Exeter EX4 4QE, UK 5 School of Environmental Engineering, Technical University of Crete—TUC, Chania 73100, Greece 6 Cranfield Water Science Institute, Cranfield University, Cranfield MK43 0AL, UK 7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\nRAB,0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 11.** Distributions of changes in run-off for low flows (flows for lowest 10% of time) simulated by the JULES ecosystem– hydrology model under the ensemble of six climate projections at 1.5°C (blue) and 2°C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not define the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean flow in the baseline, in millimetres of rain equivalent.\n\n| Global mean changes at 1.5°C Table 6. global warming compared to present day for individual ensemble members, for the |\n| --- |\n| ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean |\n| precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow). |\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIROC | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | ESM-CHEM | ACCESS1-0 | mean |\n| TXx (°C) | | | | | | | |\n| | 1.2 | 1.9 | 1.7 | 2.0 | 1.5 | 1.9 | 1.7 |\n| TX90p (% time) | 10.0 | 15.7 | 16.2 | 19.2 | 14.1 | 18.3 | 15.6 |\n| CDD | −1.2 | 0.7 | −1.3 | −5.4 | 0.0 | −3.8 | −1.6 |\n| | | | | | | | |\n| RX5day (mm) | 1.1 | 3.6 | 4.5 | 4.6 | 4.0 | 4.3 | 3.6 |\n| | | | | | | | |\n| drought proxy | 0.74 | 0.48 | n.a. | 0.39 | 0.16 | 0.31 | 0.42 |\n| flood proxy | 0.75 | 0.73 | n.a. | 0.73 | 0.79 | 0.73 | 0.75 |\n| | | | | | | | |\n| Pmean (%) | 1.4 | 0.9 | 3.1 | 1.3 | 3.9 | 2.4 | 2.2 |\n| | | | | | | | |\n| Rmean (%) | 2.1 | 0.7 | 5.4 | 0.7 | 6.7 | 5.0 | 3.9 |\n| | | | | | | | |\n| Rlow (%) | −3.4 | 0.3 | 5.9 | 2.2 | 5.9 | 4.9 | 2.6 |\n| | | | | | | | |\n\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or more. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater increases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "#### INDUSTRY TRENDS\n\n#### The telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\n\n#### CHANGING TECHNOLOGIES AND CONSUMER DEMANDS\n\nConsumer demand for mobile devices, digital media and on-demand content across platforms is pushing providers to build networks that can provide more data faster, cheaper and more easily. Increased adoption of smartphones and double digit growth in our data revenue continued this year, reflecting expanded use of applications, mobile video, messaging and other wireless data.\n\n#### COMPETITION\n\nCompetition in wireless from national and regional operators as well as smaller new entrants changes how we compete for wireless services. This puts downward pressure on pricing affecting profit margins and impacts customer churn.\n\nTraditional wireline telephone and television services are now offered over the Internet, opening the door to more non-traditional competitors, and changing how traditional providers compete. This is changing the mix of packages and pricing that service providers offer, affecting profit margins and customer churn.\n\n#### **WIRELESS TRENDS**\n\nMore sophisticated wireless networks, devices and applications are making it easier and faster to receive data, driving growth in wireless data services.\n\nWireless providers are investing in the next generation of broadband wireless data networks, such as LTE, to support the growing data demand.\n\nWireless market penetration in Canada is approximately 80% of the population, and is expected to grow at an estimated 2% annually.\n\nThe new CRTC code of conduct has limited wireless term contracts to two years from three years. Although the code of conduct has only been in place for a month, we believe this is currently reducing churn and slowing growth in the wireless marketplace.\n\n#### **CABLE TRENDS**\n\nYounger generations are increasingly using the Internet and social media as a substitute for traditional wireline telephone services, and televised content is increasingly available online, both on wireline and on wireless devices.\n\nWe face new competition from companies like Skype and Vonage, who market Voice over Internet Protocol (VoIP) telephony services, and Netflix and Apple TV, who provide televised content over the Internet.\n\nNorth American cable companies are improving their cable networks and expanding their service offerings to include Internet, digital cable and VoIP telephony services, while competition from telco IPTV deployments and non-facilities based service providers continues to cause pricing pressures which negatively impacts revenue growth.\n\nIn the media industry, there continues to be a shift towards on-line media consumption by consumers which in turn drives advertisers to spend more on-line versus traditional media. In addition, there are more media competitors as additional on-line media companies enter the market, including large global companies.\n\n#### REGULATION\n\nMost areas of our business are highly regulated, which affects who we compete with, the programming we can offer, where and how we use our networks, how we build our businesses and the spectrum we purchase. The telecommunications industry is being affected by more regulation and more reviews of the current regulations.\n\n#### ECONOMIC CONDITIONS\n\nOur businesses are affected by general economic conditions and consumer confidence and spending, especially in our Media segment, where advertising revenue is directly affected by the economy.\n\n#### **BUSINESS SOLUTIONS TRENDS**\n\nCompanies are using fibre-based access and cloud computing to capture and share information in more volume and detail. This, combined with the rise of multimedia and Internet-based applications, is driving exponential growth in data demand.\n\nLarge enterprises and all levels of government are dramatically transforming data centre infrastructure and moving toward virtual data storage and hosting. This is driving demand for more advanced network functionality, robust, scalable services and supportive dynamic network infrastructure.\n\nIn response, carriers are dismantling legacy networks and investing in next generation platforms that converge voice, data and video solutions onto a single distribution and access platform.\n\n#### **MEDIA TRENDS**\n\nConsumer demand for digital media, mobile devices and ondemand content is pushing advertisers to shift some of their spending to digital platforms.\n\nTraditional media assets in Canada have become increasingly controlled by a small number of competitors with significant scale and financial resources, while technology has allowed new entrants and even individuals to become media players in their own right. Across both traditional and emerging platforms, many players have become more vertically integrated, as both providers and purchasers of content.\n\nAccess to premium content has become even more important for acquiring audiences that attract advertisers and subscribers. Ownership of content or longterm agreements with content owners, have also become increasingly important to Media companies.", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "**Figure 4.** Simulated changes inthe number of consecutive dry days relativeto1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Table 5.** Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-off (Rmean) and low run-off (Rlow).\n\n| IPSL | | GFDL | HadGEM2- | IPSL | MIRC-ESM | | ensemble |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| CM5A-LR | | ESM2M | ES | CM5A-MR | CHEM | ACCESS1-0 | mean |\n| TXx (°C) | 2.1 | 2.8 | 2.5 | 2.9 | 2.4 | 2.8 | 2.6 |\n| | | | | | | | |\n| TX90p (% time) | 20.1 | 24.3 | 24.9 | 29.0 | 23.5 | 27.9 | 25.0 |\n| | CDD −3.0 | 0.9 | −3.4 | −5.7 | −2.0 | −5.5 | −2.9 |\n| RX5day (mm) | 3.5 | 5.4 | 6.9 | 6.8 | 6.0 | 6.7 | 5.9 |\n| drought proxy | 0.76 | 0.89 | n.a. | 0.38 | 0.38 | 0.66 | 0.61 |\n| | | | | | | | |\n| flood proxy | 0.83 | 0.82 | n.a. | 0.75 | 0.73 | 0.78 | 0.78 |\n| | | | | | | | |\n| Pmean (%) | 2.1 | 3.4 | 5.0 | 3.0 | 5.3 | 2.9 | 4.0 |\n| Rmean (%) | 2.4 | 6.5 | 8.1 | 4.4 | 8.6 | 4.9 | 5.8 |\n| | | | | | | | |\n| Rlow (%) | −2.0 | 3.8 | 11.2 | 8.0 | 9.4 | 5.1 | 5.9 |\n| | | | | | | | |\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2–4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 13.** Global mean percentage changes relative to 1981–2010 in (*a*) precipitation over land, (*b*) mean run-off flows, (*c*) low run-off lows (10th percentile), at 2°C and 1.5°C global warming.\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows—increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "**Figure 6.** Simulated changes inthe average length of flood events(number of days in whichthe cumulative dailyrainfall excess is positive, compared with the 95th percentile in 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n**Figure 7.** Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "*Dollar amounts are in thousands of Canadian dollars (except as noted)*\n\n## **2014 Outlook**\n\n#### **Economic Growth Opportunities in Atlantic Canada**\n\nLarge economic projects, either proposed or underway in Atlantic Canada, are expected to drive economic and population growth. Highlights from the five largest projects are included below:\n\n- v Continued progress on the $25 billion Irving Shipbuilding project is expected to generate growth in Nova Scotia in 2014, 2015 and beyond. Presently, Irving is investing approximately $350 million modernizing the Halifax Shipyard to begin cutting steel in 2015.\n- v The $7.8 billion Muskrat Falls hydro project is driving strong economic growth in Newfoundland and Labrador (\"NL\") and recently the $1.52 billion Maritime Link subsea cable designed to transport electricity from NL to Nova Scotia has been approved.\n- v Shell Canada has been awarded the exploration rights for eight parcels offshore Nova Scotia and has committed to spending more than $1 billion exploring these parcels over the next six years.\n- v BP Exploration Company Ltd (\"BP\") was awarded another four deep water parcels for a total exploration spending commitment of nearly $1.1 billion over six years. This offshore oil activity has the potential for long‑term spending and employment opportunities in the region depending on the results of the exploration activity over the coming years.\n- v The proposed Energy East Pipeline Project is positive economic news for the Saint John, New Brunswick market.\n\nKillam's Atlantic portfolio is also poised to benefit from the continued migration to urban centers, which is generating population growth in Killam's core markets in Atlantic Canada.\n\n#### **Occupancy Gains Expected**\n\nKillam expects to see modest gains in occupancy levels in the first and second quarter of 2014 compared to 2013. These gains are expected from further expansion of marketing and leasing activities, including a focus on tenant retention. Killam expects to see continued positive results from its Ontario portfolio throughout the next year as the Company's Ottawa properties acquired in 2012 and early 2013 have stabilized. Killam forecasts to operate these properties at an average vacancy rate of approximately 2%, consistent with market norms in this region. Furthermore, the Company expects to continue to outperform CMHC in its core markets located in Atlantic Canada. Trending in the first quarter of 2014 has shown steady occupancy gains in all New Brunswick markets as well as PEI, more than offsetting a slight decrease in occupancy in Halifax. Rental revenue growth is expected in the range of 1% ‑ 2% across the portfolio in 2014, given Ontario's rental increases are capped at 0.8% for 2014 and market pressures from new supply in Killam's core markets in Atlantic Canada.\n\n#### **Natural Gas Volatility**\n\nThe Company expects to see continued volatility in natural gas pricing in Nova Scotia and New Brunswick until additional pipeline capacity is built to alleviate supply constraints in Atlantic Canada and the Northeastern US, bringing pricing more in‑line with other areas of North America. In the short‑term, Management will continue to manage properties to maximize energy efficiencies. In addition, where dual‑fired heating systems exist, the Company will switch to oil when the economics support the change and will explore investing in increasing the base of dual‑fired systems.\n\n#### **Acquisition Activity With a Focus in Ontario and Two New Developments Underway**\n\nThe Company expects to purchase a minimum of $75 million in assets in 2014. The concentration of acquisition activity is expected to take place in Ontario, in‑line with the Company's long‑term strategic goal of increasing NOI generated from outside of Atlantic Canada to 50%. Killam also has two new development projects underway, including a two building 101‑unit complex located in St. John's, expected to be completed in Q3 2014, and one located in Cambridge, with the first phase of 122 units expected to be completed in the first half of 2015.\n\n#### **$139 Million in Debt Maturing in 2014**\n\nKillam has approximately $139.4 million of debt maturing in 2014 at a weighted average interest rate of 4.6%. The current bond yields for 5‑year and 10‑year debt are below the Company's weighted average interest rate on the debt to be refinanced. To‑date the Company has refinanced or locked in interest rates for seven maturing mortgages representing $34.2 million of the maturing debt at a weighted average interest rate of 2.64%, 160 bps lower than the weighted average interest rate prior to refinancing. The Company expects to generate annualized interest savings of $0.6 million from the refinancings completed to date.", - "page_start": 27, - "page_end": 27, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "**Figure 5.** Simulated changes in the annual maximum rainfall over 5 days relative to 1981–2010, at 2°C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from different members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How flooding was prevented in Vancouver? ", - "target_page": 1, - "target_passage": "In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown’s east side, an area historically prone to flooding. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n# **Three ways Canadian communities are reducing flood risks**\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com Word Count: 281\n\n#### M e d i a Att a c h m e n ts −\n\nHave your say! Complete our 2025 Media Survey\n\nRetrain your way to a new job\n\nThe top AI-powered tech trends in 2025", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "threaten their conservation status. To support this, data collection on by-catch for all sensitive species needs to be stepped up.\n\nIn addition, **fisheries-management measures** must be established in all marine protected areas according to clearly defined conservation objectives and on the basis of the best available scientific advice.\n\n#### *2.2.7. Restoring freshwater ecosystems*\n\nThe EU's legal framework on water is ambitious but implementation is lagging behind and enforcement must be stepped up46. Greater efforts are needed to **restore freshwater ecosystems and the natural functions of rivers** in order to achieve the objectives of the Water Framework Directive. This can be done by removing or adjusting barriers that prevent the passage of migrating fish and improving the flow of water and sediments. To help make this a reality, **at least 25,000 km of rivers will be restored into free-flowing rivers by 2030**47 through the removal of primarily obsolete barriers and the restoration of floodplains and wetlands. Technical guidance and support to the Member States to identify sites and help mobilise funding will be provided by the Commission in 2021, in consultation with all relevant authorities48 . Member State authorities should review water abstraction and impoundment permits to implement ecological flows in order to achieve good status or potential of all surface waters and good status of all groundwater by 2027 at the latest, as required by the Water Framework Directive49 . To that effect, the Commission will provide technical support to Member States on their measures by 2023.\n\nOverall, large-scale river and floodplain restoration investments50 can provide a major economic boost for the restoration sector and for local socioeconomic activities such as tourism and recreation. At the same time, these investments can improve water regulation, flood protection, nursery habitats for fish, and the removal of nutrient pollution.\n\n#### *2.2.8. Greening urban and peri-urban areas*\n\n**Green urban spaces**, from parks and gardens to green roofs and urban farms, provide a wide range of benefits for people. They also provide opportunities for businesses and a refuge for nature. They reduce air, water and noise pollution, provide protection from flooding, droughts and heat waves, and maintain a connection between humans and nature51 .\n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the **value of green urban spaces for our physical and mental wellbeing**. While protection of some urban\n\n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water Treatment Directive (SWD(2019) 700).\n\n47 The target of 25,000 km is based on the Commission's assessment of what is achievable in the EU by 2030.\n\n48 The guidelines will take a wide range of issues into account, including hydropower generation, flood management, water supply, agriculture and navigability.\n\n49 These measures should be planned in the 3rd River Basin Management Plans to be adopted by Member States in 2021, under the Water Framework Directive.\n\n50 Fitness Check of the EU Water Legislation (SWD(2019) 439).\n\n51 EnRoute project.", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "**21.**—(1) Workers engaged in essential or emergency works—\n\n- (a) related to water supplies and sewerage services; and\n- (b) carried out by, for, or on behalf of a water undertaker, sewerage undertaker, water supply licensee, sewerage licensee or local authority,\n\nwhere they have travelled to the United Kingdom in the course of their work.\n\n(2) For the purposes of sub-paragraph (1)—\n\n- (a) \"essential or emergency works\" includes—\n\t- (i) inspections, maintenance, repairs, and asset replacement activities,\n\t- (ii) monitoring, sampling and analysis of water supplies under the Private Water Supplies (England) Regulations 2016(**a**), the Water Supply (Water Quality) Regulations 2016(**b**), the Private Water Supplies (Wales) Regulations 2017(**c**), or the Water Supply (Water Quality) Regulations 2018(**d**);\n- (b) \"sewerage licensee\" means the holder of a sewerage licence under section 17BA of the Water Industry Act 1991(**e**);\n- (c) \"sewerage services\" has the meaning given in section 219(1) of the Water Industry Act 1991(**f**);\n- (d) \"water supply licensee\" has the meaning given in sections 17A(7) and 219(1) of the Water Industry Act 1991(**g**).\n\n**22.**—(1) Workers engaged in essential or emergency works relating to flood and coastal erosion risk management on behalf of—\n\n- (a) the Environment Agency; or\n- (b) a lead local flood authority in England.\n- (2) For the purposes of sub-paragraph (1)—\n\t- (a) \"flood\" and \"coastal erosion\" have the meanings given in section 1 of the Flood and Water Management Act 2010(**h**);\n\t- (b) \"lead local flood authority\" has the meaning given in section 6(7) of that Act;\n\t- (c) \"risk management\" has the meaning given in section 3 of that Act(**i**).\n- **23.**—(1) Workers engaged in essential or emergency works—\n\t- (a) related to—\n\t\t- (i) a generating station,\n\t\t- (ii) an electricity interconnector,\n\t\t- (iii) a district heat network as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014(**j**),\n\t\t- (iv) communal heating as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014,\n\t\t- (v) automated ballast cleaning and track re-laying systems on a network, or\n\t\t- (vi) the commissioning, maintenance and repair of industrial machinery for use on a network; or\n\n(<b>a) S.I. 2016/618; relevant amending instruments are S.I. 2017/506, 2018/707 and 2019/558.\n\n(<b>b) S.I. 2016/614; relevant amending instruments are S.I. 2017/506, 2018/706 and 378, 2019/526 and 558.\n\n(<b>c) S.I. 2017/1041 (W. 270), as amended by S.I. 2018/647 (W. 121), S.I. 2019/460 (W. 110) and S.I. 2019/463 (W. 111).\n\n(<b>d) S.I. 2018/647 (W. 121), as amended by S.I. 2019/463 (W. 111).\n\n(<b>e) 1991 c. 56. Section 17BA(6) was inserted by section 4(1) of the Water Act 2014 (c. 21). The reference to \"sewerage licensee\" was inserted in section 219(1) by paragraph 120(2)(f) of Schedule 7 to the Water Act 2014.\n\n(<b>f) The definition of \"sewerage services\" was amended by paragraph 120 of Schedule 7 to the Water Act 2014.\n\n(<b>g) Section 17A was inserted by section 1 of the Water Act 2014.\n\n(<b>h) 2010 c. 29.\n\n(<b>i) And see section 2 of the Flood and Water Management Act 2010 for the meaning of \"risk\".\n\n(<b>j) S.I. 2014/3120. There are no relevant amending instruments.", - "page_start": 39, - "page_end": 39, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- A slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle most of the 60 vessels currently working in the region, a considerable number, but one which will rise over coming years. First class engineering facilities have been planned and highly experienced management recruited. Alternative slipways offering comparable capacity are only to be found in Darwin or Fremantle, a sea journey of approximately 1000 miles from this operational region. Australia has emerged as a centre of excellence with respect to vessel repair work, the Dampier facility will both benefit from and protect that valuable reputation. **•**\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The major oilfield services company Halliburton, have been attracted to the base as a tenant and a $1.1m purpose built building is being constructed for their use. Negotiations are also proceeding with other groups who recognise the unique advantages of operating from this strategically positioned Base. Rental income and associated revenues such as plant and labour hire will contribute significantly to the overall economics of the facility.\n\n- Protected moorings for cyclone shelter will be established inside the breakwater for long term lease to local tug operators. The demand arises from serious vessel and crew safety considerations. The Dampier Port Authority are reluctant to see the continued use of cyclone moorings in the Harbour, not only for safety reasons, but for environmental concerns as well. Oil spills are not acceptable under any circumstances and will be avoided whatever the cost. Tug owners share similar concerns, but in addition they need to remain in a position of readiness for crews and equipment to resume their important functions immediately following a cyclonic event. The number of specific purpose spread moorings, detailed on the adjacent plan will total 10 in the first phase of construction, a limit which will be assisted by an ability to remove vessels up to 100 tonnes from the water by wharf crane for tie down on cradles.\n**•**\n\n**•**\n\nConstruction of the Dampier Base commenced on the 9th October this year, with an expectation that all major elements of the project will be largely completed within 12 months.\n\n*The \"Clough Challenge\" Barge - Shallow Water Construction Support Barge in the East Spar Field*", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "breakwater will be an over capping type, which interrupts the waves progress, but does not totally protect from wave penetration. These events are manageable and estimated as a once in 50 years possibility.\n\nThe breakwater core will be used as a construction causeway allowing land based equipment to perform the work. The greater part of the breakwater work involves winning the material as opposed to actual construction.\n\n#### **E. CYCLONE MOORINGS.**\n\nThe extent of the cyclone problem in Australia's north and north west was emphasised when Cyclone Tracey struck Darwin in 1974. The most powerful cyclone to cross the Australian coast was Cyclone Vance in 1999, which passed near Dampier, destroying large parts of the towns of Onslow and Exmouth further to the south.\n\nThe problem is acute, particularly in the area between Exmouth and Port Hedland, which suffers cyclones of an intensity and frequency as high as anywhere in the world. The Mermaid Base is typically on cyclone alert three times per season. The season is November to April.\n\nTo date there have been three options available to vessel owners when a cyclone approaches:.\n\n- Run to sea\n- Take refuge with crew onboard, on a mooring in the most sheltered location available such as the Dampier Archipelago or the Monte Bello Islands.\n- Construct a cyclone shelter.\n\nThere are serious personal safety and environmental considerations related to Options 1 and 2 and it is obvious that best practice universally adopted by large responsible Companies can be satisfied in this way.\n\nOnly Woodside at Dampier and BHP at Port Hedand have taken the step of building shelters which provides protection to 12 of the region's 60 vessels and this at very considerable cost.\n\nMermaid has undertaken significant engineering work on the placing of vessels on partially sheltered spread moorings, allowing the vessels to be secured near to shore and the crews demobilized to take care of their families and attend to household cyclone preparation.\n\nMermaid is taking a leadership role with a technical solution which will lead to wider adoption as vessel owners and the insurance industry fully value the arrangements. Mermaid will provide 1 2", - "page_start": 15, - "page_end": 15, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "#### **HOW DOES IT WORK?**\n\n**When to put my garbage container outside?** The evening before the waste collection day.\n\n**Who is responsible for the maintenance of the containers?** You will have to keep them in a clean working state (periodical washing).\n\n**Container stolen: What to do?** In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n**Out container = full container** Put your rubbish container out only when full.\n\n**Attention !** Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n### **HOW TO GET A COMPOST KIT?**\n\n**Buy your own compost kit and get tips for good composting practice.** Only during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department). 30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops**. Registration and information with the service.\n\n| Compost kit | Plastic | Wood |\n| --- | --- | --- |\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n* Only payment by cheque made payable to the 'Tresor Public' are accepted\n\n**Specific condition of acquisition apply according to your municipality of residence\n\n| Town | Black container | Yellow container |\n| --- | --- | --- |\n| AGNAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| ALLEMANS-DU-DROPT | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ARMILLAC | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| BOURGOUGNAGUE | WEDNESDAY | FRIDAY |\n| | green weeks | white weeks |\n| CAMBES | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| LACHAPELLE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| LAPERCHE | TUESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| LA-SAUVETAT-DU-DROPT | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| LAUZUN | MONDAY | FRIDAY |\n| | green weeks | white weeks |\n| LAVERGNE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MIRAMONT-DE-GUYENNE | TUESDAY | THURSDAY |\n| | green weeks | white weeks |\n| MONTIGNAC-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| MONTIGNAC-TOUPINERIE | TUESDAY | THURSDAY |\n| | white weeks | green weeks |\n| MOUSTIER | WEDNESDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| PEYRIÈRE | MONDAY | THURSDAY |\n| | green weeks | white weeks |\n| PUYSSERAMPION | MONDAY | WEDNESDAY |\n| | green weeks | white weeks |\n| ROUMAGNE | MONDAY | THURSDAY |\n| | white weeks | green weeks |\n| SAINT-COLOMB-DE-LAUZUN | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n| SAINT-PARDOUX-ISAAC | MONDAY | FRIDAY |\n| | white weeks | green weeks |\n| SEGALAS | WEDNESDAY | WEDNESDAY |\n| | white weeks | green weeks |\n\n#### **MORE QUESTIONS ?**\n\nWebsite: **www.ccpl47.fr** / Section En Pratique > Environnement > Gestion des déchets\n\n**Environnement Service**:\n\n12 rue du Renfort 47410 LAUZUN\n\n**05 53 94 11 23 / secretariat.environnement@ccpl47.fr Composting** : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\n**Recycling centre access, registration or modification** : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## Water\n\nWhile rainfall can occur year round, it is generally concentrated in the annual monsoon. The responsible management of water is therefore of utmost importance to Chatree Mine and to the surrounding area. Chatree operates on a nilrelease basis, and all rain water on the mine lease is harvested with no water leaving the site. This requires continuous management of usage, quality and storage. A total of 32 surface water and 72 groundwater quality sampling sites have been established, all of which are regularly monitored and sampled. To date, no results from any of these sites have caused concern.\n\nTo gauge any potential drawdown impact on local groundwater, the mine regularly monitors 80 water table measuring stations, located on the mine site and in surrounding villages. Water levels rise and fall seasonally but no long term adverse trends have been identified.\n\nA total of 2,454,585 tonnes of water was used to process 5,699,014 tonnes of ore during the financial year. Water usage was reduced onsite via recycling of water from the Tailings Storage Facility via the decant water return system. The excess recycled water is stored in a number of the historic mining pits for re-use in the process plant.\n\n## Environmental Audit\n\nIn December 2012 the eleventh annual Tailings Storage Facility Audit was undertaken. Knight Piésold found that the tailings facility continues to be operated at best practice and that the Processing Department demonstrates a good understanding of the facility. Concern was expressed about the steepness of two access ramps which have since been remediated.\n\nIn February 2013, Environ Australia Pty Ltd undertook the eleventh 'whole of site' environmental audit of the Chatree Mine. The audit is designed to assess compliance with conditions in the Mining Leases, corporate commitments made in the current Environmental Impact Assessment, adherence to board environmental policy, observance of the Australian Minerals Industry *Code for Environmental Management and Enduring Value* and our environmental performance overall. The audit concluded that, the operations of the Chatree Gold Project comply with applicable statutory requirements as well as voluntary environmental commitments made by Akara Mining Limited. The audit also indicates that the project operations are being carried out in accordance with the requirements of the Australian Minerals Industry Code for Environmental Management, and that the responsibilities of Kingsgate, as a Code signatory, are being addressed.\n\n## Rehabilitation\n\nNo contaminated land issues arose during the period. The rehabilitation program is ongoing with areas contoured and planted as soon as is practicable. Trials of various species are undertaken to ensure the optimal results for each location. Many species of trees and grass have been sown successfully across the site. Some 26.2 hectares were rehabilitated last year and 14.2 hectares of rehabilitation is planned for the present year.\n\n## Cyanide Management\n\nChatree continues to meet all requirements of the International Cyanide *Code for Gold Mining Operations*. The Code mandates strict protocols for the manufacture, transport, storage and use of cyanide. As part of the plant expansion, the operation will move to the use of solid cyanide delivered and dispensed from sealed containers (ISOtainers). This system improves the safety of transportation and usage. The cyanide code audit will be done in late 2013 to certify the new processing plant and re-certify the old processing plant.\n\nReadings of discharge to the tailings storage facility are taken every 60 minutes. Of the 8,760 readings taken during the year, a total of 99% showed the discharge of cyanide did not exceed the 20 mg/L CNTOT standard. The highest monthly reading obtained was 12.0 mg/L CNTOT with an annual average of 8.4 mg/L CNTOT.\n\nBirds continue to nest and breed near the tailings storage facility, confirming that our cyanide discharge presents no environmental hazard. Ongoing cyanide destruction is also assisted by numerous introduced micro-organisms which are able to degrade free cyanide to carbon dioxide and ammonia.\n\n## Dust Management\n\nChatree's aim is to produce minimal dust and noise and thereby reduce neighbouring concerns by maintaining all mine roadways in good order through regular gravel sheeting and watering. Effective noise bunds have been developed around operations. In some circumstances, operations have been restricted to daylight hours. Dust monitoring stations have been established in nine surrounding villages. All results from the regular monitoring and sampling program have been within required quality standards.\n\n## Incident Reporting\n\nThere were 66 environmental events during the year. All were minor and there were no reportable incidents.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\n**Special thanks:** the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n- \n# **original artwork provided by:**\n\n## Tips to Remember:\n\n- *• Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.*\n- *• When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.*\n- *• Ask your compost supplier which compost product is best for your intended use.*\n- *• Use compost at the recommended application rate.*\n- *• To maintain healthy soil, reapply compost or mulch every 1-2 years.*\n- *• Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.*\n- *• Compost can also reduce your lawn and garden's summer irrigation needs.*\n- *• Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.*", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "SAN165 WWW Cover 30/3/05 12:21 PM Page 2\n\n#### **Cover photograph:**\n\nClose-up of spinning Kelly Bushing (KB) on the drill floor of an exploration rig.\n\n#### **Page 1 photographs (top to bottom):**\n\nInspection of coiled tubing drilling activities, Cooper Basin, central Australia; installation of mid water arches, Mutineer-Exeter oil fields, Carnarvon Basin, offshore Western Australia; site inspection and liaison with contractors, offshore Western Australia; inspection of MODEC Venture 11 Floating Production Storage and Offloading facility, Jurong Shipyard, Singapore.\n\n#### INSIDE\n\n#### CHAIRMAN'S REVIEW\n\n- **2** Stephen Gerlach comments on Santos' performance in 2004.\n#### 2004 ACHIEVEMENTS 2005 AND BEYOND\n\n- **3** Key achievements in 2004 and three-year performance, plus what to look for in the near-term future.\n#### MANAGING DIRECTOR'S REVIEW\n\n- **4** John Ellice-Flint reviews Santos' 50th year, where the values embodied in the great explorers of yesteryear are shaping Santos today.\n#### THE WORLD OF SANTOS\n\n- **8** Locations of Santos' global exploration, development and production activities.\n#### ANALYSING FINANCIAL PERFORMANCE\n\n- **10** Putting the numbers in perspective and explaining the 2004 financial results.\n#### LEVERAGING BASE BUSINESS\n\n- **12** Production results for 2004 plus a review of activities that are creating value in Santos' base business.\n#### CREATING OPPORTUNITIES\n\n- **15** Exploration strategy, results and acreage acquisitions, 2005 program and new venture opportunities.\n#### CAPTURING AND DELIVERING GROWTH\n\n- **18** Progress on Santos' development projects and gas commercialisation highlights.\n#### MANAGING OPTIONS\n\n- **22** Strategic projects, portfolio management activities and reserves movements in 2004.\n## SUSTAINABILITY\n\n- **26** Sustainability activities undertaken in 2004, including safety and environmental performance, employees and communities.\n#### CORPORATE GOVERNANCE\n\n- **29** Details of the main corporate governance practices Santos has in place.\n#### DIRECTORS' AND SENIOR EXECUTIVES' REMUNERATION\n\n- **37** Remuneration details for Directors and key executives.\n#### BOARD OF DIRECTORS\n\n- **41** Directors' biographical details.\n#### GROUP INTERESTS\n\n- **42** Santos licence areas and percentage interests.\n#### 10 YEAR SUMMARY\n\n- **44** Statistical summary of financial performance.\n#### DIRECTORS' STATUTORY REPORT\n\nGLOSSARY\n\nThe standard unit of measurement for all\n\nproduction and sales. One barrel = 159 litres\n\n**hydrocarbons**\n\n**LNG**\n\n**LPG**\n\n**mbbls**\n\nresources.\n\n**mmbbls**\n\n**mmboe**\n\n**mmscf/d**\n\n**PJ**\n\nMillion barrels.\n\n**petroleum liquids**\n\npropane and butane.\n\nkilojoule = 0.9478 BTU.\n\n**Proven reserves (1P)**\n\nhydrogen and carbon.\n\nLiquefied natural gas.\n\nThousand barrels.\n\n**mean resource potential**\n\nSolid, liquid or gas compounds of the elements\n\nadditions net of acquisitions and divestments.\n\nfixed asset expenditure net of stay-in-business\n\nReserves added during the reporting period\n\nResource potential refers to those quantities\n\nof petroleum yet to be discovered. It may\n\nrefer to single opportunities or a group\n\nReturn on average capital employed.\n\nData used to gain an understanding of rock\n\nformations beneath the earth's surface using\n\nTerajoules. Joules are the metric measurement\n\nunit for energy. A terajoule is equal to 1 joule\n\n**total recordable case frequency rate (TRCFR)**\n\nA statistical measure of safety performance.\n\ncalculated as the total number of recordable\n\ncases (medical treatment injuries and lost time\n\ninjuries) per million hours worked. A lost time\n\ninjury is a work-related injury or illness that\n\ndisability or time lost of one complete shift\n\nillness. A medical treatment injury is a workrelated injury or illness, other than a lost time\n\ninjury, where the injury is serious enough to\n\nrequire more than minor first aid treatment.\n\nmodified duties as medical treatment injuries.\n\nExploration wells testing new play concepts or\n\nsales gas 1 petajoule = 171.937 boe x 103\n\ncondensate/naphtha 1 barrel = 0.935 boe\n\nFor a comprehensive online conversion\n\ncalculator tool, visit the Santos website,\n\nstructures distanced from current fields.\n\ncrude oil 1 barrel = 1 boe\n\nLPG 1 tonne = 8.458 boe\n\nwww.santos.com.\n\nSantos classifies injuries that result in\n\n**wildcat exploration**\n\n**Conversion**\n\nor day or more any time after the injury or\n\nresults, or would result, in a permanent\n\nTotal recordable case frequency rate is\n\ndivided by the production over the same\n\nDevelopment includes all development and\n\nand corporate capital expenditure.\n\nperiod, reported as a percentage.\n\n**reserve replacement ratio**\n\n**resource potential**\n\nof opportunities.\n\nReturn on average equity.\n\nreflected sound waves.\n\nTrillion cubic feet.\n\n**ROAE**\n\n**ROACE**\n\n**seismic**\n\n**tcf**\n\n**TJ**\n\nx 1012.\n\nLiquefied petroleum gas, the name given to\n\npropane and butane in their liquid state.\n\nThe average of the range of recoverable\n\nMillion barrels of oil equivalent.\n\nMillion standard cubic feet per day.\n\nCrude oil, condensate, or its derivative\n\nnaphtha, and the liquefied petroleum gases\n\nPetajoules. Joules are the metric measurement\n\nunit for energy. A petajoule is equal to 1 joule\n\nProven reserves (1P) are those reserves that, to\n\na high degree of certainty (90% confidence),\n\nare recoverable. There is relatively little risk\n\ndeveloped reserves are reserves that can be\n\nrecovered from existing wells with existing\n\ninfrastructure and operating methods. Proven\n\nProven plus Probable reserves (2P) are those\n\nengineering data suggests are more likely than\n\nnot to be recoverable. There is at least a 50%\n\nprobability that reserves recovered will exceed\n\n**Proven, Probable plus Possible reserves (3P)** \n\nProven, Probable plus Possible reserves (3P)\n\ncertainty (10% confidence), are recoverable.\n\nThere is relatively high risk associated with\n\n**reserve replacement cost per barrel of** \n\nExploration, delineation and development\n\nexpenditure per annum divided by reserve\n\nare those reserves that, to a low degree of\n\nundeveloped reserves require development.\n\nassociated with these reserves. Proven\n\n**Proven plus Probable reserves (2P)**\n\nProven plus Probable reserves.\n\nProduction sharing contract.\n\nthese reserves.\n\n**oil equivalent**\n\n**PSC**\n\nreserves that analysis of geological and\n\nx 1015. The equivalent imperial measure to\n\njoules is British Thermal Units (BTU). One\n\nBillion cubic feet, a billion defined as 109, on\n\naverage 1 bcf of sales gas = 1.055 petajoules.\n\nBarrels of oil equivalent. The factor used\n\nby Santos to convert volumes of different\n\nThose quantities of hydrocarbons which are\n\nrecoverable from known accumulations, but\n\nwhich are not currently considered to be\n\nmay be of a significant size, but still have\n\nestimated, on a given date, to be potentially\n\ncommercially recoverable. Contingent resources\n\nconstraints to development. These constraints,\n\npreventing the booking of reserves, may relate\n\nto lack of gas marketing arrangements or to\n\ntechnical, environmental or political barriers.\n\nDepreciation, depletion and amortisation of\n\nbuilding, plant and equipment, exploration\n\nexploration wells and appraisal wells. Nearfield exploration wells are wells located near\n\nexisting fields/discoveries and have a higher\n\nexpectation of success than wildcat exploration\n\nwells. These wells test independent structures\n\nor traps and have a higher risk of failure than\n\nWells designed to produce hydrocarbons from\n\na gas or oil field within a proven productive\n\nreservoir defined by exploration or appraisal\n\nEarnings before interest and tax, depreciation,\n\ndepletion and amortisation of building, plant\n\nand equipment, exploration and development\n\nexpenditure and amortisation of goodwill.\n\n**finding cost per barrel of oil equivalent**\n\nannum divided by reserve additions net of\n\nacquisitions and divestments.\n\nExploration and delineation expenditure per\n\nEarnings before interest and tax.\n\nappraisal or development wells. An appraisal\n\nwell is a well drilled for the purpose of\n\nidentifying extensions to known fields or\n\nhydrocarbon production to barrels of oil\n\n**barrel/bbl**\n\n**bcf**\n\n**boe**\n\nequivalent.\n\nBarrels of oil per day.\n\n**contingent resources**\n\n**the Company** or **Santos**\n\n**DD&A**\n\nSantos Ltd and its subsidiaries.\n\nand development expenditure.\n\nComprises two categories: near-field\n\n**delineation well**\n\ndiscoveries.\n\ndrilling.\n\n**EBITDA**\n\n**EBIT**\n\n**development well**\n\n**bopd**\n\nor 35 imperial gallons.\n\n- **47** Directors' shareholdings, meetings, activities and emoluments.\n#### FINANCIAL REPORT\n\n- **50** Statements of financial performance, financial position and cash flows and notes to the financial statements.\n#### STOCK EXCHANGE AND SHAREHOLDER INFORMATION\n\n- **90** Listing of top 20 shareholders, analysis of shares and voting rights.\n#### INFORMATION FOR SHAREHOLDERS\n\n- **92** Annual General Meeting, final dividend, shareholder enquiries and information resources for shareholders.\n#### GLOSSARY\n\n- **93** Most frequently used terms explained.\nAnnual Report 2004\n\n93\n\n#### BACK COVER\n\nCorporate directory", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Work on Dampier Base expansion commenced on 9 October and will be largely complete by June 2001, involving a capital budget of $13m. B ASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT\n\nThe principle activities and facility developments involved in the expansion are:\n\n#### **A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance channel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of dredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) and a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management requirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial dredging tool using the experience gained from the earlier Woodside project. The layout of the Base has been very much driven by the desire to avoid or minimize blasting while fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart datum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n#### **B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main berth to accommodate a wider range of vessels than originally contemplated. The berth is now located in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are now four vessels operating in the region with 12,000 to 18,000 hp. When design commenced there were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide (MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How can citizens in Fredericton easily access flood risk data?", - "target_page": 1, - "target_passage": "New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n# **Three ways Canadian communities are reducing flood risks**\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com Word Count: 281\n\n#### M e d i a Att a c h m e n ts −\n\nHave your say! Complete our 2025 Media Survey\n\nRetrain your way to a new job\n\nThe top AI-powered tech trends in 2025", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "#### **3.2.5 How to download dataset distributions**\n\nBesides special formats (see chapters 3.3 and 3.4) distributions are not displayed within the platform but only linked. When the user enters the detailed view of a dataset by selecting it in the search result, all available distributions are listed. For downloading a distribution, the user clicks on the \"Download\" button and then on the \"Go to resource\" icon.\n\n| 1 | What we do ▼ Data ▼ Providing Data ▼ Using Data ▼ | | Resources T | |\n| --- | --- | --- | --- | --- |\n| | Dataset Categories Similar Datasets | | Feedback | |\n| | Average temperature and total rainfall in England and Wales | | | |\n| | data.gov.uk | | Updated: - | |\n| | Average temperature and total rainfall in England and Wales : 1845 to 2012. Annual and seasonal outflow and | | | |\n| | rainfall estimates for the United Kingdom and its component countries since 1961. Rainfall figures are available | | | |\n| | from the National River Flow Archive - monthly hydrological updates. The Environment Agency also publish | | | |\n| | monthly water situation reports for England. Discontinued - superceded by http://www.ceh.ac.uk/data/ nrfa/ & | | | |\n| | https://www.gov.uk/government/collections/water-situation-reports-for-england | | | |\n| | An updated translation of this dataset is in progress. | | | × |\n| | Distributions (9) | | | |\n| CSV | Average temp and rainfall England and Wales 1845 to 2012 | Options ~ | Download | |\n| | Licence: open-government-licence | | | |\n| CZV | Outfall and rainfall Northern Ireland 1961 to 2013 | Options v | Download v | |\n| | Licence: open-government-licence | | | |\n| C2/ | Outfall and rainfall Scotland 1961 to 2013 | Options v | Download v | |\n| | Licence: open-government-licence | | | |\n| CZV | Outfall and rainfall for UK 1980 to 2013 | Options v | Download v | |\n| | Licence: open-government-licence | | | |", - "page_start": 32, - "page_end": 32, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for the world) at the bus stops. Scanning the QR code now allows people to see not just the bus timetable, but also the notes other travelers have left on that stop, including *\"what's nearby, who's waiting for whom, what number can you call for a good time. It's a cross between bus stop Facebook and digital graffiti\"*, that happened thanks to the openness of the original bus stop data.\n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used them, how those people are connected and what conversations happen around Open Data.\n\n### **3.3. Legal issues remain crucial**\n\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this rule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing Eaves, until a government get the licensing issue right, Open Data cannot bring all the possible benefits in that country. If there are no guarantees that public data can be used without restriction, very little happens in practice, and when it happens it may be something against the public interest.\n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process and analyze official crime data, also publishes online, with a proprietary license, anonymized summaries of those data. When in 2010 another company, Report See Inc, scraped those data from their website to reuse them, Public Engines sued.\n\nReporting this, D. Eaves rightly points out that *both* companies are right: one is trying to protect its investment, the other is simply trying to reuse what IS public data, by getting it from the ONLY place where it's available. This is what happens when public officials leave the ownership of *public* data to the third parties hired to collect them. Please note that, in practice, it makes very little difference whether those third parties are private, for-profit corporations or even other Public Administrations. Unless, of course, there are national laws already in place that define in advance what is the license of all present and future Public Data, *no matter how they were generated and by whom*, those data can be lost in any moment for society. In all other cases, the legal status of data will be either officially closed and locked, or uncertain enough to prevent most or all reuses. In February 2011, the news came that, even if they weren't the original copyright holders, Public Engines had been able to put together enough legal claims to convince Report See to give up.\n\nDisputes like this should not happen and would not happen if all contracts regarding collection and management of PSI clearly specified that all the resulting data either go directly into the public domain (after being anonymized if necessary, of course) or remain exclusive property of the", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "website that tracks which councils have published public toilet open data, and which have not. A map like this solves one specific, concrete problem in the ordinary, daily life of many people: *\"Many older people have continence concerns and only go to places where they know there is a toilet. \"*\n\nIt is also possible and useful to pass the message that, when it comes to participation, activism and transparency in politics, Open Data are a concrete and pacific weapon that is both very effective and very easy to use for everybody. Dino Amenduni explained the first point well at the end of 2010 with words and arguments that, while tightly bound to the current situation in Italy, apply, in spirit, also to other countries:\n\n> *in order to have your voice heard, it is necessary to threaten the private interests of politicians. The ways to achieve this goal are, in my opinion... Communication guerrilla: physical violence doesn't generate change anymore. Power is in the hands of those who have data. But those data must be communicated, made usable, fun to use, shareable, in order to give the feeling that knowledge brings a concrete (economic or intangible) personal advantage*\n\nProofs that participation to generation and usage of Open Data is easy would include, instead, examples like electionleaflets. All citizens who can use a computer scanner and have Internet access can upload on that website the leaflets distributed by the candidates during a campaign, making much easier (after other, more skilled volunteers have inserted the content of the leaflets in searchable databases) comparisons between the candidates positions or making public some disrespectful material (racist, insulting…).\n\n### **4.7. Involve NGOs, charities and business associations**\n\nAs a final note and recommendation of this report, we'll note that, in comparison with hackers and public officers, there are other parties that could and should play a role in Open Data adoption much bigger than what they have had so far.\n\nNGOs and charities, as well as professionals or business associations, all have lots to gain from Open Data but don't seem, in many cases, to have realized this yet. Members of the first category should routinely ask for support directly to Open Data civic hackers to gather (either from government or citizens) more up to date information that is specifically relevant for their campaigns.\n\nThe other associations, instead, should be much more active both in publishing Open Data about their activities, to gain better access to customers and guarantee fair market competition, and in", - "page_start": 31, - "page_end": 31, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that makes it possible to use it on local issues, for the reasons and in the ways discussed in the next paragraph. For example, visualization techniques like those used by ABC News to show the effects of the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before and after the earthquake is to move a slider, should be routinely used to explain proposals about urban planning, zoning and related topics.\n\n### **4.6. Focus on local, specific issues to raise interest for Open Data**\n\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens to use Open Data in their political, economic and professional decisions, one of the final recommendations of the Open Data, Open Society report confirms its importance and needs to be repeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of citizens that demand and use Open Data in the shortest possible time, to practice all the recommendations of this report *at the local level*,\n\nMost people encounter their local governments much more often then their national ones. When working within a single city or region it is much easier to inform citizens, raise their interest and involve them, because they would be searching *local* solutions to improve *local* services and/or save *local* money. There may also be much more opportunities to do so, especially in this period of financial crisis that will see substantial decreases both in credit by financial institutions and in subsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" must be the keys for local activists and public employees working on local Open Data:\n\n- work on specific issues and with precise objectives\n- focus on immediate usefulness\n- work on demand, on the *services* that people want. Required services define what data must be open, not the contrary\n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: *\"how do we get people to use the data that we publish?\"*. The right question, instead, is \"what data do people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, or that what they need can be done more quickly and cheaply by releasing some information in that way.\n\nA great example of what all this means is the Great British Public Toilet Map: a public participation", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As other suggestions made here, these are activities that should start at the city and regional level, first with custom-made education initiatives, then with specific data-based services. Engaging all these actors in the adoption of (local) Open Data will be one of the big challenges of the next years.\n\n# **5. Bibliography**\n\nBesides those explicitly linked from the text, this report has drawn inspiration by many other resources. The most important ones are listed here, but the complete list should be much longer. We wish to thank first the authors of the works listed below and, immediately after, to all the activists, inside and outside governments worldwide, who are working on this topic.\n\n- 1. Are you prepared for the pitfalls of Gov 2.0?\n- 2. Can we use Mobile Tribes to pay for the costs of Open Data?\n- 3. Canada launches data.gc.ca what works and what is broken\n- 4. Creative Commons and data bases: huge in 2011, what you can do\n- 5. Defining Gov 2.0 and Open Government\n- 6. How Government Data Can Improve Lives\n- 7. If you like solar, tell your utility to publish this map\n- 8. Indian corruption backlash builds after \"year of the treasure hunters\"\n- 9. Información Cívica / Just What is Civic Information?\n- 10. Is open government just about information?\n- 11.LSDI : In un click la mappa del crimine\n- 12. La casta è online: dategli la caccia!\n- 13. Linee guida UK sull'opendata\n- 14.MSc dissertation on Open Government Data in the UK\n- 15. Open Data (2): Effective Data Use.\n- 16.Open Data: quali prospettive per la pianificazione?\n- 17.Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data Open?\n- 18. Open data, democracy and public sector reform\n- 19.Pubblicato Camere Aperte 2011 blog OpenParlamento\n- 20.Reasons for not releasing data in government\n- 21.The impact of open data: first evidence", - "page_start": 32, - "page_end": 32, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "elections\n\n- Open Congress: a tool for political scientists to track the work and effectiveness of the Brazilian congress\n- Paraguay: Who Do We Choose?: lists profiles of all candidates for many public posts.\n\nIn Brazil, the principle that *\"what is not confidential should be available on the Internet in the open data format\"* is already discussed and, in principle, accepted, by some departments of the Brazilian federal government. However, the preferred practice for now is (if there are no other obstacles) to only publish data that have been explicitly requested by some citizens.\n\nA report presented in May 2011 at the First Global Conference on Transparency Research mentioned a couple of Open Data issues in Latin America that are worth noting, because they're present even in Europe and North America, in spite of the different historical and social background:\n\n- \"Better coordination is needed between right to information campaigners and open data activists.\"\n- \"If activist manage to target particular topics to add \"value\" to the discussion, demand for open data could eventually increase in the region.\"\n\nIn Africa, mobile phones are much more available, and more essential than computer with Internet access, often bypassing the need for real desktop PCs with many applications. Therefore, from a purely technical point of view, transparency, accountability and efficiency in government are quickly becoming accessible to most African citizens through mobile networks rather than through the \"traditional\" Internet. However, there are still too few public departments and procedures that use digital documents and procedures on a scale large enough to generate meaningful volumes of digital data that could be then published online.\n\nWhile we write, Kenya is laying the legal groundwork to support Open Data. Permanent Secretary for Information and Communications, Dr. Bitange Ndemo is reported as having been championing for quite some time. In practice, big challenges remain for Open Data usage in Kenya. The easiest one to solve is to technical, that is find skilled people that can package the data in ways that the public can consume (even on mobile phones...). The real problem, however, is the fact that (summarizing from Thinking About Africa's Open Data):\n\n> There is a lot of Kenya data but it isn't accessible. The entities that hold the most public and infrastructure data are always government institutions. Getting information from them can be very hard indeed. We don't know who to go to to get the data we need, and", - "page_start": 9, - "page_end": 9, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "# **Portal Version 4.3 – User Manual**\n\n*V1.0*\n\n*October 2019*\n\n# **Table of Contents**\n\n| 1 | Introduction 4 |\n| --- | --- |\n| 1.1 | Purpose of the Document 4 |\n| 1.2 | Reference Documents 4 |\n| 1.3 | Terminology 4 |\n| 2 | Approach 6 |\n| 3 | Main User Functions of the Portal 6 |\n| 3.1 | Portal Home Page 8 |\n| 3.1.1 | How to browse through the Editorial Content of the Portal 10 |\n| 3.1.2 | How to view / search for \"Latest News\" 17 |\n| 3.1.3 | How to view / search for \"Open Data Events\" 18 |\n| 3.1.4 | How to subscribe to the EDP Newsletter 19 |\n| 3.1.5 | How to view \"Tweets\" on the EDP 20 |\n| 3.1.6 | How to switch to another User Language 21 |\n| 3.1.7 | How to search for EDP Site Content 22 |\n| 3.1.8 | How to Search for Datasets by Data Category 23 |\n| 3.1.9 | How to Search for Datasets by Keyword 25 |\n| 3.2 | Datasets (Data Platform) 26 |\n| 3.2.1 | Entering the Datasets-View 27 |\n| 3.2.2 | How to filter datasets by using \"Faceted Search\" 27 |\n| 3.2.3 | How to store personal queries 29 |\n| 3.2.4 | How to filter datasets by geographical area 31 |\n| 3.2.5 | How to download dataset distributions 33 |\n| 3.2.6 | How to view licensing information 34 |\n| 3.2.7 | How to switch to another user language 36 |\n| 3.2.8 | How to browse by data catalogues 37 |\n| 3.3 | Visualization of Geo-Spatial Data (map.apps) 38 |\n| 3.3.1 | How to visualize geo-spatial data from a dataset resource 38 |\n| 3.4 | Graphical Data Visualisation Tool 43 |\n| 3.4.1 | How to visualize graphical data from a dataset resource 43 |", - "page_start": 1, - "page_end": 1, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "**Figure 1.** Hunger and Climate Vulnerability Index for 1981–2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n**Table 2.** Proxies for flood and drought events used in the HCVI.\n\n| extreme weather event description of proxy |\n| --- |\n| average length of flood events number of days in which the cumulative daily rainfall excess is positive, |\n| compared with the 95th percentile in the 1981–2010 average |\n| |\n| average length of drought events number of days in which the cumulative daily rainfall deficit is positive, |\n| compared with the 20th percentile in the 1981–2010 average |\n| |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n> \"*on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?*\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n### **2.1. Wikileaks and the Open Data movement**\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is *actually* doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "In these mice, which lumbar levels were the dorsal root ganglion removed from?", - "target_page": 3, - "target_passage": "L3 to L5 DRGs were removed and postfixed for another 2 hours", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "# Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Coopera , Allison M. Barryb , Paschalina Chrysostomidoua , Romane Loligniera , Jinyi Wanga , Magdalena Redondo Canalesa , Heather F. Tittertona , David L. Bennettb , Greg A. Weira,*\n\n# Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n# 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability,57 which is a key pathological driver of neuropathic pain.20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell37,44 and subpopulation-specific sequencing studies.3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury.3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSponsorships or competing interests that may be relevant to content are disclosed at the end of this article.\n\n*Corresponding author. Address: School of Psychology and Neuroscience, University of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 144 (0) 141 330 7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321\n\nnerve injury in experimental rodent models.24,50,53,56 Some studies have suggested that neuron loss occurs in certain patient cohorts,48,66 but this is yet to be definitively demonstrated in humans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers53 but some contrasting studies describe the preferential loss of large cells6 or loss of cells of all sizes.46 Variation is evident across studies in terms of experimental species, age, type of injury, and quantification methods.56 Shi et al.50 used stereological counting methods to identify a 54% loss of DRG neuron number 4 weeks after \"mid-thigh\" sciatic nerve transection in C57BL/6 mice. Estimates for the degree of loss following commonly used nerve injury paradigms (eg, spared nerve injury [SNI] and sciatic nerve crush) are not available and because of the neurochemical changes following injury and the loss of subpopulation marker gene expression,5,44,50 the vulnerability of molecularly defined subpopulations has not been characterized. Moreover, more recent studies have cast doubt on the extent or even presence of DRG neuron death following nerve injury. One study which developed a deep learning approach to assess rat DRG cellular plasticity found no loss of neurons up to 2 weeks post-SNI,49 while another observed no loss of genetically labelled damaged DRG neurons 2 months after sciatic nerve crush.44\n\nThe issue of whether neuron loss occurs, and if so, in what subpopulations, is important. It will likely have implications for our understanding of reinnervation and functional recovery in patients. Furthermore, better insight will provide critical context for those investigating the plasticity that occurs following nerve injury and may inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines now makes it possible to permanently label DRG neuron subpopulations and study their fate in rodent nerve injury paradigms. The aim of this study was to use this technology to characterize\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, b Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 4. Spared nerve injury induces a loss of Trpm81 and CGRP1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B–D) FastBlue labelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNItrans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (E–G) Quantification of the proportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNItrans. Paired t tests; Trpm8-tdTom: t2 5 5.31, P 5 0.034, n 5 3 mice; Calca-YFP: t3 5 4.12, P 5 0.026, n 5 4 mice; Thy1-CFP: t3 5 4.42, P 5 0.022, n 5 4 mice. *P , 0.05. CFP, cyan fluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue.\n\nby a population of small-diameter, putative cold-sensitive neurons (Fig. 4B), accounting for 8.3 6 0.27% of FB-labelled neurons in contralateral DRG. This decreased to 4.2 6 0.96% ipsilateral to SNItrans injury (Fig. 4E), indicating a partial loss of Trpm81 afferents. When examining peptidergic afferents, we found that 48.1 6 2.42% of FB-labelled neurons in contralateral DRG were Calca-YFP1, compared with 34.3 6 2.54% 4 weeks after SNItrans injury (Figs. 4C and F), consistent with a partial loss of CGRP1 afferents. We used a Thy1-CFP line that demonstrates consistent expression postinjury61 and labels a sample of medium/large diameter myelinated afferents. CFP was largely restricted to NF2001 neurons, labelling 56% of this population. Expression was present in a heterogenous population of nociceptive (TrkA1) and nonnociceptive (TrkA-) myelinated neurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral to injury, 15.6 6 1.8% of FB-labelled neurons expressed Thy1- CFP (Figs. 4D and G). In contrast to unmyelinated subpopulations, this proportion was higher in ipsilateral DRG following SNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of Thy1-CFP-expressing afferents, accompanied by a loss of Thy1- CFP-negative neurons. We did not observe significant alterations in the population distributions of the cross-sectional area of surviving, damaged Trpm8-tdTom1, Calca-YFP1, or Thy1- CFP1 DRG neurons when compared with DRG contralateral to", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations was not biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm81 and CGRP1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84).3 We found that early after injury (3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- CreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and Ad-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n# 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection.5 We sought to use the DRG neurons from MrgDCreERT2;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury (Figs. 5A–E). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF (Fig. 5F). However, in the absence of GFs, YFP1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density (Figs. 5C and F). YFP1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media (Figs. 5D–F). These results contrasted with experiments using neurons derived from CalcaCreERT2;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP1 after 28 days in culture, regardless of exogenous GF addition (Figs. 5G–L). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n# 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly developed transgenic recombinase driver lines, we have shown that loss is biased across molecularly defined subpopulations. Nonpeptidergic nociceptive neurons are particularly susceptible to loss, with almost all Mrgprd1 axotomized afferents lost following an unrepaired transection injury (SNItrans) and roughly half lost following a model which contrastingly allows for nerve regenerations (SNIcrush). Finally, we have observed that the vulnerability of Mrgprd1 neurons extends to the in vitro setting and provide data to support the hypothesis that loss is driven by a lack of neurotrophic support following injury.\n\n# 4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic injury has been addressed by several groups over the last few decades. Despite contrasting findings on the extent, timing, and form that loss takes, most studies have observed frank loss of DRG neurons.6,38,46,53 However, more recent studies using recombinase driver lines and novel machine-learning approaches have cast doubt on this consensus.44,49 Our data strongly support the loss hypothesis and suggest that approximately 60% of axotomized afferents die within 2 weeks of SNI. The discrepancy between our findings and other recent studies may be partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al.49 developed a novel machine-learning approach and found no reduction in neuron density across serial sections of rat DRG following SNI, and they inferred from this that frank loss did not occur. Our results are congruous, in that we also observed no reduction in neuron density. However, we found a substantial loss in the total neuron-containing volume of injured DRG, which underlies our contrasting conclusion of frank loss. Of note, morphological volumetric analysis and MRI have also previously demonstrated volume loss in both rodent and human DRG following nerve injury.35,65,66 These findings occur despite a major increase of nonneuronal cells in the injured DRG30 and support the notion that the total DRG neuron number is decreased.\n\n#### 4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined subpopulations was challenging before the advent of recombinase driver lines, a consensus emerged that small-diameter neurons are more vulnerable to nerve injury–induced loss.50,53 Our data support this consensus and extend it to reveal that while there is a generalized partial loss of C-fiber populations including CGRP- and Trpm8-expressing neurons, Mrgprd-expressing neurons are particularly sensitive to loss. This selective vulnerability has been hinted at previously by the stark reduction in the number of DRG neurons and their central terminals that bind IB4 and express canonical markers such as the P2X3 receptor following nerve injury.5,8,29,36 Type 1a glomeruli are also reduced in lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding.2 However, it was not clear whether these data represented phenotypic changes in nonpeptidergic nociceptors or frank loss of neurons. We describe neuron loss that is delayed (occurring .7 days postinjury) with respect to histochemical and structural changes (occurring 1- 5 days postinjury2,29), suggesting that these changes precede and are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous with recent subpopulation bulk RNA-seq data, which found that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is not equally distributed across molecular populations.\n\n# 2. Methods\n\n#### 2.1. Animals\n\nMice were housed in groups in humidity- and temperature-controlled rooms with free access to food and water, on a 12-hour light–dark cycle, and with environmental enrichment. Animal procedures were performed under a UK Home Office Project Licence and in accordance with the UK Home Office (Scientific Procedures) Act (1986). All studies were approved by the Ethical Review Process Applications Panel ofthe University of Glasgow or Oxford and conform to the ARRIVE guidelines. Experiments were performed on adult male and female mice aged 7to 16 weeks atthe start ofthe experiments. All experimental cohorts contained a mix of male and female mice, apart from the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush surgery, which was exclusively female. Details of transgenic lines are provided in Table 1. Tamoxifen was administered by i.p. injection of 20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil (doses described in Table 1). There were 2 instances where animals were excluded from data analysis: One (cyan fluorescent protein) Thy1-CFP died of unknown causes not related to the procedure and before the experimental endpoint, and one MrgDCreERT2;Ai32 exhibited no fluorophore expression and was therefore deemed to have been incorrectly genotyped. Group sizes were based on the extent of neuronal loss 28d following sciatic nerve transection identified by Shi et al.50 Given a 5 0.05, power 5 0.8, and an effect size of 4.81, power analysis projects that a group size of 3 mice would be needed.\n\n#### 2.2. Spared nerve transection and crush surgeries\n\nSpared nerve injury (transection of the common peroneal and tibial branches of the sciatic nerve; SNItrans) and common peroneal and tibial crush injury (SNIcrush), in which nerve axons were severed but the epineurium remained intact, were performed as previously described.12 Anesthesia was induced with 3% to 5% isoflurane and then maintained at 1.5% to 2% as required. Analgesia, consisting of carprofen (10 mg/kg) and buprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg) and local bupivacaine (2 mg/kg) (Oxford) was provided perioperatively. The left hindpaw was secured with tape in hip abduction, and the operative field (lateral surface of the thigh) was shaved. Ophthalmic ointment was applied to the eyes, and the shaved area was swabbed with chlorhexidine solution. A longitudinal incision was made in the skin at the lateral mid-thigh. Using blunt dissection, an opening was made through the biceps femoris, exposing the sciatic nerve and the 3 peripheral branches (sural, tibial, and common peroneal nerves). For SNItrans, the common peroneal and tibial nerves were ligated using a 6-0 Vicryl suture (Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture was removed using spring scissors. For SNIcrush, the exposed tibial and common peroneal nerves were clamped using a pair of fine hemostats (Fine Science Tools, Heidelberg, Germany) closed to their second clip, leaving the nerve branches intact but translucent. The muscle was closed with one 6-0 Vicryl suture (Ethicon), and the skin incision was closed with one 10 mm wound clip (Alzet, Cupertino, CA). Animals were monitored daily for self-mutilation, and no animals required sacrifice due to tissue damage.\n\n#### Table 1\n\n#### Transgenic lines used in the study.\n\n| Used name | Full name | Putative population | Ref | Source | Tamoxifen regime |\n| --- | --- | --- | --- | --- | --- |\n| Atf3CreERT2 | Atf3tm1.1(cre/ERT2)Msra | Axotomised afferents | 13 | Gift: Dr Franziska Denk | 50 mg/kg on days 0, 3, and 7 after surgery |\n| AvilFlpO | Aviltm1(flpo)Ddg | Sensory neurons | 1 | Gift: Prof David Ginty | N.A. |\n| MrgDCreERT2 | Mrgprdtm1.1(cre/ERT2)Wql | Major class of nonpeptidergic | 39 | The Jackson Laboratory (RRID: | General: 1x 50 mg/kg in adulthood, (.1 week |\n| | | neurons | | IMSR_JAX:031286) | before experiment) |\n| | | | | | 3D volumetric analysis: 5x i.p. (0.5 mg/animal/ |\n| | | | | | day), beginning between P10 and P17 |\n| MrgDChR2- | Mrgprdtm4.1(COP4)Mjz | Major class of nonpeptidergic | 59 | Mutant Mouse Resource & Research | N.A. |\n| YFP | | neurons | | Centers (RRID:MMRRC_036112-UNC) | |\n| CalcaCreERT2 | Calcatm1.1(cre/ERT2)Ptch | Peptidergic neurons | 51 | Gift: Prof Pao-Tien Chuang | 1x 75 mg/kg in adulthood (.1 week before |\n| | | | | | experiment) |\n| Trpm8FlpO | | Cold afferents | 4 | Gift: Dr Mark Hoon | N.A. |\n| Thy1-CFP | B6.Cg-Tg(Thy1-CFP) | Sample of myelinated afferents | 16 | The Jackson Laboratory (RRID: | N.A. |\n| | 23Jrs/J | | | IMSR_JAX:003710) | |\n| ThCreERT2 | Thtm1.1(cre/ERT2)Ddg/J | C low threshold | 1 | Gift: Prof David Ginty; The Jackson | 1x 50 mg/kg in adulthood (.2 weeks before |\n| | | mechanoreceptors | | Laboratory (RRID:IMSR_JAX:025614) | experiment) |\n| RC::FLTG | B6.Cg- Gt(ROSA) | Flp-mediated tdTomato; | 40 | The Jackson Laboratory (RRID: | N.A. |\n| | tm1.3(CAG-tdTomato,- 26Sor | Cre1Flp-mediated GFP | | IMSR_JAX:026932) | |\n| | EGFP)Pjen /J | expression | | | |\n| Ai14 | B6.Cg- Gt(ROSA) | Cre-mediated tdTomato | 33 | The Jackson Laboratory (RRID: | N.A. |\n| | tm14(CAG-tdTomato)Hze 26Sor / | expression | | IMSR_JAX:007914) | |\n| J | | | | | |\n| Ai32 | B6.Cg- Gt(ROSA) | Cre-mediated ChR2-eYFP | 32 | The Jackson Laboratory (RRID: | N.A. |\n| | tm32(CAG 26Sor | expression | | IMSR_JAX:024109) | |\n| | COP4*H134R/EYFP)Hze | | | | |\n\nCFP, cyan fluorescent protein; GFP, Green fluorescent protein; YFP, yellow fluorescent protein.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; Sˇ ´ıd ´ak multiple comparisons tests: **P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n# 3.3. Spared nerve injury induces a loss of Trpm81 and calcitonin gene-related peptide1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injuryinduced loss. To investigate potential loss of Trpm81 (coldsensitive), calcitonin gene-related peptide1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8FlpO; RC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: FLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. Scale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG 1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; Timepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) Volume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) Neuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by cross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , 0.001; n 5 310 to 427 neurons from 3 mice. *P , 0.05, **P , 0.01, ***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green fluorescent protein.\n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A and B). SNItrans, but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 DRG (Fig. 3C).\n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is driven by the endogenous Mrgprd promotor, which has been reported to be upregulated or downregulated following axonal damage.44,58 Such changes in promoter activity could affect the proportion of nonpeptidergic nociceptors identified by YFP expression. Therefore, to verify these findings, we used MrgDCreERT2;Ai32 mice and tamoxifen administration before injury, to permanently label Mrgprd-expressing afferents with ChR2-YFP (Figs. 3D–F). We then tested whether the proportion of cutaneous tibial afferents that were YFP1 was altered following nerve injury. Following hindpaw FB injection, ;15% of contralateral, FB-labelled DRG neurons expressed YFP. This was reduced to 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9% 28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 neurons was equivalent 7 and 35 days after FB injection, demonstrating that this reduction was not because 7 days were insufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// links.lww.com/PAIN/C84). No significant difference in the percentage of FB-labelled YFP1 DRG neurons between ipsilateral and contralateral DRG was observed at 7 days following SNItrans (Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrating that loss occurred after this timepoint. Analysis of the crosssectional soma area of FB-labelled, YFP1 neurons in uninjured DRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, http://links.lww.com/PAIN/C84), which is a distribution profile matching those neurons presumed lost. Collectively, these data show that peripheral nerve injury results in a substantial loss of nonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an unrepaired axonal transection) resulting in an almost complete loss of this population.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were examined. Filtered count data of expressed and nondifferentially expressed genes were used as a background.\n\n#### 2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and CalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and enzymatically digested at 37˚˚C for 80 minutes in dispase type II (4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously.63 Mechanically dissociated cells were plated onto laminin/poly-D-lysine (R&D Systems, Minneapolis, MN) treated coverslips in complete Neurobasal Plus medium (Neurobasal Plus media supplemented with 2% (vol/vol) B27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic [ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth factor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, Cranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor (GDNF, PeproTech) were added to the media under some conditions. Cytosine b-D-arabinofuranoside (4 mM) was added to the media for 24 hours the day after plating to reduce the proliferation of nonneuronal cells. Media was refreshed 3 times per week thereafter. Cultures were fixed for 10 minutes at room temperature with 4% paraformaldehyde and subsequently processed by immunocytochemistry (described earlier).\n\n#### 2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified, and P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7.15 A quantitative Venn diagram was created using BioVenn.25 All other statistical analyses were performed in Prism 10 (GraphPad Software, Inc, Boston, MA) or R using paired t tests or 1- or 2-way RM ANOVAs (repeated measures analysis of variance), where appropriate. Normality was assessed by the Shapiro–Wilk test. If the main analysis of variance effect was significant, Sˇ ´ıd ´ak or Tukey multiple comparisons tests were performed. To compare population distributions of soma cross-sectional area or volume, Kolmogorov–Smirnov tests were performed.\n\n#### 3. Results\n\n# 3.1. Peripheral nerve injury induces a loss of small neurons from the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve injury, we generated the AvilFlpO;Atf3CreERT2;RC::FLTG mouse line in which na¨ıve and axotomized sensory neurons were differentially labelled. In this mouse line, all neurons express tdTomato (Flp-dependent) in the na¨ıve state and switch to expressing green fluorescent protein (GFP) upon axonal damage and concurrent tamoxifen treatment (Flp- and Cre-dependent) (Figs. 1A and B). Following pilot experiments to optimize tamoxifen dosing regimen, this approach was both highly efficient and specific (with the caveat that it was necessary to wait for several days after nerve injury for Cre-induced GFP expression): 14 days after SNItrans surgery, GFP was expressed by 99.1 6 0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we observed GFP in only 4.6 6 0.7% of contralateral DRG neurons (Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used a stereological approach to quantify the total number of neurons in L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as well as contralateral to injury. One week after SNItrans, we observed 7809 6 153 neurons per DRG; this was not significantly different to the number of neurons in the contralateral DRG (7917 6 349), whereas cell number approximately halved by 8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). Separating analysis into intact vs axotomized afferents revealed that only axotomized afferents were lost, with no difference observed in numbers of intact afferents (Fig. 1D). Between 1 and 8 weeks after injury, we observed a 61.0 6 7.0% decrease in the number of GFP1 neurons. This loss of injured afferents resulted in a loss of neuron-containing (ie, excluding white matter regions) DRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss predominantly occurred between 1 and 2 weeks postinjury and stabilized after this timepoint. Population distributions of the cross-sectional area of nucleated, tdTomato-expressing cell profiles were not significantly different at 1 vs 8 weeks post-SNItrans, in contrast to GFP-expressing/injured afferents, in which a loss of a population of small afferents at 8 weeks postinjury was observed (Fig. 1G).\n\nSNItrans resulted in a mixed population of axotomized and intact afferents within the L4 DRG. Therefore, we developed an approach to restrict our analysis to axotomized afferents, without relying on transgenic labelling, and used this as a complementary approach to confirm our findings. We injected the neuronal tracer FB into the glabrous, tibial innervation territory of both hindpaws 1 week before common peroneal and tibial transection (SNItrans) or crush (SNIcrush) surgeries (Figs. 2A and B). FastBlue-uptake was complete across neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ C84), so this approach allowed us to profile a sample of the axotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.\n\nAs a third complementary approach, we applied semiautomated volumetric analyses of nuclei size following tissue clearing. In this study, whole DRGs were cleared 4 weeks after SNItrans for nuclei counting in \"complete\" tissue (Figs. 2E–H). Nuclei were labelled by TDP-43, in line with the study by West et al.,67 and were quantified using Imaris software (Fig. 2F, Video 1). We observed a slight but significant rightward shift in nuclear spot volume population distribution 4 weeks after SNItrans (Fig. 2G). In addition, there was a significant reduction in the number of small but not medium or large nuclear spots, in support of a loss of small-diameter neuron populations (Fig. 2H).\n\nTogether, our data derived from several different experimental approaches show that a population of small-diameter afferents are lost following peripheral nerve injury.\n\n# 3.2. Spared nerve crush or transection results in death of Mrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of afferent neurons has proved challenging due to the downregulation of subpopulation-specific marker genes following axonal transection.37,44 To overcome this issue, we took advantage of transgenic strategies to label populations in a manner that persisted after injury. Owing to the bias for the loss of small neurons and the known loss of IB4-binding central terminals postinjury,36 we initially focused on nonpeptidergic nociceptive neurons. We used MrgDChR2-YFP mice to identify neurons belonging to the largest of the 3 classes of nonpeptidergic nociceptors, NP1.55,59 To determine whether these neurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP1 (yellow fluorescent", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.- A.W.—gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n#### Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n#### Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n#### Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n#### Article history:\n\nReceived 14 November 2023 Received in revised form 11 April 2024 Accepted 25 May 2024 Available online 15 August 2024\n\n# References\n\n- [1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman AL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O'Neill TG, Zhuo J, Tsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M, Dymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and synaptic architecture of the mechanosensory dorsal horn. Cell 2017;168: 295–310.e19.\n- [2] Bailey AL, Ribeiro-Da-Silva A. 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Furthermore, 4-mL FastBlue (FB; 2% in sterile phosphate-buffered saline (PBS); CAS# 73819-41-7; Polysciences, Inc, Warrington, PA) per paw was then slowly injected, and the needle was left in place for 10 seconds, before rotating and carefully retracting to avoid backflow of FB along the needle track. This prevented the FB bolus from contacting the sural innervation territory of the lateral hindpaw, restricting it largely to the tibial innervation territory of the glabrous hindpaw skin.\n\n# 2.4. Immunohistochemistry and image acquisition\n\nMice were anesthetized with an overdose of pentobarbital (20 mg) and transcardially perfused with a fixative containing 4% formaldehyde. L3 to L5 DRGs were removed and postfixed for another 2 hours, cryoprotected in 30% sucrose overnight, and then embedded in optimal cutting temperature media (OCT; Tissue Tek, Alphen aan den Rijn, the Netherlands). Dorsal root ganglia were sectioned on a Leica CM1950 cryostat at 30 mm, with every section collected serially on 5 Superfrost Plus slides (VWR, Lutterworth, United Kingdom) and each slide containing 1 in every 5 sections (4-7 sections per slide). One slide per DRG was selected at random and was washed with PBS, before being incubated with appropriate primary antibodies (Table 2) diluted in 5% normal donkey serum and 0.3% Triton X-100 in PBS for 3 days at 4˚C. After PBS washes, slides were incubated with appropriate secondary antibodies (Table 2) in the same PBS/ (normal donkey serum) NDS/Triton-X100 solution as for primaries, overnight at room temperature. Slides were washed and coverslipped with VectaShield Vibrance Hardset mounting media (Vector Labs, Newark, CA), with 4',6-diamidino-2-phenylindole included in mounting media where FB-labelled cells were not being examined. Sections were imaged using a Zeiss LSM900 Airyscan confocal microscope equipped with 405-, 488-, 561-,\n\n| Primary and secondary antibodies used in the study. | | | |\n| --- | --- | --- | --- |\n| Antibody | Source | Identifiers | Working dilution |\n| Anti-GFP (Chicken polyclonal) | Abcam, plc, Cambridge, United Kingdom | Cat#: ab13970 | 1:1000 |\n| | | RRID: AB_300798 | |\n| Anti-NeuN (Guinea pig polyclonal) | Synaptic Systems, G ¨ottingen, Germany | Cat#: 266004 | 1:500 |\n| | | RRID: AB_2619988 | |\n| Anti-mCherry (Rat monoclonal) | Invitrogen, Waltham, MA; Thermo Fisher Scientific, | Cat#: M11217 | 1:500 |\n| United Kingdom | | RRID: AB_2536611 | |\n| Anti-Atf3 (Rabbit polyclonal) | Novus Biologicals, Minneapolis, MN | Cat#: NBP1-85816 | 1:500 |\n| | | RRID: AB_11014863 | |\n| Anti-NF200 (Rabbit polyclonal) | Sigma-Aldrich, Saint Louis, MO | Cat#: N4142 | 1:1000 |\n| | | RRID: AB_477272 | |\n| Anti-TrkA (Goat polyclonal) | R&D Systems, Minneapolis, MN | Cat#: AF1056 | 1:500 |\n| | | RRID: AB_2283049 | |\n| Anti-TDP43 (Rabbit polyclonal) | Abcam, plc, Cambridge, United Kingdom | Cat#: ab133547 | 1:100 |\n| | | RRID: AB_2920621 | |\n| Anti-RFP (Mouse monoclonal) | Thermo Fisher Scientific, United Kingdom | Cat#: MA5-15257 | 1:200 |\n| | | RRID: AB_10999796 | |\n| Anti-RFP (Chicken polyclonal) | Sigma-Aldrich, United Kingdom | Cat#: AB3528 | 1:200 |\n| | | RRID: AB_11212735 | |\n| Alexa Fluor 488 Donkey Anti-Chicken IgY | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 703-545-155 | 1:500 |\n| (Donkey polyclonal) | | RRID: AB_2340375 | |\n| Alexa Fluor 647 Donkey Anti-Guinea pig IgG | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 706-605-148 | 1:250 |\n| (Donkey polyclonal) | | RRID: AB_2340476 | |\n| Rhodamine Red-X Donkey Anti-Rat IgG (Donkey | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 712-295-153 | 1:100 |\n| polyclonal) | | RRID: AB_2340676 | |\n| Alexa Fluor 647 Donkey Anti-Rabbit IgG (Donkey | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 711-605-152 | 1:250 |\n| polyclonal) | | RRID: AB_2492288 | |\n| Rhodamine Red-X Donkey Anti-Rabbit IgG | Jackson ImmunoResearch, Ely, United Kingdom | Cat#: 711-295-152 RRID: AB_2340613 | 1:100 |\n| (Donkey polyclonal) | | | |\n| Alexa Fluor 546 Goat Anti-Chicken IgG (Goat | Thermo Fisher Scientific, United Kingdom | Cat#: A11040 | 1:400 |\n| polyclonal) | | RRID: AB_2534097 | |\n| Alexa Fluor 488 Goat Anti-Rabbit IgG (Goat | Thermo Fisher Scientific, United Kingdom | Cat#: A11008 | 1:400 |\n| polyclonal) | | RRID: AB_143165 | |\n| Alexa Fluor 546 Donkey Anti-Mouse IgG (Donkey | Thermo Fisher Scientific, United Kingdom | Cat#: A10036 | 1:400 |\n| polyclonal) | | RRID: AB_2534012 | |\n\nGFP, green fluorescent protein; RFP, red fluorescent protein", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgDChR2-YFP L4 DRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (C) Quantification of total number of MrgD-YFP1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG. Two-way RM ANOVA with Sˇ ´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach used to generate data presented in (E–G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to injury. White boxes represent regions enlarged in (F). Scale bars 5 100 mm (E) or 20 mm (F). (G) The proportion of FB-labelled DRG neurons decreased after spared nerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with Sˇ ´ıd ´ak multiple comparisons tests; side 3 injury interaction: F1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: *P , 0.05, **P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB, FastBlue; RM, repeated measures.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Did the researcher responsible for quantifying the cells in the dorsal root ganglion know which group each mouse belonged to?", - "target_page": 4, - "target_passage": "During all image quantification, the experimenter was blind to the experimental groups.", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "# Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Coopera , Allison M. Barryb , Paschalina Chrysostomidoua , Romane Loligniera , Jinyi Wanga , Magdalena Redondo Canalesa , Heather F. Tittertona , David L. Bennettb , Greg A. Weira,*\n\n# Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n# 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability,57 which is a key pathological driver of neuropathic pain.20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell37,44 and subpopulation-specific sequencing studies.3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury.3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSponsorships or competing interests that may be relevant to content are disclosed at the end of this article.\n\n*Corresponding author. Address: School of Psychology and Neuroscience, University of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 144 (0) 141 330 7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321\n\nnerve injury in experimental rodent models.24,50,53,56 Some studies have suggested that neuron loss occurs in certain patient cohorts,48,66 but this is yet to be definitively demonstrated in humans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers53 but some contrasting studies describe the preferential loss of large cells6 or loss of cells of all sizes.46 Variation is evident across studies in terms of experimental species, age, type of injury, and quantification methods.56 Shi et al.50 used stereological counting methods to identify a 54% loss of DRG neuron number 4 weeks after \"mid-thigh\" sciatic nerve transection in C57BL/6 mice. Estimates for the degree of loss following commonly used nerve injury paradigms (eg, spared nerve injury [SNI] and sciatic nerve crush) are not available and because of the neurochemical changes following injury and the loss of subpopulation marker gene expression,5,44,50 the vulnerability of molecularly defined subpopulations has not been characterized. Moreover, more recent studies have cast doubt on the extent or even presence of DRG neuron death following nerve injury. One study which developed a deep learning approach to assess rat DRG cellular plasticity found no loss of neurons up to 2 weeks post-SNI,49 while another observed no loss of genetically labelled damaged DRG neurons 2 months after sciatic nerve crush.44\n\nThe issue of whether neuron loss occurs, and if so, in what subpopulations, is important. It will likely have implications for our understanding of reinnervation and functional recovery in patients. Furthermore, better insight will provide critical context for those investigating the plasticity that occurs following nerve injury and may inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines now makes it possible to permanently label DRG neuron subpopulations and study their fate in rodent nerve injury paradigms. The aim of this study was to use this technology to characterize\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, b Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3-mm intervals through the entirety of a 30-mm-thick tissue section. Scale bar 5 100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov–Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; Sˇ ´ıd ´ak multiple comparisons tests: **P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n# 3.3. Spared nerve injury induces a loss of Trpm81 and calcitonin gene-related peptide1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injuryinduced loss. To investigate potential loss of Trpm81 (coldsensitive), calcitonin gene-related peptide1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8FlpO; RC::FLTG (FlpO-dependent tdTom expression), CalcaCreERT2; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively (Figs. 4A–D). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations was not biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm81 and CGRP1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84).3 We found that early after injury (3 days post-SNItrans), nonpeptidergic (MrgDCreERT2-expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10aCreERT2), peptidergic nociceptors (Calca- CreERT2), C-LTMRs (ThCreERT2), and Ab-RA (rapidly adapting) and Ad-LTMRs (Ad/Ab-LTMR, Ntrk2CreERT2;AdvillinFlpO), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and Ad/Ab-LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n# 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection.5 We sought to use the DRG neurons from MrgDCreERT2;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury (Figs. 5A–E). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF (Fig. 5F). However, in the absence of GFs, YFP1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density (Figs. 5C and F). YFP1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media (Figs. 5D–F). These results contrasted with experiments using neurons derived from CalcaCreERT2;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP1 after 28 days in culture, regardless of exogenous GF addition (Figs. 5G–L). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n# 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly developed transgenic recombinase driver lines, we have shown that loss is biased across molecularly defined subpopulations. Nonpeptidergic nociceptive neurons are particularly susceptible to loss, with almost all Mrgprd1 axotomized afferents lost following an unrepaired transection injury (SNItrans) and roughly half lost following a model which contrastingly allows for nerve regenerations (SNIcrush). Finally, we have observed that the vulnerability of Mrgprd1 neurons extends to the in vitro setting and provide data to support the hypothesis that loss is driven by a lack of neurotrophic support following injury.\n\n# 4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic injury has been addressed by several groups over the last few decades. Despite contrasting findings on the extent, timing, and form that loss takes, most studies have observed frank loss of DRG neurons.6,38,46,53 However, more recent studies using recombinase driver lines and novel machine-learning approaches have cast doubt on this consensus.44,49 Our data strongly support the loss hypothesis and suggest that approximately 60% of axotomized afferents die within 2 weeks of SNI. The discrepancy between our findings and other recent studies may be partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al.49 developed a novel machine-learning approach and found no reduction in neuron density across serial sections of rat DRG following SNI, and they inferred from this that frank loss did not occur. Our results are congruous, in that we also observed no reduction in neuron density. However, we found a substantial loss in the total neuron-containing volume of injured DRG, which underlies our contrasting conclusion of frank loss. Of note, morphological volumetric analysis and MRI have also previously demonstrated volume loss in both rodent and human DRG following nerve injury.35,65,66 These findings occur despite a major increase of nonneuronal cells in the injured DRG30 and support the notion that the total DRG neuron number is decreased.\n\n#### 4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined subpopulations was challenging before the advent of recombinase driver lines, a consensus emerged that small-diameter neurons are more vulnerable to nerve injury–induced loss.50,53 Our data support this consensus and extend it to reveal that while there is a generalized partial loss of C-fiber populations including CGRP- and Trpm8-expressing neurons, Mrgprd-expressing neurons are particularly sensitive to loss. This selective vulnerability has been hinted at previously by the stark reduction in the number of DRG neurons and their central terminals that bind IB4 and express canonical markers such as the P2X3 receptor following nerve injury.5,8,29,36 Type 1a glomeruli are also reduced in lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding.2 However, it was not clear whether these data represented phenotypic changes in nonpeptidergic nociceptors or frank loss of neurons. We describe neuron loss that is delayed (occurring .7 days postinjury) with respect to histochemical and structural changes (occurring 1- 5 days postinjury2,29), suggesting that these changes precede and are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous with recent subpopulation bulk RNA-seq data, which found that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is not equally distributed across molecular populations.\n\n# 2. Methods\n\n#### 2.1. Animals\n\nMice were housed in groups in humidity- and temperature-controlled rooms with free access to food and water, on a 12-hour light–dark cycle, and with environmental enrichment. Animal procedures were performed under a UK Home Office Project Licence and in accordance with the UK Home Office (Scientific Procedures) Act (1986). All studies were approved by the Ethical Review Process Applications Panel ofthe University of Glasgow or Oxford and conform to the ARRIVE guidelines. Experiments were performed on adult male and female mice aged 7to 16 weeks atthe start ofthe experiments. All experimental cohorts contained a mix of male and female mice, apart from the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush surgery, which was exclusively female. Details of transgenic lines are provided in Table 1. Tamoxifen was administered by i.p. injection of 20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil (doses described in Table 1). There were 2 instances where animals were excluded from data analysis: One (cyan fluorescent protein) Thy1-CFP died of unknown causes not related to the procedure and before the experimental endpoint, and one MrgDCreERT2;Ai32 exhibited no fluorophore expression and was therefore deemed to have been incorrectly genotyped. Group sizes were based on the extent of neuronal loss 28d following sciatic nerve transection identified by Shi et al.50 Given a 5 0.05, power 5 0.8, and an effect size of 4.81, power analysis projects that a group size of 3 mice would be needed.\n\n#### 2.2. Spared nerve transection and crush surgeries\n\nSpared nerve injury (transection of the common peroneal and tibial branches of the sciatic nerve; SNItrans) and common peroneal and tibial crush injury (SNIcrush), in which nerve axons were severed but the epineurium remained intact, were performed as previously described.12 Anesthesia was induced with 3% to 5% isoflurane and then maintained at 1.5% to 2% as required. Analgesia, consisting of carprofen (10 mg/kg) and buprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg) and local bupivacaine (2 mg/kg) (Oxford) was provided perioperatively. The left hindpaw was secured with tape in hip abduction, and the operative field (lateral surface of the thigh) was shaved. Ophthalmic ointment was applied to the eyes, and the shaved area was swabbed with chlorhexidine solution. A longitudinal incision was made in the skin at the lateral mid-thigh. Using blunt dissection, an opening was made through the biceps femoris, exposing the sciatic nerve and the 3 peripheral branches (sural, tibial, and common peroneal nerves). For SNItrans, the common peroneal and tibial nerves were ligated using a 6-0 Vicryl suture (Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture was removed using spring scissors. For SNIcrush, the exposed tibial and common peroneal nerves were clamped using a pair of fine hemostats (Fine Science Tools, Heidelberg, Germany) closed to their second clip, leaving the nerve branches intact but translucent. The muscle was closed with one 6-0 Vicryl suture (Ethicon), and the skin incision was closed with one 10 mm wound clip (Alzet, Cupertino, CA). Animals were monitored daily for self-mutilation, and no animals required sacrifice due to tissue damage.\n\n#### Table 1\n\n#### Transgenic lines used in the study.\n\n| Used name | Full name | Putative population | Ref | Source | Tamoxifen regime |\n| --- | --- | --- | --- | --- | --- |\n| Atf3CreERT2 | Atf3tm1.1(cre/ERT2)Msra | Axotomised afferents | 13 | Gift: Dr Franziska Denk | 50 mg/kg on days 0, 3, and 7 after surgery |\n| AvilFlpO | Aviltm1(flpo)Ddg | Sensory neurons | 1 | Gift: Prof David Ginty | N.A. |\n| MrgDCreERT2 | Mrgprdtm1.1(cre/ERT2)Wql | Major class of nonpeptidergic | 39 | The Jackson Laboratory (RRID: | General: 1x 50 mg/kg in adulthood, (.1 week |\n| | | neurons | | IMSR_JAX:031286) | before experiment) |\n| | | | | | 3D volumetric analysis: 5x i.p. (0.5 mg/animal/ |\n| | | | | | day), beginning between P10 and P17 |\n| MrgDChR2- | Mrgprdtm4.1(COP4)Mjz | Major class of nonpeptidergic | 59 | Mutant Mouse Resource & Research | N.A. |\n| YFP | | neurons | | Centers (RRID:MMRRC_036112-UNC) | |\n| CalcaCreERT2 | Calcatm1.1(cre/ERT2)Ptch | Peptidergic neurons | 51 | Gift: Prof Pao-Tien Chuang | 1x 75 mg/kg in adulthood (.1 week before |\n| | | | | | experiment) |\n| Trpm8FlpO | | Cold afferents | 4 | Gift: Dr Mark Hoon | N.A. |\n| Thy1-CFP | B6.Cg-Tg(Thy1-CFP) | Sample of myelinated afferents | 16 | The Jackson Laboratory (RRID: | N.A. |\n| | 23Jrs/J | | | IMSR_JAX:003710) | |\n| ThCreERT2 | Thtm1.1(cre/ERT2)Ddg/J | C low threshold | 1 | Gift: Prof David Ginty; The Jackson | 1x 50 mg/kg in adulthood (.2 weeks before |\n| | | mechanoreceptors | | Laboratory (RRID:IMSR_JAX:025614) | experiment) |\n| RC::FLTG | B6.Cg- Gt(ROSA) | Flp-mediated tdTomato; | 40 | The Jackson Laboratory (RRID: | N.A. |\n| | tm1.3(CAG-tdTomato,- 26Sor | Cre1Flp-mediated GFP | | IMSR_JAX:026932) | |\n| | EGFP)Pjen /J | expression | | | |\n| Ai14 | B6.Cg- Gt(ROSA) | Cre-mediated tdTomato | 33 | The Jackson Laboratory (RRID: | N.A. |\n| | tm14(CAG-tdTomato)Hze 26Sor / | expression | | IMSR_JAX:007914) | |\n| J | | | | | |\n| Ai32 | B6.Cg- Gt(ROSA) | Cre-mediated ChR2-eYFP | 32 | The Jackson Laboratory (RRID: | N.A. |\n| | tm32(CAG 26Sor | expression | | IMSR_JAX:024109) | |\n| | COP4*H134R/EYFP)Hze | | | | |\n\nCFP, cyan fluorescent protein; GFP, Green fluorescent protein; YFP, yellow fluorescent protein.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were examined. Filtered count data of expressed and nondifferentially expressed genes were used as a background.\n\n#### 2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgDCreERT2;Ai32 and CalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and enzymatically digested at 37˚˚C for 80 minutes in dispase type II (4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously.63 Mechanically dissociated cells were plated onto laminin/poly-D-lysine (R&D Systems, Minneapolis, MN) treated coverslips in complete Neurobasal Plus medium (Neurobasal Plus media supplemented with 2% (vol/vol) B27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic [ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth factor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, Cranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor (GDNF, PeproTech) were added to the media under some conditions. Cytosine b-D-arabinofuranoside (4 mM) was added to the media for 24 hours the day after plating to reduce the proliferation of nonneuronal cells. Media was refreshed 3 times per week thereafter. Cultures were fixed for 10 minutes at room temperature with 4% paraformaldehyde and subsequently processed by immunocytochemistry (described earlier).\n\n#### 2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified, and P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7.15 A quantitative Venn diagram was created using BioVenn.25 All other statistical analyses were performed in Prism 10 (GraphPad Software, Inc, Boston, MA) or R using paired t tests or 1- or 2-way RM ANOVAs (repeated measures analysis of variance), where appropriate. Normality was assessed by the Shapiro–Wilk test. If the main analysis of variance effect was significant, Sˇ ´ıd ´ak or Tukey multiple comparisons tests were performed. To compare population distributions of soma cross-sectional area or volume, Kolmogorov–Smirnov tests were performed.\n\n#### 3. Results\n\n# 3.1. Peripheral nerve injury induces a loss of small neurons from the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve injury, we generated the AvilFlpO;Atf3CreERT2;RC::FLTG mouse line in which na¨ıve and axotomized sensory neurons were differentially labelled. In this mouse line, all neurons express tdTomato (Flp-dependent) in the na¨ıve state and switch to expressing green fluorescent protein (GFP) upon axonal damage and concurrent tamoxifen treatment (Flp- and Cre-dependent) (Figs. 1A and B). Following pilot experiments to optimize tamoxifen dosing regimen, this approach was both highly efficient and specific (with the caveat that it was necessary to wait for several days after nerve injury for Cre-induced GFP expression): 14 days after SNItrans surgery, GFP was expressed by 99.1 6 0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we observed GFP in only 4.6 6 0.7% of contralateral DRG neurons (Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used a stereological approach to quantify the total number of neurons in L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as well as contralateral to injury. One week after SNItrans, we observed 7809 6 153 neurons per DRG; this was not significantly different to the number of neurons in the contralateral DRG (7917 6 349), whereas cell number approximately halved by 8 weeks postinjury to 3963 6 410 neurons per DRG (Fig. 1C). Separating analysis into intact vs axotomized afferents revealed that only axotomized afferents were lost, with no difference observed in numbers of intact afferents (Fig. 1D). Between 1 and 8 weeks after injury, we observed a 61.0 6 7.0% decrease in the number of GFP1 neurons. This loss of injured afferents resulted in a loss of neuron-containing (ie, excluding white matter regions) DRG volume (Fig. 1E), but not neuron density (Fig. 1F). Cell loss predominantly occurred between 1 and 2 weeks postinjury and stabilized after this timepoint. Population distributions of the cross-sectional area of nucleated, tdTomato-expressing cell profiles were not significantly different at 1 vs 8 weeks post-SNItrans, in contrast to GFP-expressing/injured afferents, in which a loss of a population of small afferents at 8 weeks postinjury was observed (Fig. 1G).\n\nSNItrans resulted in a mixed population of axotomized and intact afferents within the L4 DRG. Therefore, we developed an approach to restrict our analysis to axotomized afferents, without relying on transgenic labelling, and used this as a complementary approach to confirm our findings. We injected the neuronal tracer FB into the glabrous, tibial innervation territory of both hindpaws 1 week before common peroneal and tibial transection (SNItrans) or crush (SNIcrush) surgeries (Figs. 2A and B). FastBlue-uptake was complete across neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ C84), so this approach allowed us to profile a sample of the axotomized afferents. Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.\n\nAs a third complementary approach, we applied semiautomated volumetric analyses of nuclei size following tissue clearing. In this study, whole DRGs were cleared 4 weeks after SNItrans for nuclei counting in \"complete\" tissue (Figs. 2E–H). Nuclei were labelled by TDP-43, in line with the study by West et al.,67 and were quantified using Imaris software (Fig. 2F, Video 1). We observed a slight but significant rightward shift in nuclear spot volume population distribution 4 weeks after SNItrans (Fig. 2G). In addition, there was a significant reduction in the number of small but not medium or large nuclear spots, in support of a loss of small-diameter neuron populations (Fig. 2H).\n\nTogether, our data derived from several different experimental approaches show that a population of small-diameter afferents are lost following peripheral nerve injury.\n\n# 3.2. Spared nerve crush or transection results in death of Mrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of afferent neurons has proved challenging due to the downregulation of subpopulation-specific marker genes following axonal transection.37,44 To overcome this issue, we took advantage of transgenic strategies to label populations in a manner that persisted after injury. Owing to the bias for the loss of small neurons and the known loss of IB4-binding central terminals postinjury,36 we initially focused on nonpeptidergic nociceptive neurons. We used MrgDChR2-YFP mice to identify neurons belonging to the largest of the 3 classes of nonpeptidergic nociceptors, NP1.55,59 To determine whether these neurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP1 (yellow fluorescent", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "- [30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M, La Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional toolbox for exploring peripheral neuroimmune interactions. PAIN 2020; 161:2089–106.\n- [31] Love MI, Huber W, Anders S. Moderated estimation of fold change and dispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550.\n- [32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA, Garcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden ES, Buzs ´aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE, Zeng H. 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Fiji: an open-source platform for biological-image analysis. Nat Methods 2012;9:676–82.\n- [46] Schmalbruch H. Loss of sensory neurons after sciatic nerve section in the rat. Anat Rec 1987;219:323–9.\n- [47] Schmitz C, Hof PR. Design-based stereology in neuroscience. Neuroscience 2005;130:813–31.\n- [48] Schulte A, Degenbeck J, Aue A, Schindeh ¨utte M, Schlott F, Schneider M, Monoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL. Human dorsal root ganglia after plexus injury: either preservation or loss of the multicellular unit. bioRxiv 2023.02.06.526934.\n- [49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue A. Unbiased analysis of the dorsal root ganglion after peripheral nerve injury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN 2023;164:728–40.\n- [50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨okfelt T. Effect of peripheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\n\nmouse: marked changes both in cell numbers and neuropeptide expression. Neuroscience 2001;105:249–63.\n\n- [51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional characterization of pulmonary neuroendocrine cells in lung development, injury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531–6.\n- [52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of GDNF in the uninjured DRG exerts analgesic effects on neuropathic pain following segmental spinal nerve ligation in mice. J Pain 2011;12: 1130–1139.\n- [53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root ganglion cells after transection of the rat sciatic nerve. J Comp Neurol 2000;422:172–80.\n- [54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons: diagnosis and prevention. J Hand Surg Eur Vol 2011;36:730–4.\n- [55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling-Leffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S, Ernfors P. Unbiased classification of sensory neuron types by large-scale single-cell RNA sequencing. Nat Neurosci 2015;18:145–53.\n- [56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on number and volume of dorsal root ganglion cell bodies. J Comp Neurol 1997;388:307–12.\n- [57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from a neuroma. Nature 1974;248:740–43.\n- [58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang Y, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation of MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33: 1360–73.\n- [59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons innervate most known classes of substantia gelatinosa neurons. J Neurosci 2009;29:13202–9.\n- [60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial cell line-derived neurotrophic factor normalizes neurochemical changes in injured dorsal root ganglion neurons and prevents the expression of experimental neuropathic pain. Neuroscience 2003; 121:815–24.\n- [61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan fluorescent protein (CFP) expressing cells in the retina of Thy1-CFP transgenic mice before and after optic nerve injury. Neurosci Lett 2010; 468:110–4.\n- [62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM, Adelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR. MrgprdCre lineage neurons mediate optogenetic allodynia through an emergent polysynaptic circuit. PAIN 2021;162:2120–31.\n- [63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB, Bennett DL. Using an engineered glutamate-gated chloride channel to silence sensory neurons and treat neuropathic pain at the source. Brain 2017;140:2570–85.\n- [64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and regeneration of cutaneous and muscular afferent neurons after peripheral nerve injury in adult rats. Exp Brain Res 2008;186:315–23.\n- [65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G. Volumetric magnetic resonance imaging of dorsal root ganglia for the objective quantitative assessment of neuron death after peripheral nerve injury. Exp Neurol 2007;203:22–33.\n- [66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after upper limb nerve injury and protective effect of repair: clinical evaluation using volumetric magnetic resonance imaging of dorsal root ganglia. Neurosurgery 2013;73:632–40.\n- [67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological automated analysis of biological structures. bioRxiv 2020:648337.\n- [68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in dorsal root ganglion neurons following peripheral nerve injury. Neuroreport 2018;29:779–85.\n- [69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum AI. Dorsal root ganglion macrophages contribute to both the initiation and persistence of neuropathic pain. Nat Commun 2020;11:264.\n- [70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia gelatinosa mediate interaction of signals from primary afferents. J Physiol 2010;588:2065–75.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the AvilFlpO;Atf3CreERT2;RC:: FLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. Scale bars 5 100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG 1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; Timepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): †P , 0.05 vs contra, ‡P , 0.05 vs 1-week. (E) Volume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F) Neuronal density within the DRG following SNItrans. One-way ANOVA; F4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by cross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , 0.001; n 5 310 to 427 neurons from 3 mice. *P , 0.05, **P , 0.01, ***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green fluorescent protein.\n\nprotein) neurons 28 days after sham surgery or SNItrans (Figs. 3A and B). SNItrans, but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP1 neurons in L4 DRG (Fig. 3C).\n\nYellow fluorescent protein expression in MrgDChR2-YFP mice is driven by the endogenous Mrgprd promotor, which has been reported to be upregulated or downregulated following axonal damage.44,58 Such changes in promoter activity could affect the proportion of nonpeptidergic nociceptors identified by YFP expression. Therefore, to verify these findings, we used MrgDCreERT2;Ai32 mice and tamoxifen administration before injury, to permanently label Mrgprd-expressing afferents with ChR2-YFP (Figs. 3D–F). We then tested whether the proportion of cutaneous tibial afferents that were YFP1 was altered following nerve injury. Following hindpaw FB injection, ;15% of contralateral, FB-labelled DRG neurons expressed YFP. This was reduced to 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9% 28 days after SNItrans (Fig. 3G). Uptake by uninjured YFP1 neurons was equivalent 7 and 35 days after FB injection, demonstrating that this reduction was not because 7 days were insufficient for YFP1 neurons to fully uptake FB (Fig. S3C, http:// links.lww.com/PAIN/C84). No significant difference in the percentage of FB-labelled YFP1 DRG neurons between ipsilateral and contralateral DRG was observed at 7 days following SNItrans (Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrating that loss occurred after this timepoint. Analysis of the crosssectional soma area of FB-labelled, YFP1 neurons in uninjured DRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C, http://links.lww.com/PAIN/C84), which is a distribution profile matching those neurons presumed lost. Collectively, these data show that peripheral nerve injury results in a substantial loss of nonpeptidergic, Mrgprd-expressing neurons, with SNItrans (ie, an unrepaired axonal transection) resulting in an almost complete loss of this population.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image stacks with a 2- to 3-mm interval in the Z-axis were obtained through a 203 dry lens (0.8 NA) with the confocal aperture set to 1 Airy unit or less. All image capture was performed using Zen Blue Edition software (Carl Zeiss Microscopy GmbH, Jena, Germany), and analyses were performed using Zen Blue or FIJI.45\n\n#### 2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the experimental groups. For quantification of the total number of cells within the DRG, a modified optical dissector stereological method was used11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To account for tissue shrinkage during processing, the mean thickness (t) of each section on one slide (ie, 1 in 5 sections) was calculated by taking the mean of the thickest and thinnest cell-containing regions (ie, not fiber tract-containing regions) of the section (NB: no optical correction to thickness was applied; given the use of a dry lens, this value will not reflect actual section thickness, though this was kept consistent throughout the study). The cell-containing, crosssectional area (a) was then calculated, using the middle optical section from the series and drawing around the cell-containing regions. Section volume (Vsec) was then calculated:\n\n$$\\mathbb{V}\\mathrm{sec}\\,=\\,t\\times a$$\n\nUsing the Cavalieri principle, the cell-containing volume of the DRG was calculated11:\n\n$$\\forall D\\bar{D}\\bar{G}=\\bar{a}\\times\\bar{t}\\times D$$\n\nwhere a 5 mean cell-containing cross-sectional area, t 5 mean section thickness, and l 5 \"length\" of the DRG (determined from the total number of sections collected). The number of neurons per section (Nsec) was quantified in all immunostained sections. This included only neurons with a visible nucleus (in the NeuN channel), excluded cells with a nucleus visible within the top frame of the Z-stack, and included any neurons with a nucleus visible in any other field within Z-stack, including the bottom frame of Z-stack. The cell density or the number of cells per unit vol (Nv) was then calculated:\n\n$$N_{V}={\\frac{N_{\\mathrm{sec}}}{V_{\\mathrm{sec}}}}$$\n\nFinally, the total number of cells per DRG (NDRG) was calculated:\n\n$$N_{D\\!\\!D\\!\\!G}\\,=\\,\\overline{{{N_{\\nu}}}}\\times V_{D\\!\\!D\\!\\!G}$$\n\nFor quantification of the proportion of FB-labelled cells colabelled with afferent subpopulation markers, initially, the total number of FB-filled neuronal cell profiles with a visible nucleus anywhere within the section was counted, with the observer blind to other channels. The other channel was then revealed, and instances of co-labelling were quantified. No stereological correction was applied, given that the similar size of neuronal nuclei would prevent over-counts of large neurons and that no comparisons of the total number of labelled cells were made. For soma area analyses, the area of neuronal soma expressing the appropriate marker was measured in the optical section within the Z-stack in which that neuron was at its largest, by drawing around the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n#### 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks post-SNItrans for whole DRG analyses. In this study, tissue was extracted from a combination of MrgDCreERT2;Ai14, ThCreERT2;Ai14, and CalcaCreERT2;Ai14 lines (mixed sex).3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described.67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies (Table 2) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1 propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2-mm z-steps. The tissue was stored at 4˚C for ;16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the \"spots\" feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgDCreERT2;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small (,5 mm3 ) and very large (.2000 mm3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the \"small\" DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD1 nuclei (258 mm3 ). The boundary between \"medium\" and \"large\" bins (400 mm3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 mm3 was also examined, and the results mirrored those of \"medium\" and \"large\" bins.\n\n# 2.7. Gene Ontology\n\nGene Ontology term analyses were performed on previously published mouse subtype RNA-seq after SNI (GSE2164443 ). In this study, subtype-specific bulk RNA-seq was performed on 5 transgenic mouse lines through reporter labelling and fluorescence activated cell sorting. spliced transcripts alignment to a reference was used to map reads to the GRCm38 (mm10) Mouse Genome,14 and Samtools was used to sort, index, and merge Binary Alignment Map files in line with published reports.28 Quality control was performed as per Barry et al.3 Downstream analyses were performed using DESeq2 on grouped male and female samples.31 For differentially expressed genes (false discovery rate) (FDR , 0.05, LFC .1) (log-fold change), GO analyses were performed using the Wallenius method using goSeq (R). In this study, significantly regulated terms related to", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 4. Spared nerve injury induces a loss of Trpm81 and CGRP1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B–D) FastBlue labelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNItrans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury. Images are projections of optical sections at 3-mm intervals through the entirety of 30-mm-thick tissue sections. Scale bars 5 100 mm. (E–G) Quantification of the proportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNItrans. Paired t tests; Trpm8-tdTom: t2 5 5.31, P 5 0.034, n 5 3 mice; Calca-YFP: t3 5 4.12, P 5 0.026, n 5 4 mice; Thy1-CFP: t3 5 4.42, P 5 0.022, n 5 4 mice. *P , 0.05. CFP, cyan fluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue.\n\nby a population of small-diameter, putative cold-sensitive neurons (Fig. 4B), accounting for 8.3 6 0.27% of FB-labelled neurons in contralateral DRG. This decreased to 4.2 6 0.96% ipsilateral to SNItrans injury (Fig. 4E), indicating a partial loss of Trpm81 afferents. When examining peptidergic afferents, we found that 48.1 6 2.42% of FB-labelled neurons in contralateral DRG were Calca-YFP1, compared with 34.3 6 2.54% 4 weeks after SNItrans injury (Figs. 4C and F), consistent with a partial loss of CGRP1 afferents. We used a Thy1-CFP line that demonstrates consistent expression postinjury61 and labels a sample of medium/large diameter myelinated afferents. CFP was largely restricted to NF2001 neurons, labelling 56% of this population. Expression was present in a heterogenous population of nociceptive (TrkA1) and nonnociceptive (TrkA-) myelinated neurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral to injury, 15.6 6 1.8% of FB-labelled neurons expressed Thy1- CFP (Figs. 4D and G). In contrast to unmyelinated subpopulations, this proportion was higher in ipsilateral DRG following SNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of Thy1-CFP-expressing afferents, accompanied by a loss of Thy1- CFP-negative neurons. We did not observe significant alterations in the population distributions of the cross-sectional area of surviving, damaged Trpm8-tdTom1, Calca-YFP1, or Thy1- CFP1 DRG neurons when compared with DRG contralateral to", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed2.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.- A.W.—gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n#### Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n#### Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n#### Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n#### Article history:\n\nReceived 14 November 2023 Received in revised form 11 April 2024 Accepted 25 May 2024 Available online 15 August 2024\n\n# References\n\n- [1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman AL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O'Neill TG, Zhuo J, Tsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M, Dymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and synaptic architecture of the mechanosensory dorsal horn. Cell 2017;168: 295–310.e19.\n- [2] Bailey AL, Ribeiro-Da-Silva A. Transient loss of terminals from nonpeptidergic nociceptive fibers in the substantia gelatinosa of spinal cord following chronic constriction injury of the sciatic nerve. Neuroscience 2006;138:675–90.\n- [3] Barry AM, Zhao N, Yang X, Bennett DL, Baskozos G. Deep RNA-seq of male and female murine sensory neuron subtypes after nerve injury. PAIN 2023;164:2196–215.\n- [4] Bell AM, Utting C, Dickie AC, Kucharczyk MW, Quillet R, Gutierrez-Mecinas M, Razlan ANB, Cooper AH, Lan Y, Hachisuka J, Weir GA, Bannister K, Watanabe M, Kania A, Hoon MA, Macaulay IC, Denk F, Todd AJ. Deep sequencing of Phox2a nuclei reveals five classes of anterolateral system neurons. bioRxiv 2023.2023.08.20.553715.\n- [5] Bennett DL, Michael GJ, Ramachandran N, Munson JB, Averill S, Yan Q, McMahon SB, Priestley JV. A distinct subgroup of small DRG cells express GDNF receptor components and GDNF is protective for these neurons after nerve injury. J Neurosci 1998;18:3059–72.\n- [6] Bondok AA, Sansone FM. Retrograde and transganglionic degeneration of sensory neurons after a peripheral nerve lesion at birth. Exp Neurol 1984;86:322–30.\n- [7] Boucher TJ, Okuse K, Bennett DLH, Munson JB, Wood JN, McMahon SB. Potent analgesic effects of GDNF in neuropathic pain states. Science 2000;290:124–7.\n- [8] Bradbury EJ, Burnstock G, McMahon SB. The expression of P2X3 purinoreceptors in sensory neurons: effects of axotomy and glial-derived neurotrophic factor. Mol Cell Neurosci 1998;12:256–68.\n- [9] Br ´az JM, Basbaum AI. Triggering genetically-expressed transneuronal tracers by peripheral axotomy reveals convergent and segregated sensory neuron-spinal cord connectivity. Neuroscience 2009;163: 1220–32.\n- [10] Cobos EJ, Nickerson CA, Gao F, Chandran V, Bravo-Caparr ´os I, Gonz ´alez-Cano R, Riva P, Andrews NA, Latremoliere A, Seehus CR, Perazzoli G, Nieto FR, Joller N, Painter MW, Ma CHE, Omura T, Chesler EJ, Geschwind DH, Coppola G, Rangachari M, Woolf CJ, Costigan M. Mechanistic differences in neuropathic pain modalities revealed by correlating behavior with global expression profiling. Cell Rep 2018;22: 1301–12.\n- [11] Coggeshall RE. A consideration of neural counting methods. Trends Neurosci 1992;15:9–13.\n- [12] Decosterd I, Woolf CJ. Spared nerve injury: an animal model of persistent peripheral neuropathic pain. PAIN 2000;87:149–58.\n- [13] Denk F, Ramer LM, Erskine ELKS, Nassar MA, Bogdanov Y, Signore M, Wood JN, McMahon SB, Ramer MS. Tamoxifen induces cellular stress in the nervous system by inhibiting cholesterol synthesis. Acta Neuropathol Commun 2015;3:74.\n- [14] Dobin A, Davis CA, Schlesinger F, Drenkow J, Zaleski C, Jha S, Batut P, Chaisson M, Gingeras TR. STAR: ultrafast universal RNA-seq aligner. Bioinformatics 2013;29:15–21.\n- [15] Faul F, Erdfelder E, Lang AG, Buchner A. G*Power 3: a flexible statistical power analysis program for the social, behavioral, and biomedical sciences. Behav Res Methods 2007;39:175–91.\n- [16] Feng G, Mellor RH, Bernstein M, Keller-Peck C, Nguyen QT, Wallace M, Nerbonne JM, Lichtman JW, Sanes JR. Imaging neuronal subsets in transgenic mice expressing multiple spectral variants of GFP. Neuron 2000;28:41–51.\n- [17] Gangadharan V, Zheng H, Taberner FJ, Landry J, Nees TA, Pistolic J, Agarwal N, M ¨annich D, Benes V, Helmstaedter M, Ommer B, Lechner SG, Kuner T, Kuner R. Neuropathic pain caused by miswiring and abnormal end organ targeting. Nature 2022;606:137–45.\n- [18] Guillery RW. On counting and counting errors. J Comp Neurol 2002;447: 1–7.\n- [19] Hall BE, Macdonald E, Cassidy M, Yun S, Sapio MR, Ray P, Doty M, Nara P, Burton MD, Shiers S, Ray-Chaudhury A, Mannes AJ, Price TJ, Iadarola MJ, Kulkarni AB. Transcriptomic analysis of human sensory neurons in painful diabetic neuropathy reveals inflammation and neuronal loss. Sci Rep 2022;12:4729.\n- [20] Haroutounian S, Nikolajsen L, Bendtsen TF, Finnerup NB, Kristensen AD, Hasselstrøm JB, Jensen TS. Primary afferent input critical for maintaining spontaneous pain in peripheral neuropathy. PAIN 2014;155:1272–9.\n- [21] Hart AM, Terenghi G, Kellerth JO, Wiberg M. Sensory neuroprotection, mitochondrial preservation, and therapeutic potential of n-acetyl-cysteine after nerve injury. Neuroscience 2004;125:91–101.\n- [22] Hart AM, Wiberg M, Youle M, Terenghi G. Systemic acetyl-l-carnitine eliminates sensory neuronal loss after peripheral axotomy: a new clinical approach in the management of peripheral nerve trauma. Exp Brain Res 2002;145:182–9.\n- [23] Hu G, Huang K, Hu Y, Du G, Xue Z, Zhu X, Fan G. Single-cell RNA-seq reveals distinct injury responses in different types of DRG sensory neurons. Sci Rep 2016;6:31851.\n- [24] Hu P, McLachlan EM. Selective reactions of cutaneous and muscle afferent neurons to peripheral nerve transection in rats. J Neurosci 2003; 23:10559–67.\n- [25] Hulsen T, de Vlieg J, Alkema W. BioVenn—a web application for the comparison and visualization of biological lists using area-proportional Venn diagrams. BMC Genomics 2008;9:488.\n- [26] King T, Vera-Portocarrero L, Gutierrez T, Vanderah TW, Dussor G, Lai J, Fields HL, Porreca F. Unmasking the tonic-aversive state in neuropathic pain. Nat Neurosci 2009;12:1364–6.\n- [27] Leibovich H, Buzaglo N, Tsuriel S, Peretz L, Caspi Y, Katz B, Lev S, Lichtstein D, Binshtok AM. Abnormal reinnervation of denervated areas following nerve injury facilitates neuropathic pain. Cells 2020;9:1007.\n- [28] Li H, Handsaker B, Wysoker A, Fennell T, Ruan J, Homer N, Marth G, Abecasis G, Durbin R; 1000 Genome Project Data Processing Subgroup. The sequence alignment/map format and SAMtools. Bioinformatics 2009;25:2078–9.\n- [29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring structures in the dorsal root ganglia following peripheral nerve injury in rats. J Comp Neurol 2001;439:259–74.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "Does the Oxbridge Academy have a guide on how to apply to college?", - "target_page": 21, - "target_passage": "To make the college registration process easier for you, we’ve compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# CHAPTER 5:\n\n## TIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a daunting experience. Not only do you need to choose a course, but you also need to make sure that you:\n\n- meet the entry requirements\n- meet the deadlines\n- fill in the forms correctly\n- send the forms to the right address\n- include all the necessary attachments\n\nTo make the college registration process easier for you, we've compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general tips that will be relevant to the application and registration processes at other colleges.\n\n#### **There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:**\n\n- **1.** Select Your Course\n- **2.** Fill in Your Student Details\n- **3.** Select Your Delivery Option\n- **4.** Pay Your Registration Fee and Send in Your Form", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa twitter.com/oxbridgeEdu www.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offering skills courses, national qualifications, and internationally recognised courses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our students' needs by recruiting industry-expert tutors to provide academic assistance via telephone and e-mail, as well as by designing our study material in such a way that it is clear, simple, and easy for our students to understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\n### CONTACT NUMBERS:\n\nTel: 021 1100 200 Tel:+2721 883 2454 (international) Fax: 086 111 2121 Fax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585 Email: info@oxbridgeacademy.co.za\n\nPostal Address: PO Box 12723, Die Boord, Stellenbosch, 7613\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section 31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 1 – SELECT YOUR COURSE\n\n| Oxbridge Academy Short Course: Marketing Management |\n| --- |\n| ADV101 |\n\nBefore you start filling in the registration form, you need to choose your course. Once you've identified the course that you would like to study, remember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on the relevant detailed course information page on our website. Have a look at the example in the screenshot below (the course name and course code are circled in red):\n\n| 021 110 0200 |\n| --- |\n| HOME ABOUT US COURSES s excellence in education |\n| Oxbridge Academy Short Course: Marketing Management |\n| Home / Oxbridge Academy snore |\n| This short course is designed to introduce you to the field of marketing management. It will equip you with the knowledge and skills you need to define the marketing concept, apply marketing decision-making, and explain marketing opportunities. |\n| Course code: |\n| ADV101 |\n| Accreditation status: |\n| This is an Oxbridge Academy Skills Course. |\n\nPlease make sure to check the accreditation status of your chosen course. Some of our courses are non-credit bearing skills development courses, which are neither accredited by external bodies nor registered on the NQF. Please go to our website: *oxbridgeacademy.co.za* for more information about our skills development courses.", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 4 – PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\n| Registration fee payable upon registration either by cheque, postal order, bank deposit, electronic transfer or ATM deposit. Enclose the registration fee when submitting this form and we will send you a Welcome Pack that includes your 1st Study Unit, Success Study Guide and Student card. International students will be required to pay a deposit of R2400. | |\n| --- | --- |\n| * Attach proof of payment | |\n| IF YOU ARE: (A) YOUNGER THAN 18 YEARS OR (B) UNEMPLOYED | |\n| Parent/Guarantor Details | |\n| I approve and confirm this application. | |\n| Name: | Relation to student: |\n| ID No: | |\n| Cell No: | |\n| Home No: | Parent/Guardian/Guarantor Signature: |\n\nDifferent courses have different registration fees. Please check the course fees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to find out how much you need to pay to register for your chosen course, and pay this amount using the banking details provided at the bottom of the registration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign this section of the form to state that they are aware of your registration with Oxbridge Academy, and that they do not have any objections. If you are unemployed, you will need a guarantor to sign this section of the form. Your parent or guarantor will be held responsible if you miss any of your payments in relation to your course fees.", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## A Summary of the Registration Process at Oxbridge Academy\n\n#### SEND YOUR REGISTRATION FORM\n\nSend your registration form to the registrations office at Oxbridge Academy via one of the following channels:\n\nFax: 086 262 5550 Post: PO Box 12723, Die Boord, 7613 E-mail: registrar@oxbridgeacademy.co.za\n\n#### FILL IN THE REGISTRATION FORM\n\n**2**\n\nThe registration form follows an easy-to-complete four step layout.\n\n#### IF YOU ARE REGISTERING FOR an ICB, or NATED COURSE\n\nmake sure to indicate your preferred exam centre.\n\n**3**\n\nAs soon as your details have been captured on our system you will receive confirmation of your registration via e-mail or SMS\n\n#### ATTACH THE FOLLOWING DOCUMENTS **6**\n\n- 1. Copy of your ID\n- 2. Proof of highest grade passed\n- 3. Proof of other qualifications\n- 4. Proof of payment\n\n**5**\n\n#### IF YOU ARE UNDER 18, OR IF YOU ARE UNEMPLOYED\n\nmake sure that your parent/guardian/guarantor signs the form.\n\n**4**\n\nPAY YOUR REGISTRATION FEE", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 8:\n\n### TIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\nDepending on which course you study, you will either be assessed by means of written assignments, or through a combination of written assignments and exams. Assignments not only help to deepen your understanding of the work, but they often also count toward your final mark.\n\nIt is therefore important that you put effort into your assignments, and that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of how to go about completing your assignments, or that you might be afraid of failure.\n\nIf you are an Oxbridge Academy student, we'd like you to know that we are here to help you every step of the way, and that we will give you the opportunity to resubmit your assignments if you don't achieve a pass mark the first time around.", - "page_start": 36, - "page_end": 36, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n#### 1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment guidelines will be provided in your \"Success\" Study Guide. Specific instructions will also be included at the beginning of each of your assignments.\n\n#### 2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you focus on answering the right questions, instead of providing irrelevant information.\n\n#### 3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count toward the mark that you receive for your assignment.\n\n#### 4. Use your course material and other external sources to find answers to the assignment questions.\n\nBut make sure to use your own words – don't just copy. You need to show the person marking your assignment that you have developed a sound understanding of the subject.\n\n#### 5. When you use external resources, remember to reference them properly, and to include them in a bibliography.\n\nIf you don't, you may be guilty of plagiarism (www.oxforddictionaries. com/definition/english/plagiarism), which is a serious offence.\n\n6. Always hand in your own work, and make sure that you use your own words when you formulate your answers.\n\n#### 7. When it comes to essay questions:\n\n- Plan/outline your answer before doing the final draft.\n- Remember that essays have titles, introductions, bodies, and conclusions.\n- Use headings and paragraphs to structure your answer.", - "page_start": 37, - "page_end": 37, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 7:\n\n## HOW TO ASK FOR HELP FROM YOUR TUTOR\n\nAs a student, you are going to experience times when you need help with your studies. You might be unsure about an assignment question, you might be confused by a particular concept, or you might be stressed about the upcoming exams.\n\nAnd if you are studying via distance learning (www.oxbridgeacademy.co. za/distance-learning/), where you don't have any face-to-face interaction with lecturers, you will need to rely on your tutors for the necessary academic support.", - "page_start": 32, - "page_end": 32, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### STEP 2 – FILL IN YOUR STUDENT DETAILS\n\n| STEP 2 - Student details | | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| ID/Passport No *: | | | | Date of Birth: | | | | |\n| *Attach proof of ID | | | | | | | | |\n| Full Names: | | | | | | | | |\n| Surname: | | | | | | Mr | Ms | Mrs |\n| Email Address: | | | | | | | | |\n| Cell No: | | | Race: | African | White | Coloured | | Asian |\n| Work No: | | | | | | | | |\n| Postal Address: | | | | | | | | |\n| | | | | | Code: | | | |\n| Delivery Address (Work address preferred): | | | | | | | | |\n| | | | | | Code: | | | |\n| Job Status: Unemployed | Employed | | | | | | | |\n| Occupation: | | | | | | | | |\n| Company/Work Name: | | | | | | | | |\n| Highest School Grade Passed \": | | Year Grade Passed: | | | | | | |\n| Other Qualifications: | | | | | | | | |\n| \" Attach proof of highest grade/other qualifications passed | | | | | | | | |\n\nTo complete this section, you need to provide us with your personal details:\n\n#### **E-mail address**\n\nPlease provide a valid e-mail address that you check on a regular basis, as we'll be using this address to communicate with you throughout your studies.\n\n#### **Occupation**\n\nRefers to your current job (if you are employed). If you are unemployed, you can simply write \"unemployed\" or \"not applicable\". **Delivery address**\n\nRefers to the address at which you want your study material to be delivered. The reason why we prefer you to select your work address is sothat there will always be someone available to receive your study material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage or retrieval system, without prior permission in writing from the publisher. Subject to any applicable licensing terms and conditions in the case of electronically supplied publications, a person may engage in fair dealing with a copy of this publication for his or her personal or private use, or his or her research or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and to acknowledge the use of copyright material. Should any infringement of copyright have occurred, please contact the publisher, and every effort will be made to rectify omissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015", - "page_start": 1, - "page_end": 1, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "I have trouble writing effective summaries in English, do you have any tips?", - "target_page": 29, - "target_passage": "To make a good summary, you need to: • Keep it brief. • Make sure to use main headings and keywords. • Focus on the main ideas. • Classify and organise the information in a logical manner. • Use your own words where possible. • Include examples. • Remember that your summaries are there to help you", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "### SUMMARIES\n\n#### General Tips for Making Summaries\n\n- Underline or highlight key points as you work through your study material, and make notes.\n- When you come across a word or concept you don't understand, look it up in a dictionary, or do some research on the concept, and add your own definition to your summary.", - "page_start": 31, - "page_end": 31, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### SO WHAT EXACTLY IS A SUMMARY?\n\nA summary is more than just a condensed or shortened version of your work. A summary requires you to analyse your study material, to identify the key concepts, and to explain it in your own words.\n\n#### To make a good summary, you need to:\n\n- Keep it brief.\n- Make sure to use main headings and keywords.\n- Focus on the main ideas.\n- Classify and organise the information in a logical manner.\n- Use your own words where possible.\n- Include examples.\n- Remember that your summaries are there to help you.\n\n### YOU CAN MAKE YOUR SUMMARIES IN DIFFERENT FOR-MATS. HERE ARE SOME EXAMPLES:\n\n#### Mind Maps (Spider Diagrams)\n\nA mind map is a visual expression of thoughts, ideas and concepts. It usually takes the form of a diagram, with the main concept in the centre, and the related concepts branching out from there. Here is an example:", - "page_start": 28, - "page_end": 28, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "19. You cannot use a dictionary when summarising your study material.\n\n20. Plagiarism is not a serious offence.\n\n21. When writing an exam, you should always answer the questions in numerical order.\n\n22. E-mail etiquette is important in the workplace.\n\n23. Mind maps help you to understand the relationships between concepts.\n\n24. When you answer an essay question, you should try to include as much information as possible.\n\nDo the following:\n\n25. Create a mind map to summarise Chapter 7 (How to Ask for Help from Your Tutor). (5)\n\n26. List 3 things you need to do if you want to earn good marks for your written assignments. (3)\n\n27. List 5 important things to keep in mind when writing a cover letter. (5)\n\n28. List 5 of the things that you should include in a resignation letter. (5)\n\n29. List 3 methods you can use to summarise your study material. (3)\n\n30. Give 2 examples of how good language skills can benefit your career. (2)\n\n31. Complete the following sentence:\n\nSummarising your study material gives you the opportunity to", - "page_start": 57, - "page_end": 57, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "# CHAPTER 6:\n\n### LEARN HOW TO SUMMARISE YOUR STUDY MATERIAL\n\nTo be successful in your studies, you need to learn how to create meaningful summaries of your course material. This is especially important if you are a distance learning student (www.oxbridgeacademy. co.za/distance-learning/), as you won't have a teacher or lecturer to point out key concepts, or to give you tips about the types of questions you can expect in the exams.\n\n### SUMMARISING YOUR WORK GIVES YOU AN OPPORTUNITY TO:\n\n- Organise your study material into astructure that makes sense to you.\n- Arrange your study material into a format that suits your learning style.\n- Create memory aids for yourself.\n- Identify key ideas and concepts.\n- Focus on what's important.\n- Prepare for exams more easily.", - "page_start": 27, - "page_end": 27, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "### IN THIS E-BOOK, WE'LL BE HELPING YOU TO:\n\n- Develop your basic English language skills.\n- Improve your English grammar.\n\nApply your language and communication skills in a business contexT. (www.oxbridgeacademy.co.za/find-a- course/business-administrationcourses/)\n\n> *\"Grammar is a litmus test. If job hopefuls can't distinguish between 'to' and too', their applications go into the bin\"*\n\nKyle Wiens, CEO of iFixit\n\n*\"Grammar often seems to be a low priority in education. Are school undervaluing grammar, given that employers may rule out applications with sloppy writing?\"*\n\nThe New York Times", - "page_start": 5, - "page_end": 5, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "#### 9. Use correct grammar and spelling.\n\nThis will contribute to the clarity of your answers, and will prevent the person marking your paper from having to guess what you mean.\n\n#### 10. For longer questions and essay-style questions: plan your answers before you start writing.\n\nThis will help you to formulate logical arguments, as well as to structure your answers clearly. In essay questions, you will get marks for using the correct format, which includes making sure that you have an introduction, sub-headings and paragraphs, and a conclusion.\n\n#### 11. Where relevant, give examples.\n\nThis will help to demonstrate that you understand the topic.\n\n#### 12. If you are writing an open-book exam, keep in mind that you won't have enough time to look up all the answers.\n\nMake sure that you know your work, and that you know where to look for key information. These types of exams are more focused on testing your understanding than on testing your knowledge, which means that you need to have a thorough grasp of the work.\n\n#### 13. If you have to answer multiple-choice questions, make sure that you read the questions very carefully.\n\nTry to think of the correct answer before you read through the options, as you are less likely to become confused. When in doubt, go with your first instinct. If there is more than one correct answer, go with the answer that appears to be most correct.\n\n#### 14. If you start running out of time towards the end of the exam, write short notes as answers to each of the remaining questions, instead of trying to answer each question perfectly.\n\nThis way, you should still earn some marks for writing down the most important points.\n\n#### 15. If you have time left at the end of the exam, go back and read through your answers to make sure that you are happy with them.\n\n### tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips", - "page_start": 43, - "page_end": 43, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## Make your meaning more visual by formatting text\n\nTo format text, select it, and then select a button in the Font or Paragraph area on the Home tab.\n\nTry it: Select text in the lines below and choose formatting options so that the text is an example of the formatting it's describing:\n\n| Bold (keyboard shortcut: Ctrl+B) |\n| --- |\n| Italic (keyboard shortcut: Ctrl+I) |\n| Highlight |\n| Font color |\n| Bullets |\n| Numbering |\n\nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a little toolbar, with the font formatting options?\n\n| Segoe UI - 11 | - A A | Aa - | Po |\n| --- | --- | --- | --- |\n| B I U v abe X2 X2 | | A - all - A - | |\n\nBetween that and keyboard shortcuts like Ctrl+B and Ctrl+I, you save time by not having to go up to the Home tab all the time.", - "page_start": 3, - "page_end": 3, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "### To start off with, here are a few tips for improving your general language and communication skills:\n\n- 1. Read as much as possible. Reading improves your vocabulary, and helps you to become familiar with sentence structure, word order, and the correct use of punctuation.\n- 2. Invest in a good dictionary. When you are unsure of the meaning of a word, or when you come across an unfamiliar word, make sure to look it up in your dictionary.\n- 3. Keep a journal. This will give you an opportunity to practice your writing skills on a regular basis.", - "page_start": 6, - "page_end": 6, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- Each paragraph should contain one main thought or idea, and there should be a logical link between each paragraph and the next.\n- Make sure that you focus on answering the question only include relevant information, and remember to present logical arguments in support of your answer.\n\n8. Proofread your assignment before handing it in. Tip: read your answers out loud to make sure that they sound logical.\n\n#### 9. Always keep a copy or electronic backup of your assignment.\n\nThis way, you won't have to start over if your computer crashes, or redo the whole assignment if the original goes missing.\n\n#### 10. When you get your assignment back from your tutor:\n\nRead through the feedback, and learn from your mistakes. This will help you to prepare for your exams (if you have to write them), as well as to help you achieve better marks in future assignments.\n\n### TYPES OF QUESTIONS THAT YOU WILL FREQUENTLY COME ACROSS IN ASSIGNMENTS\n\nIn your assignments, you will often be asked to write short paragraphs or longer essays in which you have to \"explain\" a particular concept, \"identify\" certain features, or \"prove\" a certain point.\n\nIt's sometimes difficult to figure out exactly what these questions mean -- which is why we are providing you with the following explanations:", - "page_start": 38, - "page_end": 38, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- 8. Choose the correct word:\nHe asked his manager for advice/advise regarding a problem at work.\n\n- 9. Choose the correct word:\nThere/They're/Their going to watch a movie this weekend.\n\nChoose the most correct answer for each of the following questions:\n\n- 10. What is an adjective used for?\n- A To describe a noun\n- B To describe a verb\n- C To replace a pronoun\n- D None of the above\n- 11. When should you use a comma?\n- A When you want to separate items in a list.\n- B When you want to separate a quotation from the rest of a sentence.\n- C When you are addressing someone or something directly.\n- D All of the above.\n- 12. Your tutor is there to:\n- A Give you the right answers when you are doing your assignments.\n- B Help you when you get stuck with your course work.\n- C Assist you in completing your assignments.\n- D B and C", - "page_start": 55, - "page_end": 55, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Is exposure to risk factors that may affect mental wellbeing at work comparable across European countries?", - "target_page": 25, - "target_passage": "The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In 2007, 2013 and 2020, **Eurostat** asked employed persons in its ad hoc surveys to the Labour Force Survey (LFS) whether they had **'… exposure to risk factors that can adversely affect mental wellbeing'**.10 In 2007 and 2013, the questions covered four items (time pressure and overload of work, violence or threat of violence, harassment and bullying, other factors). In the 2020 survey,11 'Mental well-being' was operationalised by an additional four response options, resulting in a total of eight options:12\n\n- *1. Severe time pressure or overload of work;*\n- *2. Violence or threat of violence;*\n- *3. Harassment or bullying;*\n- *4. Poor communication or cooperation within the organisation;*\n- *5. Having to deal with difficult customers, patients, pupils etc.;*\n- *6. Job insecurity;*\n- *7. Lack of autonomy, or lack of influence over the work pace or work processes; and*\n- *8. Another significant risk factor for mental well-being.*\n\nForty-five per cent of the employed persons reported being exposed to risk factors that can adversely affect mental wellbeing. The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.13", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "# **List of figures**\n\n| Figure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019 23 |\n| --- |\n| Figure 2: Risk factors that can adversely affect mental wellbeing – EWCS and ESENER 24 |\n| Figure 3: 'Exposure to risk factors adversely affecting mental wellbeing' – LFS Ad hoc survey 2020 . 26 |\n| Figure 4: Psychosocial risk factors – Differences between skill groups (Job strain) 27 |\n| Figure 5: Psychosocial risk factors – Differences between skill groups (Psychological demand) 28 |\n| Figure 6: Psychosocial risk factors – Differences between skill groups (Decision authority) 28 |\n| Figure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion) 29 |\n| Figure 8: Hours worked per week of full-time employment, EU27 – Eurostat 31 |\n| Figure 9: Average working time and work during unsocial hours – Eurostat LFS 32 |\n| Figure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound 33 |\n| Figure 11: Establishment size and 'Pressure due to time constraints' – ESENER 2014 and 2019 34 |\n| Figure 12: Establishment size and 'Long or irregular working hours' – ESENER 2014 and 2019 34 |\n| Figure 13: 'Pressure due to time constraints', Yes responses – ESENER 2019 35 |\n| Figure 14: Employed persons and percentage of working time under pressure – Eurostat LFS Ad hoc |\n| 2019 35 |\n| Figure 15: Percentage of employed persons with working time under pressure (per country, sum of |\n| responses 'Always' and 'Often') – LFS Ad hoc 2019 36 |\n| Figure 16: Exposure to physical risks – ESENER, EWCS and LFS 39 |\n| Figure 17: Physical health risks compared (%) – EWCS 2015 42 |\n| Figure 18: Employment types in EU27, development 2005 to 2022 – Eurostat 47 |\n| Figure 19: Employed persons by main place of work – Eurostat 51 |\n| Figure 20: Employees working mostly from home (in % of employed persons) – Eurostat 52 |\n| Figure 21: Development of the total number of non-fatal accidents at work and incidence rates (accidents |\n| per 100,000 workers), 1998 and 2019 – Eurostat 65 |\n| Figure 22: Share of people reporting any accident and accidents resulting in time off work by country, |\n| 2020 70 |\n| Figure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and |\n| 2015-2020 71 |\n| Figure 24: Main causes of mortality 2019, EU27 79 |\n| Figure 25: Work-related deaths – estimates by WHO/ILO and ICOH for EU27 83 |\n| Figure 26: Work-related DALYs – estimates by WHO/ILO and ICOH for the EU27 84 |\n| Figure 27: Prevalence of musculoskeletal diseases – EWCS 2015 88 |\n| Figure 28: Satisfaction with working conditions in the main paid job – EWCS 2015 89 |\n| Figure 29: Flash Eurobarometer 2014 – Satisfaction with health and safety at work 90 |\n| Figure 30: 'Health at risk', sectoral responses for EU and three countries – EWCS 2015 91 |\n| Figure 31: 'Health at risk', responses in groups of EU Member States – EWCS 92 |\n| Figure 32: Age classes and work-related health problems in 2007, 2013, 2020 – LFS ad hoc module93 |\n| Figure 33: People reporting a work-related health problem and People reporting a work-related health |\n| problem causing daily limitations 2020 – LFS Ad hoc module 2020 94 |\n| European Agency for Safety and Health at Work – EU-OSHA 5 |", - "page_start": 4, - "page_end": 4, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Concerning the complaints about **poor communication and cooperation** within the organisation, all three Nordic EU Member States are represented in the seven countries with the highest burden, together with several central European countries. This is valid for both selected groupings, 'All sectors' and 'HHSW'.\n\nRegarding **long or irregular working hours**, we see a mix of countries from all regions. The order of countries in the sector HHSW — a mixture of countries from the East, South and North — is probably due to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed by Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%.\n\nMany analyses of psychosocial risks include **other relevant factors like decision latitude** (or decision authority) and **skill discretion** (level of skill and creativity required on the job). In a long-term analysis of the responses to the EWCS between 1995 and 2015, the authors conclude:15\n\n*'Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was mostly driven by psychological demands. People working in lower-skilled occupations had generally higher levels of job strain and effort-reward imbalance, as well as they tend to have a steeper increase in job strain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.'* \n\nAccording to this study, the **differences between the skills groups** are significant, below illustrated for the development of **'Psychological demands'** and **'Job strain'**; for these two indicators high-skilled and low-skilled manual workers are at the top of the scale.\n\n**Figure 4: Psychosocial risk factors – Differences between skill groups (Job strain)**", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Some of these groups are **directly addressed by European and national legislation**, for example, workers with disabilities, young workers or pregnant women. For other groups of workers, for example, for women or migrant workers, the legislative protection is formulated as a general 'equal treatment' prescription, like to provide preventive measures for all groups in an enterprise (Framework Directive, Article 15 'Risk groups'), or to provide solutions that fit to the individual (Framework Directive, Art. 6.2.d.). There are some prescriptions that refer to specific preventive activities, for example, to provide written instructions in different languages for safe work with chemicals.\n\n### **3.6 Conclusions**\n\nThe exposure **to psychosocial risks** is increasing, with mental health prevalence still emerging. Major work-related exposures have grown in the past 15 to 25 years that is, time pressure, difficult clients, longer working hours and poor communication. There is also some evidence that countries with overaverage employment in sectors like health and care or other human and client-oriented services (education, social work, tourism, entertainment) suffer from longer working hours and more mental burden. The northern countries are at the top of the countries with highest mental burden. The southern countries have a high share of specific psychosocial risks related to work in tourism and entertainment, characterised by atypical working times and issues with difficult clients.\n\n#### EU-OSHA found in its ESENER 2014 data analysis:112\n\n*'Concerning the sectors, national context appears to be related to differences in psychosocial risk management in all types of organisations, although in some sectors this relationship is weak. In the agriculture, forestry and fishing sector and the sectors of mining, construction, electricity, trade, transport, and accommodation and food, the low level of psychosocial risk management is observed also in a favourable national context. An explanation for this finding might relate to the large proportion of small organisations in these sectors, which, as concluded earlier, have poorer psychosocial risk management independently of the national context.'*\n\nThere is a stable **block of 'conventional' physical health risks** — ergonomics and risk from the work environment — and ergonomic risks that did not significantly change since 1990. It varies between 15% for exposure to smoke, fumes and dusts to over 60% for repetitive hand/arm movements. **Ergonomic risks** develop in two directions: 1) traditional risks stagnate in total, that is, lifting and moving heavy loads, painful or tiring positions, and shifts between sectors (from industry to transport, health and care); 2) risks of inactivity and highly repetitive hand/arm movements increase. Beside sectoral and occupational differences, it can be noted that in general higher percentages of exposed employed persons (workers and self-employed) are working in eastern and southern Member States.\n\nSince 2006 the average **working time** per week went down by 15 minutes for employees, and a slight reduction of most atypical — or unsocial — working times can be observed. Work intensification has emerged until 2005 but seems to stagnate since then. There are strong indications but no quantitative evidence on the extent to which working long hours, work at atypical times and probably also work with higher risks were **transferred to workers in non-standard types of employment**.\n\n**Non-standard forms of employment** are — according to EU-OSHA — characterised by a nonpermanent employment contract and the work not being performed at the premises of the employer. Most studies that dealt with the **connection between the employment forms and health outcomes** and in particular safety and health aspects found significant correlations. **New forms of employment** have a wider spectrum of contract types — e.g. voucher, platform — and of places of work — for many types of work practically everywhere.\n\n**Non-standard locations of work** — mobile work, homes as workplaces, domestic and care work have as common characteristics special conditions concerning implementation of OSH standards and legislation, be it for technical or legal reasons. Quantitative evidence on working conditions in these types of work is less available than for stationary workplaces; moreover, the OSH responsibility can be blurred. **Mobile ICT work** is a field of new contractual arrangements that besides other aspects in", - "page_start": 58, - "page_end": 58, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "highest quintile, a difference of 21% (EU27, 2019).196 The **European Quality of Life Survey** (EQLS) finds that 13% of the lowest quartile report bad health (EU28, 2016), compared to only 4% of the respondents of the highest income quartile.197\n\nThe **relation between socioeconomic status — measured by income — and working conditions** is often not further analysed, at least not on an aggregated statistical level. Due to complex methodological difficulties and strong national variations of the health systems, there are until now **no EU-wide morbidity statistics available, based on administrative data**.198 A 'Morbidity Task Force' at EU level worked between 2005 and 2011 on the development of such statistics.199 Country-specific data — without a harmonised approach between countries — are provided in EU and OECD publication series.200\n\nThe system of **European Core Health Indicators (ECHI)** provides an overview on prevalence of major diseases.201 Main morbidities covered until now are asthma, chronic obstructive pulmonary diseases (COPD), communicable diseases, depression, dementia, diabetes, diseases caused by drugs, HIV/AIDS, and physical or sensory functional limitations. However, in ECHI there is no option to relate these diseases to sectors or occupations.\n\nThe impact of work — as one essential element of the socioeconomic status — on health was the subject of numerous academic studies, often performed as specific case studies. The authors of an overview study on 'Cross-country inequality in the EU' summarise (more references in the original text):\n\n*'Occupational grade and labour market status are among the factors most often studied in relation to health and mortality. Occupational grade has been found to be associated with self-rated health, mental and physical health, such as the presence of long-standing illness and a number of diseases. Lower occupation might affect health through poor working conditions, such as the higher exposure to occupational hazards and toxic compounds, health-damaging behaviours and psychosocial stress. Work-based stress combined with a lack of autonomy over one's work are believed to be the psychosocial factors that can cause physiological changes, such as increased risk of cardiovascular diseases and reduced immune system response. It has been shown that the gaps in mortality between different occupational grades persist in old age and tend to widen with age.*202\n\nEurostat provides in the LFS **2020 Ad hoc module** on 'Accidents at work and other work-related health problems' a rough overview on such relations, with some specification, for example, for sectors, attainment levels, professional status, size of enterprise or occupation.203 The differences between four aggregated occupational groups and work-related health problems is shown in the next table.\n\n| Work-related health problems | 2020 |\n| --- | --- |\n| Managers, professionals, technicians and associate professionals | 9.40% |\n| Clerical support workers, service and sales workers report | 9.40% |\n| Skilled agricultural, forestry and fishery workers, craft and related trades workers | 13.40% |\n| Plant and machine operators and assemblers, elementary occupations | 11.80% |\n| Total | 10.30% |\n\n**Table 23: People reporting work-related health problems by group of occupations (ISCO) – LFS Ad hoc 2020204**\n\n9.4% of the group of 'Managers, professionals, technicians and associate professionals' and also 9.4% of the group of 'Clerical support workers, service and sales workers' report work-related health problems, 2.4% to 4% lower than the two groups with predominantly manual occupations.\n\nBased on a systematic review of literature on the topic of health factors, a consortium of World Bank and Harvard School of Public Health developed for the WHO in the early 1990s a new approach, the **Global Burden of Disease (BoD)**.205 This approach is meanwhile used by researchers and health institutes across the globe.206", - "page_start": 79, - "page_end": 79, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "satisfaction, for example, Austria, Cyprus, Germany, Greece, Ireland, Hungary, the Netherlands, Portugal and Slovakia. The one negative item might also be work-related health problems, for example, for Sweden and Finland.\n\nMost countries show more extreme contradictions, that is, being in some aspects better and in others worse than average, like Estonia, Lithuania, Poland, Bulgaria, Portugal, Slovenia and Spain. Many of these countries have very low figures for work-related health problems. Contradictory but mostly negative responses (two or three fields with values under average) we find for Austria, Belgium, Croatia, France, Latvia, Lithuania, Malta, Romania, Poland, Spain and Slovenia.\n\n### **4.4 Conclusions**\n\n**Work accident data** — fatal and non-fatal — show an impressive decline in the past 20 years, even if one takes into account the significant level of underreporting. Preventive technical and organisational safety measures and sectoral shifts were the crucial factors for this improvement. The relevance of **nonfatal accidents with severe health consequences** — permanent disability or more than three months' time-off period (more than 230,000) — should be recognised and further investigated.\n\n**Public health data** show a significant increase in **life expectancy** and **substantial shifts in morbidity** during the past three decades at EU level, also documenting major differences between EU Member States in mortality and morbidity. **Socioeconomic inequality** is an evident reason for higher mortality and morbidity. There is less evidence concerning the correlation between working conditions — as a major element of the socioeconomic status — and mortality and morbidity at EU level.\n\nThe clearest evidence on the **relationship between working conditions and diseases** exists for recognised occupational diseases, and for these, the trend is also strongly downwards. In contrast, the estimates of the development of **work-related diseases** — based on fractions of diseases attributable to work occupation — show a persistently high burden. The current estimates of ILO/WHO and of ICOH range between 115,000 and 180,000 deaths and between 4.5 million and 6.9 million DALYs; advanced research and the incorporation of more disease groups — mental health, diseases caused by biological agents — will significantly increase these figures. Literature, studies and surveys like the EWCS, LFS and the Flash Eurobarometer clearly show the strong relations between health status and occupation. Eurostat works on improvements concerning the morbidity statistics (task force, pilot statistics on occupational diseases). EU-wide morbidity statistics from national administrative sources might be available in the future; currently self-reported health data are the major source for EU-wide harmonised quantitative data.\n\n**Wellbeing and satisfaction at work** show similar patterns as health and work accidents and workrelated health issues. Sectors with high physical demands and high customer and client orientation and occupations with a lower skill level report lower wellbeing and satisfaction levels; these groups report a good health status — mostly being younger — but fewer expectations to be able to work in this occupation until the age of 60. Professions with strong customer and client orientation have lower-thanaverage wellbeing and satisfaction rates.\n\n**Workers in manual occupations** 265 have higher accident rates, lower life expectancy and less expectancy to do the job until age 60. **Administrative workers (clerical, managerial)** have a better status in the above-mentioned aspects but report a worse health situation. For many items the eastern EU Member States — often all of them — report the least positive data. The **healthy worker effect and cultural differences** — to express not being healthy — probably strongly influence the self-assessment.\n\nConcerning the levels of **self-reported 'Health at risk'**, the comparison between 2005 and 2015 suggests that the situation has slightly improved for all EU Member States; sector differences remain significant, but the East-West divide has become much smaller. Still, in some respect eastern and some southern European countries show worse data compared to central/western and northern European countries.", - "page_start": 98, - "page_end": 98, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "### **4.3 Wellbeing and health status**\n\nExisting concepts of **wellbeing** cover **more aspects of work than working conditions or safety and health** at workplaces. Eurofound mentions as the most relevant components: *income, working time arrangements, possibilities for skills development and career advancement, and the degree of individual control over work*.243 The United Nations Economic Commission for Europe (UNECE) developed a scheme of quality of employment that covers these aspects: *safety and ethics of employment, income benefits and employment, working hours and balancing working and non-working life, security of employment and social protection, social dialogue, skills development and training, workplace relationships and work motivation.*244\n\nThis chapter **focuses on the health and safety aspects** of wellbeing, although the OSH aspect is often not clearly separable from the above-mentioned aspects, that is, when surveys are intending to identify the level of 'satisfaction at work'. Still, due to its serious impact on all other aspects of working conditions, the consequences of insufficient health are regarded as critical:\n\n*'While OHS is only one substantive working condition, like earnings and job insecurity it is arguably a critical one for many workers. In terms of scope and severity, even official data … suggests poor OHS is something most workers will experience at some point and many far more frequently.'*245\n\nA common methodology to collect data on **health status** and wellbeing is **self-reporting and selfassessment** of workplace risks, health risks and health problems, absence, job satisfaction and working life perspective from a health point of view. The data are in general collected by EU-wide surveys, for example, by the EWCS, the Flash Eurobarometer, ESENER or the LFS Ad hoc modules. The description of working conditions in the OSH Barometer starts with responses regarding the **'Overall opinion'** on working conditions. This allows insight into the subjective assessment of health risks at work and wellbeing.\n\n### *4.3.1 Satisfaction at work*\n\nIn the EWCS of 2015, at EU level 86% of the workers respond that they are **'satisfied'** (60%) or **'very satisfied'** (26%) with their work. Country differences exist but are not striking. The EU Member States with the highest satisfaction rates are Austria, the Netherlands, Finland, Czechia, Denmark, Belgium and Estonia; they range between 93% and 90%. The six countries with the lowest sum of satisfied and very satisfied responses are Greece, Croatia, France, Spain, Italy and Latvia; their values range between 77% and 82%.\n\n#### **Figure 28: Satisfaction with working conditions in the main paid job – EWCS 2015246**", - "page_start": 88, - "page_end": 88, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "### **3.1 Psychosocial risks at work**\n\nDuring the last 30 years, the scientific, political and practical discussions on **psychosocial risks** and preventive measures against psychosocial risks have gained strong importance. After a period of doubts and resistance, today they are regarded as risks of the same severity as the classical physical safety and health risks.4 (Chapter 1 covers the psychosocial risk aspect; for the prevalence of mental diseases and the burden of mental diseases see Chapter 2.2.5)\n\nLooking at the steady increase of certain psychosocial risk indicators at workplace level, either the **risks have increased** and/or the **number of people working in occupations** with higher psychosocial risks has increased.6,7 This is valid, for example, for the indicator time pressure, for example, in delivery services, transport, and often also clerical work; the workforce has grown in sectors where emotional demands from dealing with difficult clients, customers, pupils or patients are common; there are also more workers employed (or self-employed) in interactional occupations, for example, in call centres, or in occupations with a high level of emotional tensions, for example, education, health and care.\n\n#### **Figure 2: Risk factors that can adversely affect mental wellbeing – EWCS8 and ESENER9**\n\nA major difference between the ESENER and the EWCS survey is the respondent. In ESENER those persons who are most familiar with OSH or responsible for OSH in an enterprise were asked whether a certain risk factor exists in the enterprise; in the EWCS survey workers themselves were asked whether they are exposed to a risk factor.", - "page_start": 23, - "page_end": 23, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "| List of figures 5 | |\n| --- | --- |\n| List of tables 7 | |\n| Foreword by Nicolas Schmit, European Commissioner for Jobs and Social Rights 8 | |\n| Acknowledgements 9 | |\n| 1 | Executive summary 10 |\n| 2 | Setting the scene 20 |\n| 3 | Status of working conditions 23 |\n| 3.1 | Psychosocial risks at work 24 |\n| 3.1.1 | Working time in hours and at atypical times 29 |\n| 3.1.2 | Work intensity 33 |\n| 3.2 | Physical health risks at work 38 |\n| 3.3 | Contract types and work locations 45 |\n| 3.4 | Mobile work, home as workplace and domestic work 49 |\n| 3.5 | Worker groups with specific risks and needs 54 |\n| 3.6 | Conclusions 59 |\n| 4 | Trends in outcomes – safety, health and wellbeing 61 |\n| 4.1 | Trends in safety outcomes – work accidents 61 |\n| 4.1.1 | Non-fatal work accidents 64 |\n| 4.1.2 | Serious non-fatal and fatal work accidents 71 |\n| 4.2 | Trends in health outcomes 73 |\n| 4.2.1 | Statistical picture of mortality and morbidity 77 |\n| 4.2.2 | Attributable fractions, risk pairs and burden of disease 81 |\n| 4.2.3 | Examples of specific prevalence estimates 86 |\n| 4.3 | Wellbeing and health status 89 |\n| 4.3.1 | Satisfaction at work 89 |\n| 4.3.2 | Health affected – overall opinion 91 |\n| 4.3.3 | Reported health problems 92 |\n| 4.3.4 | Working life perspective – health 96 |\n| 4.3.5 | Summary of survey results on wellbeing and health status 98 |\n| 4.4 | Conclusions 99 |\n| 5 | Major context developments and their influence on working conditions 101 |\n| 5.1 | Changes from industrial to service sectors 101 |\n| 5.2 | Technological developments – influence on OSH 103 |\n| 5.3 | Workforce structure 109 |\n| 5.4 | Globalisation and OSH 114 |\n| 6 | OSH legislation and OSH infrastructure in the EU 118 |\n| 6.1 | Foundation, legislation, compliance and supervision 118 |\n| 6.2 | EU and national OSH strategies 124 |\n| European Agency for Safety and Health at Work – EU-OSHA | 3 |", - "page_start": 2, - "page_end": 2, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "# **3 Status of working conditions**\n\nThis chapter on health and safety-related working conditions provides an overview on status and development of working conditions; it is mainly based on the indicators that were **selected for the data visualisation in the OSH Barometer**. This is a quite limited selection of major data; in surveys and statistics many more indicators on working conditions are provided, particularly at national level.\n\nPractically all working conditions influence **mental health**, that is, they involve **psychosocial risks**, and all also involve **'physical risks'**, including safety aspects of these risks. Mental health risks are illustrated in the OSH Barometer by datasets on time pressure, poor communication, dealing with difficult clients, discrimination and harassment, and similar. **Physical risks** include datasets on accidents at work, exposures to chemical and biological substances, exposure to noise, vibrations, high or low temperatures, and working tasks with ergonomic risks, like carrying, lifting heavy loads or work in tiring or painful positions; and also permanent physical inactivity, mainly sitting or long standing.2\n\nThe figure below shows the percentage of enterprises reporting OSH risks 'present in the establishment', compared between 2014 and 2019 (ESENER) and covering mental and physical risks.3\n\n#### **Figure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019**\n\nNote: Prolonged sitting was a new item in the 2019 survey.\n\nBetween 2014 and 2019, some risk factors increased, like 'Repetitive hand and arm movements', 'Lifting or moving people of heavy loads', and 'Having to deal with difficult customer, patient and pupils; many others showed no changes, like 'Risk of accidents with machines or hand tools', 'Chemical or biological substances', and 'Loud noise', or minor decreases like 'Risk of accidents with vehicles'.", - "page_start": 22, - "page_end": 22, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Has the average working week for employees working full-time decreased since 2006?", - "target_page": 31, - "target_passage": ". The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The **commuting time** between home and workplace is quite stable; in 2005 at EU27 level, it stood at 42.4 minutes, and in 2015 Eurostat reports 40.2 minutes (time for both ways, to the workplace and back).19\n\n**Work at atypical working times** is in general regarded as a working condition with negative health impact, called **work extensity**. The two major indicators of atypical working times are work at **'atypical working times'** and **'long working hours'**.\n\nEurostat reports for **'Employment at atypical working time'**20 a minor decrease between 2011 and 2019, from 38.8% to 37.2% (EU27), for all employed workforce and all types of such atypical time.21 Some **groups of self-employed** show a higher rate of atypical working times but also for most of the categories of self-employed the rates decreased during the period 2011 to 2019. **High managerial selfemployed** had a slight increase from 42.1% to 43.2% in this period. For the **low managerial selfemployed** Eurostat finds a decrease from 69.2% to 64.5%. The figures for **small entrepreneurs** dropped slightly from 56.6% to 54.1%, the same applies for employed persons in **personal care work** with a minor change (50.6% to 49.8%). **Agricultural self-employed** had the highest level of such working times; they showed a decrease from 68.4% to 63.4%.\n\nThe length of the daily or weekly working time, its allocation over the 24 hours of a day or at night are important factors for health and wellbeing. The statistical data (Eurostat) show a slight decrease **of the average weekly working time for full-time employees** (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.22 The data also document slight increases and decreases of work at atypical times (response option for frequency: 'usual').23 In 2006 and 2019, the following percentages of all employed persons worked at atypical times: on **Saturdays** the percentage decreased from 28% to 25%, **working on Sundays** remained stable at around 13.5%, **working in the evenings** decreased from 19% to 15%, **work at night** fell from 7% to 5% and **shift work** increased slightly from 17% to 18%.24", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Two country examples might illustrate these developments (all data for 2019): Slovakia, a country with a high share of process-based industries, reports that 15.0% of its workforce is working at night and 29% in shifts; for the EU27 this rate is 5.2% respectively and 18.3%.25 Regarding work on Sundays three other countries are at the top of the EU27, the Netherlands, Ireland and Spain; they report between 18% and 21% (EU27 average = 13.5%); all three countries have an above-average share of sectors like transport, tourism and agriculture.26\n\nFor all these types of work it should be take into account that other groups of **workers under nonstandard types of employment contracts** (self-employed, agency workers, students, pensioners, undeclared workers) might have taken over work at these atypical working times.\n\nConcluding, it can be stated that there is a **slight trend towards a reduction of weekly working hours for regularly employed** workers, including a stable commuting time. Working hours at atypical times show a mixed picture. Looking at most types of employees, **atypical working time decreased, except work on Sundays**. For self-employed with employees, the working time at atypical hours is in general at a higher level. The number of employees in night work is decreasing. More employees in service and client-related occupations at night or in shifts but also here the atypical times are slightly decreasing.\n\nProbably these changes **mirror the structural economic changes**, that is, the shift of workforce between sectors. Night work was common in many industries as part of a three 8-hours shifts, not only in industries with permanent production processes (steel, chemicals, etc.).27 Moreover night work is and was common in essential services like health, transport, technical infrastructure and security. The", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**Figure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion)**\n\nFor 'Decision authority' and 'Skill discretion', the authors found a stable situation since 1995, even a small rise of skill discretion for manual workers after 2010. Regarding 'Psychological demands' and 'Job strain', the major increase for all groups took place between 1995 and 2005. This growth decelerated after 2005, this observation is also valid for other working conditions, like work intensity.\n\n### *3.1.1 Working time in hours and at atypical times*\n\n**Too many hours of working time and/or working hours at atypical or unsocial times** can put **the mental** and **the physical health** of humans at risk. It is also regarded as a major **contributing factor to work accidents**, due to fatigue or exhaustion.16\n\nThe main indicator to describe working time is the **number of the weekly average working hours** of full-time employees. However, regarding its impact on health and safety, **other aspects of working time are of the same relevance**:\n\n- How long is the average working day?\n- At which times and days is this work done (typical, atypical times)?\n- How often do long working hours take place?\n- Is the work split between two jobs?\n- How flexible are start and end?\n- How intense is the work during this time (breaks, deadlines)?\n- Which groups of workers have standard working times and which do not (e.g. depending on the sector or the type of contract, e.g. sub-contracted workers or self-employed)?\n\nThere is a **slight trend towards fewer working hours** for full-time **employees** (not 'Employed persons') in the EU27; between 2006 and 2019 the average weekly working time dropped from 40.2 to 39.9 hours, a decrease of approximately 15 minutes.17\n\nRegarding the weekly hours, there are **no striking differences** between the EU27 Member States. In 2019, Cyprus, Austria and Malta with a high share of workers in the sector of tourism (accommodation) had the highest number of working hours per week (above 41 hours), and Denmark, the Netherlands and Italy the lowest number (39 or fewer) (full-time, employees, 15-64 years, all NACE codes).18", - "page_start": 28, - "page_end": 28, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "methodology, the OSH practitioners who were asked in ESENER seem to have a different view on time pressure than the workers themselves who are respondents in the LFS.\n\n**Figure 15: Percentage of employed persons with working time under pressure (per country, sum of responses 'Always' and 'Often') – LFS Ad hoc 2019** \n\nOne hypothesis to explain the increased time pressure is to draw a direct **connection between short weekly working time and more intense work**; or in other words, a short weekly working time leads to more **intensification of work or more long hours or atypical working times** ('trading flexibility for effort').38\n\nThe analysis of EU survey data shows **a mixed picture**: Firstly, ESENER data corroborate this hypothesis, the three countries with highest percentage of work under time constraints — that is, Finland, Sweden and Denmark — all have working hours under the EU average. Secondly, LFS data show a different picture; a country like Greece has the longest working hours and also reports the highest time pressure, the same 'combination' — but less extreme — applies to Austria, Cyprus and Malta. Trends of low or less than average working time and no time constraints are reported for Lithuania, and medium working time and low time constraints for Italy and Ireland.\n\nAn analysis of EWCS data concluded39 that in general intensity increases with long working hours, in enterprises with 1-19 the work intensity index (on a scale between 0 and 12) is 4.4, in larger enterprises with above 40 employees it is 6.3. This is in line with ESENER data that corroborate the importance of the **size of the enterprise** for time pressure and long working hours.\n\nLiterature — from very diverse disciplines — on work intensification points to **reasons for intensification on developments as:40**\n\n- Economic developments, particularly the dominance of neoliberalist policies and enhanced competition between workers, companies and states; reduction of state influence and privatisation.41\n- Pressure due to substantial organisational changes, for example, introduction of short-term economic objectives in enterprise policies, 42 expansion into new markets or new countries, acquiring other enterprises or merging, being acquired, restructuring of management or of basic staff working conditions (contracts, working time, flexibility).43\n- Decrease of trade union influence or worker participation regarding labour relations.\n- Liberalisation of labour legislation, creation of 'new forms of work' and new contract types, beyond the permanent full-time employment.44\n- New forms of management, application of management concepts like just-in-time production or lean management, higher flexibility of production and higher customer orientation, 45", - "page_start": 35, - "page_end": 35, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "21 Eurostat: Ad hoc module 2019 on work organisation and working time arrangements. Employment at an atypical working time (time period start with 2011), here and here\n\n22 Eurostat Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2). here Filter: Employees, Full-time, All NACE, EU27 2019 Q4.\n\nEurostat Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), here Filter: Employees, Full-time, All NACE, EU27 2019 Q4.\n\n23 Eurostat definition of atypical work: The atypical work distinguishes between \"evening or night work\", \"Saturday or Sunday working\", and \"shift work\".\n\n24 All data were retried from tables in: Labour market > Employment and unemployment (Labour force survey) M > LFS series - detailed annual survey results M > Population in employment working during unsocial hours - LFS series\n\n25 Eurostat: Employed persons working at nights as a percentage of the total employment, by sex, age and professional status (%)\n\n26 Eurostat: Employed persons working on Sundays as a percentage of the total employment, by sex, age and professional status (%)\n\n27 Fiz Perez et al., 2019: Shift and night work management in European companies\n\n28 OSHWiki, 2022: Psychosocial issues – the changing world of work\n\n29 Eurofound, 2003: Time and work: Work intensity\n\nEurofound, 2009: Working conditions in the European Union: Working time and work intensity 30 Eurofound, 2017: Sixth European Working Conditions Survey – Overview report (2017 Update) (p. 48).\n\n31 ESENER addresses the person in an enterprise responsible for or closest to the topic of OSH; the EWCS is a worker survey. In addition, the response options were different from the EWCS. Two options in ESENER, 'Yes' or 'No', compared to three options in the EWCS: '(Almost) all of the time', 'Between ¼ and ¾ of the time', '(Almost) never'.\n\n32 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data visualisation, section 'Comparisons 2014-2019', section 'Psychosocial risk factors present in the establishment', 'Pressure due to time constraints'.\n\n33 Ibid., Section 'Psychosocial risk factors present in the establishment', 'Long or irregular working hours'. 34 Ibid., Section 'Psychosocial risk factors present in the establishment', The exact question was: 'Please tell me for each of the following risks whether or not it is present in the establishment?' 'Pressure due to time constraints'. Response option: Time pressure.\n\n35 Ibid., Section 'Psychosocial risk factors present in the establishment', The exact question was: 'Please tell me for each of the following risks whether or not it is present in the establishment?' 'Pressure due to time constraints'. Response option: Time pressure.\n\n36 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data visualisation, section 'Comparisons 2014-2019', section 'Psychosocial risk factors present in the establishment', The exact question was: 'Please tell me for each of the following risks whether or not it is present in the establishment?' 'Pressure due to time constraints'. Response option: Time pressure.\n\n37 Eurostat, 2019: Persons in employment by frequency of working under time pressure, educational attainment level and professional status, 20-64 years, percentages calculated from numerical data\n\n38 Kelliher & Anderson, 2010: Doing more with less? Flexible working practices and the intensification of work 39 Piaska, 2018: Scheduled to work hard: The relationship between non-standard working hours and work intensity among European workers (2005–2015)\n\n40 See also the overview in: EU-OSHA, OSHWiki, Guyot, S: Psychosocial issues – the changing world of work, here\n\n41 Newer literature: James & Walters, 2022: Work and Health: 50 Years of regulatory failure.\n\n42 Davis & Kim, 2015: Financialization of the Economy\n\n43 Ethics & Compliance Initiative, 2020: Global Business Ethics Survey Report. Pressure in the Workplace: Possible Risk Factors and Those at Risk\n\n44 Johnstone et al., 2005: Statutory Occupational Health and Safety Workplace Arrangements for the Modern Labour Market\n\n45 Lorenz & Valeyre, 2005: Organisational Innovation, Human Resource Management and Labour Market Structure: A comparison of the EU-15\n\n46 Directive 2003/88/EC of 4 November 2003 concerning certain aspects of the organisation of working time", - "page_start": 141, - "page_end": 141, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "number of workers in industry decreased, but the number of workers in the above-mentioned service sectors increased.\n\n### *3.1.2 Work intensity*\n\nThere are numerous references showing that during the period **between 1990 and 2005 work intensity has considerably increased**.28\n\nFor example, Eurofound has analysed the responses to the two EWCS questions on high speed at work and tight deadlines. The EWCS found a significant increase of work intensity between 1991 and 2005. In 1991, **'Working at a very high speed'** was for the majority of respondents not an issue. Fifty-two per cent of the workers responded to this statement 'Never' or 'Almost never'; in 1991, 24% worked at high speed and responded 'Around ¾ of the time', 'Almost all of the time' and 'All of the time'; until 2005 this response rate went up by 11% to 35%.\n\n**Working to tight deadlines** was not an issue for 34% in 1990, and in 2005 only for 19%, a reduction of 15%. The percentage of the sum of responses 'Around ¾ of the time', 'Almost all of the time' or 'All of the time' to this question on tight deadlines increased between 1991 and 2005 from 29% to 37%. Regarding these two indicators, **work intensity has evidently increased** between 1991 and 2005.29\n\n#### **Figure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound**\n\nAfter that first period between 1991 and 2005, **this development seems to stagnate between 2005 and 2015**.30 The responses 'Almost all of the time' or 'All of the time' vary only slightly, between 33% and 37% depending on year and question ('Working at high speed' or 'Working to tight deadlines').\n\nDifferences can be seen regarding sector, company size and occupation. **Regarding work intensity**, ESENER enterprise data on time pressure for the EU27 indicate a slight increase of 2.3% between 2014 and 2019 from 43% to 45%.31 Interestingly, according to ESENER, time pressure drastically **increases with the size of the enterprise**. In enterprises with 5 - 9 employees, 39% report time pressure, and in enterprises with above 250 employees 69%. 32 The same applies for long working hours, where enterprises with 5 - 9 employees report 19% 'long working hours', and in enterprises with above 250 employees this percentage increases to about 39% (EU27, 2019).33", - "page_start": 32, - "page_end": 32, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Some important questions remain at the end of such a report:\n\n- The **quality of statistics and surveys fades the more irregular are the working** conditions being studied. Which research methods are adequate for a clearer and more reliable evidence base on these working conditions? It might require research methods different from those used today, for example, more investigative case studies; it might also be helpful to evaluate the **existing national working conditions surveys or statistics** under this aspect.\n- **Fading employer–employee relations.** There are special research efforts necessary to study the application of OSH regulations of work with weak or no employer–employee relations, for example, for the self-employed and new forms of employment.\n- **Surveys usually suffer a participation bias, for example, for the migrant workforce.** The low participation rate of migrants can contribute to a particular underestimation regarding their often unfavourable working conditions.\n- **Workers in manual occupations** report **better health than administrative workers** but **less expectations to do the job until being 60 years old**. What are the reasons behind this? Is it the healthy worker effect, strong occupation-related differences regarding the perception of health and the expression of health problems?502,503\n- High work intensity is a major cause for low wellbeing and high psychosocial risks. Survey data suggest that **work intensification stopped after 2005**. What might be the reasons? Are the current indicators not specific enough to measure developments of work intensity? Has since then the major burden of intensification been put on other types of workers, for example, subcontracted or self-employed, temporary and seasonal workers, or on workers in the global supply chain?\n- How much evidence is there that **dangerous work has been increasingly contracted out to small and medium-size enterprises and the self-employed**? Are there sufficiently detailed data on whether a larger share of service and client-related work at atypical times or work requiring long working hours has been taken over by self-employed or subcontractors?\n- The **influence of enterprise size** is often difficult to explain. In several aspects, the SMEs perform better, and in other important aspects worse. What might be the reason for this?\n- **How is it possible to overcome the 'prevention gap' that in general exists between mobile and stationary workplaces?** Can the solutions be technical or must there be organisational and legal measures, for example, a limitation of the prolonged use of ergonomically inadequate equipment like mobile phones?\n- Impact of **international and global supply chains on OSH: Does it improve or worsen the working conditions in the EU?** Research could try to estimate the risk-reducing impact of the shift of some high-risk productions to enterprises outside the EU, for example, mining, base chemicals, recycling and so on (export of risks), and to estimate the OSH impact of EU export production, for example, vehicles, specialty chemicals, machines for risks at work inside the EU (import of risks).\n- It would also be a big step forward if research could achieve an agreed **standard value or a standard range** (as reliable as possible) for the **attributable fraction of work** to widespread diseases, that is, cardiovascular diseases, mental and behavioural disorders, musculoskeletal diseases and cancer.\n- **Compliance** with and impact of legislation. Currently, there are data on the percentage of enterprises with a risk assessment but very limited information about the **quality of these risk assessments and of implemented risk management and reduction measures**. Previous studies indicate that in many cases the risk assessment is conducted by an enterprise just to comply with legal obligations (paper compliance). A possible approach could be an **anonymous evaluation of the quality of a representative share** of risk assessments.", - "page_start": 139, - "page_end": 139, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Concerning the complaints about **poor communication and cooperation** within the organisation, all three Nordic EU Member States are represented in the seven countries with the highest burden, together with several central European countries. This is valid for both selected groupings, 'All sectors' and 'HHSW'.\n\nRegarding **long or irregular working hours**, we see a mix of countries from all regions. The order of countries in the sector HHSW — a mixture of countries from the East, South and North — is probably due to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed by Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%.\n\nMany analyses of psychosocial risks include **other relevant factors like decision latitude** (or decision authority) and **skill discretion** (level of skill and creativity required on the job). In a long-term analysis of the responses to the EWCS between 1995 and 2015, the authors conclude:15\n\n*'Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was mostly driven by psychological demands. People working in lower-skilled occupations had generally higher levels of job strain and effort-reward imbalance, as well as they tend to have a steeper increase in job strain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.'* \n\nAccording to this study, the **differences between the skills groups** are significant, below illustrated for the development of **'Psychological demands'** and **'Job strain'**; for these two indicators high-skilled and low-skilled manual workers are at the top of the scale.\n\n**Figure 4: Psychosocial risk factors – Differences between skill groups (Job strain)**", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**Figure 18: Employment types in EU27, development 2005 to 202265 – Eurostat**\n\nThe minor deviation of the sum of the different types of employment to the 100% 'Employed persons' is due to 'No response' answers. The data of part-time employees and of employees with a temporary contract are for the full year 2019, not for Q4.\n\nThe group 'employees' is characterised by **two major contractual distinctions** that are important for OSH: 1) **full- or part-time** work, and 2) the **time limit of the contract** (indefinite or temporary). Moreover, in many Member States there are major differences between employment contracts of private employers in comparison to public employers.\n\n#### **Definitions Eurostat66**\n\n**Employers = self-employed with employee:** employing one or more employees: persons who work in their own business, professional practice or farm for the purpose of earning a profit and who employ at least one other person.\n\n**Self-employed:** not employing any employees (self-employed without employees): persons who work in their business, professional practices or farm for the purpose of earning a profit and who employ no other persons.\n\n**Employees:** persons who work for a public or private employer and who receive compensation in the form of wages, salaries, fees, gratuities, payment by result or in kind. Contributing family workers: persons who help another member of the family to run a farm or business, provided they are not classed as employees.", - "page_start": 46, - "page_end": 46, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "| Table 30: Development of male and female workforce in the EU27 between 2005 and 2019299 |\n| --- |\n\n| Eurostat, EU-27 (in millions, 15-64 years) | Q4 2005 | Q4 2019 | Development |\n| --- | --- | --- | --- |\n| Total | | | |\n| Employed persons | 181.2 | 195.8 | Plus 8.1% |\n| Employees | 150.3 | 167.9 | Plus 11.7% |\n| Female | | | |\n| Employed persons - female | 79.9 | 90.2 | Plus 12.9% |\n| Employees - female | 69.3 | 80.6 | Plus 16.3% |\n| Male | | | |\n| Employed persons - male | 101.3 | 105.6 | Plus 4.2% |\n| Employees - male | 81 | 87.3 | Plus 7.8% |\n| Self-employed (with and without employees) | | | |\n| Total | 27.4 | 25.2 | Minus 8.0% |\n| Self-employed - female | 8.2 | 8.5 | Plus 3.7% |\n| Self-employed - male | 19.1 | 17.6 | Minus 7.9% |\n| Share of female employed persons | 44.1% | 46.1% | |\n\nAlthough female employment has grown faster than the men's rate, the employment rate for men is still 11% higher. Due to the much higher rate of part-time work — women 30%, men 9%300 — the gender gap concerning participation in the labour market is higher when transforming the working time into 'fulltime equivalents' (FTE). EIGE calculated a difference of 16%: *'The EU average FTE employment rate is 41% for women, compared to 57% for men.'301,302*\n\nThe **average age of the workforce has drastically changed** during the last 17 years. In 2005, the age class between 55 and 64 years represented 11.1% of all employed persons, and in 2019 already 18.4% of the workforce — a growth of 16 million employed persons. At the same time, the share of the age class between 15 and 39 years decreased from 49.6% to 41.6%, or 8.5 million. Already 5.1 million employed persons are older than 65 years, making up a share of 2.6% of the workforce.303\n\n| Eurostat, EU-27 (in | Q4 2005 | Q4 2019 | Share of total | Share of total | Development |\n| --- | --- | --- | --- | --- | --- |\n| thousands) | | | 2005 (15-64) | 2019 / Q4 | |\n| Employed persons | 181,225 | 195,791 | 100 | 100.0% | 8.0% |\n| Employed persons | 89,906 | 81,490 | 49.6% | 41.6% | -9.4% |\n| 15-39 years | | | | | |\n| Employed persons | 20,096 | 35.942 | 11.1% | 18.4% | 78.9% |\n| 55-64 years | | | | | |\n| Employed persons | 2,971 | 5,135 | 1.6% | 2.6% | 72.8% |\n| 65 years and over | | | | | |\n\n#### **Table 31: Average age of the EU27 workforce304**", - "page_start": 109, - "page_end": 109, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "What is the definition of a work accident according to the International Labour Organisation?", - "target_page": 38, - "target_passage": "ILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.’", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "#### **Table 18: People reporting an accident by group of occupations (ISCO) – LFS Ad hoc 2020156**\n\n| Self-reported work accidents | 2020 |\n| --- | --- |\n| Managers, professionals, technicians and associate professionals | 1.5% |\n| Clerical support workers, service and sales workers | 2.1% |\n| Skilled agricultural, forestry and fishery workers, craft and related trades workers | 4.1% |\n| Plant and machine operators and assemblers, elementary occupations | 3.4% |\n| Total | 2.3% |\n\nIn the Member States there exist very **diverging perceptions of which level of severity of a work accident justifies a notification** — or in the case of the LFS survey a positive response. In the LFS Ad hoc module of 2020, the figures vary significantly between Member States. Some countries practically report only accidents with 'Off work' periods, for example, Italy, Lithuania, Malta and Poland. In other countries the shares of work accidents reported that result in 'Off work' are under 40%, for example, for Sweden and Finland, Greece, Denmark and France.157That means that in these countries the respondents reported more than 50% such work accidents that did not cause an absence. Cultural differences in health perception in society and working life will probably be the major reason for these differences.", - "page_start": 68, - "page_end": 68, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "ESAW provides more detailed data about the **severity of non-fatal accidents**. 164 According to Eurostat's evaluation of 'Causes and circumstances' of work accidents (**data from 2005, EU-15 and Norway**), in 2005, 3.9% of the non-fatal work accidents or 157,494 non-fatal accidents led to **permanent incapacity** (full or partly), and 138,568 (3,4% of all accidents) to absences from three to six months.165\n\n**In 2019**, the **outcome** 'Permanent incapacity or 183 days *(of time-off)* or over' **made up 4.4% of all non-fatal work accidents or a little more than 100,000 cases**. **As serious outcomes** we regard at least the cases in the ESAW category: non-fatal accidents involving these consequences are more than **34 times more frequent than fatalities**. These detailed time-off and outcome data are only available for the sectors A and C-N, not for the other sectors with lower accident rates. If we include in the definition of a serious accident also the **ESAW category 'Time off between 3 and 6 months', another 5.4% or 129,150 non-fatal accidents** would be added to the category 'Serious accident'.\n\nThis would **sum up to 232,892 accidents at work with a time off between three and six months, and of more than six months or a permanent handicap**.\n\n| All Accidents in A, C-N | More than 6 months or permanent handicap | Fatal | Coefficient between more |\n| --- | --- | --- | --- |\n| | (% of all accidents) | (% of all accidents) | than 6 months or permanent handicap / fatal |\n| | 103,742 | 3,008 | |\n| 2,377,146 | | | 34.5 |\n| 100% | 4.4% | 0.13% | |\n| | Time off between 3 and 6 | Fatal | Coefficient between time |\n| All Accidents in A, C-N | months | | off between 3 and 6 months / |\n| | (% of all accidents) | (% of all accidents) | fatal |\n| 2,377,146 | 129,150 | 3,008 | 42.9 |\n| 100% | 5.4% | 0.13% | |\n| All Accidents in A, C-N | Time off between 3 and 6 months, more than 6 | Fatal | Coefficient between time off |\n| | months or permanent | | between 3 and 6 months. more |\n| | handicap | | than 6 months or permanent |\n| | | | handicap |\n| | (% of all accidents) | (% of all accidents) | |\n| 2,377,146 | 232,892 | 3,008 | 77.4 |\n| 100% | 9.8% | 0.13% | |\n\n#### **Table 20: Severity of accidents in the EU27 in 2019 (sectors A and C-N)166**\n\n**National data** showed similar coefficients; a calculation for two EU Member States showed a coefficient of 27 for Germany (only permanent handicap) and 66 for France.167 EU-OSHA used the severity data of Eurostat in its study on 'The value of occupational safety and health and the societal costs of workrelated injuries and diseases' (2019).168\n\nAccording to the publication 'Causes and circumstances of accidents at work in the EU' (DG EMPL and Eurostat), the types of work accidents **causing the longest average days of absence** are: 'Slipping, stumbling and falling' (46 absence days), followed by three more categories at the same level: 'Loss of control of machines or handheld tools', by 'Shock, fright, violence, aggression, threat, presence',169 and by 'Electrical problems, explosion and fire' (all three types of accidents with an average of 38 days of absence).170\n\nTo conclude, for an estimate of the burden of accidents at work, the distinction between fatal and nonfatal is too rough. **ESAW data allow a finer analysis, at least for the sectors with higher accident risks.** The high number of serious and permanent health outcomes cause human suffering and significant societal costs; but they play an undervalued role in discussions on work accidents as OSH indicators. It has to be mentioned that these data play a large role as **indicators in non-European OSH systems**; Canada uses the Disabling Injury Frequency Rate (DIFR).171 Australia applies incidence and", - "page_start": 71, - "page_end": 71, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "### *4.1.2 Serious non-fatal and fatal work accidents*\n\nEurostat defines a fatal work accident as follows*: 'A \"fatal accident\" means an accident which leads to the death of a victim within one year of the accident'.*160 Fatal commuting accidents are excluded, or when counted at national level, excluded from the ESAW data.\n\nIn the last decade, most EU Member States registered a **significant decrease of fatal work accidents**.161 From 2010 to 2019, for the EU27, the **incidence rate of fatal accidents decreased over all sectors from 2.31 to 1.74**, or a minus of 25%. In the period between 2010 and 2019 the sectoral figures of five major sectors developed as follows:\n\n| Sectors, EU-27 | Incidence rate 2010 | Incidence rate 2019 | Development 2010 to 2019 |\n| --- | --- | --- | --- |\n| Agriculture (A) | 4.55 | 4.44 | plus 10% |\n| Manufacturing (C) | 2.27 | 1.6 | minus 30% |\n| Construction (F) | 7.54 | 6.52 | minus 14% |\n| Wholesale (G) | 1.43 | 1.0 | minus 30% |\n| Transport and storage (H) | 7.16 | 4.84 | minus 32% |\n| All sectors | 2.31 | 1.77 | minus 23% |\n\n#### **Table 19: Incidence rates of fatal accidents per sector in 2010 and 2019 (EU27)162**\n\nAlso, large differences between countries can be noted. The following figure — taken from the OSH Barometer — calculates the number of fatal accidents in periods and compares the period 2010-2014 with 2015-2020. The reason is that — particularly in smaller Member States — a year with one serious and large work accident and several fatalities, or another year without any fatal accident, would distort the annual picture and create significant changes from year to year. Romania, Luxembourg and Bulgaria have the highest incident rates, and the Netherlands, Sweden and Germany the lowest. In 25 countries the rate fell or stagnated in these two periods, with exceptions being Luxembourg and Greece.", - "page_start": 70, - "page_end": 70, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "way by OSH legislation or OSH practice. The principle of employer responsibility for working conditions of workers is undermined or at least blurred in such situations.\n\nFuture solutions could focus on several aspects — a **new definition of 'work' or of 'employment', stronger individual responsibility, or extended state interventions to guarantee OSH** also in such working and employment conditions. There are some examples of such solutions but to date most of them focus on better information, that is, stronger individual responsibility.\n\n**Undeclared and illegal employment is scarcely visible** in the statistics. Due to the difficult conditions for research, the overall OSH situation in these types of work is widely unknown; in case study-based investigative studies, the working conditions — including safety and health — for this group are mostly regarded as worse compared to workers with a regular work contract. It seems to be necessary to consider different research and action initiatives for this type of work, also in collaboration with other state supervising authorities.\n\nThe health data clearly show an ever-growing **share of work tasks that go along with or even require physical inactivity**. Inactive work is often characterised by permanent sitting combined with high requirements for visual and mental focusing during work, for example, towards digital equipment or to traffic situations. Serious indirect health consequences of such inactivity can be seen in the strong increase in certain widespread diseases or disease-supporting factors, like obesity.\n\nEven 15 years after the enlargement of the EU in 2004, **significant differences between Member States** can still be observed regarding several working conditions. The data demonstrate that the worst status concerning physical risks, wellbeing, and expectations to do the job until the age of 60 — is almost always present in eastern EU Member States, followed by southern Member States, all compared to the status in central, western and northern Member States**.** For psychosocial risks, it is just the other way around, these are more often reported in central, western and northern Member States.\n\n**International organisations complain about an unfair divide of OSH risks in globalised supply chains**, be it in mining, metallurgy, textile production, disposal of hazardous waste or other sectors. The ILO decided in June 2022 to make OSH one of the Fundamental Principles and Rights at Work. In this context, 10 ILO conventions and instruments are considered now as fundamental, including two OSH conventions: the Occupational Safety and Health Convention, of 1981 (No. 155) and the Promotional Framework for Occupational Safety and Health Convention, of 2006 (No. 187). Ethical, fairness and justice considerations have led to more activities on decent, safe and healthy work in developing countries and a fair share of risks at work in global supply chains. These are important initiatives, but until now they only slightly changed the overall situation when looking at the global scale of the issue.", - "page_start": 18, - "page_end": 18, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**ICOH** stated in its Centennial Declaration:\n\n*'The globalization process has not succeeded in equalising the conditions of work but in fact the opposite has occurred; the gaps are increasing. Poverty, inequality and under-development are closely associated with the poor safety, health and social conditions of work, as they are also linked with illiteracy, lack of education, poor access to health services and low or non-existent social protection.*323\n\nInternational organisations like the ILO, WHO and UN have also taken up **the task to promote OSH worldwide**. The ILO has established a system of conventions; their implementation is monitored in the signature states.324 The ILO has issued and decided on nine 'Fundamental conventions' that have been signed by 92% of the ILO member states.325 These fundamental conventions are:\n\n- 1. Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87);\n- 2. Right to Organise and Collective Bargaining Convention, 1949 (No. 98);\n- 3. Forced Labour Convention, 1930 (No. 29) (and its 2014 Protocol);\n- 4. Abolition of Forced Labour Convention, 1957 (No. 105);\n- 5. Minimum Age Convention, 1973 (No. 138);\n- 6. Worst Forms of Child Labour Convention, 1999 (No. 182);\n- 7. Equal Remuneration Convention, 1951 (No. 100);\n- 8. Discrimination (Employment and Occupation) Convention, 1958 (No. 111); and\n\n9. (since 2022) Two conventions on Occupational Safety and Health, that is, C-155 Occupational Safety and Health Convention, 326 and C-187 Promotional Framework for OSH Convention. 327\n\nThe ILO also promotes the **'Decent work' approach** to improve working conditions, covering aspects like fair income, social protection for families, better prospects for personal development and social integration, and equal opportunities and treatment. In the frame of this approach, the ILO has developed flagship programmes like *'Safety and Health for all' 328* and the **'Global Action for Prevention on Occupational Safety and Health' (OSH-GAP)**, a programme to support and promote OSH globally.329 Its priorities are:\n\n- *legal, regulatory and adjudicative frameworks that address and integrate OSH, including core OSH laws and technical regulations;*\n- *enforcement and compliance with OSH in workplaces, including public, private and nongovernmental systems that operate independently or in concert;*\n- *employer and worker competencies that are necessary to achieve and sustain OSH at global, national and enterprise levels;*\n- *social dialogue that supports OSH;*\n- *public and private financial resources for investment in OSH;*\n- *occupational health services including public and private health services;*\n- *employment injury insurance programmes that support prevention of OSH fatalities, injuries and illnesses;*\n- *OSH professionals, institutions and networks;*\n- *OSH indicators and implementation of effective methodologies for OSH data collection; and*\n- *demand for the safety and health of workers and workplaces.*\n\nThe **International Social Security Association** (ISSA) developed the **Vision Zero initiative**.330 ISSA promotes together with enterprises and many global OSH organisations this concept, aiming at the complete elimination of work accidents and occupational diseases.\n\nThe **UN** has developed a set of targets and indicators, **the Social Development Goals** (SDG).331 Target 8 is dedicated to *'Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all'.* Sub targets are:\n\n> *8.5 By 2030, achieve full and productive employment and decent work for all women and men, including for young people and persons with disabilities, and equal pay for work of equal value*", - "page_start": 115, - "page_end": 115, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "147 In 2019, there were 3.141 million non-fatal accidents that resulted in at least four calendar days of absence from work and 3,408 fatal accidents in the EU27, a ratio of approximately 922 non-fatal accidents for every fatal accident, here\n\n148 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An exploratory semi-quantitative study – 'What goes unreported goes unfixed' (p. 20 ff).\n\n149 Eurostat: Non-fatal accidents at work by NACE Rev. 2 activity and sex; Eurostat: Fatal Accidents at work by NACE Rev. 2 activity\n\n150 Detailed studies from hospitals in Denmark show that even a large share of serious work accidents (25%) resulting in amputations and fractions are not registered, see: LO Denmark, 2012: Underrapportering af arbejdsulykker Table 14; and the Danish Working Environment Authority published a report concluding a total of 50% in underreporting, here\n\n151 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An exploratory semi-quantitative study – 'What goes unreported goes unfixed' (p. 20ff).\n\n152 LFS Ad hoc module: Accidents at work and other work-related health problems (2020, 2013 and 2007) 153 Eurostat: EU labour force survey 2020 module on accidents at work and other work-related health problems : assessment report : 2021 edition. The exact question is (p. 47): *'Thinking of the year before [last day of reference week], have you had any accident at work? Accidents outside working hours and accidents during the journey from home to work or from work to home are excluded. However, accidents during a journey in the course of work are included.'*\n\n154 Eurostat, Statistics in focus, Theme 3 – 16/2001: Accidents at work in the EU 1998-1999, here 155 ISCO-Groups: 1. Managers, 2. Professionals, 3. Technicians and Associate Professionals, 4. Clerical Support Workers, 5. Services and Sales Workers, 6. Skilled Agricultural, Forestry and Fishery Workers, 7. Craft and Related Trades Workers, 8. Plant and Machine Operators and Assemblers, 9. Elementary Occupations, 0. Armed Forces Occupations.\n\n*156 Eurostat: Persons reporting an accident at work by sex, age and occupation*\n\n157 Eurostat, 2021: Self-reported accidents at work - key statistics\n\n158 Ibid.\n\n159 Agilis, 2015: Final statistical report on the quality assessment and statistical analysis of the 2013 Labour Force Survey ad hoc module (p. 45)\n\n160 Eurostat, 2013: European Statistics on Accidents at Work (ESAW) - Summary methodology - 2013 edition (p. 6).\n\n161 Fatal work accidents are seen as a more reliable data source than non-fatal accidents. 162 Eurostat: Fatal accidents at work by NACE Rev. 2 activity, Filter: Incidence rate.\n\n163 The OSH Barometer shows the ESAW data from Eurostat's Fatal accidents in a column diagram showing the incidence rate per 100,000 workers for two periods, here\n\n164 Communication from the Commission to the European Parliament, the Council, the European Economic And Social Committee and the Committee of Regions on the practical implementation of the provisions of the Health and Safety at Work Directives 89/391 (Framework), 89/654 (Workplaces), 89/655 (Work Equipment), 89/656 (Personal Protective Equipment), 90/269 (Manual Handling of Loads) and 90/270 (Display Screen Equipment), here (p. 15).\n\n165 European Commission, 2009: Causes and circumstances of accidents at work in the EU (p. 101 and Table A1.6. p. 130).\n\n*166 ESAW Data for 2019: Eurostat, Accidents at work by sex, age and severity (NACE Rev. 2 activity A, C-N).* 167 In publications about this topic, we find similar coefficients. Eurogip calculates for France (2016) 514 fatal accidents and 34,202 cases with permanent disability, this is a coefficient of 66 (Eurogip, 2018: Statistical review of occupational injuries - France 2016 data). Calculating a similar coefficient for Germany in 2018 leads to a coefficient of 27 based on the relation of 497 fatal accidents to 13,550 recognised permanent handicaps that are compensated by an occupational pension (DGUV, 2021: Geschäfts- und Rechnungsergebnisse der gewerblichen Berufsgenossenschaften und Unfallversicherungsträger der öffentlichen Hand 2020, *Anhang* 1, p. 164).\n\nJørgensen calculates based on Eurostat data from 2009 and 2010 a coefficient of fatal accidents to disabled people of 18, and when she calculates the coefficient between fatal and 'most serious non-fatal injuries' of more than three months, the coefficient is 41. Jørgensen, 2015: Serious work accidents and their causes - An analysis of data from Eurostat\n\n168 EU-OSHA, 2019: The value of occupational safety and health and the societal costs of work-related injuries and diseases (Table A4b, pp. 112-113).", - "page_start": 146, - "page_end": 146, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "#### **Table 17: Self-reported work accidents during the last 12 months (EU27) – LFS Ad hoc modules**\n\n| LFS Ad hoc modules | 2007 | 2013 | 2020 |\n| --- | --- | --- | --- |\n| Self-reported work accidents | | | |\n| Percentage of respondents reporting | 3.20% | 2.80% | 2.30% |\n| one work accident | | | |\n| Percentage of respondents reporting | | | |\n| more than one work accident, | Not asked | Not asked | 0.40% |\n| Estimate EU-OSHA: 2,2 accidents | | | |\n| Persons in labour force (EU-27)157 | 184 m | 183 m | 194 m |\n| (former name: Active persons) | -2006 | -2012 | -2019 |\n| Extrapolated number of accidents | | | 1.94 x 2.3 = 4.46 |\n| (in millions) | | | |\n| For 2020 also added 0,4% with two or | | | 1.94 x 0.4 = 0.78 |\n| more accidents | 5.89 m | 5.12 m | 5.24 m |\n| ESAW Registered non-fatal accidents 158 | 3.96 m | 2.94 m | 3.14 m |\n| (four days or more of absence, 2006, 2012, 2019, EU-27)159 | -2006 | -2012 | -2019 |\n| Rate of reported ESAW accidents to | 67% | 57% | 60% |\n| extrapolated LFS self-reported accidents | | | |\n\nNote: In 2020, in total 0.4% responded that they had more than one accident; these data are not available for 2007 and 2013.\n\nIn 2007, 3.2% of the respondents reported an accident, in 2013 this fell to 2.8%, and in 2020 2.3% of the 'Person in labour force', aged 15-64, responded with a 'Yes'. This corresponds to a decline of 28% from 2007 to 2020. The decline of the total estimated number of work accidents shows a similar trend, a 24% decrease from 5.89 million to 4.46 million (if the persons with more than one accident from the 2020 survey are not taken into account to achieve a better comparability with 2007 and 2013).\n\nFor 2020, **an estimate of the number of accidents based on the Ad hoc module results in a figure of 5.24 million**. The number of ESAW-registered non-fatal accidents in 2019 was 3.14 million, approximately 60% of the self-reported. One reason for this difference surely is that the respondents to the question in the LFS Ad hoc module **might refer to every work accident**, including those resulting in under four days of absence.153\n\n#### **Estimations**\n\nEurostat itself estimated in 1999 that approximately 37% of the non-fatal accidents did not need to be registered because they resulted in fewer than four days of absence: *'Around 37% of accidents at work in the EU result in fewer than 4 days' loss of work.'*154 . In the estimate above the figures are in a similar range. The **LFS surveys also reveal strong differences between occupational groups**. The ISCO groups 1-3 have less than half the accidents compared to groups 6-7 and 8-9.155", - "page_start": 67, - "page_end": 67, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "**Still, not only preventive measures but also other non-OSH-related developments worked in the same direction.** The shrinkage of the workforce in certain sectors, for example, mining, textile, agriculture, and specific high-risk subsectors of manufacturing, that is, shipyards or foundries, has led to a reduction of the workforce in particularly dangerous working conditions. The production of these sectors was — partly or fully — relocated to other regions of the world, and EU enterprises import the needed products as part of global supply chains.\n\n#### **Major economic changes of sectors with over average work accident rates**\n\nThe decrease of production in the mining and textile sectors was replaced by the import of mining or textile products. Nowadays the share of workforce in these sectors is much smaller in the EU than 30 years ago. In the EU28 in 2019, mining and quarrying employed 392,000 people, or 0.2% of all employed persons,128 and the textile industry129 employed 1.5 million people, or 0.7% of all employed persons.130\n\nThe share of employees in agriculture, also a sector with high accident rates, dropped mainly due to automation from 6.5% in 2005 to 4.5% in 2019131 (worldwide still at 27%132). In construction, another sector with work accident rates over average, the employment is quite stable in the past 25 years and fell only from 6.9% to 6.5%. Some specific works with high accident risk have been outsourced to other regions, well-known examples are the dangerous shipwrecking but also recycling of plastics and electric and electronic devices.133\n\nThe decline of these sectors and the growth of workforce in other sectors like wholesale, transport, education, health and care shifted the safety risks of working conditions. Several EU Member States also observe a growth of road transport-related accidents during work.134\n\n### *4.1.1 Non-fatal work accidents*\n\n#### **DEFINITIONS**\n\nEurostat has developed the European Statistics on Accidents at Work, or ESAW, methodology to harmonise the monitoring of work accidents. This methodology describes how accidents at work have to be reported and defines several terms and conditions.\n\n#### **What is an accident?**\n\n'Accident at work' is defined in the ESAW methodology135 as a **'discrete occurrence in the course of work which leads to physical or mental harm.'**\n\n#### **When is a non-fatal work accident counted?**\n\nESAW counts a work accident *'if the resumption of work occurred 5 days after the work accident'*; Chapter 4.2 of the ESAW Methodology 2012 explains: *'Accidents at work with more than three calendar days' absence from work: Only full calendar days of absence from work have to be considered, excluding the day of the accident. Consequently, more than three calendar days' means \"at least four calendar days\", which implies that only if the victim resumes work on the fifth (or subsequent) working day after the date on which the accident occurred should the incident be included.'*\n\n**Exempted are:** Commuting accidents, self-inflicted injuries (e.g. suicides), and strictly natural causes that injure people at their workplaces (e.g. earthquakes, floods).\n\nThe total number of reported non-fatal accidents for the EU27 was 3,140,950 in 2019.136 As mentioned in the introduction to this chapter, the incident rates of non-fatal accidents fell in about 25 years from 4,089 (year 1998137) to 1,713 (2019), that is, **it decreased about 58%**.138 The **greatest part of this decrease** took place between **1998 and 2010**,139 the incidence rate halved to 2,021, **a drop of 51%**. Still, between 2010 and 2019 the incidence rate for the EU27 fell from 2,021 incidents per 100,000 workers to 1,713, a drop of a further 15% (taking 2010 as the reference year).140", - "page_start": 63, - "page_end": 63, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "particularly dangerous work environments like road maintenance, combined with better organisational measures; quality systems that promote continuous repair and maintenance of tools; regular instructions by safety representatives and safety coordinators, and guarantee of minimum safety standards of machines and products by European standards like CE and CEE.\n\nIf an accident takes place, the technical and organisational measures were either not perfect for all conceivable situations or not fully implemented. Based on ESAW, Eurostat analysed the **physical activities per sector** that trigger non-fatal and fatal accidents at work in the EU27 (in 2019).127\n\n| 2019 All Sectors | Non-fatal - | Non-fatal - | Fatal - | Fatal - |\n| --- | --- | --- | --- | --- |\n| | % of all accidents | Number | % of all accidents | Number |\n| Operating machine | 2.56 | 80,326 | 3.62 | 123 |\n| Working with handheld tool | 7.01 | 220,297 | 5.73 | 195 |\n| Driving/being on board at means of transport or handling equipment | 3.58 | 112,512 | 17.76 | ୧୦૨ |\n| Handling of objects | 12.53 | 393,647 | 6.74 | 230 |\n| Carrying by hand | 9.34 | 293,427 | 2.65 | 90 |\n| Movement | 18.58 | 583,545 | 16.09 | 548 |\n| Presence | 1.74 | 54,646 | 8.38 | 285 |\n| Other specific activities | 1.93 | 60,670 | 4.16 | 142 |\n\n#### **Table 14: Accidents at work by physical activity 2019 – Eurostat**\n\nNote: Due to incomplete notifications of the 'Physical Activity', the percentages do not sum up to 100%. Also, the sums of the numbers are lower than the number of all reported work accidents.", - "page_start": 62, - "page_end": 62, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "*are shifted towards non-permanent workers and subcontractors, who have less protection and/or knowledge to cope with these risks. This scenario is not easy to verify in quantitative data, although it is frequently stated in case study research.'*\n\nAlso, Eurofound draws such conclusions on the **impact of subcontracting on working conditions**: *'First, employees in subcontracting perceive higher health and safety risks, notably through more workrelated accidents and increased time pressure. Second, there are a number of psychological risk factors, such as perceived economic insecurity and worries about losing one's job, that are more likely among subcontracting workers.'*49\n\nThere is even an evident **relation between such forms of employment and higher rates of work accidents**. In a first systematic review the authors conclude:50\n\n*'This review supports an association between some of the dimensions of precarious employment and occupational injuries; most notably for multiple jobholders and employees of temp agencies or subcontractors at the same worksite. However, results for temporary employment are inconclusive.'*\n\n#### **OSH Barometer – Mental risks:**\n\nhttps://visualisation.osha.europa.eu/osh-barometer/working-conditions-preventions/workingconditions\n\n#### **ESENER – Data visualisation:**\n\nhttps://visualisation.osha.europa.eu/esener/en/survey/datavisualisation/2019\n\n### **3.2 Physical health risks at work**\n\nRisks at work that can result in physical harm can be divided into **safety** and **health risks**.\n\nThe main result of insufficient safety is a work accident. A **work accident** has as immediate consequences either a personal injury, a disease, or death of one or more workers. Eurostat distinguishes between non-fatal and fatal work accidents, and for the majority of sectors it provides also the duration of the absence due to the accident — an indicator for the severity of the injury. Non-fatal accidents at work can cause medium- or long-term health consequences, and in the worst case a permanent disability.\n\nILO Definition of accident: 'An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.'51\n\n**Physical health risks** can be caused by a **variety of circumstances and exposures** or by **inadequate ergonomics**. Natural **circumstances** at work can pose such health risks, that is, temperature, storms and floods, unsafe terrain, biological agents and so on; or the risks are due to manmade circumstances, that is, work in buildings, on roofs and towers, on traffic routes, under artificial ventilation. **Exposure** is a general term to describe the interaction between environment / emissions / contaminants and the human organism. In a workplace context, 'exposure' mainly covers emissions from machinery or from tools and materials, for example, noise, vibration, dust, electromagnetic fields and chemical substances.\n\nRisks from **inadequate ergonomics** harm in particular the musculoskeletal system. Ergonomic risks of manual work are typically caused by repetitive hand and arm movements, tiring positions, for example, permanent kneeling or overhead work, lifting and moving of heavy loads, or of patients and so on. A certain ergonomic risk is **physical inactivity**, in practice sitting most of the working time. Not only administrative tasks but also many occupations in service or industry require permanent sitting, for example, drivers, cashiers, part assembly operators and so on (often called 'sedentary occupations').\n\nIn general, the EU-wide surveys (self-reported working conditions or health problems) show a high prevalence of ergonomic risks. Between 40% and 65% of the respondents in ESENER and the EWCS report **classical ergonomic risks**. A quite constant share of workers reports **physical exposures** like noise, vibrations, high or low temperatures and exposure to chemical and biological agents; depending", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Was knowledge domain agnosticism a goal in the development of OLAF?", - "target_page": 1, - "target_passage": "Though an ideal ontology should model a domain in an application-independent manner, in practice, concepts and relations represented largely depend on one or more business use cases. As we designed our framework with industry application in mind, we need to consider it within its real-world usage context.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **OLAF : Ontology Learning Applied Framework**\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically **extracting and structuring knowledge** relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a **modular ontology learning framework** considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with **full automation** in mind. An implementation as an **opensource and collaborative python library** is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n## **STATE OF THE ART**\n\n| System | Overview | Pros and cons |\n| --- | --- | --- |\n| | It is the reference in the field as it defines a | Ontologies can be exported in |\n| Text2Onto, | representation-agnostic structure with modular | various formats. GATE system |\n| 2005, [1] | steps and takes into account uncertainty. The | adds great visualisations. But it is |\n| | system is implemented as a GATE module. | not maintained since 2011. |\n| | It focuses on multiword terms to construct a | It considers only multiword |\n| | \"lexicalised ontology\" by adapting an agglomerative | terms and relies on WordNet |\n| OntoGain, | clustering and an FCA method. It implements 4 | and POS tags. It does not |\n| 2010, [2] | steps: text preprocessing, concept extraction (C/NC | distinguish between terms and |\n| | value), taxonomy construction, and non-taxonomic | concepts and implements |\n| | relation acquisition (rule-based and probabilistic). | different adaptable approaches. |\n| | It focuses on \"lexicalised ontologies\" and uses seed | It relies on WordNet and POS |\n| OntoLearn | knowledge. It implements 5 steps: terminology | tags and does not distinguish |\n| (Reloaded), | extraction, hypernym graph construction, domain | between terms and concepts. |\n| 2013, [3] | filtering of hypernyms, hypernym graph pruning and | It implements different |\n| | edge recovery. | adaptable approaches. |\n\n## **OLAF IN A PRACTICAL CONTEXT**\n\n## **ONTOLOGY LEARNING FRAMEWORK ARCHITECTURE**\n\nOur framework provides several algorithms for the different stages of the pipeline. The algorithms are taken from external libraries or directly implemented in the framework. The goal is to have as many methods as possible to cover the maximum needs.\n\nMost ontology learning systems do not consider the targeted ontologybased system. Though an ideal ontology should model a domain in an application-independent manner, in practice, **concepts and relations represented largely depend on one or more business use cases**. As we designed our framework with industry application in mind, we need to consider it within its **real-world usage context**.\n\n> We choose **Python** as it eases access to the vast python community and its library ecosystem, particularly **NLP tools** and numerous **Machine Learning (ML) libraries**.\n\nWe designed the proposed framework focusing on **automation** with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the **learned ontology final production use case**. We implement the framework as an open-source and openaccess python library. We aim to **gather feedback and grow a community** to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing **axiom extraction** and **automatic ontology evaluation**. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI: 10.1162/COLI_a_00146 3.\n\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "The general problem of simulating (or creating) intelligence has been broken into subproblems. These consist of particular traits or capabilities that researchers expect an intelligent system to display. The traits described below have received the most attention and cover the scope of AI research.[a]\n\n## **Reasoning and problem-solving**\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they solve puzzles or make logical deductions. [13] By the late 1980s and 1990s, methods were developed for dealing with uncertain or incomplete information, employing concepts from probability and economics. [14]\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a \"combinatorial explosion\": They become exponentially slower as the problems grow. [15] Even humans rarely use the step-by-step deduction that early AI research could model. They solve most of their problems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\n\n### **Knowledge representation**\n\nKnowledge representation and knowledge engineering[17] allow AI programs to answer questions intelligently and make deductions about real-world facts. Formal knowledge representations are used in content-based indexing and retrieval,[18] scene interpretation,[19] clinical decision support,[20] knowledge discovery (mining \"interesting\" and actionable inferences from large databases),[21] and other areas.[22]\n\nA knowledge base is a body of knowledge represented in a form that can be used by a program. An ontology is the set of objects, relations, concepts, and properties used by a particular domain of knowledge.[23] Knowledge bases need to represent things such as objects, properties, categories, and relations between objects;[24] situations, events, states, and time;[25] causes and effects;[26] knowledge about knowledge (what we know about what other people\n\nAn ontology represents knowledge as a set of concepts within a domain and the relationships between those concepts.\n\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will remain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense knowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic form of most commonsense knowledge (much of what people know is not represented as \"facts\" or \"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition, the problem of obtaining knowledge for AI applications.[c]\n\n## **Planning and decision-making**", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## Chapter 13 Conclusion: Some Personal Thoughts and Opinions\n\nThis tutorial is just the entry point to a technology that is entering the *Slope of Enlightenment* in the Gartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the Semantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US corporations the excitement around Machine Learning seemed for a while to eclipse serious interest in OWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology companies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started to embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is finally realizing that machine learning and knowledge graphs are complimentary not competitive technologies.\n\nThe term knowledge graph itself can be used in different ways. The best definition I've heard is that an ontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology combined with data (A-Box). Although in the corporate world I often hear people simply talk about knowledge graphs without much interest in the distinction between the vocabulary and the data.\n\nThere are a number of vendors emerging who are using the technology in very productive ways and are providing the foundation for federated knowledge graphs that can scale to hundreds of millions of triples or more and provide a framework for all corporate data. I've listed several in the bibliography but those are only the ones I've had some experience with. I'm sure there are many others. One of the products I've had the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz Inc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the commercial version. I've found the Allegro triplestore easy to use on a Windows PC with the Docker tool to emulate a Linux server.\n\nI first started working with classification-based languages when I worked at the Information Sciences Institute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US Department of Defense and their contractors. Since then, I've followed the progress of the technology, especially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great promise in the technology. When I first discovered Protégé it was a great experience. It is one of the best supported and most usable free tools I've ever seen, and it always surprised me that there weren't more corporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope this tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.", - "page_start": 88, - "page_end": 88, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- Castaño, Arnaldo Pérez (23 May 2018). *Practical Artificial Intelligence: Machine Learning, Bots, and Agent Solutions Using C#*. Apress. p. 2. ISBN 978-1-4842-3357-3.\n- Chakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and Navya-Nyaya Logic\". *Philosophy and Phenomenological Research*. **36** (4): 554–563. doi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j stor.org/stable/2106873).\n- Chatfield, Tom (2017). *Critical Thinking: Your Guide to Effective Argument, Successful Analysis and Independent Study*. Sage. p. 194. ISBN 978-1-5264-1877-7.\n- Chua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers. org/rec/CHUAER). *Logic, Rationality, and Interaction*. Lecture Notes in Computer Science. Vol. 10455. pp. 631–636. doi:10.1007/978-3-662-55665-8_43 (https://doi.org/10.1007%2F9 78-3-662-55665-8_43). ISBN 978-3-662-55664-1.\n- Clocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http s://link.springer.com/chapter/10.1007/978-3-642-55481-0_10). *Programming in Prolog: Using the ISO Standard*. Springer. pp. 237–257. doi:10.1007/978-3-642-55481-0_10 (http s://doi.org/10.1007%2F978-3-642-55481-0_10). ISBN 978-3-642-55481-0.\n- Cook, Roy T. (2009). *Dictionary of Philosophical Logic*. Edinburgh University Press. p. 124. ISBN 978-0-7486-3197-1.\n- Copi, Irving M.; Cohen, Carl; Rodych, Victor (2019). *Introduction to Logic*. Routledge. 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ISBN 978-1-351-70456-4.\n- Douven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab duction/) from the original on 7 September 2021. Retrieved 24 August 2021.", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- 170. Clocksin & Mellish 2003, pp. 237–238, 252–255, 257, The Relation of Prolog to Logic; Daintith & Wright 2008, Logic Programming Languages (https://www.encyclopedia.com/com puting/dictionaries-thesauruses-pictures-and-press-releases/logic-programming-languages).\n- 171. O'Regan 2016, p. 49; Calderbank & Sloane 2001, pp. 768.\n- 172. Daintith & Wright 2008, Logic Gate (https://www.encyclopedia.com/computing/dictionaries-th esauruses-pictures-and-press-releases/logic-gate).\n- 173. 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Frede; Groarke.\n- 188. Ewald 2019; Smith 2022.\n- 189. Hasse 2008; Lagerlund 2018.\n- 190. Washell 1973, pp. 445–50; Kneale & Kneale 1962, pp. 229, 266.\n- 191. Goodman 2003, p. 155.\n- 192. Goodman 1992, p. 188.\n- 193. Hintikka & Spade, Arabic Logic (https://www.britannica.com/topic/history-of-logic/Medieval-lo gic#ref65928).\n- 194. Iqbal 2013, pp. 99–115, The Spirit of Muslim Culture.\n- 195. Marenbon 2021, Introduction; 3. The Logical Text-Books; Hintikka & Spade.\n- 196. Hintikka & Spade; Hasse 2008; Spade & Panaccio 2019.\n- 197. Willman 2022; Rošker 2015, pp. 301–309.\n- 198. Sarukkai & Chakraborty 2022, pp. 117–8.\n- 199. Dasti, Lead section; 1b. Inference; Mills 2018, p. 121 (https://books.google.com/books?id=s GhqDwAAQBAJ&pg=PA121).\n- 200. Emmanuel 2015, pp. 320–2; Vidyabhusana 1988, p. 221.\n- 201. Chakrabarti 1976, pp. 554–563.\n- 202. Groarke; Haaparanta 2009, pp. 3–5 (https://books.google.com/books?id=0jXavKsArnIC&pg =PA3), 1. Introduction.\n- 203. Haaparanta 2009, pp. 4–6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4); Hintikka & Spade, Modern logic, Logic since 1900.\n- 204. Ewald 2019.\n- 205. Ewald 2019; Schreiner 2021, p. 22.", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). *Internet Encyclopedia of Philosophy*. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla cy/) from the original on 29 April 2010. Retrieved 19 March 2021.\n- van Eemeren, Frans H.; Garssen, Bart (2009). *Pondering on Problems of Argumentation: Twenty Essays on Theoretical Issues*. Springer Science & Business Media. p. 191. ISBN 978-1-4020-9165-0.\n- van Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. Francisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe r.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1). *Handbook of Argumentation Theory*. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7- 1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived (https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ 10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved 2 January 2022.\n- van Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, Charles A. (2013). *Fundamentals of Argumentation Theory: A Handbook of Historical Backgrounds and Contemporary Developments*. Routledge. p. 169. ISBN 978-1-136-68804- 1.\n- Emmanuel, Steven M. (2015). *A Companion to Buddhist Philosophy*. John Wiley & Sons. pp. 320–2. ISBN 978-1-119-14466-3.\n- Enderton, Herbert (2001). *A Mathematical Introduction to Logic*. Elsevier. ISBN 978-0-12- 238452-3.\n- Engel, S. 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Retrieved 1 November 2022.\n- Friend, Michele (2014). *Introducing Philosophy of Mathematics*. Routledge. p. 101. ISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Some authors have suggested in practice, that the definition of AI is vague and difficult to define, with contention as to whether classical algorithms should be categorised as AI,[367] with many companies during the early 2020s AI boom using the term as a marketing buzzword, often even if they did \"not actually use AI in a material way\".[368]\n\n### **Evaluating approaches to AI**\n\nNo established unifying theory or paradigm has guided AI research for most of its history. [aa] The unprecedented success of statistical machine learning in the 2010s eclipsed all other approaches (so much so that some sources, especially in the business world, use the term \"artificial intelligence\" to mean \"machine learning with neural networks\"). This approach is mostly sub-symbolic, soft and narrow. Critics argue that these questions may have to be revisited by future generations of AI researchers.\n\n#### **Symbolic AI and its limits**\n\nSymbolic AI (or \"GOFAI\")[370] simulated the high-level conscious reasoning that people use when they solve puzzles, express legal reasoning and do mathematics. They were highly successful at \"intelligent\" tasks such as algebra or IQ tests. In the 1960s, Newell and Simon proposed the physical symbol systems hypothesis: \"A physical symbol system has the necessary and sufficient means of general intelligent action.\"[371]\n\nHowever, the symbolic approach failed on many tasks that humans solve easily, such as learning, recognizing an object or commonsense reasoning. Moravec's paradox is the discovery that high-level \"intelligent\" tasks were easy for AI, but low level \"instinctive\" tasks were extremely difficult.[372] Philosopher Hubert Dreyfus had argued since the 1960s that human expertise depends on unconscious instinct rather than conscious symbol manipulation, and on having a \"feel\" for the situation, rather than explicit symbolic knowledge.[373] Although his arguments had been ridiculed and ignored when they were first presented, eventually, AI research came to agree with him.[ab][16]\n\nThe issue is not resolved: sub-symbolic reasoning can make many of the same inscrutable mistakes that human intuition does, such as algorithmic bias. Critics such as Noam Chomsky argue continuing research into symbolic AI will still be necessary to attain general intelligence,[375][376] in part because subsymbolic AI is a move away from explainable AI: it can be difficult or impossible to understand why a modern statistical AI program made a particular decision. The emerging field of neuro-symbolic artificial intelligence attempts to bridge the two approaches.\n\n#### **Neat vs. scruffy**\n\n\"Neats\" hope that intelligent behavior is described using simple, elegant principles (such as logic, optimization, or neural networks). \"Scruffies\" expect that it necessarily requires solving a large number of unrelated problems. Neats defend their programs with theoretical rigor, scruffies rely mainly on incremental testing to see if they work. This issue was actively discussed in the 1970s and 1980s,[377] but eventually was seen as irrelevant. 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(2010). \"On the impact of robotics in behavioral and cognitive sciences: from insect navigation to human cognitive development\" (http://www.pyoudeyer.com/IEEETAMD Oudeyer10.pdf) (PDF). *IEEE Transactions on Autonomous Mental Development*. **2** (1): 2– 16. doi:10.1109/tamd.2009.2039057 (https://doi.org/10.1109%2Ftamd.2009.2039057). S2CID 6362217 (https://api.semanticscholar.org/CorpusID:6362217). Archived (https://web. archive.org/web/20181003202543/http://www.pyoudeyer.com/IEEETAMDOudeyer10.pdf) (PDF) from the original on 3 October 2018. Retrieved 4 June 2013.\n- Pennachin, C.; Goertzel, B. (2007). \"Contemporary Approaches to Artificial General Intelligence\". *Artificial General Intelligence*. Cognitive Technologies. Berlin, Heidelberg: Springer. pp. 1–30. doi:10.1007/978-3-540-68677-4_1 (https://doi.org/10.1007%2F978-3-54 0-68677-4_1). ISBN 978-3-5402-3733-4.\n- Pinker, Steven (2007) [1994], *The Language Instinct*, Perennial Modern Classics, Harper, ISBN 978-0-0613-3646-1\n\nPoria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of affective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository. napier.ac.uk/Output/1792429). *Information Fusion*. **37**: 98–125. doi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003). hdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem anticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165 407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-ofaffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23 March 2023. Retrieved 27 April 2021.\n\n- Rawlinson, Kevin (29 January 2015). \"Microsoft's Bill Gates insists AI is a threat\" (https://www.b bc.co.uk/news/31047780). *BBC News*. Archived (https://web.archive.org/web/20150129183 607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved 30 January 2015.\n- Reisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering Generative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla ma-pirated-books/675063/), *The Atlantic*, archived (https://web.archive.org/web/2024100307 1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-piratedbooks/675063/) from the original on 3 October 2024, retrieved 5 October 2024", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# **Bibliography**\n\n- Aloni, Maria; Dekker, Paul (7 July 2016). *The Cambridge Handbook of Formal Semantics*. Cambridge University Press. pp. 22–23. ISBN 978-1-316-55273-5.\n- Angell, Richard B. (1964). *Reasoning and Logic*. Ardent Media. p. 164. OCLC 375322 (http s://search.worldcat.org/oclc/375322).\n- Audi, Robert (1999a). \"Informal logic\". *The Cambridge Dictionary of Philosophy* (https://philp apers.org/rec/AUDTCD-2). Cambridge University Press. p. 435. ISBN 978-1-107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Audi, Robert (1999b). \"Philosophy of logic\". *The Cambridge Dictionary of Philosophy* (http s://philpapers.org/rec/AUDTCD-2). Cambridge University Press. pp. 679–681. ISBN 978-1- 107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/ rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Backmann, Marius (1 June 2019). \"Varieties of Justification—How (Not) to Solve the Problem of Induction\" (https://doi.org/10.1007%2Fs12136-018-0371-6). *Acta Analytica*. **34** (2): 235–255. doi:10.1007/s12136-018-0371-6 (https://doi.org/10.1007%2Fs12136-018-037 1-6). ISSN 1874-6349 (https://search.worldcat.org/issn/1874-6349). S2CID 125767384 (http s://api.semanticscholar.org/CorpusID:125767384).\n- Bagaria, Joan (2021). \"Set Theory\" (https://plato.stanford.edu/entries/set-theory/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 23 September 2022.\n- Barnes, Jonathan (25 January 2007). *Truth, etc.: Six Lectures on Ancient Logic*. Clarendon Press. p. 274. ISBN 978-0-19-151574-3.\n- Benthem, Johan van. \"Modal Logic: Contemporary View: 1. Modal Notions and Reasoning Patterns: a First Pass\" (https://iep.utm.edu/modal-lo/#H1). *Internet Encyclopedia of Philosophy*. Retrieved 11 March 2023.\n- Berlemann, Lars; Mangold, Stefan (10 July 2009). *Cognitive Radio and Dynamic Spectrum Access*. John Wiley & Sons. p. 194. ISBN 978-0-470-75443-6.\n- Berman, Harold J. (1 July 2009). *Law and Revolution, the Formation of the Western Legal Tradition*. Harvard University Press. ISBN 978-0-674-02085-6.\n- Bimbo, Katalin (2 April 2016). *J. Michael Dunn on Information Based Logics*. Springer. pp. 8–9. ISBN 978-3-319-29300-4.\n- Blackburn, Simon (1 January 2008). \"argument\". *The Oxford Dictionary of Philosophy* (http s://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194756/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blackburn, Simon (24 March 2016). \"rule of inference\". *The Oxford Dictionary of Philosophy* (https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194809/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blair, J. Anthony; Johnson, Ralph H. (1987). \"The Current State of Informal Logic\" (https://ph ilpapers.org/rec/BLATCS). *Informal Logic*. **9** (2): 147–51. doi:10.22329/il.v9i2.2671 (https://d oi.org/10.22329%2Fil.v9i2.2671). Archived (https://web.archive.org/web/20211230194638/ht tps://philpapers.org/rec/BLATCS) from the original on 30 December 2021. Retrieved 2 January 2022.", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- 21. McGarry (2005).\n- 22. Bertini, Del Bimbo & Torniai (2006).\n- 23. Russell & Norvig (2021), pp. 272.\n- 24. Representing categories and relations: Semantic networks, description logics, inheritance (including frames, and scripts): Russell & Norvig (2021, §10.2 & 10.5), Poole, Mackworth & Goebel (1998, pp. 174–177), Luger & Stubblefield (2004, pp. 248–258), Nilsson (1998, chpt. 18.3)\n- 25. Representing events and time:Situation calculus, event calculus, fluent calculus (including solving the frame problem): Russell & Norvig (2021, §10.3), Poole, Mackworth & Goebel (1998, pp. 281–298), Nilsson (1998, chpt. 18.2)\n- 26. Causal calculus: Poole, Mackworth & Goebel (1998, pp. 335–337)\n- 27. Representing knowledge about knowledge: Belief calculus, modal logics: Russell & Norvig (2021, §10.4), Poole, Mackworth & Goebel (1998, pp. 275–277)\n- 28. Default reasoning, Frame problem, default logic, non-monotonic logics, circumscription, closed world assumption, abduction: Russell & Norvig (2021, §10.6), Poole, Mackworth & Goebel (1998, pp. 248–256, 323–335), Luger & Stubblefield (2004, pp. 335–363), Nilsson (1998, ~18.3.3) (Poole *et al.* places abduction under \"default reasoning\". Luger *et al.* places this under \"uncertain reasoning\").\n- 29. Breadth of commonsense knowledge: Lenat & Guha (1989, Introduction), Crevier (1993, pp. 113–114), Moravec (1988, p. 13), Russell & Norvig (2021, pp. 241, 385, 982) (qualification problem)\n- 30. Newquist (1994), p. 296.\n- 31. Crevier (1993), pp. 204–208.\n- 32. Russell & Norvig (2021), p. 528.\n- 33. Automated planning: Russell & Norvig (2021, chpt. 11).\n- 34. Automated decision making, Decision theory: Russell & Norvig (2021, chpt. 16–18).\n- 35. Classical planning: Russell & Norvig (2021, Section 11.2).\n- 36. Sensorless or \"conformant\" planning, contingent planning, replanning (a.k.a online planning): Russell & Norvig (2021, Section 11.5).\n- 37. Uncertain preferences: Russell & Norvig (2021, Section 16.7) Inverse reinforcement learning: Russell & Norvig (2021, Section 22.6)\n- 38. Information value theory: Russell & Norvig (2021, Section 16.6).\n- 39. Markov decision process: Russell & Norvig (2021, chpt. 17).\n- 40. Game theory and multi-agent decision theory: Russell & Norvig (2021, chpt. 18).\n- 41. Learning: Russell & Norvig (2021, chpt. 19–22), Poole, Mackworth & Goebel (1998, pp. 397–438), Luger & Stubblefield (2004, pp. 385–542), Nilsson (1998, chpt. 3.3, 10.3, 17.5, 20)\n- 42. Turing (1950).\n- 43. Solomonoff (1956).\n- 44. Unsupervised learning: Russell & Norvig (2021, pp. 653) (definition), Russell & Norvig (2021, pp. 738–740) (cluster analysis), Russell & Norvig (2021, pp. 846–860) (word embedding)\n- 45. Supervised learning: Russell & Norvig (2021, §19.2) (Definition), Russell & Norvig (2021, Chpt. 19–20) (Techniques)\n- 46. Reinforcement learning: Russell & Norvig (2021, chpt. 22), Luger & Stubblefield (2004, pp. 442–449)\n- 47. Transfer learning: Russell & Norvig (2021, pp. 281), The Economist (2016)\n- 48. \"Artificial Intelligence (AI): What Is AI and How Does It Work? | Built In\" (https://builtin.com/ar tificial-intelligence). *builtin.com*. Retrieved 30 October 2023.", - "page_start": 31, - "page_end": 31, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is OLAF a specific strategy for ontological learning or is it a toolbox of different strategies?", - "target_page": 1, - "target_passage": "Our vision is to implement a toolbox of methods we can gather to build pipelines. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## **OLAF : Ontology Learning Applied Framework**\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically **extracting and structuring knowledge** relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a **modular ontology learning framework** considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with **full automation** in mind. An implementation as an **opensource and collaborative python library** is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n## **STATE OF THE ART**\n\n| System | Overview | Pros and cons |\n| --- | --- | --- |\n| | It is the reference in the field as it defines a | Ontologies can be exported in |\n| Text2Onto, | representation-agnostic structure with modular | various formats. GATE system |\n| 2005, [1] | steps and takes into account uncertainty. The | adds great visualisations. But it is |\n| | system is implemented as a GATE module. | not maintained since 2011. |\n| | It focuses on multiword terms to construct a | It considers only multiword |\n| | \"lexicalised ontology\" by adapting an agglomerative | terms and relies on WordNet |\n| OntoGain, | clustering and an FCA method. It implements 4 | and POS tags. It does not |\n| 2010, [2] | steps: text preprocessing, concept extraction (C/NC | distinguish between terms and |\n| | value), taxonomy construction, and non-taxonomic | concepts and implements |\n| | relation acquisition (rule-based and probabilistic). | different adaptable approaches. |\n| | It focuses on \"lexicalised ontologies\" and uses seed | It relies on WordNet and POS |\n| OntoLearn | knowledge. It implements 5 steps: terminology | tags and does not distinguish |\n| (Reloaded), | extraction, hypernym graph construction, domain | between terms and concepts. |\n| 2013, [3] | filtering of hypernyms, hypernym graph pruning and | It implements different |\n| | edge recovery. | adaptable approaches. |\n\n## **OLAF IN A PRACTICAL CONTEXT**\n\n## **ONTOLOGY LEARNING FRAMEWORK ARCHITECTURE**\n\nOur framework provides several algorithms for the different stages of the pipeline. The algorithms are taken from external libraries or directly implemented in the framework. The goal is to have as many methods as possible to cover the maximum needs.\n\nMost ontology learning systems do not consider the targeted ontologybased system. Though an ideal ontology should model a domain in an application-independent manner, in practice, **concepts and relations represented largely depend on one or more business use cases**. As we designed our framework with industry application in mind, we need to consider it within its **real-world usage context**.\n\n> We choose **Python** as it eases access to the vast python community and its library ecosystem, particularly **NLP tools** and numerous **Machine Learning (ML) libraries**.\n\nWe designed the proposed framework focusing on **automation** with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the **learned ontology final production use case**. We implement the framework as an open-source and openaccess python library. We aim to **gather feedback and grow a community** to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing **axiom extraction** and **automatic ontology evaluation**. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI: 10.1162/COLI_a_00146 3.\n\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "# A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins Edition 3.0 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nREADS 36,030\n\n**Preprint** · April 2021\n\n0\n\n| CITATIONS | |\n| --- | --- |\n| 0 | |\n| 1 author: | |\n| | Michael Debellis |\n| | 21 PUBLICATIONS   194 CITATIONS |\n| | SEE PROFILE |\n\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- 21. McGarry (2005).\n- 22. Bertini, Del Bimbo & Torniai (2006).\n- 23. Russell & Norvig (2021), pp. 272.\n- 24. Representing categories and relations: Semantic networks, description logics, inheritance (including frames, and scripts): Russell & Norvig (2021, §10.2 & 10.5), Poole, Mackworth & Goebel (1998, pp. 174–177), Luger & Stubblefield (2004, pp. 248–258), Nilsson (1998, chpt. 18.3)\n- 25. Representing events and time:Situation calculus, event calculus, fluent calculus (including solving the frame problem): Russell & Norvig (2021, §10.3), Poole, Mackworth & Goebel (1998, pp. 281–298), Nilsson (1998, chpt. 18.2)\n- 26. Causal calculus: Poole, Mackworth & Goebel (1998, pp. 335–337)\n- 27. Representing knowledge about knowledge: Belief calculus, modal logics: Russell & Norvig (2021, §10.4), Poole, Mackworth & Goebel (1998, pp. 275–277)\n- 28. Default reasoning, Frame problem, default logic, non-monotonic logics, circumscription, closed world assumption, abduction: Russell & Norvig (2021, §10.6), Poole, Mackworth & Goebel (1998, pp. 248–256, 323–335), Luger & Stubblefield (2004, pp. 335–363), Nilsson (1998, ~18.3.3) (Poole *et al.* places abduction under \"default reasoning\". Luger *et al.* places this under \"uncertain reasoning\").\n- 29. Breadth of commonsense knowledge: Lenat & Guha (1989, Introduction), Crevier (1993, pp. 113–114), Moravec (1988, p. 13), Russell & Norvig (2021, pp. 241, 385, 982) (qualification problem)\n- 30. Newquist (1994), p. 296.\n- 31. Crevier (1993), pp. 204–208.\n- 32. Russell & Norvig (2021), p. 528.\n- 33. Automated planning: Russell & Norvig (2021, chpt. 11).\n- 34. Automated decision making, Decision theory: Russell & Norvig (2021, chpt. 16–18).\n- 35. Classical planning: Russell & Norvig (2021, Section 11.2).\n- 36. Sensorless or \"conformant\" planning, contingent planning, replanning (a.k.a online planning): Russell & Norvig (2021, Section 11.5).\n- 37. Uncertain preferences: Russell & Norvig (2021, Section 16.7) Inverse reinforcement learning: Russell & Norvig (2021, Section 22.6)\n- 38. Information value theory: Russell & Norvig (2021, Section 16.6).\n- 39. Markov decision process: Russell & Norvig (2021, chpt. 17).\n- 40. Game theory and multi-agent decision theory: Russell & Norvig (2021, chpt. 18).\n- 41. Learning: Russell & Norvig (2021, chpt. 19–22), Poole, Mackworth & Goebel (1998, pp. 397–438), Luger & Stubblefield (2004, pp. 385–542), Nilsson (1998, chpt. 3.3, 10.3, 17.5, 20)\n- 42. Turing (1950).\n- 43. Solomonoff (1956).\n- 44. Unsupervised learning: Russell & Norvig (2021, pp. 653) (definition), Russell & Norvig (2021, pp. 738–740) (cluster analysis), Russell & Norvig (2021, pp. 846–860) (word embedding)\n- 45. Supervised learning: Russell & Norvig (2021, §19.2) (Definition), Russell & Norvig (2021, Chpt. 19–20) (Techniques)\n- 46. Reinforcement learning: Russell & Norvig (2021, chpt. 22), Luger & Stubblefield (2004, pp. 442–449)\n- 47. Transfer learning: Russell & Norvig (2021, pp. 281), The Economist (2016)\n- 48. \"Artificial Intelligence (AI): What Is AI and How Does It Work? | Built In\" (https://builtin.com/ar tificial-intelligence). *builtin.com*. Retrieved 30 October 2023.", - "page_start": 31, - "page_end": 31, - "source_file": "wikipedia3.pdf" - }, - { - "text": "| Chapter 1 Introduction 4 |\n| --- |\n| 1.1 Licensing 4 |\n| 1.2 Conventions 4 |\n| Chapter 2 Requirements and the Protégé User Interface 6 |\n| Chapter 3 What are OWL Ontologies? 6 |\n| 3.1 Components of OWL Ontologies 6 |\n| 3.1.1 Individuals 7 |\n| 3.1.2 Properties 8 |\n| 3.1.3 Classes 8 |\n| Chapter 4 Building an OWL Ontology 10 |\n| 4.1 Named Classes 13 |\n| 4.2 Using a Reasoner 15 |\n| 4.4 Using Create Class Hierarchy 17 |\n| 4.5 Create a PizzaTopping Hierarchy 19 |\n| 4.6 OWL Properties 22 |\n| 4.7 Inverse Properties 23 |\n| 4.8 OWL Object Property Characteristics 24 |\n| 4.8.1 Functional Properties 24 |\n| 4.8.2 Inverse Functional Properties 25 |\n| 4.8.3 Transitive Properties 25 |\n| 4.8.4 Symmetric and Asymmetric Properties 25 |\n| 4.8.5 Reflexive and Irreflexive Properties 26 |\n| 4.8.6 Reasoners Automatically Enforce Property Characteristics 26 |\n| 4.9 OWL Property Domains and Ranges 26 |\n| 4.10 Describing and Defining Classes 29 |\n| 4.10.1 Property restrictions 29 |\n| 4.10.2 Existential Restrictions 31 |\n| 4.10.3 Creating Subclasses of Pizza 33 |\n| 4.10.4 Detecting a Class that can't Have Members 37 |\n| 4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) 38 |\n| 4.12 Universal Restrictions 41 |\n| 4.13 Automated Classification and Open World Reasoning 42 |", - "page_start": 2, - "page_end": 2, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with supervised parsing does not make much difference for downstream task performance. models may also be storing relational knowledge present in the training data, and may be able to answer queries structured as \"fillin-the-blank\" cloze statements. Language\n\nAbstract\n\nRecent progress in pretraining language models on large textual corpora led to a surge of improvements for downstream NLP tasks. Whilst learning linguistic knowledge, these\n\nFabio Petroni1 Tim Rocktaschel ¨\n\n#### 3.2 Semantic knowledge models have many advantages over structured knowledge bases: they require no schema en-\n\narXiv:1909.01066v2 [cs.CL] 4 Sep 2019\n\nTo date, more studies have been devoted to BERT's knowledge of syntactic rather than semantic phenomena. However, we do have evidence from an MLM probing study that BERT has some knowledge of semantic roles (Ettinger, 2019). BERT even displays some preference for the incorrect fillers for semantic roles that are semantically related to the correct ones, as opposed to those that are unrelated (e.g. \"to tip a chef\" is better than \"to tip a robin\", but worse than \"to tip a waiter\"). gineering, allow practitioners to query about an open class of relations, are easy to extend to more data, and require no human supervision to train. We present an in-depth analysis of the relational knowledge already present (without fine-tuning) in a wide range of state-of-theart pretrained language models. We find that (i) without fine-tuning, BERT contains relational knowledge competitive with traditional NLP methods that have some access to oracle knowledge, (ii) BERT also does remarkably well on open-domain question answer-\n\nTenney et al. (2019b) showed that BERT encodes information about entity types, relations, semantic roles, and proto-roles, since this information can be detected with probing classifiers. ing against a supervised baseline, and (iii) certain types of factual knowledge are learned much more readily than others by standard language model pretraining approaches. The surprisingly strong ability of these models to re-\n\nBERT struggles with representations of numbers. Addition and number decoding tasks showed that BERT does not form good representations for floating point numbers and fails to generalize away from the training data (Wallace et al., 2019b). A part of the problem is BERT's wordpiece tokenization, since numbers of similar values can be divided up into substantially different word chunks. call factual knowledge without any fine-tuning demonstrates their potential as unsupervised open-domain QA systems. The code to reproduce our analysis is available at https: //github.com/facebookresearch/LAMA. 1 Introduction Recently, pretrained high-capacity language models such as ELMo (Peters et al., 2018a) and BERT\n\nOut-of-the-box BERT is surprisingly brittle to named entity replacements: e.g. replacing names in the coreference task changes 85% of predictions (Balasubramanian et al., 2020). This suggests that the model does not actually form a generic idea of named entities, although its F1 scores on NER probing tasks are high (Tenney et al., 2019a). Broscheit (2019) find that fine-tuning BERT on Wikipedia entity linking \"teaches\" it additional entity knowledge, which would suggest that it did not absorb all the relevant entity information during pre-training on Wikipedia. (Devlin et al., 2018a) have become increasingly important in NLP. They are optimised to either predict the next word in a sequence or some masked word anywhere in a given sequence (*e.g.* \"Dante was born in [Mask] in the year 1265.\"). The parameters of these models appear to store\n\n#### 3.3 World knowledge\n\nThe bulk of evidence about commonsense knowledge captured in BERT comes from practitioners using it to extract such knowledge. One direct probing study of BERT reports that BERT struggles with pragmatic inference and role-based event knowledge (Ettinger, 2019). BERT also struggles with abstract attributes of objects, as well as visual and perceptual properties that are likely to be assumed rather than mentioned (Da and Kasai, 2019).\n\nThe MLM component of BERT is easy to adapt for knowledge induction by filling in the\n\nMemory Query Answer\n\nSymbolic Memory Access\n\nFlorence\n\n(Dante, born-in, X)\n\n1,2 Patrick Lewis1,2 Anton Bakhtin1\n\nDante\n\nFlorence born-in\n\nLanguage Models as Knowledge Bases?\n\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2 1Facebook AI Research 2University College London {fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\n\nKG\n\nFigure 1: Querying knowledge bases (KB) and language models (LM) for factual knowledge. Figure 2: BERT world knowledge (Petroni et al., 2019)\n\nvast amounts of linguistic knowledge (Peters et al., 2018b; Goldberg, 2019; Tenney et al., 2019) useful for downstream tasks. This knowledge is usually accessed either by conditioning on latent context representations produced by the original model or by using the original model weights to initialize a task-specific model which is then further fine-tuned. This type of knowledge transfer is crucial for current state-of-the-art results on a wide range of tasks. blanks (e.g. \"Cats like to chase [___]\"). Petroni et al. (2019) showed that, for some relation types, vanilla BERT is competitive with methods relying on knowledge bases (Figure 2), and Roberts et al. (2020) show the same for open-domain QA using T5 model (Raffel et al., 2019). Davison et al. (2019) suggest that it generalizes better to unseen data. In order to retrieve BERT's knowledge, we need good template sentences, and there is work on their automatic extraction and augmentation (Bouraoui et al., 2019; Jiang et al., 2019b).\n\nIn contrast, knowledge bases are effective solutions for accessing annotated gold-standard relational data by enabling queries such as (Dante, born-in, X). However, in practice we often need to *extract* relational data from text or other modalities to populate these knowledge bases. This requires complex NLP pipelines involving entity extraction, coreference resolution, entity linking and relation extraction (Surdeanu and Ji, 2014) components that often need supervised data and fixed schemas. Moreover, errors can easily propagate and accumulate throughout the pipeline. Instead, we could attempt to query neural language models for relational data by asking them to fill in masked tokens in sequences like \"Dante was born However, BERT cannot reason based on its world knowledge. Forbes et al. (2019) show that BERT can \"guess\" the affordances and properties of many objects, but can not reason about the relationship between properties and affordances. For example, it \"knows\" that people can walk into houses, and that houses are big, but it cannot infer that houses are bigger than people. Zhou et al. (2020) and Richardson and Sabharwal (2019) also show that the performance drops with the number of necessary inference steps. Some of BERT's world knowledge success comes from learning stereotypical associations (Poerner et al., 2019), e.g., a person with an Italian-sounding name is predicted to be Italian, even when it is incorrect.\n\n#### 3.4 Limitations\n\nMultiple probing studies in section 3 and section 4 report that BERT possesses a surprising amount of syntactic, semantic, and world knowledge. However, Tenney et al. (2019a) remarks, \"the fact that a linguistic pattern is not observed by our probing classifier does not guarantee that it is not there, and the observation of a pattern does not tell us how it is used.\" There is also the issue of how complex a probe should be allowed to be (Liu et al., 2019a). If a more complex probe recovers more information, to what extent are we still relying on the original model?\n\nFurthermore, different probing methods may lead to complementary or even contradictory conclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n#### 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see: https://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n#### 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this. The term used for any such construct in Protégé and in this document is an *Entity*. Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 4 Building an OWL Ontology\n\nThis chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost everyone is familiar with.\n\n_____________________________________________________________________________________\n\n#### **Exercise 1: Create a new OWL Ontology**\n\n1. Start Protégé. When Protégé opens for the first time each day it puts up a screen of all the available plugins. You can also bring this up at any time by using File>Check for plugins. You won't need any plugins at this point of the tutorial so just click the Not now button.\n\n2. The Protégé user-interface consists of several tabs such as Active ontology, Entities, etc. When you start Protégé you should be in the Active Ontology tab. This is for overview information about the entire ontology. Protégé always opens with a new untitled ontology you can start with. Your ontology should have an IRI something like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology-27 Edit the name of the ontology (the part after the last \"/\" in this case untitled-ontology-27) and change it to something like PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the IRI after I edited the default that Protégé generated for me. Your IRI will look different and will be based on your name or the name of your organization.\n\n3. Now you want to save your new ontology. Select File>Save. This should bring up a window that says: Choose a format to use when saving the 'PizzaTutorial' ontology. There is a drop down menu of formats to use. The default RDF/XML Syntax should be selected by clicking the OK button. This should bring up the standard dialog your operating system uses for saving files. Navigate to the folder you want to use and then type in the file name, something like Pizza Tutorial and select Save.\n\n____________________________________________________________________________________\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if something goes wrong you don't lose your work. At certain points in the tutorial where saving is especially important the tutorial will prompt you to do so but it is a good idea to save your work often, not just when prompted.\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé any class, individual, object property, data property, annotation property, or rule is referred to as an entity. The term name in OWL can actually refer to two different concepts. It can be the last part of the IRI3 or it can refer to the annotation property (usually rdfs:label) used to provide a more user friendly name for the entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the parameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will work appropriately.\n\n3 An IRI is similar to a URL. This will be discussed in detail below in chapter 7.", - "page_start": 10, - "page_end": 10, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "# **Bibliography**\n\n- Aloni, Maria; Dekker, Paul (7 July 2016). *The Cambridge Handbook of Formal Semantics*. Cambridge University Press. pp. 22–23. ISBN 978-1-316-55273-5.\n- Angell, Richard B. (1964). *Reasoning and Logic*. Ardent Media. p. 164. OCLC 375322 (http s://search.worldcat.org/oclc/375322).\n- Audi, Robert (1999a). \"Informal logic\". *The Cambridge Dictionary of Philosophy* (https://philp apers.org/rec/AUDTCD-2). Cambridge University Press. p. 435. ISBN 978-1-107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Audi, Robert (1999b). \"Philosophy of logic\". *The Cambridge Dictionary of Philosophy* (http s://philpapers.org/rec/AUDTCD-2). Cambridge University Press. pp. 679–681. ISBN 978-1- 107-64379-6. Archived (https://web.archive.org/web/20210414132344/https://philpapers.org/ rec/AUDTCD-2) from the original on 14 April 2021. Retrieved 29 December 2021.\n- Backmann, Marius (1 June 2019). \"Varieties of Justification—How (Not) to Solve the Problem of Induction\" (https://doi.org/10.1007%2Fs12136-018-0371-6). *Acta Analytica*. **34** (2): 235–255. doi:10.1007/s12136-018-0371-6 (https://doi.org/10.1007%2Fs12136-018-037 1-6). ISSN 1874-6349 (https://search.worldcat.org/issn/1874-6349). S2CID 125767384 (http s://api.semanticscholar.org/CorpusID:125767384).\n- Bagaria, Joan (2021). \"Set Theory\" (https://plato.stanford.edu/entries/set-theory/). *The Stanford Encyclopedia of Philosophy*. Metaphysics Research Lab, Stanford University. Retrieved 23 September 2022.\n- Barnes, Jonathan (25 January 2007). *Truth, etc.: Six Lectures on Ancient Logic*. Clarendon Press. p. 274. ISBN 978-0-19-151574-3.\n- Benthem, Johan van. \"Modal Logic: Contemporary View: 1. Modal Notions and Reasoning Patterns: a First Pass\" (https://iep.utm.edu/modal-lo/#H1). *Internet Encyclopedia of Philosophy*. Retrieved 11 March 2023.\n- Berlemann, Lars; Mangold, Stefan (10 July 2009). *Cognitive Radio and Dynamic Spectrum Access*. John Wiley & Sons. p. 194. ISBN 978-0-470-75443-6.\n- Berman, Harold J. (1 July 2009). *Law and Revolution, the Formation of the Western Legal Tradition*. Harvard University Press. ISBN 978-0-674-02085-6.\n- Bimbo, Katalin (2 April 2016). *J. Michael Dunn on Information Based Logics*. Springer. pp. 8–9. ISBN 978-3-319-29300-4.\n- Blackburn, Simon (1 January 2008). \"argument\". *The Oxford Dictionary of Philosophy* (http s://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194756/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blackburn, Simon (24 March 2016). \"rule of inference\". *The Oxford Dictionary of Philosophy* (https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194809/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990) from the original on 8 January 2022. Retrieved 8 January 2022.\n- Blair, J. Anthony; Johnson, Ralph H. (1987). \"The Current State of Informal Logic\" (https://ph ilpapers.org/rec/BLATCS). *Informal Logic*. **9** (2): 147–51. doi:10.22329/il.v9i2.2671 (https://d oi.org/10.22329%2Fil.v9i2.2671). Archived (https://web.archive.org/web/20211230194638/ht tps://philpapers.org/rec/BLATCS) from the original on 30 December 2021. Retrieved 2 January 2022.", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia1.pdf" - }, - { - "text": "## Chapter 13 Conclusion: Some Personal Thoughts and Opinions\n\nThis tutorial is just the entry point to a technology that is entering the *Slope of Enlightenment* in the Gartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the Semantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US corporations the excitement around Machine Learning seemed for a while to eclipse serious interest in OWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology companies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started to embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is finally realizing that machine learning and knowledge graphs are complimentary not competitive technologies.\n\nThe term knowledge graph itself can be used in different ways. The best definition I've heard is that an ontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology combined with data (A-Box). Although in the corporate world I often hear people simply talk about knowledge graphs without much interest in the distinction between the vocabulary and the data.\n\nThere are a number of vendors emerging who are using the technology in very productive ways and are providing the foundation for federated knowledge graphs that can scale to hundreds of millions of triples or more and provide a framework for all corporate data. I've listed several in the bibliography but those are only the ones I've had some experience with. I'm sure there are many others. One of the products I've had the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz Inc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the commercial version. I've found the Allegro triplestore easy to use on a Windows PC with the Docker tool to emulate a Linux server.\n\nI first started working with classification-based languages when I worked at the Information Sciences Institute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US Department of Defense and their contractors. Since then, I've followed the progress of the technology, especially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great promise in the technology. When I first discovered Protégé it was a great experience. It is one of the best supported and most usable free tools I've ever seen, and it always surprised me that there weren't more corporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope this tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.", - "page_start": 88, - "page_end": 88, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is Text2Onto still updated nowadays?", - "target_page": 1, - "target_passage": "But it is not maintained since 2011.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "# **Summary of changes**\n\nThis section describes the technical changes made in this edition of the book and in previous editions. This edition might also include minor corrections and editorial changes that are not identified.\n\nSummary of Changes for SG24-7938-07 for Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1 as created or updated on November 7, 2019.\n\n# **June 2019, Eighth Edition**\n\nThis revision includes the following new and changed information.\n\n# **New information**\n\n- -Add new look GUI\n- -Hot Spare node\n- -RAS line items\n\n# **Changed information**\n\n- -Added new GUI windows throughout", - "page_start": 20, - "page_end": 20, - "source_file": "sg247938.pdf" - }, - { - "text": "**Tip:** If you are updating from V7.8 or later code, the 30-minute wait period can be adjusted by using the **applysoftware** CLI command with the -**delay (mins)** parameter to begin the update instead of using the GUI.\n\n| Warning |\n| --- |\n| A node failover has been detected. Information that is displayed on the panel |\n| might be out of date. Do you want to refresh the panel? |\n| Yes No |\n| Figure 40 00 Node foiloyor |\n\n*Figure 13-22 Node failover*\n\nWe now see the new V8.2.1 GUI and the status of the second node updating, as shown in Figure 13-23.\n\n| | | | Update in Progress ... | 50% Complete | | | | | Click for Details |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| IBM | IBM Storwize V7000 ITSO-V7k System | | | | | . B | (2) | superuser (Security Administrator) | > |\n| | Dashboard | | | | | | | | |\n| | | Date and Time | Update System | | | | | | |\n| | | | State: Updating | | | | | | |\n| af | Monitoring | Licensed Functions | Overall progress: 50% | | | | | | |\n| | | | Resume | Cancel | | | | | |\n| H | Pools | Update System | | | | | | | |\n| | | | Name | State | Version | | | | lli |\n| D | Volumes | VVOL | node2 | ✓ Complete | 8.2.1.0 (build 147.6.1810180824000) | | | | |\n| | | | node1 | * Updating | 8.1.3.3 (build 143.7.1810081143000) | | | | |\n| .. 0 | Hosts | IP Quorum | System | Not updated | 8.1.3.3 (build 143.7.1810081143000) | | | | |\n| F | Copy Services | I/O Groups | | | | | | | |\n| | | DNS | | | | | | | |\n| C | Access | | | | | | | | |\n| | | Transparent Cloud Tiering | | | | | | | |\n| | Settings | | Showing 3 nodes Selecting 0 nodes | | | | | | |\n| | | | Read Write Latency Oms oms oms | Read Bandwidth U MBps 0 MBps 0 MBps | Write | IOPS O Read Write | | | |\n\n*Figure 13-23 New GUI after node failover*", - "page_start": 715, - "page_end": 715, - "source_file": "sg247938.pdf" - }, - { - "text": "The installation and use of this utility is nondisruptive, and does not require restart of any IBM Storwize V7000 nodes. Therefore, there is no interruption to host I/O. The utility is only installed on the current configuration node.\n\nSystem administrators must continue to check whether the version of code that they plan to install is the latest version. For the most current information, see this website.\n\nThis utility is intended to supplement rather than duplicate the tests that are performed by the IBM Spectrum Virtualize update procedure (for example, checking for unfixed errors in the error log).\n\nConcurrent software update of all components is supported through the standard Ethernet management interfaces. However, most of the configuration tasks are restricted during the update process.\n\n# **13.4.3 Updating your Storwize V7000 to V8.2.1**\n\nTo update the IBM Spectrum Virtualize software to V8.2.1, complete the following steps:\n\n- 1. Open a supported web browser and navigate to your cluster IP address. A login window opens (see Figure 13-11).\n\n| TEM |\n| --- |\n| Storwize V7000 Storage Management (ITSO-V7k) |\n| Username |\n| Password |\n| Sign In |\n\n*Figure 13-11 IBM Storwize V7000 pre-8.1 GUI login window*", - "page_start": 709, - "page_end": 709, - "source_file": "sg247938.pdf" - }, - { - "text": "- 5. Select all of the files to include in the compressed file; then, click **Download**. Depending on your browser preferences, you might be prompted where to save the file or it downloads to your defined download directory.\n# **13.4 Software update**\n\nThis section describes the operations to update your Storwize V7000 software to V8.1.\n\nThe format for the software update package name ends in four positive integers that are separated by dots. For example, a software update package might have the following name: IBM_2145_INSTALL_8.2.1.0\n\n# **13.4.1 Precautions before the update**\n\nThis section describes the precautions that you should take before you attempt an update.\n\n**Important:** Before you attempt any IBM Storwize V7000 code update, read and understand the Storwize V7000 concurrent compatibility and code cross-reference matrix. For more information, see this website and click **Latest Storwize V7000 code**.\n\nDuring the update, each node in your Storwize V7000 clustered system is automatically shut down and restarted by the update process. Because each node in an I/O Group provides an alternative path to volumes, use the Subsystem Device Driver (SDD) to make sure that all I/O paths between all hosts and storage area networks (SANs) work.\n\nIf you do not perform this check, certain hosts might lose connectivity to their volumes and experience I/O errors when the Storwize V7000 node that provides that access is shut down during the update process. You can check the I/O paths by using **datapath query** SDD commands.\n\n# **13.4.2 IBM Storwize V7000 update test utility**\n\nThe software update test utility is a Storwize V7000 software utility that checks for known issues that can cause problems during a Storwize V7000 software update. For more information about the utility, see this website.\n\nDownload the software update utility from this page where you can also download the firmware. This procedure ensures that you receive the current version of this utility. You can use the **svcupgradetest** utility to check for known issues that might cause problems during a software update.\n\nThe software update test utility can be downloaded in advance of the update process. Alternately, it can be downloaded and run directly during the software update, as guided by the update wizard.\n\nYou can run the utility multiple times on the same IBM Storwize V7000 system to perform a readiness check-in preparation for a software update. Run this utility for a final time immediately before you apply the software update to ensure that there were no new releases of the utility since it was originally downloaded.", - "page_start": 708, - "page_end": 708, - "source_file": "sg247938.pdf" - }, - { - "text": "# **13.4.4 Updating IBM Storwize V7000 drive code**\n\nAfter completing the Storwize V7000 software update as described in 13.4, \"Software update\" on page 687, the firmware of the Storwize V7000 drives also must be updated. The upgrade test utility identified that downlevel drives are in the system, as shown in Figure 13-25. However, this fact does not stop the system software from being performed.\n\n| × Update Test Utility Results | |\n| --- | --- |\n| **************** Warning found * | |\n| This tool has found the internal disks of this system are | |\n| not running the recommended firmware versions. | |\n| Details follow: | |\n| +- | |\n| Model Latest FW Current FW Drive Info | |\n| +- | |\n| HUC156030CSS20 J2GF J2G5 Drive 0 in slot 5 in enclosure 1 | |\n| - Drive 1 in slot 3 in enclosure 1 | |\n| Drive 2 in slot 4 in enclosure 1 | |\n| B56U B56K Drive 21 in slot 12 in enclosure 1 ST600MM0006 | |\n| ST600MM0006 B56U B56S Drive 3 in slot 7 in enclosure 1 | |\n| . Drive 6 in slot 8 in enclosure 1 | |\n| Drive 7 in slot 17 in enclosure 1 | |\n| Drive 8 in slot 13 in enclosure 1 | |\n| Drive 9 in slot 6 in enclosure 1 | |\n| Drive 10 in slot 22 in enclosure 1 | |\n| HI œ | ◀ |\n| Download Results Close | Need Help |\n\n*Figure 13-25 Upgrade test utility drive firmware warning*\n\nTo update the IBM Storwize V7000 drive code, complete the following steps:\n\n- 1. Download the latest Drive firmware package for IBM Storwize V7000 from Fix Central.\n- 2. On the Storwize V7000 GUI, navigate to **Pools** → **Internal Storage** and select **All Internal.**", - "page_start": 717, - "page_end": 717, - "source_file": "sg247938.pdf" - }, - { - "text": "| Remote Authentication | Secure Communications | | Update Certificate | | | | × |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| Secure Communications | State: | ✓ Enabled | | | | | |\n| | Certificate: | Self-signed certificate | Certificate type: | Self-signed certificate | | | < |\n| | Key type: | 2048-bit RSA | | O Signed certificate | | | |\n| | Valid: | 8/29/18 | | | | | |\n| | Expires: | 8/25/33 | | | | | |\n| | Update Certificate | | Key type: | 2048-bit RSA | | ▼ | |\n| | | | Validity days: | | 5,475 | | |\n| | | | Country: | us | | | |\n| | | | State: | | | | |\n| | | | City: | X | | | |\n| | | | Organization: | X | | | |\n| | | | Organization unit: | | | | |\n| | | | Common name: | 9.42.162.232 | | | |\n| | | | Email address: | z@z.com | | | > |\n| | | | | | Cancel | Update | |\n\n*Figure 5-64 Configuring Secure Communications*\n\n# **5.10.4 System menus**\n\nClick the **System** option from the Settings menu (see Figure 5-65) to view and change the time and date settings, work with licensing options, download configuration settings, work with VMware VVOLs and IP Quorum, or download software upgrade packages.\n\n| Settings | Notifications |\n| --- | --- |\n| | Network |\n| | Security |\n| | System |\n| | Support |\n| | GUI Preferences |\n\n*Figure 5-65 System option*\n\n# **Date and time**\n\nComplete the following steps to view or configure the date and time settings:\n\n- 1. From the main System pane, point to **Settings** and click **System**.\n- 2. In the left column, select **Date and Time**, as shown in Figure 5-66 on page 172.", - "page_start": 192, - "page_end": 192, - "source_file": "sg247938.pdf" - }, - { - "text": "#### *Method 2: Setting up the trace by using the DB2 command line*\n\nAlternatively, you can use the DB2 command line to activate the trace by completing the following steps:\n\n- 1. In the DB2 instance, run the DB2 commands that are shown in Example 18-3.\nExample 18-3 Turning on the trace through the DB2 command line\n\n```\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING Trace 1\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING TraceRefreshInterval 5\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING TraceFileName /tmp/db2trace.dmp\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING TraceComm 1\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING TraceFlush 1\n```\n- 2. Restart the application (in this case **arssockd**) for the changes to take effect.\n- 3. Re-create the DB2 problem and capture the trace information.\n- 4. Run the following command to turn off the traces:\n\ndb2 UPDATE CLI CFG FOR SECTION COMMON USING Trace 0\n\n- 5. Restart **arssockd**.\n# **18.2.3 Tivoli Storage Manager**\n\nFor Content Manager OnDemand problems that relate to Tivoli Storage Manager, collect the information that is shown in Table 18-6. For specific Tivoli Storage Manager errors, see Collecting Data: Read First for Tivoli Storage Manager Products, reference number 1263547.\n\n| File | Description |\n| --- | --- |\n| Application group | The summary information for storage management shows the storage set |\n| report | name, which relates to Tivoli Storage Manager. |\n| Storage set report | This information provides the node name at Tivoli Storage Manager. |\n| Tivoli Storage Manager | This log shows the events in the Tivoli Storage Manager server. You can |\n| activity log | retrieve the log by running the Query actlog command. |\n| Tivoli Storage Manager | Tivoli Storage Manager error messages are prefixed with ANS, ANR, and |\n| error message | so on. This error is generated by Tivoli Storage Manager and can be used |\n| | for Tivoli Storage Manager support for further diagnosis. |\n\nTable 18-6 Information to collect for Tivoli Storage Manager\n\nYou can gather the various object reports, such as the application group report and storage set report, by right-clicking the object and selecting **Summarize**.\n\n# **18.2.4 Content Manager OnDemand Client logon**\n\nIf a Content Manager OnDemand Client fails to log on to the server, check that **arssockd** is running on the server. Then, check the network connectivity by performing a **ping** test from the command window of the client. Open the command window and **ping** the host name or the IP address of the Content Manager OnDemand server.\n\nCollect the files that are listed in Table 18-7 on page 395 for client problems, such as logging in to Content Manager OnDemand.", - "page_start": 417, - "page_end": 417, - "source_file": "sg246915.pdf" - }, - { - "text": "- 8. Click **Resume** in the Update System window and the update proceeds, as shown in Figure 13-19.\n\n| Update System | | | |\n| --- | --- | --- | --- |\n| State: | A Update test utility detected issues. Read more. | | |\n| Resume | Cancel | | |\n| Name | | State | llí Version |\n| node2 | | Not updated | 8.1.3.3 (build 143.7.1810081143000) |\n| node1 | | Not updated | 8.1.3.3 (build 143.7.1810081143000) |\n| System | | Not updated | 8.1.3.3 (build 143.7.1810081143000) |\n\n*Figure 13-19 Resuming the update* \n\n- 9. Because of the utility detecting issues, another warning comes up to ensure that you investigated them and are certain you want to proceed, as shown in Figure 13-20. When you are ready to proceed, click **Yes**.\n*Figure 13-20 Warning before you can continue*\n\n- 10.The system begins updating the IBM Spectrum Virtualize software by taking one node offline and installing the new code. This process takes approximately 20 minutes. After the node returns from the update, it is listed as complete, as shown in Figure 13-21.\n\n| Update System | | |\n| --- | --- | --- |\n| State: | System update paused for host path discovery (will complete at 3:13 PM) | |\n| Overall progress: 50% | | |\n| Resume | Cancel | |\n| Name | State | Version IIi |\n| node2 | ✔ Complete | 8.2.1.0 (build 147.6.1810180824000) |\n| node1 | Next to update | 8.1.3.3 (build 143.7.1810081143000) |\n| System | Not updated | 8.1.3.3 (build 143.7.1810081143000) |\n\n*Figure 13-21 Update process paused for host path recovery*\n\n- 11.After a 30-minute pause, a node failover occurs and you temporarily lose connection to the GUI to ensure that multipathing recovered on all attached hosts. A warning window displays, prompting you to refresh the current session, as shown in Figure 13-22 on page 694.", - "page_start": 714, - "page_end": 714, - "source_file": "sg247938.pdf" - }, - { - "text": "- 3. In the **System** menu, click **Update System**. The Update System window opens (see Figure 13-13).\n\n| IBM | | IBM Storwize V7000 ITSO-V7k System | | 나 E 2 superuser (Security Administrator) V | |\n| --- | --- | --- | --- | --- | --- |\n| | Dashboard | | | | |\n| | | | Date and Time | Update System | |\n| | Monitoring | V | | Current software level: Version 8.1.3.3 (build 143.7.1810081143000) | |\n| | | | Licensed Functions | Unable to contact update server. It this web browser is behind a firewall or does not have Internet access, download the update package and manually install it on the | |\n| | | | | system. | |\n| | Pools | V | Update System | Test Only | Test & Update |\n| L | Volumes | V | VVOL | | |\n| 目 | Hosts | V | IP Quorum | | |\n| → | Copy Services | V | I/O Groups | | |\n| | Access | V | DNS | | |\n| | | | Transparent Cloud Tiering | | |\n| 00 | Settings | V | | | |\n\n*Figure 13-13 Update System window*\n\n- 4. From this window, you can select to run the update test utility and continue with the code update or run the test utility. For this example, we click **Test and Update.**\n**My Notifications:** Use the My Notifications tool to receive notifications of new and updated support information to better maintain your system environment, especially in an environment where a direct internet connection is not possible.\n\nSee this website (an IBM account is required) to add your IBM Storwize V7000 system to the notifications list to be advised of support information, and to download the current code to your workstation for later upload.\n\n- 5. Because you downloaded both files from this website, you can click each folder, browse to the location where you saved the files, and upload them to the IBM Storwize V7000. If the files are correct, the GUI detects and updates the target code level, as shown in Figure 13-14.\n\n| Update System | | | | × |\n| --- | --- | --- | --- | --- |\n| Select the files to be used for the update. | | | | |\n| Test utility: | IBM_INSTALL_svcupgradetest_28.0 | | | |\n| Update package: | IBM2076_INSTALL_8.2.1.0 | | | |\n| Code level: | 8.2.1.0 | | | |\n| ? Need Help | | Cancel | Next | |\n\n*Figure 13-14 Upload option for both Test utility and Update Package*", - "page_start": 711, - "page_end": 711, - "source_file": "sg247938.pdf" - }, - { - "text": "| | | RSW | RMF | RCLS | RLLM |\n| --- | --- | --- | --- | --- | --- |\n| MT-Bench | Prefix | 100 ± 0 | 100 ± 0 | 100 ± 0 | 73 ± 5 |\n| | Suffix | 100 ± 0 | 100 ± 0 | 100 ± 0 | 84 ± 4 |\n| MMLU | Prefix | 90 ± 1 | 78 ± 4 | 100 ± 0 | 95 ± 1 |\n| | Suffix | 82 ± 2 | 63 ± 3 | 93 ± 1 | 93 ± 1 |\n| GSM8K | Prefix | 98 ± 0 | 100 ± 0 | 100 ± 0 | 100 ± 0 |\n| | Suffix | 94 ± 1 | 100 ± 0 | 100 ± 0 | 94 ± 3 |\n\nTable 12: Average upgrade rates for different ways of adding the gadget to queries, in the white-box setting. Results are similar in both methods, with a slight preference to the prefix approach.\n\n| | | RSW | RMF | RCLS | RLLM |\n| --- | --- | --- | --- | --- | --- |\n| MT-Bench | Uniform | 100 ± 0 | 100 ± 0 | 100 ± 0 | 73 ± 5 |\n| | Natural Prob. | 100 ± 0 | 97 ± 2 | 100 ± 0 | 70 ± 5 |\n| MMLU | Uniform | 90 ± 1 | 78 ± 4 | 100 ± 0 | 95 ± 1 |\n| | Natural Prob. | 77 ± 2 | 41 ± 3 | 96 ± 2 | 87 ± 4 |\n| GSM8K | Uniform | 98 ± 0 | 100 ± 0 | 100 ± 0 | 94 ± 3 |\n| | Natural Prob. | 88 ± 2 | 92 ± 3 | 100 ± 0 | 83 ± 9 |\n\nTable 13: Average upgrade rates for different ways of sampling candidate tokens during gadget generation, in the whitebox setting. Uniformly sampling the tokens yields better upgrade rates in most cases.\n\nAs mentioned in Section 5, to encourage the LLMs to follow the specific format in their responses (so they can be parsed and compared with the ground-truth answers), we add a short prefix to the MMLU and GSM8K queries that instructs the model how to respond. We phrase this instruction as follows: \"*Answer the question using the format: \"Answer: [A/B/C/D]. Explanation: [EXPLANATION]\"*\" for the multi-choice queries of the MMLU benchmark, and a similar version for GSM8K. We add this instruction after modifying the queries with the confounder gadget, i.e. the instruction is prepended to the gadget.\n\nAn alternative to insert the instruction after the gadget but before the query, however we observed this to slighly underperform its counterpart. In the white-box setting we observe a slight decrease in the average (across all four routers) upgrade rate from 91% to 89% for the MMLU benchmark, and from 98% to 91% for the GSM8K benchmark. In the black-box setting, the average upgrade rate on MMLU reduces from 57% to 49% and on GSM8K from 73% to 64%.\n\nToken sampling method. When generating the confounder gadget (see Section 4), we iteratively replace tokens with the goal of maximizing the routing algorithm's score for the gadget. Candidate replacement tokens are chosen uniformly at random. An alternative is to choose candidates based on their probability of appearing in natural text. To evaluate this method, we compute token probabilities by parsing and tokenizing the wikitext-103-raw-v1 dataset [44].\n\nTable 13 shows that in most cases uniform sampling of replacement tokens yields better upgrade rates. We conjecture that uniform sampling produces more unnatural text, confusing the router. For example, for the RSW routing algorithm, uniform sampling produces the following gadget: \"*legationbelongs967reglo'hui(DictionaryizedNameantal bidi.numberOf* \", whereas sampling according to natural probabilities produces \"*total occurred According number Letar final Bab named remainder*\".\n\nNumber of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the effect of using less (n = 5) or more (n = 20 or n = 50) tokens. We observed that 5 tokens were insufficient to make changes to the routing algorithm's score and thus we were not able to optimize the gadget in this setting. As for 20 tokens, we observe a a small improvement in the white-box setting, increase the average upgrade rate from 93.9% to 95.8%, and a bigger improvement in the black-box setting, increase the average upgrade rate from 70.2% to 81.3%. Using 50 tokens further increases the upgrade rates, to 98.2% in the white-box setting and 84.2% in the black box setting. The average convergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall this evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is important to be careful not to make them too long to the point that they might degrade the performance of the underlying LLM.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What was the proportion of revenue generated by wireless telecommunications operations in 2009?", - "target_page": 91, - "target_passage": "6,685", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Network revenue was higher this year compared to last year. This was the net effect of:\n\n- higher data revenue related to an increase in subscriber levels and higher usage of wireless data services\n- partially offset by our introduction of new lower priced US and international roaming plans and rates which offer consumers more value, and\n- the continued adoption of customer friendly simplified plans, which often bundle in certain features like voicemail, caller ID and long distance that we have charged for separately in the past.\n\nExcluding the decline in US and international roaming revenue this year, network revenue would have increased 1%.\n\nData revenue was 17% higher this year mainly because of the continued penetration and growing use of smartphones, tablet devices and wireless laptops, which increased the use of e-mail, wireless, Internet access, text messaging and other wireless data services. Data revenue represented approximately 47% of total network revenue this year, compared to approximately 41% last year.\n\nPostpaid churn was 1.24% this year, compared to 1.29% in 2012. The lower churn rate is partly attributable to the new simplified plans and the roaming plans we introduced.\n\nGross postpaid subscriber additions were 1.4 million this year, or 3% lower than last year, which reduced net postpaid subscriber additions to 228,000, despite a lower postpaid churn. We believe the industry transition from three year to two year plans resulting from the recent adoption of the Canadian Radio-television and Telecommunications Commission (CRTC) Wireless Code may have slowed our overall wireless subscriber growth from the second half of the year. See \"Regulation in Our Industry\" for more information on the Wireless Code.\n\nWe activated and upgraded approximately 2.7 million smartphones this year, compared to approximately 2.9 million in 2012. Approximately 34% of these were for new subscribers. The decrease was mainly because there was a 10% reduction in hardware upgrades by existing subscribers during the year, which we also believe is at least partly due to the move from three to two year contracts and the associated pricing changes.\n\nThe percentage of subscribers with smartphones increased to 75% of our overall postpaid subscriber base, compared to 69% at the end of 2012. Smartphone subscribers typically generate significantly higher ARPU and are less likely to churn.\n\nThe decrease in prepaid subscriber net additions was mainly because of increasing competition at the lower end of the wireless market where prepaid products are mainly sold.\n\nBlended ARPU was down slightly this year compared to last year because the voice component declined at a faster rate than the data component increased.\n\n#### (%) **DATA REVENUE PERCENT OF BLENDED ARPU**\n\n#### *Lower Equipment Sales*\n\nEquipment sales (net of subsidies) include revenue from sales to:\n\n- independent dealers, agents and retailers\n- directly to subscribers through fulfillment by Wireless' customer service groups, websites, telesales and corporate stores.\n\nRevenue from equipment sales was lower this year, mainly because fewer existing subscribers upgraded their devices and there were fewer gross activations.\n\n#### **Lower Operating Expenses**\n\nWe assess operating expenses in two categories:\n\n- the cost of wireless handsets and equipment\n- all other expenses involved in day-to-day operations, to service existing subscriber relationships and attract new subscribers.\n\nThe cost of equipment was $50 million lower than last year, or 3%, mainly because fewer existing subscribers upgraded hardware and fewer new customers were added during the year as discussed above. We activated and upgraded fewer devices compared to 2012.\n\nTotal customer retention spending (including subsidies on handset upgrades) was $939 million, 0.3% lower than last year. The reduction was mainly because fewer existing subscribers upgraded their hardware as discussed above, which we partially attribute to the recent shift to two year contracts.\n\nOther operating expenses (excluding retention spending), were down slightly from 2012, due to a continued focus on cost productivity initiatives we are implementing across various functions.\n\n#### **Higher Adjusted Operating Profit**\n\nAdjusted operating profit was 3% higher this year compared to last year because of continued growth of wireless data, our improvements in cost management and efficiency and lower volumes of hardware sales and upgrades. Adjusted operating profit margin as a percentage of network revenue increased this year to 46.8% from 45.6% in 2012.", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### **Key Achievements**\n\n#### **Higher Operating Revenue and Adjusted Operating Profit**\n\n- Consolidated operating revenue was 2% higher this year compared to 2012, led by an increase in data revenue at Wireless, higher Internet revenue at Cable, higher Next Generation revenue at Business Solutions and higher subscriber revenue at Media. Revenue grew by 3% in Cable, 7% in Business Solutions and 5% in Media, while revenue at Wireless remained unchanged as the increase in data revenue was offset by the decrease in voice revenue.\n- Consolidated adjusted operating profit rose 3% this year to $4,993 million, with consolidated adjusted operating profit margins of 39.3%, resulting from higher revenue, the realization of cost efficiencies and shifts in the mix of revenue from products and services sold.\n- Postpaid Wireless subscriber growth continued with net additions of 228,000 and lower churn of 1.24%.\n- Cable high-speed Internet subscribers grew by 97,000 and cable telephony lines grew by 79,000, while television households decreased by 87,000 compared to 2012.\n\n#### **Strong Cash Flow**\n\n- Pre-tax free cash flow, defined as adjusted operating profit less spending on property, plant and equipment, and interest on longterm debt (net of capitalized interest), increased by 1% compared to 2012 to $2,044 million due to a 3% increase in adjusted operating profit offset by higher spending on property, plant and equipment. After-tax cash flow decreased by 6% from 2012 levels to $1,548 due to a 31% increase in cash taxes.\n#### **Strong Balance Sheet and Liquidity Position**\n\n- Issued and fully hedged US$2.5 billion of ten and thirty year senior notes at some of the lowest coupon rates ever achieved for Rogers corporate debt, in two separate offerings comprising:\n\t- US$500 million of 3.00% senior notes due 2023 and US$500 million of 4.50% senior notes due 2043\n\t- US$850 million of 4.10% senior notes due 2023 and US$650 million of 5.45% senior notes due 2043\n- Our overall weighted average cost of debt was 5.50% at December 31, 2013 compared to 6.10% at December 31, 2012 and the weighted average term to maturity on our debt was 11.3 years, compared to 9.2 years at December 31, 2012.\n\n- Ended the year with $4.5 billion of available liquidity, comprised of $2.3 billion cash on hand, $2 billion available under our bank credit facility and $0.2 billion available under our $0.9 billion accounts receivable securitization program.\n- In May 2013, each of Fitch Ratings and Standard and Poor's Ratings Services upgraded RCI's senior unsecured debt to BBB+ (from BBB) with a stable outlook, while Moody's Investors Service's comparable rating is Baa1 with a stable outlook remained unchanged from last year.\n\n#### **Growing Dividends**\n\n- We increased our annualized dividend rate in February 2013 by 10% to $1.74 per Class A Voting and Class B Non-Voting share and paid a quarterly dividend of $0.435 per share during 2013. We further increased our annualized dividend on February 12, 2014, by 5% to $1.83.\n#### **New CEO**\n\n- Guy Laurence joined Rogers in December 2013, as our new President and Chief Executive Officer, succeeding Nadir Mohamed who retired from Rogers. Mr. Laurence brings 30 years of global experience in the telecommunications and media industries.\n#### **Significant Developments**\n\n- Exclusive 12-year licensing agreement to broadcast national NHL games, beginning with the 2014-2015 season was signed. The agreement grants Rogers the exclusive distribution rights of all national regular season and playoff games within Canada, in multiple languages, across all platforms. At the same time, we executed separate agreements to sublicence certain of these broadcasting rights to TVA Sports and CBC.\n- Strategic acquisitions of Score Media Inc. (theScore), Mountain Cablevision Ltd. (Mountain Cable), Blackiron Data ULC (Blackiron) and Pivot Data Centres were completed.\n- Rogers First Rewards, a new loyalty program allowing customers to earn points on their eligible purchases and redeem them online for a wide selection of Rogers products and services, was launched in the Greater Toronto Area, Ottawa, Kingston, Sudbury and other cities throughout Ontario. We also received regulatory approval to launch a Rogers credit card which augments this loyalty program and will accelerate the rate at which customers earn points.\n\n**ADJUSTED OPERATING PROFIT BY SEGMENT**\n\n#### (IN MILLIONS OF DOLLARS) **CONSOLIDATED TOTAL ASSETS**\n\n(IN MILLIONS OF DOLLARS)", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income from discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the two months of its operations in 2003.\n\nThe Company adopted FAS 143 \"Accounting for Asset Retirement Obligations.\" effective January 1, 2003, and as a result recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating results in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\n\n#### **DISCONTINUED OPERATIONS**\n\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990's. The partnership's local customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December 31, 2002. The decline was the result of competition with digital technologies and increased competition from national carriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to transform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the partnership to one of the minority partners. The agreement was signed in November 2002, and closing was February 28, 2003. The Company's portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, $7.4 million and $6.7 million, respectively.\n\n#### **CONTINUING OPERATIONS**\n\n#### **2002 compared to 2001**\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million of wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 million or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS service revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which totaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The rate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 through April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from October 1, 2001 through December 31, 2001.\n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 million of rebates and discounts given at the time of sale, which became more pronounced during the year to meet industry competition for subscriber additions and subscriber retention.\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) service in August 2002. The impact of 3G 1X-network enhancements on revenues was not significant in 2002.\n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\n\nWireless revenues from the Company's paging operation were $0.3 million, a decrease of $0.1 million as the local customer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in 2002 from 3,190 subscribers to 2,940 subscribers.\n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. Telephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues was driven by a 38.4% increase in access minutes of use on the Company's network and an increased percentage of minutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the Federal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### FOURTH QUARTER 2013 RESULTS\n\n#### **Operating Revenue**\n\nWireless network revenue was lower this quarter compared to the same period last year, mainly because of the recent introduction of lower priced roaming plans and pricing changes made over the past year primarily associated with our new simplified plans.\n\nCable operating revenue was higher this quarter compared to the same period last year, mainly because of Internet growth and the acquisition of Mountain Cable, partially offset by a decline in television revenue with competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher this quarter compared to the same period last year, mainly because we completed the acquisitions of Blackiron Data and Pivot Data Centres earlier this year, combined with the continuing growth in on-net and next-generation services.\n\nMedia operating revenue was higher this quarter compared to the same period last year, mainly because of revenue growth at Sportsnet and higher sales at The Shopping Channel.\n\n#### **Adjusted Operating Profit**\n\nWireless adjusted operating profit was higher this quarter compared to the same period last year, mainly because of cost management and productivity initiatives implemented across various areas, including cost of equipment, offset by reduced network revenue described above.\n\nCable adjusted operating profit was higher this quarter compared to the same period last year because of the continued shift in our product mix towards higher margin Internet and phone products.\n\nMedia's adjusted operating profit was lower this quarter compared to the same period last year. The increase in Media's operating revenue this year was more than offset by the combined impacts of the lower number of games broadcast in the fourth quarter of 2012 resulting from the NHL lockout compared with having to broadcast more NHL hockey games in the fourth quarter of 2013 because of the compressed 2013-2014 schedule associated with the upcoming winter Olympics. Excluding the impact of these items, Media's consolidated adjusted operating profit would have increased by 22%.\n\n#### **Operating Income and Net Income**\n\nOperating income was higher than the same quarter last year because stock-based compensation was lower and we realized an $80 million impairment charge in 2012. This was partially offset by higher depreciation and amortization, restructuring, acquisition and other expenses.\n\nNet income this quarter was lower than the same quarter last year because of the changes in revenue, adjusted operating profit and operating income. Also, in 2012 we realized a $233 million gain on spectrum licenses that Inukshuk sold to our non-related venture partner and recorded the related income tax benefits that year.\n\nNet income from continuing operations was $320 million this quarter, with basic and diluted earnings per share from continuing operations of $0.62. In the fourth quarter of 2012, net income from continuing operations was $522 million, basic earnings per share from continuing operations was $1.01 and diluted earnings per share from continuing operations was $1.01. The decrease this quarter was largely because of the $233 million gain on spectrum licenses in 2012 noted above.\n\n#### QUARTERLY TRENDS\n\nOur operating results generally vary from quarter to quarter because of changes in general economic conditions and seasonal fluctuations, in each of our business segments, which have a material impact. As such, one quarter's operating results are not necessarily indicative of our results in a subsequent quarter. Wireless, Cable and Media each have unique seasonal aspects to their businesses.\n\nFluctuations in net income from quarter to quarter can also be attributed to losses on the repayment of debt, foreign exchange gains or losses, changes in the fair value of derivative instruments, other income and expenses, impairment of assets and changes in income tax expense.\n\n#### **Wireless**\n\nThe trends in Wireless revenue and adjusted operating profit reflect:\n\n- the growing number of wireless voice and data subscribers\n- decreased churn\n- higher usage of wireless data\n- higher handset subsidies as more consumers shift to smartphones\n- a slight decrease in blended ARPU due to changes in wireless price plans.\n\nWe continue to target higher value postpaid subscribers, which has contributed to the significantly heavier mix of postpaid versus prepaid subscribers. Growth in our customer base and overall market penetration have resulted in higher costs over time for customer service, retention, credit and collection; however, most of the cost increases have been offset by gains in operating efficiencies.\n\nWireless' operating results are influenced by the timing of our marketing and promotional expenditures and higher levels of subscriber additions and related subsidies, resulting in higher subscriber acquisition and activation-related expenses in certain periods. This increased activity generally occurs in the third and fourth quarters, and can also occur or be accentuated by the launch of popular new wireless handset models.\n\n#### **Cable**\n\nThe trends in Cable services revenue and operating profit increases are primarily due to:\n\n- higher penetration and usage of Internet, digital and telephony products and services\n- offset by competitive losses of television subscribers and pricing changes over the past year.\n\nCable's operating results are affected by modest seasonal fluctuations in subscriber additions and disconnections, typically caused by:\n\n- university and college students moving\n- individuals temporarily suspending service for extended vacations or seasonal relocations\n- the concentrated marketing we generally conduct in our fourth quarter.\n\n#### **Business Solutions**\n\nThe trends in Business Solutions operating profit margin primarily reflect the ongoing shift from lower-margin, off-net legacy long distance and data services to higher-margin, on-net next generation IP-based services.\n\nBusiness Solutions does not generally have any unique seasonal aspects to its business.", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## 2013 HIGHLIGHTS\n\n#### **Key Financial Information**\n\n| | | | | Years ended December 31 | |\n| --- | --- | --- | --- | --- | --- |\n| (In millions of dollars, except per share amounts) | | 2013 | | 2012 | % Chg |\n| Consolidated | | | | | |\n| Operating revenue | | $ 12,706 | | $ 12,486 | 2 |\n| As adjusted 1: | | | | | |\n| Operating profit | $ | 4,993 | $ | 4,834 | 3 |\n| Operating profit margin | | 39.3% | | 38.7% | |\n| Net income | $ | 1,769 | $ | 1,781 | (1) |\n| Diluted earnings per share | | 3.42 | | 3.41 | – |\n| Operating income 2 | | 2,926 | | 2,766 | 6 |\n| Net income | | 1,669 | | 1,725 | (3) |\n| Basic earnings per share from continuing operations | | 3.24 | | 3.32 | (2) |\n| Diluted earnings per share from continuing operations | | 3.22 | | 3.30 | (2) |\n| Cash provided by operating activities | | 3,990 | | 3,421 | 17 |\n| Pre-tax free cash flow 1 | | 2,044 | | 2,029 | 1 |\n| After-tax free cash flow 1 | | 1,548 | | 1,649 | (6) |\n| Wireless | | | | | |\n| Operating revenue | $ | 7,270 | $ | 7,280 | – |\n| Adjusted operating profit | | 3,157 | | 3,063 | 3 |\n| Adjusted operating profit margin as % of network revenue | | 46.8% | | 45.6% | |\n| Cable | | | | | |\n| Operating revenue | $ | 3,475 | $ | 3,358 | 3 |\n| Adjusted operating profit | | 1,718 | | 1,605 | 7 |\n| Adjusted operating profit margin | | 49.4% | | 47.8% | |\n| Business Solutions | | | | | |\n| Operating revenue | $ | 374 | $ | 351 | 7 |\n| Adjusted operating profit | | 106 | | 89 | 19 |\n| Media | | | | | |\n| Operating revenue | $ | 1,704 | $ | 1,620 | 5 |\n| Adjusted operating profit | | 161 | | 190 | (15) |\n\n#### **Key Performance Indicators**\n\n| | | Years ended December 31 | |\n| --- | --- | --- | --- |\n| | 2013 | 2012 | % Chg |\n| Subscriber counts results (000s) 3 | | | |\n| Wireless subscribers | 9,503 | 9,437 | 1 |\n| Television subscribers | 2,127 | 2,214 | (4) |\n| Internet subscribers | 1,961 | 1,864 | 5 |\n| Phone subscribers | 1,153 | 1,074 | 7 |\n| Additional Wireless metrics 3 | | | |\n| Wireless blended ARPU | $ 59.58 | $ 59.79 | – |\n| Wireless churn | 1.24% | 1.29% | |\n| Ratios | | | |\n| Dividend payout ratio 3 | 54% | 48% | |\n| Dividends as a percentage of pre-tax free cash flow 1 | 44% | 40% | |\n| Return on assets 3 | 7.1% | 8.6% | |\n| Adjusted net debt/adjusted operating profit 1,3 | 2.4 | 2.3 | |\n| Employee-related information | | | |\n| Total active employees | 28,026 | 26,801 | 5 |\n\n1 As adjusted amounts, pre-tax free cash flow, after-tax cash flow and adjusted net debt are Non-GAAP measures and should not be considered as a substitute or alternative for GAAP measures. They are not defined terms under IFRS, and do not have standard meanings, so may not be a reliable way to compare us to other companies. See \"Non-GAAP Measures\" for information about these measures, including how we calculate them.\n\n2 As defined. See \"Additional GAAP Measures\".\n\n3 As defined. See \"Key Performance Indicators*\".*", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "*Higher Cable Telephony Revenue and Growing Subscriber Base* Phone revenue was 4% higher in 2013, compared to last year, the net result of:\n\n- higher phone subscriber base\n- partially offset by higher promotional pricing activity.\n\nPhone subscribers grew 7% in 2013, compared to last year and represent:\n\n- 54% of our television subscribers, compared to 49% last year\n- 29% of the homes passed by our cable network, compared to 28% last year.\n\n#### *Lower Equipment Sales*\n\nEquipment sales include revenues generated from the sale of digital cable set-top terminals and Internet modems.\n\nLower equipment revenue this year compared to 2012 reflects the reduction of cable boxes sales versus rentals.\n\n#### **Discontinued Operations**\n\nIn 2012, we closed our Video store operations, which offered DVD and video game rentals of equipment and sales in many of our corporateowned retail locations. The results of the Video business were treated as discontinued operations for accounting and reporting purposes. See \"Review of Consolidated Performance\".\n\n#### **Higher Operating Expenses**\n\n- We assess Cable operating expenses in three categories:\n- the cost of equipment sales (cable digital set-top box and Internet modem equipment)\n\n- the cost of programming\n- all other expenses involved in day-to-day operations, to service existing subscriber relationships and attract new subscribers.\n\nOverall operating expenses increased slightly this year compared to last year mainly due to:\n\n- operating expenses generated by Mountain Cable which we acquired earlier this year\n- higher investments in customer care and network\n- partially offset by savings from improvements in our cost structure and productivity and lower subscriber additions.\n\n#### **Higher Adjusted Operating Profit**\n\nAdjusted operating profit was 7% higher this year mainly the net result of higher service revenue, partially offset by higher operating expenses. The increase in the adjusted operating profit margin reflects a continued shift in product mix to the higher margin Internet and phone products combined with efficiency gains. This increased our adjusted operating profit margin to 49.4%, compared to 47.8% in 2012.\n\nExcluding the results of Mountain Cable which we acquired in the second quarter of 2013:\n\n- revenue would have been 2% higher this year compared to last year, instead of 3% higher as reported\n- adjusted operating profit would have been 5% higher this year compared to last year, instead of 7% higher as reported.", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### KEY CHANGES IN FINANCIAL RESULTS THIS YEAR COMPARED TO 2012\n\n| (In millions of dollars) | Change | see page |\n| --- | --- | --- |\n| Operating revenue changes – higher (lower): | | |\n| Network revenue – Wireless | $ 29 | 39 |\n| Equipment sales – Wireless | (39) | 39 |\n| Cable | 117 | 42 |\n| Business Solutions | 23 | 45 |\n| Media | 84 | 48 |\n| Corporate items and intercompany eliminations | 6 | |\n| Higher operating revenue compared to 2012 | 220 | |\n| Adjusted operating profit changes – higher (lower): | | |\n| Wireless | 94 | 39 |\n| Cable | 113 | 42 |\n| Business Solutions | 17 | 45 |\n| Media | (29) | 48 |\n| Corporate items and intercompany eliminations | (36) | |\n| Higher adjusted operating profit 1 compared to | | |\n| 2012 | 159 | |\n| Higher stock-based compensation expense | (7) | 51 |\n| Lower restructuring, acquisition and other expenses | 7 | 51 |\n| Higher depreciation and amortization | (79) | 51 |\n| Impairment recognized in 2012 | 80 | 51 |\n| Higher operating income 2 compared to 2012 | 160 | |\n| Higher finance costs | (71) | 52 |\n| Gain on sale of interest in TVtropolis | 47 | 52 |\n| Gain on Inukshuk spectrum distribution in 2012 | (233) | 52 |\n| Other | 17 | 53 |\n| Lower income taxes | 24 | 52 |\n| Decrease in net income from continuing | | |\n| operations compared to 2012 | (56) | |\n| Loss from discontinued operations in 2012 | 32 | 52 |\n| Decrease in net income compared to 2012 | (24) | |\n\n1 Adjusted operating profit is a Non-GAAP measure and should not be considered as a substitute or alternative for GAAP measure. It is not a defined term under IFRS, and does not have a standard meaning, so may not be a reliable way to compare us to other companies. See \"Non-GAAP Measures\" for information about these measures, including how we calculate them.\n\n2 As defined. See \"Additional GAAP Measures\".\n\n#### **Operating Revenue**\n\nWireless network revenue was higher than last year because of higher adoption and usage of wireless data services, partially offset by the introduction of lower priced roaming plans and pricing changes made over this year.\n\nCable operating revenue was higher than last year mainly because of growth in Internet and phone revenues and the acquisition of Mountain Cable, partially offset by a decline in television revenue related principally from competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher than last year mainly because we completed the acquisitions of Blackiron Data and Pivot Data Centres earlier this year combined with the continued growth in on-net and next generation services, partially offset by planned decline in legacy voice and data services.\n\nMedia operating revenue was higher than last year mainly because of revenue growth at Sportsnet, higher attendance at Toronto Blue Jays games and higher sales at The Shopping Channel.\n\n#### **Adjusted Operating Profit**\n\nWireless adjusted operating profit was higher this year because of higher network revenue, our continued cost management and productivity initiatives implemented across various areas and lower cost of equipment.\n\nCable adjusted operating profit was higher than last year because of the continued growth in revenue combined with a shift in our product mix towards higher margin Internet and phone products.\n\nMedia's adjusted operating profit was lower compared to last year. The increase in operating revenue this year was more than offset by the combined impact of higher player salaries at the Toronto Blue Jays, the NHL player lockout in 2012 and the costs associated with broadcasting more NHL hockey games in 2013 because of the condensed 2012-2013 season which started in January 2013 and the compressed 2013-2014 season schedule associated with the upcoming winter Olympics.\n\nAdjusted operating profit relating to Corporate items and intercompany eliminations was lower compared to last year because of continued investment in growth initiatives such as Rogers' credit card, Outrank, Rogers Alerts and other digital opportunities.\n\n#### **Operating Income and Net Income**\n\nOperating income was higher than last year while net income was lower. The increase in operating income is mainly because of the increase in adjusted operating profit. Net income was lower mainly because in 2012 we realized a $233 million gain on spectrum licenses that Inukshuk sold to our non-related venture partner as well as the related income tax benefits we recorded that year.", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Through Sprint, the Company began receiving revenue from wholesale resellers of wireless PCS service in late 2002. These resellers pay a flat rate per minute of use for all traffic their subscribers generate on the Company's network. The Company's cost to handle this traffic is the incremental cost to provide the necessary network capacity.\n\nThe Company faces vigorous competition in the wireless business as numerous national carriers are aggressively marketing their services in the Company's markets. The competitive landscape could change significantly depending on the marketing initiatives of our competitors, or in the event of consolidation in the wireless industry.\n\nThe wireline business is made up of traditional telephony, cable TV, fiber network operations and the Company's longdistance resale business. These businesses operate in a defined geographic area. The Company's primary service area for the telephone, cable TV and long-distance business is Shenandoah County, Virginia. The county is a rural area in northwestern Virginia, with a population of approximately 37,300 inhabitants, which has increased by approximately 6,000 since 1990. The potential for significant numbers of additional customers in the current operating area is limited.\n\nThe Company's telephone subscriber count declined in the third quarter and again in the fourth quarter of 2003. Migration to wireless and DSL services are believed to be driving this change. Based on industry experience, the Company anticipates this trend may continue for the foreseeable future.\n\nOther revenues include Internet services, both dial-up and DSL high-speed service. The Company has seen a decline in dial up subscriptions over the last year. The DSL service has grown over 100% in the last year driven by customer desire for faster Internet connections.\n\nThe Company is facing competition for revenues it generates in the other lines of business, which will require the Company to differentiate itself from other providers through its service levels and evolving technologies that are more reliable and cost effective for the customer.\n\n### **CRITICAL ACCOUNTING POLICIES**\n\nThe Company relies on the use of estimates and makes assumptions that impact its financial condition and results. These estimates and assumptions are based on historical results and trends as well as the Company's forecasts as to how these might change in the future. Several of the most critical accounting policies that materially impact the Company's results of operations include:\n\n#### *Allowance for Doubtful Accounts*\n\nEstimates are used in determining the allowance for doubtful accounts and are based on historical collection and writeoff experience, current trends, credit policies, and the analysis of the accounts receivable by aging category. In determining these estimates, the Company compares historical write-offs in relation to the estimated period in which the subscriber was originally billed. The Company also looks at the historical average length of time that elapses between the original billing date and the date of write-off and the financial position of its larger customers in determining the adequacy of the allowance for doubtful accounts. From this information, the Company assigns specific amounts to the aging categories. The Company provides an allowance for substantially all receivables over 90 days old.\n\nThe allowance for doubtful accounts balance as of December 31, 2003, 2002 and 2001 was $0.5 million, $0.9 million and $0.7 million, respectively. If the allowance for doubtful accounts is not adequate, it could have a material adverse effect on our liquidity, financial position and results of operations.\n\nThe Company also reviews current trends in the credit quality of the subscriber bases in its various businesses and periodically changes its credit policies. As of December 31, 2003, the Sprint PCS subscriber base in the Company's market area consisted of 17.9% sub-prime credit quality subscribers compared to 25.3% at December 31, 2002. Sprint manages the accounts receivable function related to all of the Company's Sprint PCS wireless customers, therefore limiting the amount of control the Company has in setting credit policy parameters.\n\nThe remainder of the Company's receivables are associated with services provided on a more localized basis, where the Company exercises total control in setting credit policy parameters. Historically there have been limited losses generated from the non-PCS revenue streams. Prior to 2002, the Company had not faced significant write-offs of inter", - "page_start": 44, - "page_end": 44, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Media**\n\nThe trends in Media's results are generally the result of continual investment in prime-time and specialty programming, higher sports rights costs, higher subscriber fees, and fluctuations in advertising and consumer market conditions.\n\nSeasonal fluctuations relate to periods of increased consumer activity and their impact on advertising and related retail cycles, the MLB season, where revenues and expenses are concentrated in the spring, summer and fall months, and the NHL season, where advertising revenues and programming expenses are concentrated in the fall and winter months.\n\n#### 2012 FULL YEAR RESULTS COMPARED TO 2011\n\n#### **Operating Revenue**\n\nConsolidated revenue increased in 2012 by $140 million from 2011, Wireless contributed $142 million, Cable contributed $49 million and Media contributed $9 million, partially offset by decreases in revenue of $54 million in Business Solutions and in corporate items and intercompany eliminations of $6 million. The increase was due to overall higher subscriber levels, data revenue and equipment sales at Wireless and higher Internet revenue at Cable, partially offset by lower overall revenue at Business Solutions due to the phased exit of the legacy services business.\n\n#### **Adjusted Operating Profit**\n\nConsolidated adjusted operating profit increased in 2012 by $95 million from 2011, Wireless contributed $27 million, Cable contributed $56 million, Business Solutions contributed $3 million, and Media contributed $10 million. The increases at Wireless and Cable were due to the revenue growth described above combined with cost efficiencies.\n\n#### **Adjusted Net Income**\n\nConsolidated adjusted net income increased to $1,781 million in 2012, from $1,736 million in 2011, primarily due to increase in adjusted operating profit of 2%.", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "significant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.\n\nThe shift in originating traffic is the result of implementing software capable of identifying actual interstate and intrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate and intrastate traffic types by the interexchange carriers.\n\nThe following table shows the access traffic minutes of use for the two years of 2003 and 2002.\n\n| Minutes of use (in thousands) | 2003 2003 | | | 2002 2002 2002 | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| (net of intercompany usage) | | | | | | | |\n| | Originating Originating | | Terminating Terminating | Originating Originating | Originating | Terminating | Terminating Terminating |\n| Interstate | 29,373 | | 87,539 | 42,929 | 42,929 | 63,959 | 63,959 |\n| Intrastate | 37,190 | | 49,103 | 22,684 | 22,684 | 36,712 | 36,712 |\n| Total | 66,563 | | 136,642 | 65,613 | 65,613 | 100,671 | 100,671 |\n| Access revenue (in thousands) | 2003 2003 | | | | 2002 2002 | 2002 | |\n| (net of intercompany usage) | As reported As reported | | Pro forma Pro forma | As reported As reported | As reported | Pro forma | Pro forma Pro forma |\n| Traffic sensitive (1) | $ 4,274 | | $ 4,974 | $ 4,676 | $ 4,676 | $ 3,976 | $ 3,976 |\n| Special access revenues | | 1,606 | 1,606 | 1,247 | 1,247 | 1,247 | 1,247 |\n| Carrier common line settlement | 5,750 | | 5,750 | 4,978 | 4,978 | 4,978 | 4,978 |\n| Total | 11,630 $ | | $ 12,330 | $ 10,901 | $ 10,901 | $ 10,201 | $ 10,201 |\n\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing dispute adjustment and the impact of the NECA settlement adjustments.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What has Rogers Communications done to improve its television platform?", - "target_page": 2, - "target_passage": "Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## Executive Summary\n\n#### ABOUT ROGERS COMMUNICATIONS INC.\n\n#### Rogers Communications is one of Canada's leading diversified communications and media companies.\n\n(%)\n\nWe provide a broad range of services: wireless and wired voice and data communications, cable television, high-speed Internet, cable telephony, wired telecom and data networking services to consumers and businesses. We also compete in television and radio broadcasting, multi-platform shopping, sports media and entertainment, digital media and consumer, trade and professional publications.\n\nAlmost all of our operations and sales are in Canada. We have a highly skilled and diversified workforce of approximately 28,000 employees. Our head-office is in Toronto, Ontario and we have numerous offices across Canada.\n\n#### FOUR BUSINESS SEGMENTS\n\nWe report our results of operations in four segments.\n\n| Wireless | Wireless telecommunications operations |\n| --- | --- |\n| | for consumers and businesses |\n| Cable | Cable telecommunications operations, |\n| | including cable television, Internet and |\n| | cable telephony for |\n| | Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre |\n| | network assets to support a range of |\n| | voice, data, networking, data centre and |\n| | cloud-based services for medium and |\n| | large Canadian businesses, governments, |\n| | and other telecommunications providers |\n| Media | A diversified portfolio of media |\n| | properties, including television and radio |\n| | broadcasting, digital media, multi |\n| | platform shopping, publishing and sports |\n| | media and entertainment |", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **DELIVERING** WHAT'S NEXT\n\n#### INNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE MOST ADVANCED INFORMATION, COMMUNICATIONS, ENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS AND DEVICES ARE AT THE VERY CORE OF ROGERS.\n\nAs one of the first carriers in the world to offer the telecommunications \"quadruple play\" of wireless, television, Internet and telephony services over its own networks, few have more capabilities or success in enabling subscribers to enjoy their experiences across multiple screens.\n\nRogers has a long history of firsts, including the first cellular call in Canada, the world's first high-speed cable modem service, the first digital cellular network in North America, Canada's first video-on-demand and mobile TV services, the first HSPA and LTE networks and the first to offer iPhone, Android, BlackBerry and Windows 8 in Canada. With the combination of our advanced next-generation national wireless network, our powerful broadband cable infrastructure and our category-leading media assets, we are in a unique position to help Canadians to live like never before.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Understanding Our Business\n\nRogers Communications is one of Canada's leading diversified communications and media companies.\n\n**Our vision** is to be known for leading the enablement and delivery of seamless, customer-driven communications, entertainment, information and transactional experiences across any device, place or time.\n\n**Wireless** provides wireless voice and data communication services, including machine to machine to both consumer and enterprise businesses, governments and other telecommunications service providers. **Cable** provides voice and data communications, home monitoring, television and high-speed Internet services to both consumers and businesses. **Business Solutions** provides voice and data communications and advanced services including data centre based solutions and cloud computing services to a wide range of medium to large businesses, including other service providers, and government either wirelessly or over our terrestrial network. Revenue generated from these segments is generally based on monthly subscription and network usage rates. Costs include attracting, setting-up and retaining customers, content, and the costs of upgrading and maintaining the underlying network.\n\nOur wireless network is currently one of the most extensive and advanced independent high-speed wireless data networks in Canada, capable of supporting wireless services on smartphones, tablets, computers and a broad variety of machine-to-machine and specialized devices. We built the first Long Term Evolution (LTE) high speed network in Canada, reaching nearly 73% of the Canadian population at December 31, 2013. We also have roaming agreements with international carriers in more than 200 other countries, including 5 LTE roaming operators and have network sharing arrangements with several carriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers services to consumers and businesses in Ontario, New Brunswick and Newfoundland. We also operate a North American transcontinental fibre-optic network that extends over 41,000 route kilometres that is used to serve enterprise customers, including government and other telecommunications service providers. In Canada, the network extends coast to coast and includes local and regional fibre, transmission electronics and systems, hubs, POPs and IP Routing and switching infrastructure. The network also extends to the US, from Vancouver south to Seattle, from the Manitoba-Minnesota border through Minneapolis, Milwaukee and Chicago, and from Toronto, through Buffalo, and Montreal, through Albany, to New York City, allowing us to connect Canada's largest markets, while also reaching key US markets for the exchange of data and voice traffic.\n\n**Media** provides television and radio broadcasting services to end customers over both traditional broadcast networks and new digital networks as well as multi-platform shopping, consumer and trade publications and sports media and entertainment experiences, primarily through its ownership of the Toronto Blue Jays. Revenue is largely driven by advertising and, in the case of TV broadcasting and publishing by additional revenues from monthly subscriptions. Revenue is also generated by the sale of merchandise and event tickets. Costs include sports programming, broadcast content (including TV studios, writers and on air and on field talent), the cost of merchandise and the production costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how we manage our operations and measure our performance.\n\n**WIRELESS** see page 37\n\n#### **CABLE**\n\nsee page 41\n\nCanada's largest provider of wireless communications services.\n\n## One of Canada's leading\n\nproviders of cable television, high-speed Internet and cable telephony services to consumers and businesses.\n\n#### **BUSINESS SOLUTIONS** see page 45\n\nProvides Canadian enterprises, government and other telecommunications service providers and partners with highly reliable network and data centre solutions.\n\n#### **MEDIA** see page 47\n\nA diversified Canadian media company that engages in television and radio broadcasting, multi-platform shopping, publishing, digital, and sports media and entertainment.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## OUR **BUSINESS**\n\n**Rogers Communications Inc.** is a diversified Canadian telecommunications and media company. Rogers Wireless is Canada's largest wireless voice and data telecommunications services provider and the country's only national carrier operating on the combined world standard GSM/HSPA+/LTE technology platforms. Rogers Cable is a leading Canadian cable services provider, offering high-speed Internet access, cable television, and telephony products, and together with Rogers Business Solutions, provides business telecom, networking, hosting, managed services and IP solutions to small, medium and large enterprise, government and carrier customers. Rogers Media is Canada's premier group of category-leading broadcast, specialty, print and online media assets, with businesses in radio and television broadcasting, televised shopping, sports entertainment, magazine and trade journal publishing and digitalmedia. We are publicly traded on both the TSX and NYSE stock exchanges and are included in the S&P/TSX 60 Index of the largest publicly traded companies in Canada.\n\n## **DELIVERING ON OUR COMMITMENTS** IN 2013\n\n#### **FREE CASH FLOW GENERATION**\n\n**WHAT WE SAID:** Deliver another year of significant consolidated pre-tax free cash flow.\n\n**WHAT WE DID:** Generated $2.0 billion of pre-tax free cash flow in 2013, supporting the significant investments and cash we returned to shareholders during the year.\n\n#### **DIVIDEND GROWTH**\n\n**HIGHER VALUE WIRELESS SUBSCRIBERS WHAT WE SAID:** Continue the growth in our smartphone subscriber base to drive wireless data revenue and ARPU. **WHAT WE DID:** Activated nearly 2.7 million smartphones, helping bring smartphone penetration to 75% of postpaid subscriber\n\nbase.\n\n**WHAT WE SAID:** Increase cash returns to shareholders consistently over time.\n\n**WHAT WE DID:** Increased the annualized dividend per share 10% from $1.58 to $1.74 in 2013. Further increased the dividend by 5% to $1.83 in February 2014.\n\n#### **OPERATING EFFICIENCIES**\n\n**WHAT WE SAID:** Implement productivity improvement initiatives to capture sustainable operating efficiencies.\n\n**WHAT WE DID:** Reduced operating expenses for the combined Wireless and Cable segments, excluding the cost of wireless equipment sales, by approximately 1% from 2012 levels.\n\n#### **EVOLVE AND ENHANCE TELEVISION PLATFORM**\n\n**WHAT WE SAID:** Invest in the evolution of our current TV platform and extend our video offerings to new platforms.\n\n**WHAT WE DID:** Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.\n\n#### **FAST AND RELIABLE NETWORKS**\n\n**AT A GLANCE**\n\n**WHAT WE SAID:** Maintain Rogers leadership in network technology and innovation.\n\n**WHAT WE DID:** Rogers was named both the fastest wireless network and the fastest broadband ISP in Canada by PCMag.com.\n\n#### **ENHANCE AND STRENGTHEN THE CORE BUSINESS**\n\n**WHAT WE SAID:** We will make strategic investments to expand and strengthen the core business.\n\n**WHAT WE DID:** Executed strategic acquisitions including Mountain Cable, data centre and hosting assets, theScore and valuable, high profile sports content.\n\n#### **DATA REVENUE GROWTH**\n\n**WHAT WE SAID:** Generate double-digit wireless and broadband data growth consistent with our data usage monetization strategy.\n\n**WHAT WE DID:** Grew wireless and broadband data revenues by 17% and 16%, respectively over 2012 levels.\n\n## CONTENTS\n\n- **2** Letters to Shareholders\n- **4** Strategic Objectives and Value Drivers\n- **5** Why Invest i n Rogers\n- **6** Connect Like Never Before\n- **16** Corporate Social Responsibility\n- **18** Corporate Governance\n- **20** Directors and Senior Executive Officers\n- **24** Management's Discussion and Analysis\n- **88** Management's Responsibility for Financial Reporting\n- **88** Independent Auditors' Report of Registered Public Accounting Firm\n- **89** Consolidated Statements of Income\n- **90** Consolidated Statements of Comprehensive Income\n- **91** Consolidated Statements of Financial Position\n- **92** Consolidated Statements of Changes in Shareholders' Equity\n- **93** Consolidated Statements of Cash Flows\n- **94** NotestoConsolidated Financial Statements\n- **126** Corporate and Shareholder Information", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **ROGERS COMMUNICATIONS INC.** AT A GLANCE\n\n#### **ROGERS COMMUNICATIONS**\n\n**Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian telecommunications and media company. As discussed in the following pages, Rogers Communications is engaged in the telecom and media businesses through its primary operating segments Rogers Wireless, Rogers Cable, Rogers Business Solutions and Rogers Media.** \n\n#### WIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across Canada to approximately 9.5 million customers under the Rogers Wireless, Fido and chatr brands. Rogers Wireless is Canada's largest wireless provider and the only national carrier operating on the combined global standard GSM/HSPA+/LTE technology platforms. Rogers Wireless is Canada's leader in innovative wireless services, and provides customers with the best and latest wireless devices and applications and the fastest network speeds. Rogers Wireless also provides seamless wireless roaming across the U.S. and more than 200 other countries, and is the Canadian leader in the deployment of mobile commerce and machineto-machine communications.\n\n#### CABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service territory covers approximately 4.0 million homes in Ontario, New Brunswick and Newfoundland representing approximately 30% of the Canadian cable market. Our advanced digital hybrid fibre-coax network provides market leading highspeed broadband Internet access speeds, the most innovative selection of digital television and online viewing and telephony services to millions of residential and small business customers. Together with Rogers Business Solutions, it also provides scalable carrier-grade business telecom, networking, hosting and managed data services, and IP connectivity and solutions to medium and large enterprise, government and carrier customers.\n\n#### MEDIA SEGMENT\n\nRogers Media is Canada's premier destination for category-leading television and radio broadcasting, sports entertainment, publishing, and digital media properties. Television assets include national City network which reaches more than 80% of Canadians, five OMNI Television multilingual channels, seven regional and national Sportsnet channels, as well as specialty channels FX Canada, OLN, The Biography Channel and G4. Rogers Media also owns The Shopping Channel, Canada's only nationally televised and online shopping service. It operates more than 50 Canadian radio stations, publishes 50+ well known consumer and business magazines, and owns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball Club and Rogers Centre, Canada's largest sports and entertainment facility. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL Toronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **LEADING** CONTENT\n\n#### ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS CONTENT AND EXPERIENCES TO CONSUMERS AND ADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY HAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA BRANDS WITH COMPELLING CONTENT THAT RESONATES WITH AUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers category-leading television and radio assets, sports entertainment, televised and online shopping, publishing, and digital media properties as the one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada's premier combination of diversified broadcast, specialty, sports, print and online media assets which together touch nearly 90% of Canadians every week. This includes over 50 popular AM and FM radio stations across Canada. In television, it includes the seven station City network which broadcasts intensely local, urban-oriented", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **STRATEGIC OBJECTIVES** AND **VALUE DRIVERS**\n\n**At Rogers, our purpose is to easily connect customers with what matters most. Our vision is to be known for leading the enablement of seamless, and reliable experiences across any device, place or time.** \n\n#### **DELIVER INDUSTRY-LEADING SHAREHOLDER RETURNS**\n\n**Our mandate is to deliver long-term value and industry-leading shareholder returns. To sustain our lead as the top integrated telecommunications and media company in Canada, our actions and investments are guided by the following six long-term strategic objectives:**\n\n#### **DELIVER DIFFERENTIATED END-TO-END CUSTOMER EXPERIENCES**\n\nFocus on evolving our cross-device integration to enable seamless, reliable and easy-to-use experiences anytime, anyplace and anywhere; on delivering a differentiated range of devices and device-related services; and on enabling greater integration of our media assets across screens.\n\n#### **STRENGTHEN THE CUSTOMER EXPERIENCE**\n\nConstantly improve the experience that customers have using our products and services by making it easier for them; providing the tools and resources customers need to use our products with confidence; being attuned to our customers' evolving needs; and continuing to simplify our product offerings.\n\n#### **MAINTAIN INDUSTRY-LEADING NETWORKS**\n\nReinforce our fastest and most reliable networks by expanding our LTE network to a wider proportion of the Canadian population, continuing to increase broadband Internet speeds to capture and monetize the growth in data consumption, and further enhancing our TV platform with next generation features and functionality.\n\n#### **IMPROVE PRODUCTIVITY AND COST STRUCTURE**\n\nContinue to focus on cost-optimization initiatives and organizational efficiency by improving service delivery; reducing complexity; focusing on fewer, more impactful projects; managing expenses, and working closely with key suppliers.\n\n#### **EXPAND OUR SERVICES REACH**\n\nExpand the reach of our networks and services through new construction and targeted acquisitions that complement our existing platforms; by more widely deploying products and services; and by expanding the reach of key media brands nationally and across our digital platforms.\n\n#### **DRIVE FUTURE GROWTH OPPORTUNITIES**\n\nContinue to develop targeted new growth areas of our business, including machine-to-machine communications, mobile commerce and video, sports, business communications services, local and digital media services, and home automation.\n\nFOR A DETAILED DISCUSSION OF OUR STRATEGIC GOALS AND OBJECTIVES, SEE THE \"**OUR STRATEGY**\" SECTION IN THE ACCOMPANYING MD&A LATER IN THE REPORT.", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **WHY INVEST** IN ROGERS\n\n**Rogers Communications has excellent positions in growing markets, powerful brands that stand for innovation, proven management, a long record of driving growth and shareholder value, and the financial strength to continue to deliver long-term growth.**\n\n#### **LEADER IN CANADIAN COMMUNICATIONS INDUSTRY**\n\nCanada's largest wireless carrier and a leading cable television provider, offering a \"quadruple play\" of wireless, Internet, television and telephony services to consumers and businesses.\n\n#### **MUST-HAVE PRODUCTS AND SERVICES**\n\nA leading provider of communications and entertainment products and services that are increasingly becoming integrated necessities in today's world.\n\n#### **SUPERIOR ASSET MIX**\n\nMajority of revenue and cash flow is generated from wireless and broadband services, the fastest growing segments of the telecommunications industry.\n\n#### **STRONG FRANCHISES AND POWERFUL BRANDS**\n\nStrong franchises with nationally recognized and highly respected brands that stand solidly in Canada for innovation, choice and value.\n\n#### **CATEGORY-LEADING MEDIA ASSETS**\n\nUnique and complementary collection of leading broadcast radio and television, specialty TV, sports entertainment, publishing and digital media assets.\n\n#### **LEADING NETWORKS AND INNOVATIVE PRODUCTS**\n\nLeading wireless and broadband network platforms that deliver the most innovative communications, information and entertainment services.\n\n#### **PROVEN LEADERSHIP AND ENGAGED EMPLOYEE BASE**\n\nExperienced, performance-oriented management and operating teams with solid industry expertise, supported by the spirit of innovation and an entrepreneurial culture.\n\n#### **FINANCIAL STRENGTH AND FLEXIBILITY**\n\nFinancially strong with an investment grade balance sheet, conservative debt leverage, and significant available financial liquidity.\n\n**HEALTHY TRADING VOLUME AND GROWING DIVIDENDS**\n\nRCI common stock actively trades on the TSX and NYSE, with average daily trading volume of approximately 1.6 million shares. Each share pays an annualized dividend of $1.83 per share in 2014.\n\n#### **ADJUSTED NET INCOME AND EARNINGS PER SHARE**", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "WHILE IT IS EARLY DAYS, I BELIEVE WE CAN EVOLVE THE BUSINESS IN A WAY THAT WILL BE EVEN MORE REWARDING FOR OUR CUSTOMERS, OUR SHAREHOLDERS AND EMPLOYEES.\" \"\n\n**GUY LAURENCE**\n\n## A MESSAGE FROM THE **PRESIDENT & CEO**\n\n**As I write these words after recently joining the company, I can say with genuine enthusiasm that it's great to be here at Rogers. I took this post because Rogers is a remarkable company with a rich history and an unrivalled mix of wireless, cable and media assets. It is a good match with my background and my experience.**\n\nDuring the recruiting and onboarding process, I spent considerable time with the Rogers family, the Board of Directors and the leadership team. I am struck by their energy, passion and drive to win, which I think we can harness to do even greater things. I also value the support and longerterm focus of the founding Rogers family who own significant equity in the company.\n\nSince joining, I have criss-crossed Canada meeting my team, external stakeholders and customers. I have also conducted numerous business reviews, overseen the 700 MHz spectrum auction and reviewed the regulatory agenda. All this with the view to developing a detailed set of priorities and plans for the company going forward. After I complete this review in the Spring I will outline a detailed strategy and business plan working with my management team.\n\nRogers has many strengths and I intend to capitalize on them. This is a financially strong company with a solid balance sheet and investment grade credit ratings. We have highly advanced cable and wireless networks and a robust portfolio of media assets. We also have a strong pipeline of new products and services to offer to our customers and some of the most passionate, committed employees I have ever worked with.\n\nWhile it is early days, I believe we can evolve the business in a way that will be even more rewarding for our customers, our shareholders and employees. Our goal is clear – winning on a consistent basis. And while our industry faces the challenge of moderating growth and regulatory uncertainty, few industries are more dynamic and better at leveraging new technologies.\n\nTo win, we must put our customers' needs front and centre in everything we do. This means delivering a better and more consistent customer experience. It means strengthening our value proposition to make sure our customers can answer the question \"why Rogers?\" As a company, we need to bring our collection of assets together in a way that strengthens and differentiates Rogers with our customers and our shareholders. We also need to align and focus our investments in key areas to accelerate our growth. Internally we need to execute with operational excellence. And we need to focus on clarifying accountabilities and strengthening our teams at all levels of the company.\n\nAs CEO, I will work to re-establish our leadership position and accelerate our growth. This will take time. It is a longterm effort that will require a clear strategy, rigorous prioritization and disciplined execution. It will not be easy, but it is the job I have signed up for, and it is a challenge I intend to meet head-on.\n\nI look forward to continuing Ted's legacy, and to leading Rogers through the next phase of growth and to serving you, our shareholders.\n\nThank you for your continued business, investment and support.\n\n**GUY LAURENCE PRESIDENT AND CHIEF EXECUTIVE OFFICER** ROGERS COMMUNICATIONS INC.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **CONNECTED** HOME\n\nROGERS CONTINUES TO DEFINE HOW FAMILIES COME TOGETHER AND CONNECT WITH THEIR WORLD. MILLIONS OF CANADIANS DEPEND ON ROGERS TO KEEP THEM INFORMED, CONNECTED AND ENTERTAINED WITH A COMBINATION OF THE FASTEST INTERNET SPEEDS AND THE MOST INNOVATIVE TELEVISION, TELEPHONY AND HOME MONITORING SOLUTIONS AVAILABLE.\n\nThe core of Rogers connected home strategy is to provide customers with the fastest broadband connections, together with the ability to seamlessly shift – to shift time, to shift screens and to shift places so they access what they want, when they want, on the screen of their choice.\n\nRogers offers the best in on-demand, sports, movies, specialty, episodic and multicultural programming. Customers can schedule, pause, rewind", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "Until what NHL season will the Vancouver's ice hockey team be a Rogers Communications partner?", - "target_page": 39, - "target_passage": "Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### ACQUISITIONS\n\n- Closed our agreement to acquire Metro 14 Montreal for $10 million on February 4, 2013, and relaunched the station as City Montreal, expanding the City broadcast TV network into the largest market in Quebec and increasing the City television network reach to over 80% of Canadian households.\n- Finalized our purchase of theScore, Canada's third largest specialty sports channel, for $167 million. We later rebranded theScore as Sportsnet 360.\n\n#### NHL\n\n- Advanced our strategy of delivering highly sought-after sports content anywhere, anytime, on any platform and strengthening the value of our sports brand by entering into an exclusive 12-year licensing agreement with the NHL which begins with the 2014-2015 season and grants Rogers the following:\n\t- national rights across television broadcasts, wireless and mobile tablets and Internet streaming\n\t- national rights to all regular season games, all playoff games and the Stanley Cup Final, and all special events and nongame events (e.g. NHL All-Star Game, NHL Draft) – in multiple languages\n\t- out-of-market rights for all regional games\n\t- ownership of all linear and digital highlights, including condensed games and video archives\n\t- NHL broadcast assets: Rogers to operate NHL Centre Ice and NHL Game Centre Live\n\t- sponsorship rights to the NHL Shield logo as an official partner of the NHL\n\t- Canadian representation of ad sales for NHL.com\n\t- ownership of all commercial inventories for the television broadcasts\n\t- rights to sublicense broadcasting rights to TVA and CBC\n\t- rights to use the Hockey Night In Canada brand through the CBC sublicense agreement.\n\nThrough this agreement, Rogers plans to provide Canadians with a unique viewing experience that will feature expanded pre- and postgame coverage of regular season and playoff games and other enhanced NHL content. We expect this agreement to drive Sportsnet subscriber growth and to provide highly sought after content in multiple languages across all of Rogers' platforms.\n\n#### MEDIA FINANCIAL RESULTS\n\n| | | Years ended December 31 | |\n| --- | --- | --- | --- |\n| (In millions of dollars, except percentages) | 2013 1 | 2012 | % Chg |\n| Operating revenue – Media | $ 1,704 | $ 1,620 | 5 |\n| Operating expenses | (1,543) | (1,430) | 8 |\n| Adjusted operating profit – Media | $ 161 | $ 190 | (15) |\n| Adjusted operating profit margin | 9.4% | 11.7% | |\n| Additions to property, plant and equipment | $ 79 | $ 55 | 44 |\n\n1 Results of operations include theScore's operating results as of April 30, 2013 (the date of acquisition).\n\n#### **MEDIA REVENUE**\n\n(IN MILLIONS OF DOLLARS)\n\n#### **Higher Operating Revenue**\n\nMedia generates revenue in five areas:\n\n- advertising sales across its television, radio, publishing and digital media properties\n- circulation\n- subscriptions\n- retail product sales\n- ticket sales, receipts of MLB revenue sharing and concession sales associated with Rogers Sports Entertainment.\n\nOperating revenue was 5% higher this year, mainly because of:\n\n- higher subscription and advertising revenue generated by the Sportsnet properties, including the acquisition of theScore, and overall growth in distribution of our other specialty channels\n- higher advertising revenue of $21 million resulting from timing of NHL hockey games. Advertising revenue last year was lower than normal due to the NHL player lockout which resulted in no NHL games being aired, and higher than normal this year due to the compressed 2012-2013 season which started in January 2013 and the compressed 2013-2014 NHL schedule in advance of the upcoming winter Olympics\n- higher attendance and merchandise sales at Blue Jays games\n- higher sales at The Shopping Channel.\n\nThe increases in revenue were partially offset by continuing volatility in advertising spending across most industry sectors, driven by a continued slow economy.", - "page_start": 51, - "page_end": 51, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Executive Summary\n\n#### ABOUT ROGERS COMMUNICATIONS INC.\n\n#### Rogers Communications is one of Canada's leading diversified communications and media companies.\n\n(%)\n\nWe provide a broad range of services: wireless and wired voice and data communications, cable television, high-speed Internet, cable telephony, wired telecom and data networking services to consumers and businesses. We also compete in television and radio broadcasting, multi-platform shopping, sports media and entertainment, digital media and consumer, trade and professional publications.\n\nAlmost all of our operations and sales are in Canada. We have a highly skilled and diversified workforce of approximately 28,000 employees. Our head-office is in Toronto, Ontario and we have numerous offices across Canada.\n\n#### FOUR BUSINESS SEGMENTS\n\nWe report our results of operations in four segments.\n\n| Wireless | Wireless telecommunications operations |\n| --- | --- |\n| | for consumers and businesses |\n| Cable | Cable telecommunications operations, |\n| | including cable television, Internet and |\n| | cable telephony for |\n| | Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre |\n| | network assets to support a range of |\n| | voice, data, networking, data centre and |\n| | cloud-based services for medium and |\n| | large Canadian businesses, governments, |\n| | and other telecommunications providers |\n| Media | A diversified portfolio of media |\n| | properties, including television and radio |\n| | broadcasting, digital media, multi |\n| | platform shopping, publishing and sports |\n| | media and entertainment |", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Understanding Our Business\n\nRogers Communications is one of Canada's leading diversified communications and media companies.\n\n**Our vision** is to be known for leading the enablement and delivery of seamless, customer-driven communications, entertainment, information and transactional experiences across any device, place or time.\n\n**Wireless** provides wireless voice and data communication services, including machine to machine to both consumer and enterprise businesses, governments and other telecommunications service providers. **Cable** provides voice and data communications, home monitoring, television and high-speed Internet services to both consumers and businesses. **Business Solutions** provides voice and data communications and advanced services including data centre based solutions and cloud computing services to a wide range of medium to large businesses, including other service providers, and government either wirelessly or over our terrestrial network. Revenue generated from these segments is generally based on monthly subscription and network usage rates. Costs include attracting, setting-up and retaining customers, content, and the costs of upgrading and maintaining the underlying network.\n\nOur wireless network is currently one of the most extensive and advanced independent high-speed wireless data networks in Canada, capable of supporting wireless services on smartphones, tablets, computers and a broad variety of machine-to-machine and specialized devices. We built the first Long Term Evolution (LTE) high speed network in Canada, reaching nearly 73% of the Canadian population at December 31, 2013. We also have roaming agreements with international carriers in more than 200 other countries, including 5 LTE roaming operators and have network sharing arrangements with several carriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers services to consumers and businesses in Ontario, New Brunswick and Newfoundland. We also operate a North American transcontinental fibre-optic network that extends over 41,000 route kilometres that is used to serve enterprise customers, including government and other telecommunications service providers. In Canada, the network extends coast to coast and includes local and regional fibre, transmission electronics and systems, hubs, POPs and IP Routing and switching infrastructure. The network also extends to the US, from Vancouver south to Seattle, from the Manitoba-Minnesota border through Minneapolis, Milwaukee and Chicago, and from Toronto, through Buffalo, and Montreal, through Albany, to New York City, allowing us to connect Canada's largest markets, while also reaching key US markets for the exchange of data and voice traffic.\n\n**Media** provides television and radio broadcasting services to end customers over both traditional broadcast networks and new digital networks as well as multi-platform shopping, consumer and trade publications and sports media and entertainment experiences, primarily through its ownership of the Toronto Blue Jays. Revenue is largely driven by advertising and, in the case of TV broadcasting and publishing by additional revenues from monthly subscriptions. Revenue is also generated by the sale of merchandise and event tickets. Costs include sports programming, broadcast content (including TV studios, writers and on air and on field talent), the cost of merchandise and the production costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how we manage our operations and measure our performance.\n\n**WIRELESS** see page 37\n\n#### **CABLE**\n\nsee page 41\n\nCanada's largest provider of wireless communications services.\n\n## One of Canada's leading\n\nproviders of cable television, high-speed Internet and cable telephony services to consumers and businesses.\n\n#### **BUSINESS SOLUTIONS** see page 45\n\nProvides Canadian enterprises, government and other telecommunications service providers and partners with highly reliable network and data centre solutions.\n\n#### **MEDIA** see page 47\n\nA diversified Canadian media company that engages in television and radio broadcasting, multi-platform shopping, publishing, digital, and sports media and entertainment.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **ROGERS COMMUNICATIONS INC.** AT A GLANCE\n\n#### **ROGERS COMMUNICATIONS**\n\n**Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian telecommunications and media company. As discussed in the following pages, Rogers Communications is engaged in the telecom and media businesses through its primary operating segments Rogers Wireless, Rogers Cable, Rogers Business Solutions and Rogers Media.** \n\n#### WIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across Canada to approximately 9.5 million customers under the Rogers Wireless, Fido and chatr brands. Rogers Wireless is Canada's largest wireless provider and the only national carrier operating on the combined global standard GSM/HSPA+/LTE technology platforms. Rogers Wireless is Canada's leader in innovative wireless services, and provides customers with the best and latest wireless devices and applications and the fastest network speeds. Rogers Wireless also provides seamless wireless roaming across the U.S. and more than 200 other countries, and is the Canadian leader in the deployment of mobile commerce and machineto-machine communications.\n\n#### CABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service territory covers approximately 4.0 million homes in Ontario, New Brunswick and Newfoundland representing approximately 30% of the Canadian cable market. Our advanced digital hybrid fibre-coax network provides market leading highspeed broadband Internet access speeds, the most innovative selection of digital television and online viewing and telephony services to millions of residential and small business customers. Together with Rogers Business Solutions, it also provides scalable carrier-grade business telecom, networking, hosting and managed data services, and IP connectivity and solutions to medium and large enterprise, government and carrier customers.\n\n#### MEDIA SEGMENT\n\nRogers Media is Canada's premier destination for category-leading television and radio broadcasting, sports entertainment, publishing, and digital media properties. Television assets include national City network which reaches more than 80% of Canadians, five OMNI Television multilingual channels, seven regional and national Sportsnet channels, as well as specialty channels FX Canada, OLN, The Biography Channel and G4. Rogers Media also owns The Shopping Channel, Canada's only nationally televised and online shopping service. It operates more than 50 Canadian radio stations, publishes 50+ well known consumer and business magazines, and owns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball Club and Rogers Centre, Canada's largest sports and entertainment facility. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL Toronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **LEADING** CONTENT\n\n#### ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS CONTENT AND EXPERIENCES TO CONSUMERS AND ADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY HAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA BRANDS WITH COMPELLING CONTENT THAT RESONATES WITH AUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers category-leading television and radio assets, sports entertainment, televised and online shopping, publishing, and digital media properties as the one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada's premier combination of diversified broadcast, specialty, sports, print and online media assets which together touch nearly 90% of Canadians every week. This includes over 50 popular AM and FM radio stations across Canada. In television, it includes the seven station City network which broadcasts intensely local, urban-oriented", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "programming across the country's largest markets, as well as five OMNI Television stations which deliver multilingual news, information and entertainment to Canada's multiple language communities.\n\nThe Sportsnet specialty network provides sports programming across Canada through its four regional television channels and its nationallydistributed Sportsnet ONE, Sportsnet World, and Sportsnet 360 stations. Rogers also owns other Canadian specialty television channels, including FX Canada, OLN, The Biography Channel and G4.\n\nThe Shopping Channel – Canada's only nationally televised and Internet shopping service – is a leading interactive multi-channel retailer, offering a vast assortment of exclusive products and top brand names. As one of Canada's most innovative and diversified retailers, it provides customers with exceptional selections in health/beauty, jewelry, home/lifestyle, fashion/accessories, and electronics.\n\nRogers also publishes many well-known consumer magazines, such as Maclean's, Chatelaine, FLARE, L'actualité, and Canadian Business, and is the leading publisher of a number of industry, medical and financial publications. Rogers also controls a suite of fast-growing digital media assets, including 90+ owned and 300+ premium partnership online sites, as well as the recently launched Next Issue Canada digital magazine platform which provides 100+ of North America's most celebrated titles on an unlimited anytime, anywhere basis.\n\nIn sports entertainment, Rogers owns the Toronto Blue Jays baseball team and Rogers Centre stadium, Canada's largest sports and entertainment facility and home field of the Blue Jays. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment which owns the NHL Maple Leafs, NBA Raptors, MLS Toronto FC and a number of other sports related assets.", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## OUR **BUSINESS**\n\n**Rogers Communications Inc.** is a diversified Canadian telecommunications and media company. Rogers Wireless is Canada's largest wireless voice and data telecommunications services provider and the country's only national carrier operating on the combined world standard GSM/HSPA+/LTE technology platforms. Rogers Cable is a leading Canadian cable services provider, offering high-speed Internet access, cable television, and telephony products, and together with Rogers Business Solutions, provides business telecom, networking, hosting, managed services and IP solutions to small, medium and large enterprise, government and carrier customers. Rogers Media is Canada's premier group of category-leading broadcast, specialty, print and online media assets, with businesses in radio and television broadcasting, televised shopping, sports entertainment, magazine and trade journal publishing and digitalmedia. We are publicly traded on both the TSX and NYSE stock exchanges and are included in the S&P/TSX 60 Index of the largest publicly traded companies in Canada.\n\n## **DELIVERING ON OUR COMMITMENTS** IN 2013\n\n#### **FREE CASH FLOW GENERATION**\n\n**WHAT WE SAID:** Deliver another year of significant consolidated pre-tax free cash flow.\n\n**WHAT WE DID:** Generated $2.0 billion of pre-tax free cash flow in 2013, supporting the significant investments and cash we returned to shareholders during the year.\n\n#### **DIVIDEND GROWTH**\n\n**HIGHER VALUE WIRELESS SUBSCRIBERS WHAT WE SAID:** Continue the growth in our smartphone subscriber base to drive wireless data revenue and ARPU. **WHAT WE DID:** Activated nearly 2.7 million smartphones, helping bring smartphone penetration to 75% of postpaid subscriber\n\nbase.\n\n**WHAT WE SAID:** Increase cash returns to shareholders consistently over time.\n\n**WHAT WE DID:** Increased the annualized dividend per share 10% from $1.58 to $1.74 in 2013. Further increased the dividend by 5% to $1.83 in February 2014.\n\n#### **OPERATING EFFICIENCIES**\n\n**WHAT WE SAID:** Implement productivity improvement initiatives to capture sustainable operating efficiencies.\n\n**WHAT WE DID:** Reduced operating expenses for the combined Wireless and Cable segments, excluding the cost of wireless equipment sales, by approximately 1% from 2012 levels.\n\n#### **EVOLVE AND ENHANCE TELEVISION PLATFORM**\n\n**WHAT WE SAID:** Invest in the evolution of our current TV platform and extend our video offerings to new platforms.\n\n**WHAT WE DID:** Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.\n\n#### **FAST AND RELIABLE NETWORKS**\n\n**AT A GLANCE**\n\n**WHAT WE SAID:** Maintain Rogers leadership in network technology and innovation.\n\n**WHAT WE DID:** Rogers was named both the fastest wireless network and the fastest broadband ISP in Canada by PCMag.com.\n\n#### **ENHANCE AND STRENGTHEN THE CORE BUSINESS**\n\n**WHAT WE SAID:** We will make strategic investments to expand and strengthen the core business.\n\n**WHAT WE DID:** Executed strategic acquisitions including Mountain Cable, data centre and hosting assets, theScore and valuable, high profile sports content.\n\n#### **DATA REVENUE GROWTH**\n\n**WHAT WE SAID:** Generate double-digit wireless and broadband data growth consistent with our data usage monetization strategy.\n\n**WHAT WE DID:** Grew wireless and broadband data revenues by 17% and 16%, respectively over 2012 levels.\n\n## CONTENTS\n\n- **2** Letters to Shareholders\n- **4** Strategic Objectives and Value Drivers\n- **5** Why Invest i n Rogers\n- **6** Connect Like Never Before\n- **16** Corporate Social Responsibility\n- **18** Corporate Governance\n- **20** Directors and Senior Executive Officers\n- **24** Management's Discussion and Analysis\n- **88** Management's Responsibility for Financial Reporting\n- **88** Independent Auditors' Report of Registered Public Accounting Firm\n- **89** Consolidated Statements of Income\n- **90** Consolidated Statements of Comprehensive Income\n- **91** Consolidated Statements of Financial Position\n- **92** Consolidated Statements of Changes in Shareholders' Equity\n- **93** Consolidated Statements of Cash Flows\n- **94** NotestoConsolidated Financial Statements\n- **126** Corporate and Shareholder Information", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "#### WIRELESS\n\n## ROGERS IS CANADA'S LARGEST WIRELESS\n\nCOMMUNICATIONS SERVICE PROVIDER\n\nAs at December 31, 2013, we had:\n\n- approximately 9.5 million subscribers\n- approximately 34% share of the Canadian wireless market.\n\n#### PRODUCTS AND SERVICES\n\nRogers is a Canadian leader in innovative new wireless network technologies and services. We provide wireless voice and advanced high-speed data communication services to subscribers across Canada under the Rogers, Fido and Chatr brands, and provide our customers with the best and latest wireless devices and applications including:\n\n- mobile high speed Internet access\n- wireless voice and enhanced voice features\n- wireless home phone\n- device protection\n- text messaging\n- e-mail\n- global voice and data roaming\n- machine-to-machine solutions\n- advanced business solutions\n- Suretap mobile wallet\n- Rogers AnyPlace TV\n- Rogers One Number\n- Rogers First Rewards Loyalty Program.\n\n#### NATIONAL DISTRIBUTION\n\nWe distribute our wireless products using various channels including:\n\n- independent dealer networks\n- company-owned Rogers, Fido and Chatr retail stores\n- customer self-serve rogers.com, fido.ca, chatrwireless.com, ecommerce sites\n- Rogers call centres and outbound telemarketing\n- major retail chains and convenience stores.\n\n#### EXTENSIVE WIRELESS NETWORK\n\nRogers has one of the most extensive and advanced wireless networks in Canada:\n\n- supports wireless services on smartphone, tablets, computers and a broad variety of M2M, mobile commerce, retail point of sale and other specialized devices\n- the first LTE high-speed network in Canada, which reached more than 73% of the Canadian population at December 31, 2013\n- voice and data roaming agreements with international carriers in more than 200 countries\n- network sharing arrangements with several regional wireless operators in Canada.\n\nWe are continuously enhancing our IP service infrastructure for all of our wireless services. Advances in technology have transformed how our customers interact and how they use the variety of tools that are available to them in their personal and professional lives. Technology has also changed the way businesses operate.\n\nNew technologies allow us to offer new services, such as Rogers One Number, which makes enhanced wireless services available to subscribers on their computer, tablet, or smartphone and can be used as an alternative to fixed line telephony. Users enjoy the same services and features across the coverage area, thanks to the seamless integrated nature of the Rogers network and those of our roaming and network sharing partners.", - "page_start": 40, - "page_end": 40, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **DELIVERING** WHAT'S NEXT\n\n#### INNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE MOST ADVANCED INFORMATION, COMMUNICATIONS, ENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS AND DEVICES ARE AT THE VERY CORE OF ROGERS.\n\nAs one of the first carriers in the world to offer the telecommunications \"quadruple play\" of wireless, television, Internet and telephony services over its own networks, few have more capabilities or success in enabling subscribers to enjoy their experiences across multiple screens.\n\nRogers has a long history of firsts, including the first cellular call in Canada, the world's first high-speed cable modem service, the first digital cellular network in North America, Canada's first video-on-demand and mobile TV services, the first HSPA and LTE networks and the first to offer iPhone, Android, BlackBerry and Windows 8 in Canada. With the combination of our advanced next-generation national wireless network, our powerful broadband cable infrastructure and our category-leading media assets, we are in a unique position to help Canadians to live like never before.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## **WHAT'S NEXT?** IF YOU'RE WITH ROGERS, YOU'LL BE THE FIRST TO KNOW.", - "page_start": 130, - "page_end": 130, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "I am a shareholder of Emmis Communication, but I will be available from the 20th of June to the 4th of July, will the Annual Meeting take place during this period?", - "target_page": 6, - "target_passage": "The Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis’ Corporate office.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## you can count on emmis to continue to do\n\n#### Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole – like any other CEO bragging about his company's performance – the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n#### **The best year**\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry – in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addition, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties – in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year – we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n#### **How we did it**\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best teams in our markets. We have traditionally had the top salespeople, creative and technical professionals, news staffs, managers and support staff in every city where we operate. Their peers turn to them for industry leadership, honor them with awards and copy them at every opportunity. We invest in these people, giving them industry-leading benefits packages, great opportunities and the tools they need to succeed. This has always been a hallmark of Emmis, and it won't change.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "#### Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, 317.266.0100.\n\n#### Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes *Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n#### Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n#### Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n#### Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n#### Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n| --- | --- | --- |\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18.00 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n#### Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe Publishing Division President\n\n#### Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh Former Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal President and Majority Owner, LMCS, LLC\n\nPeter A. Lund Media consultant and former President of CBS Inc.\n\nGreg A. Nathanson Media consultant and former President of Fox Television Stations and Emmis Television\n\nFrank V. Sica Senior Advisor Soros Fund Management LLC\n\nLawrence B. Sorrel Managing Partner and Co-CEO Tailwind Capital Partners", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "#### I NVESTOR I NFORMATION :\n\n#### A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on\n\nThursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n#### A DDITIONAL I NFORMATION\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\n#### I NVESTOR I NFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n#### C OMMON S TOCK\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is \"GLW.\"\n\n#### TRANSFER AGENT AND REGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nCHANGE OF ADDRESS Report change of address to Computershare Investor Services at the above address.\n\n#### I NDEPENDENT A CCOUNTANTS\n\nPricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\n#### **Corning Incorporated**\n\nOne Riverfront Plaza Corning, NY 14831-0001 607 974 9000 www.corning.com\n\n02BR24601EN\n\n\"Safe Harbor\" Statement under the Private Securities Litigation Reform Act of 1995 The statements in this annual report that are not historical facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n- global economic and political conditions,\n- currency fluctuations,\n- product demand and industry capacity,\n- competitive products and pricing,\n- sufficiency of manufacturing capacity and efficiencies,\n- cost reductions,\n- availability and costs of critical materials,\n- new product development and commercialization,\n- attracting and retaining key personnel,\n- order activity and demand from major customers,\n- fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n- financial condition of customers,\n- changes in the mix of sales between premium and non-premium products,\n- facility expansions and new plant start-up costs,\n- adverse litigation or regulatory developments, including future or pending tax legislation,\n- adequacy and availability of insurance,\n- capital resource and cash flow activities,\n- capital spending,\n- equity company activities,\n- interest costs,\n- acquisition and divestiture activity,\n- the rate of technology change,\n- the ability to enforce patents,\n- product performance issues,\n- stock price fluctuations, and\n- other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any offering of securities or for the purpose of promoting or influencing the sale of securities.\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "# INFORMATION FOR SHAREHOLDERS\n\n#### **NOTICE OF MEETING**\n\nSAN165 WWW Fins 30/3/05 11:55 AM Page 92\n\nThe Annual General Meeting of Santos Ltd will be held in the Auditorium at The Adelaide Town Hall Function Centre, 128 King William Street, Adelaide, South Australia on Friday 20 May 2005 at 10.00 am.\n\n## **FINAL DIVIDEND**\n\nThe 2004 final ordinary dividend will be paid on 31 March 2005 to shareholders registered in the books of the Company at the close of business on 4 March 2005 in respect of fully paid shares held at record date.\n\n#### **STOCK EXCHANGE LISTING**\n\nSantos Ltd. Incorporated in Adelaide, South Australia, on 18 March 1954. Quoted on the official list of the Australian Stock Exchange Ltd (ordinary shares code STO; FUELS code STOPB) and the NZX Ltd.\n\n### **AMERICAN DEPOSITORY RECEIPTS**\n\nSantos American Depository Receipts issued by Morgan Guaranty in the USA are sponsored and are quoted on the NASDAQ system in the USA (code STOSY).\n\n#### **DIRECTORS**\n\nS Gerlach (Chairman), J C Ellice-Flint (Managing Director), P C Barnett, K A Dean, R M Harding, G W McGregor, M A O'Leary, C J Recny, J Sloan. F J Conroy (retired 14 December 2004).\n\n## **SECRETARY**\n\nM G Roberts (retired 1 July 2004).\n\nW J Glanville (appointed 23 February 2004).\n\nMr Glanville is responsible for corporate governance, secretariat and legal services. Prior to his appointment, he was Manager – Legal of Santos' Legal Department and, prior to joining Santos, he practised law as a Barrister and Solicitor. Mr Glanville holds a Degree of Bachelor of Laws, a Degree of Bachelor of Arts and a Graduate Diploma in Legal Practice.\n\n### **CHANGE OF SHAREHOLDER DETAILS**\n\nIssuer Sponsored Shareholders wishing to update their details must notify the Share Registrar in writing. The relevant shareholder forms can be obtained from the Share Registrar or via the Investor Centre on the Santos website, www.santos.com.\n\nForms are available to advise the Company of changes relating to change of address, direct crediting of dividends, Tax File Number and Australian Business Number, Annual Report and Sustainability Review mailing preferences and Dividend Reinvestment Plan participation.\n\n#### **INVESTOR INFORMATION AND SERVICES**\n\n#### **Santos website**\n\nA wide range of information for investors is available from Santos' website, www.santos.com, including Annual Reports, Full Year and Interim Reports and Presentations, Press Releases, Quarterly Activities Reports and Weekly Drilling Summaries.\n\nComprehensive archives of these materials dating back to 1997 are available on the Santos website.\n\nOther investor information available on the Santos website includes:\n\n- open briefings with Corporate File an ASX-endorsed online briefing service\n- live and archived webcasts of investor briefings\n- an e-mail alert facility where shareholders and other interested parties can register to be notified, free of charge, of Santos' Press Releases and Weekly Drilling Summaries via e-mail.\n\nThe Santos website provides shareholder forms to help shareholders manage their holdings, as well as a full history of Santos' dividend payments and equity issues. Shareholders can also check their holdings and payment history in the secure View Shareholding section.\n\nSantos' website also provides an online Conversion Calculator, which instantly computes equivalent values of the most common units of measurement in the oil and gas industry.\n\n#### **Publications**\n\nThe Annual Report and the Sustainability Review are the major sources of printed information about Santos. Printed copies are available from the Share Registrar or Investor Relations.\n\n#### **SHAREHOLDER ENQUIRIES**\n\nEnquiries about shareholdings should be directed to:\n\nShare Registrar, Santos Ltd, GPO Box 2455, Adelaide, South Australia 5001. Telephone: 08 8218 5111. E-mail: share.register@santos.com\n\nInvestor information, other than that relating to a shareholding, can be obtained from:\n\nInvestor Relations, Santos Ltd, GPO Box 2455, Adelaide, South Australia 5001. Telephone: 08 8218 5111. E-mail: investor.relations@santos.com\n\nElectronic enquiries can also be submitted through the Contact Us section of the Santos website, www.santos.com.\n\n#### **SHAREHOLDERS' CALENDAR**\n\n| 2004 full year results announcement | 23 February 2005 |\n| --- | --- |\n| Ex-dividend date for 2004 full year dividend | 28 February 2005 |\n| Record date for 2004 full year dividend | 4 March 2005 |\n| Payment date for 2004 full year dividend | 31 March 2005 |\n| Annual General Meeting | 20 May 2005 |\n| Half year end | 30 June 2005 |\n| 2005 interim results announcement | 16 August 2005 |\n| Full year end | 31 December 2005 |\n| QUARTERLY REPORTING CALENDAR | |\n| 2005 First Quarter Activities Report | 27 April 2005 |\n| 2005 Second Quarter Activities Report | 27 July 2005 |\n| 2005 Third Quarter Activities Report | 26 October 2005 |\n| 2005 Fourth Quarter Activities Report | 25 January 2006 |", - "page_start": 93, - "page_end": 93, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## **CORPORATE AND SHAREHOLDER INFORMATION**\n\n#### **CORPORATE OFFICES**\n\nRogers Communications Inc. 333 Bloor Street East, 10th Floor Toronto, ON M4W 1G9 416-935-7777\n\n#### **CUSTOMER SERVICE AND PRODUCT INFORMATION**\n\n888-764-3771 or rogers.com\n\n#### **SHAREHOLDER SERVICES**\n\nIf you are a registered shareholder and have inquiries regarding your account, wish to change your name or address, or have questions about lost stock certificates, share transfers, estate settlements or dividends, please contact our transfer agent and registrar:\n\n#### CST Trust Company\n\nP.O. Box 700, Postal Station B Montreal, QC H3B 3K3, Canada 416-682-3860 or 800-387-0825 inquiries@canstockta.com\n\n#### **Duplicate Mailings**\n\nIf you receive duplicate shareholder mailings from Rogers Communications, please contact CST Trust Company as detailed above to consolidate your accounts.\n\n#### **INVESTOR RELATIONS**\n\nInstitutional investors, securities analysts and others requiring additional financial information can visit rogers.com/investors or contact us at:\n\n#### 1-855-300-7922 or\n\n416-935-3551 *(outside North America)* or investor.relations@rci.rogers.com\n\nMedia inquiries: 416-935-7777\n\n#### **CORPORATE PHILANTHROPY**\n\nFor information relating to Rogers various philanthropic endeavours, refer to the \"About Rogers\" section of rogers.com\n\n#### **SUSTAINABILITY**\n\nRogers is committed to continuing to grow responsibly and we focus our social and environmental sustainability efforts where we can make the most meaningful impacts on both. To learn more, please visit rogers.com/csr\n\n#### **SCAN THIS TO LEARN MORE**\n\n**rogers.com/investors** Stay up-to-date with the latest Rogers investor information\n\n#### **STOCK EXCHANGE LISTINGS**\n\n**Toronto Stock Exchange (TSX): RCI.b** – Class B Non-Voting shares (CUSIP # 775109200) **RCI.a** – Class A Voting shares (CUSIP # 775109101)\n\n**New York Stock Exchange (NYSE):**\n\n**RCI** – Class B Non-Voting shares (CUSIP # 775109200)\n\n#### **Equity Index Inclusions:**\n\nDow Jones Canada Titans 60 Index Dow Jones Telecom Titans 30 Index FTSE Global Telecoms Index FTSE All-World Index Series FTSE4Good Global Index Jantzi Social Index S&P/TSX 60 Index S&P/TSX Composite Dividend Index S&P/TSX Composite Index S&P/TSX Telecom Services Index\n\n#### **DEBT SECURITIES**\n\nFor details of the public debt securities of the Rogers companies, please refer to the \"Debt Securities\" section under rogers.com/investors\n\n**INDEPENDENT AUDITORS** KPMG LLP\n\n#### **ON-LINE INFORMATION**\n\nRogers is committed to open and full financial disclosure and best practices in corporate governance. We invite you to visit the Investor Relations section of rogers.com/investors where you will find additional information about our business, including events and presentations, news releases, regulatory filings, governance practices, corporate social responsibility and our continuous disclosure materials, including quarterly financial releases, annual information forms and management information circulars. You may also subscribe to our news by e-mail or RSS feeds to automatically receive Rogers news releases electronically.\n\n#### **FOLLOW ROGERS THROUGH THESE SOCIAL MEDIA LINKS**\n\nTWITTER **twitter.com/rogersbuzz**\n\nGOOGLE + **google.com/+Rogers**\n\n#### **COMMON STOCK TRADING AND DIVIDEND INFORMATION**\n\n| Dividends | | | |\n| --- | --- | --- | --- |\n| Closing Price RCI.b on TSX | | | Declared |\n| 2013 | High Low | Close | per Share |\n| First Quarter $51.89 $44.37 $51.89 $0.435 | | | |\n| Second Quarter $52.35 $40.35 $41.20 $0.435 | | | |\n| Third Quarter $45.36 $40.35 $44.29 $0.435 | | | |\n| Fourth Quarter $48.59 $43.66 $48.07 $0.435 | | | |\n\n#### **Shares Outstanding at December 31, 2013** Class A 112,462,000 Class B 402,281,178\n\n#### **2014 Expected Dividend Dates**\n\n| Record Date*: | Payment Date*: |\n| --- | --- |\n| March 14, 2014 | April 4, 2014 |\n| June 13, 2014 | July 4, 2014 |\n| September 12, 2014 | October 3, 2014 |\n| December 11, 2014 | January 2, 2015 |\n| * Subject to Board approval | |\n\nUnless indicated otherwise, all dividends paid by Rogers Communications are designated as \"eligible\" dividends for the purposes of the Income Tax Act (Canada) and any similar provincial legislation.\n\n#### **DIRECT DEPOSIT SERVICE**\n\nShareholders may have dividends deposited directly into accounts held at financial institutions. To arrange direct deposit service, please contact CST Trust Company as detailed earlier on this page.\n\n#### **DIVIDEND REINVESTMENT PLAN (DRIP)**\n\nRogers offers a convenient dividend reinvestment program for eligible shareholders to purchase additional Rogers Communications shares by reinvesting their cash dividends without incurring brokerage fees or administration fees. For plan information and enrolment materials or to learn more about Rogers DRIP, please visit www. canstockta.com/en/InvestorServices/Dividend_ Reinvestment_Plans or contact CST Trust Company as detailed earlier on this page.\n\n#### **ELECTRONIC DELIVERY OF SHAREHOLDER MATERIALS**\n\nRegistered shareholders can receive electronic notice of financial reports and proxy materials and utilize the Internet to submit proxies on-line by registering at www.canstockta.com/ en/InvestorServices/Delivery_of_Investor_ Materials/Electronic_Consent. This approach gets information to shareholders more quickly than conventional mail and helps Rogers protect the environment and reduce printing and postage costs.\n\n#### **GLOSSARY OF TERMS**\n\nFor a comprehensive glossary of industry and technology terms, go to rogers.com/glossary\n\n#### CAUTION REGARDING FORWARD-LOOKING INFORMATION AND OTHER RISKS\n\nThis annual report includes forward-looking statements about the financial condition and prospects of Rogers Communications that involve significant risks and uncertainties that are detailed in the \"Risks and Uncertainties That Could Affect our Businesses\" and \"Caution Regarding Forward-Looking Statements, Risks and Assumptions\" sections of the MD&A contained herein, which should be read in conjunction with all sections of this annual report.\n\n© 2014 Rogers Communications Inc. Other registered trademarks that appear are the property of the respective owners.\n\nDesign: **Interbrand** Printed in Canada", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "at the Company's annual general meeting in November 2000, it was proposed to invite each holder of the above options to subscribe for one new 30 November 2001, 0.75 cent option for each of the above options held on its expiry at a proposed issue price of 1 cent per new option.\n\nThere is no inherent right arising from these options to participate in any new issue of shares in the Company which may be offered to shareholders from time to time prior to the exercise of the options. The Company will ensure however, that during the exercise period, for the purpose of determining entitlement to any new issue, the relevant record date will be at least 12 business days after the new issue is exercised, so as to give the holder of options an opportunity to exercise their options prior to the relevant record date of any new issue.\n\nIn accordance with the provisions of the Mermaid Marine Australia Limited Employee Share Option Incentive Plan (the \"Employee Option Plan\"), as at the date of this report a total of 42 employees have under option an aggregate of 615,000 ordinary shares in the Company. Of the 615,000 ordinary shares under option pursuant to the Employee Option Plan, half (307,500) may be purchased within 12 months of 18 June 2000 at an issue price of 60 cents per share and half (307,500) may be purchased within 12 months of 18 June 2000 at an issue price of 70 cents per share. EMPLOYEE SHARE OPTION INCENTIVE PLAN\n\nHolders of options over unissued shares in the Company do not have the right, by virtue of the option, to participate in any share issue or interest issue of the Company or of any other body corporate or registered scheme.\n\nAs at the date of this report no shares have been issued during or since the end of the Financial Year as a result of the exercise of an option over unissued shares in the Company.\n\n#### INDEMNITIES AND INSURANCE PREMIUMS FOR OFFICERS AND AUDITORS\n\nDuring the Financial Year, Mermaid paid a premium for a contract insuring all of the directors of the Company, the company secretaries and all executive officers of Mermaid against any liability incurred by such director, secretary or executive officer during the course of their duties as such director, secretary or executive officer to the extent permitted by the Corporations Law.\n\nThe policy does not allocate an identifiable part of the premium to specific directors or officers. Accordingly, the premium paid has not been apportioned to directors' remuneration.\n\nThe company has not otherwise during or since the end of the Financial Year, indemnified or agreed to indemnify an officer or auditor of the company against a liability incurred as such officer or auditor.", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "# **Item 9B. Other Information.**\n\nNone.\n\n# **PART III**\n\n# **Item 10. Directors, Executive Officers and Corporate Governance.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nExecutive Officers Director Elections Board Committees and Charters Director Nominating Process Website Access to Corporate Governance Documents Section 16(a) Beneficial Ownership Reporting Compliance Corporate Governance\n\nThe certifications of our President and Chief Financial Officer required pursuant to Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 are included as exhibits to this Annual Report on Form 10-K and were included as exhibits to each of our quarterly reports on Form 10-Q. Our President certified to the New York Stock Exchange (\"NYSE\") on May 15, 2014 pursuant to Section 303A.12(a) of the NYSE's listing standards, that he was not aware of any violation by the Company of the NYSE's corporate governance listing standards as of that date.\n\n# **Item 11. Executive Compensation.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nCompensation of Executive Officers Compensation Discussion and Analysis Director Compensation Compensation Committee Interlocks and Insider Participation\n\n# **Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Shareholder Matters.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nSecurity Ownership of Certain Beneficial Owners and Management Equity Compensation Plans\n\n# **Item 13. Certain Relationships and Related Transactions, and Director Independence.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nElection of Directors Certain Relationships and Related Transactions\n\n# **Item 14. Principal Accounting Fees and Services.**\n\nThe information required under this item is included in the following section of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the section of which is incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nRatification of the Appointment of Independent Registered Public Accounting Firm", - "page_start": 79, - "page_end": 79, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Remuneration Report\n\n#### Dear Shareholder\n\nI am pleased to present our Remuneration Report for 2013.\n\nAs you would be aware, at last year's Annual General Meeting (\"AGM\") 30% of the votes cast in respect of the resolution to adopt the 2012 Remuneration Report voted 'against' the resolution. As this was greater than the 25% threshold under the executive remuneration legislation, we received what is referred to as a 'first strike.' Our formal response to issues raised by shareholders at the AGM with respect to the 2012 Remuneration Report is set out on page 50 of this Report.\n\nVoting at AGMs is not compulsory and results of the 2012 AGM reflected this with only 59% of issued shares that were eligible to vote on the resolution to adopt the Remuneration Report doing so, meaning the 'against' vote represented 18% of eligible issued shares.\n\nWhile we believe our remuneration practices are sound and demonstrate a clear link between executive and shareholder returns, we have taken the first strike seriously and have undertaken an extensive review of the remuneration principles for Key Management Personnel.\n\nThe changes that the Board have implemented as a result of this review include:\n\n- 〉 A structural review of the Company resulting in the appointment in December 2012 of a senior human resources specialist as a direct report to the Managing Director and Executive Committee member;\n- 〉 Fees / base salary packages for Directors and Key Management Personnel were frozen from 1 July 2012;\n- 〉 Directors and Key Management Personnel have agreed to a 10% reduction in fees and remuneration;\n- 〉 The Managing Director and Key Management Personnel agreed to not accept any of their entitled Short Term Incentive (\"STI\") equivalent to a minimum of 10% of their base salary for the 2013 financial year;\n- 〉 A revised Performance Management System, including 'at risk' remuneration, has been introduced at all levels in corporate and site based operations including at risk remuneration for Key Management Personnel in the form of short term and long term incentive programs described in detail in this report; and\n- 〉 A broadening of the remuneration benchmarking processes for Directors and Key Management Personnel.\n\nFurther details on each of the changes outlined above are provided in specific sections of this Remuneration Report. We believe that these changes will be welcomed by our shareholders.\n\nWe will continue to review our remuneration polices and framework in consideration of a changing industry environment and your feedback.\n\nThank you for your interest in this report.\n\nRoss Smyth-Kirk Chairman Remuneration Committee", - "page_start": 50, - "page_end": 50, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "#### **NOTE 11 — STOCKHOLDERS' EQUITY**\n\nShare repurchases are only conducted under repurchase programs approved by the Board of Directors and publicly announced. Share repurchase activity was as follows:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | | 2002 |\n| --- | --- | --- | --- | --- |\n| August 2001 authorization (0, 1.4 million | | | | |\n| and 6.4 million shares purchased) $ | — | $ 36,034 | $ 207,590 | |\n| February 2003 authorization | | | | |\n| (10 million shares purchased) | — | 335,911 | — | |\n| November 2003 authorization (8 million | | | | |\n| and 2 million shares purchased) | 348,895 | 70,919 | — | |\n| | $ 348,895 | $ 442,864 | $ 207,590 | |\n| Average price of shares repurchased $ | 43.59 | $ 33.17 | $ 32.28 | |\n\nAt December 31, 2004, we had 10 million shares available for repurchase under a July 2004 authorization.\n\nIn May 2002, the Board of Directors approved a restricted stock plan. The plan allowed for the issuance of up to 1 million shares of Company common stock to certain key employees. The restrictions on selling these shares lapse 50% on the third anniversary date from the grant date and 50% on the fourth anniversary date after the grant date. Through December 31, 2004, 903,000 shares were issued, with an aggregate value of $32 million. This amount was recorded as deferred compensation in the accompanying consolidated balance sheet and is being amortized to operating expenses on a straight-line basis through the period in which the restrictions fully lapse. Amortization of deferred compensation was $7 million, $8 million and $5 million for the years ended December 31, 2004, 2003 and 2002, respectively, and 855,000 shares were outstanding under the plan at December 31, 2004. In November 2002, the Board of Directors determined that no more awards would be granted under the plan.\n\n#### **NOTE 12 — EMPLOYEE BENEFIT PLANS**\n\nEmployees of the Company who are members of various unions are covered by union-sponsored, collectively bargained, multi-employer health and welfare and defined benefit pension plans. The Company recorded an expense of $86 million in 2004, $77 million in 2003 and $66 million in 2002 under such plans. The plans' sponsors have not provided sufficient information to permit the Company to determine its share of unfunded vested benefits, if any.\n\nThe Company is self-insured for most health care benefits for its non-union employees. The liability for claims filed and estimates of claims incurred but not reported is included in the \"Other accrued liabilities\" caption in the accompanying consolidated balance sheets.\n\nThe Company has a retirement savings plan under Section 401(k) of the Internal Revenue Code for eligible employees not covered by a collective bargaining agreement that does not specifically provide for participation in the plan. The plans allow employees to defer, within prescribed limits, up to 30% of their income on a pre-tax basis through contributions to the plans. The Company matches, within prescribed limits, a portion of eligible employees' contributions. In the case of certain union employees, the Company contributes to the plan are based on hours worked. The Company recorded charges for 401(k) contributions of $12 million in 2004, $10 million in 2003 and $12 million in 2002.\n\nThe Company maintains a nonqualified deferred retirement plan for certain key employees. The plan allows participants to defer, on a pre-tax basis, a portion of their salary and bonus and accumulate tax deferred earnings, plus investment earnings on the deferred balances, as a retirement fund. Participants receive a Company match of up to 4% of salary, net of any Company match received under the Company's 401(k) plan. All employee deferrals vest immediately. The Company matching contributions vest ratably over a three-year period. The Company recorded charges for matching contributions of $1 million in 2004, $2 million in 2003 and $1 million in 2002.", - "page_start": 72, - "page_end": 72, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## 24. Employee benefits and share-based payments continued\n\nSet out below are summaries of options under the plans.\n\n| | | Exercise | Balance | Granted | Expired | Balance | Vested and exercisable at |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| | | price | start of year | during year | during year | end of year | end of year |\n| Grant date | Expiry date | $ | Number | Number | Number | Number | Number |\n| Year ended 30 June 2013 – Employees | | | | | | | |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 481,000 | – | (481,000) | – | – |\n| Total | | | 481,000 | – | (481,000) | – | – |\n| Weighted average exercise price | | | $6.00 | – | $6.00 | – | – |\n| Year ended 30 June 2012 – Employees | | | | | | | |\n| 07 Jul 2006 | 01 Jul 2011 | $6.00 | 50,000 | – | (50,000) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $4.68 | 58,535 | – | (58,535) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 566,001 | – | (85,001) | 481,000 | 481,000 |\n| Total | | | 674,536 | – | (193,536) | 481,000 | 481,000 |\n| Weighted average exercise price | | | $5.89 | – | $5.60 | $6.00 | $6.00 |\n\nThe fair value of shares issued on the exercise of options is the weighted average price at which the Company's shares were traded on the Australian Securities Exchange on the day prior to the exercise of the options.\n\nThe weighted average remaining contractual life of share options outstanding at the end of the period was 2.59 years (2012: 2.95 years).\n\n| Year ended 30 June 2013 – Other | | | | | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 415,000 | – | (415,000) | – | – |\n| 04 Apr 2008 | 03 Apr 2013 | $7.00 | 500,000 | – | (500,000) | – | – |\n| 26 Aug 2011 | 25 Aug 2014 | $10.36 | 1,500,000 | – | – | 1,500,000 | 1,500,000 |\n| 23 Sep 2011 | 22 Sep 2016 | $10.50 | 3,333,334 | – | – | 3,333,334 | 3,333,334 |\n| Total | | | 5,748,334 | – | (915,000) | 4,833,334 | 4,833,334 |\n| Weighted average exercise price | | | $9.83 | | $6.55 | $10.46 | $10.46 |\n| Year ended 30 June 2012 – Other | | | | | | | |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 415,000 | – | – | 415,000 | 415,000 |\n| 04 Apr 2008 | 03 Apr 2013 | $7.00 | 500,000 | – | – | 500,000 | 500,000 |\n| 26 Aug 2011 | 25 Aug 2014 | $10.36 | – | 1,500,000 | – | 1,500,000 | 1,500,000 |\n| 23 Sep 2011 | 22 Sep 2016 | $10.50 | – | 3,333,334 | – | 3,333,334 | 3,333,334 |\n| Total | | | 915,000 | 4,833,334 | – | 5,748,334 | 5,748,334 |\n| Weighted average exercise price | | | $6.55 | $10.46 | | $9.83 | $9.83 |\n\n#### Executive Rights Plan\n\nOn 1 July 2012, the Company introduced an Executive Rights Plan which involves the grant of two types of rights being performance rights and deferred rights. Subject to the satisfaction of the performance condition at the end of a three year measurement period in respect of performance rights and the service condition at the end of the three year vesting period in respect of deferred rights, the rights will vest. The first $1,000 of value per individual award is settled by cash with the balance settled by shares.", - "page_start": 97, - "page_end": 97, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Who is the President of the TV Department of Emmis Communications?", - "target_page": 6, - "target_passage": "Randall Bongarten Television Division President", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM domestic radio stations serving the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television stations, award-winning regional and specialty magazines, a radio network, international radio interests, and ancillary businesses in broadcast sales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio station, WENS-FM, in July 1981. As Emmis (the Hebrew word for \"truth\") acquired more radio stations across the nation, it established a reputation for sound operations and emerged as a radio industry leader and innovator. Emmis was the first broadcast company to own toprated radio stations in both L.A. and New York, and it pioneered such concepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase of *Indianapolis Monthly*, and moved into the world of international radio in 1997, when it was awarded a license to operate a national radio network in Hungary. In 1998, Emmis expanded into television by buying six television stations in markets throughout the United States. In the last six years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement and fun, the company's culture has been repeatedly lauded by both its employees and its peers. Trade publications have regularly cited the company's leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide headquarters in Indianapolis, where the company was founded.\n\n*This annual report contains certain non-GAAP measures. For a presentation of the directly comparable GAAP measure and a reconciliation of the non-GAAP measures to the GAAP measures, see the attachment to the back of our Form 10-K in this Annual Report.*", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "#### Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, 317.266.0100.\n\n#### Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes *Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n#### Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n#### Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n#### Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n#### Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n| --- | --- | --- |\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18.00 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n#### Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe Publishing Division President\n\n#### Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh Former Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal President and Majority Owner, LMCS, LLC\n\nPeter A. Lund Media consultant and former President of CBS Inc.\n\nGreg A. Nathanson Media consultant and former President of Fox Television Stations and Emmis Television\n\nFrank V. Sica Senior Advisor Soros Fund Management LLC\n\nLawrence B. Sorrel Managing Partner and Co-CEO Tailwind Capital Partners", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "#### emmis entities\n\n#### **RADIO**\n\n**Austin** KDHT-FM (93.3), Rhythmic CHR KEYI-FM (103.5), Oldies KGSR-FM (107.1), Adult Alternative KLBJ-AM (590), News/Talk KLBJ-FM (93.7), Album Oriented Rock KROX-FM (101.5), Alternative Rock **Chicago** WKQX-FM (101.1), Alternative Rock **Indianapolis** WENS-FM (97.1), Adult Contemporary WIBC-AM (1070), News/Talk/Sports WNOU-FM (93.1), CHR WYXB-FM (105.7), Soft Adult Contemporary Network Indiana, Statewide news network **Los Angeles** KPWR-FM (105.9), Hip-Hop/R&B KZLA-FM (93.9), Country **New York** WQCD-FM (101.9), Smooth Jazz WQHT-FM (97.7), Hip-Hop WRKS-FM(98.7), Classic Soul/Today's R&B **Phoenix** KKFR-FM(92.3), Rhythmic CHR KKLT-FM (98.7), Adult Contemporary KMVP-AM (860), Sports\n\n#### **St. Louis**\n\nKFTK-FM (97.1), Talk KIHT-FM (96.3), Classic Hits KPNT-FM (105.7), Alternative Rock KSHE-FM (94.7), Album Oriented Rock WRDA-FM (104.1), New Standards **Terre Haute** WTHI-FM (99.9), Country WWVR-FM (105.5), Classic Rock\n\n#### **TELEVISION**\n\n- Albuquerque, N.M., KRQE-TV (Channel 13), CBS programming/local news Fort Myers, Fla., WFTX-TV (Channel 4), Fox programming/local news Green Bay, Wis., WLUK-TV (Channel 11), Fox programming/local news Honolulu, KHON-TV (Channel 2), Fox programming/local news Honolulu, KGMB-TV (Channel 9), CBS programming/local news Huntington/Charleston, W.Va., WSAZ-TV (Channel 3), NBC programming/local news Mobile, Ala./Pensacola, Fla., WALA-TV (Channel 10), Fox programming/local news Mobile, Ala./Pensacola, Fla., WBPG-TV (Channel 55), WB programming New Orleans, WVUE-TV (Channel 8), Fox programming/local news Omaha, Neb., KMTV-TV (Channel 3), CBS programming/local news\n#### Orlando, Fla., WKCF-TV (Channel 18), WB programming Portland, Ore., KOIN-TV (Channel 6), CBS programming/local news Terre Haute, Ind., WTHI-TV (Channel 10), CBS programming/local news Topeka, Kan., KSNT-TV (Channel 27), NBC programming/local news Tucson, Ariz., KGUN-TV (Channel 9), ABC programming/local news Wichita, Kan., KSNW-TV (Channel 3), NBC programming/local news\n\n#### **PUBLISHING**\n\n- *Atlanta Country Sampler Cincinnati Indianapolis Monthly Los Angeles Texas Monthly*\n#### **INTERNATIONAL** Hungary, Sláger Rádió, Classic Rock/local programming Belgium, nine stations serving the Flanders region\n\n**RELATED BUSINESSES** Emmis Books Emmis Interactive RDS\n\nKTAR-AM (620), News/Talk/Sports", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## you can count on emmis to continue to do\n\n#### Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole – like any other CEO bragging about his company's performance – the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n#### **The best year**\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry – in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addition, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties – in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year – we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n#### **How we did it**\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best teams in our markets. We have traditionally had the top salespeople, creative and technical professionals, news staffs, managers and support staff in every city where we operate. Their peers turn to them for industry leadership, honor them with awards and copy them at every opportunity. We invest in these people, giving them industry-leading benefits packages, great opportunities and the tools they need to succeed. This has always been a hallmark of Emmis, and it won't change.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "# Outperform.\n\n### emmis communications 2004 abbreviated financial highlights *in thousands except where noted*\n\n| year ended Feb. 28 (29) | '00 | '01 | '02 | '03 | '04 |\n| --- | --- | --- | --- | --- | --- |\n| net revenues | 325,265 | 473,345 | 539,822 | 562,363 | 591,868 |\n| station operating income* | 125,477 | 174,213 | 185,665 | 213,112 | 220,445 |\n| station op income margin | 38.6% | 36.8% | 34.4% | 37.9% | 37.2% |\n| leverage | 2.5x | 6.8x | 9.3x | 6.5x | 6.7x |\n| | | | | | *excluding noncash compensation |\n\nradio tv publishing $600,000 $500,000 $400,000 $300,000 $200,000 $100,000 $0 00 01 02 03 04 **325,265 473,345 539,822 562,363 591,868**\n\n5 4 3 2 1 0 1% 2.7% 4.5% **INDUSTRY MARKETS EMMIS** radio division revenue growth fiscal 2004\n\nnet revenue station operating income, excluding noncash compensation\n\ntv division revenue growth calendar 2003\n\n-", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## what it has always done: outperform.\n\nIn addition, we commit ourselves to creating the best content in our markets. Our magazines routinely dominate their industry awards ceremonies – last year, *Texas Monthly* won a coveted National Magazine Award, and Emmis publications claimed more than half of the awards at the City and Regional Magazine competition. Our radio stations feature some of the industry's most popular personalities – in 2003, Emmis people and stations were awarded three Marconi Radio Awards. And our television operations are regularly honored by journalism organizations for their news gathering and community service. In short, we provide our markets with reliable, high-quality content – content that helps us assemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We give our teams well-developed strategies, clearly defined brands and solid products. We build bigger, better sales forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious goals and then watch our people work harder and smarter than anyone else.\n\nWe also seize the right opportunities and make the most of them. As the cost of buying radio properties has gone through the roof, we have been careful about buying. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a tremendous heritage and a great culture, all with an opportunity for growth. And we've already built on that group's track record – since we bought them, we've reformatted one station and quickly sent it to No. 1 in the market, and we've pushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio company, become the company to emulate in TV? Because we approached TV in a way it's never been approached before. Why do we operate leading hip-hop stations in markets across the nation? Because we pioneered the concept. Why have we created a new \"Music with Class\" format in St. Louis' Red 104.1? Because we believe we see a new opportunity. We know that successful companies don't follow the pack. They lead it, and that's what we'll always do.\n\n#### **The year ahead**\n\nThat last point – innovation – is an important one, especially for the future of Emmis, because we are planning something that could change the face of American TV and once again demonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV antennas and severing broadcasters' direct link to television audiences. Since then, the cable companies—the middlemen who replaced us—have created more than $300 billion of value for themselves. However, changes in technology have given broadcasters the ability to provide the American public with the most popular TV channels, without the middlemen and at a more reasonable price.\n\nWe are developing an innovative model that will leverage that technology to get broadcast companies back into the game. I believe it has the potential to revolutionize the television industry. I also believe it will add substantial value to your investment.\n\nWe unveiled this concept at the National Association of Broadcasters meeting in April. I am proud to say that 11 other television companies joined us at that meeting to express their support for what we're calling the Broadcasters' Initiative, and more are signing on each week. Once again, Emmis has leveraged innovation to take a leading role in our industries.\n\nWe'll continue to use innovation to push us forward. Meanwhile, we'll also build and maintain the best teams, produce the best media content, outhustle and outsell our competitors, seize the best opportunities and operate this company better than any other.\n\nIn other words, you can count on Emmis to continue to do what it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\nJeffrey H. Smulyan chairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## Outperform\n\nEmmis Communications 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "### ®\n\nemmis communications one emmis plaza 40 monument circle indianapolis, indiana 46204", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "### Board of Directors", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "### **42** | EMPLOYEES\n\nKenneth Gentry Chris George Jerry George II Brian Gibbs John Gibbs III Lane Gibbs Chris Gibson Hayley Gibson J.D. Giddens Tricia Giffin Matt Gilbert Larry Gillespie Jr. Matthew Gilliam Charles Gillis Tracy Givens David Gladwin James Glass Christina Glaviano Davis Gleason Ronnie Glenewinkel Henry Glenn Jeff S. Glenn Sally Glenn Scott Glenn Wilbert Glover III Spencer Goad Allison Gocke Ryan Goddard Jon Godsy Dana Goe Josh Goforth Kandy Golden Derrick Goldston Dustin Goldston Mario Gomez George Gonzales Sam Gonzales David Gonzalez Fabian Gonzalez Jose Gonzalez Ray Good II Pat Goodman Daniel Goodwin Andrew Gooshaw Bryan Gordon Daniel Gordon David Gore Ronnie Gore Nick Goree Thomas Goslin Travis Gosnell Adam Gospodarek Steven Gosvener Brandy Gottschall Richard Gowan Jr. JC Goza Evelyn Grace Carlos Gracian Alicia Graham Dana Grant Dusy Grant David Grapusa Jr. Dusty Graves Jon Graves Joseph Graves Gavin Gray Jim Gray Jon Gray Eric Greathouse John Greathouse Geoff Green Jeff Green John Green Justin Green Lucas Green Michael Green Randy Green Ronald Green II Silas Green Jane Greene Mike Greenough Jennifer Green-Pongrattanaman Jason Greer Kyle Gregor Regina Gregory Chris Grewell Mark Gribbin Ryan Griffin Janelle Griffis\n\nMike Griffith Anthony Grillett Jeff Grim Jeff Grindstaff Chad Grinnell Clay Grissom Tara Gross Vertis Grummert John Gryder Jose Guajardo Jr. G G Guerra Homero Guerra Jr. Matt Guerrero Miguel Guerrero Roy Guerrero Arnaud Guillemard Agustin Guillen Daniel Guinane Michael Gulikers Brenda Gumm Barbara Guskin Carly Gustafson Galen Gustavus Jimmy Gustavus Steven Gustavus Joseph Guthrie Thomas Guthrie Joe Gutierrez Jose L. Gutierrez Leopoldo Gutierrez Jamey Guzak John Haag Matthew Habuda Tim Hackenberg Josh Hack Richard Hackney John Hadlock Jessica Haer Joshua Haile Robert Hajdas Kyle Hakes Todd Hakes Alicia Haley Alex Hall Billy Hall Brock Hall Derek Hall Gabriel Hall Gerad Hall Richard B. Hall Ryan Hall Calwin Halpin Ricky Hamilton Russell Hamilton William Hamilton Brian Hamiter Billy Hamm Stuart Hamman Todd Hammer Augusta Hammergren Brian Hammerschmidt Melissa Hammontree David Hancock John Haner Jr. Jeremy Hanes Regan Hankins Jr. Joel Hanks Angie Hardey Richard Harding Keith Hardman Graigery Harer Dayne Hargrove Bradley Harkness Rick Harless Colby Harlow Jessica Harmon Lane Harmon Lewis Harper Mike Harper James Harris III Robert R. Harris Sara Harris Tim Harris Timothy Harris Jr. Rodney Harrist Gary Harshey Denise C. Hart James Hart Margaret Hart Pat Hartley\n\nPaul Hartman Brett Harvey Keith Harvey Rick Harvey Christopher Harville Kenneth Haskey Jr. Nathan Hassinger Kelly Hastings Matt Hastings Cody Hasty Timothy Hatesaul Alan Hatter Franklin Hawes Jr. James Hay Jeff Hayden Daniel Hayes Kevin Hayes Ryan Hayes Drew Haymaker Rowdy Haynes Steve Heard Ben Hearnsberger Roxanne Heath Lee Hebert IV Trey Hebert Jeremy Heck Kyle Hedrick Lynn Heidebrecht Clay Heller Jonathan Hemsley Bob Hendricks Allison Hendrix Joseph Hendrix Edward Henke Tyler Henning Angela Henry Garrett Henry Jed Henry Patrick Henry David Hensley Laura Hensley Austin Henson Christian Hernandez Juan Hernandez Jake Herod Shelley Herod Tacha Heron Fernando Herrera Gerardo Herrera Brent Herring Matthew Herring Christi Herrington Kimberly Hesse Charles Hester Dennis Hester Erin Hettman David Hewitt Clark Hickman Alston Hicks Jaime Hicks Jordan Hicks Scott Hicks Tracy Hicks Destery Hidlebaugh Ryan Hidlebaugh Jimmy Higginbotham Michael Higginbottom Amy Higgins James Higgins Tiffany Hight Arrin Hill Elgie Hill Geno Hill Jr. Jaron Hill Jeanette Hill Mike Hill Stephen Hill Kristen Hillis Geoffrey Himmelreich Tommy Hinchman Jr. Freddie Hines Scott Hinman Daniel Hinton Kevin Hlatky Steve Hoaglund Damieon Hodges Sarah Hoffman Russell L. Hogue II Clarissa Hollander Dustin Hollen\n\nAlayne Hollis Brett Holloway Steve Holloway William Holloway Allison Holman James Holman Lincoln Holman Cori Holmes Eric Holmes Nick Holmes Chad Holst Kerra Holsted Eric Holsten Kevin Holt Conrad Holub Ragen Homesley Matt Hood William Hood Jr. Hudson Hoosier Joe Hoover Jon Hoover Joshua Hoover Jaime Hopkins Jason Hopkins Karen Hoppe Tami Horn Tanner Horn Michael Horner William Horner Christopher Hornsby Mike Hornsby Aaron Horton Chaz Horton Amanda Horvath Robert Horvath Eric Hottenstein Kevin Hough Mike Houlihan James Houser Liz Houser Jared Howard Shaun Howard Charles Howdershelt Dustin Howell Sandra Howerton Dagoberto Huante Denny Hubbard Shane Hubbard Courtney Hubert Rita Huckle Andrew Hudacko IV John Huddleston Jessica Hudgens John Hudson Alan Hudspeth Helene Huff Alexander Huggett Eric Huggins Chris Hughes Cody Hughes Jim Hughes John Hughes Jon Hughes Walter M. Hughes Lois Hugo David Hugus II Forrest Humphrey Kyle Humphreys Joseph Humphries Hannah Huneryager Bill Hunt Bobby Hunt Jr. Greg Hunt Stuart Hunt Lloyd Hunter Amy Huntsman Robert Hurlocker Justun Huston Chelsey Hutches Jason Hutchinson Robert Hutchinson Chris Hutchison Luke Hux Bryan Huyck Ashley Hyde Sean Iago Kristin Ikard Jeff Iliff Clinton Imig Earl Ince\n\nJames Iness Jr. Chris Infante Jr. Todd Ingalls Tai Ingerick Jeff Ingerson Paul Ingram Nicholas Inthirath Brian Irving Brian Irwin Jennifer Isaac Richard Isbell Ryan Iseman Jason Ives Troy Ivey Al Jackson Benjamin Jackson Brandi Jackson David Jackson Greg Jackson James Jackson Jason Jackson Jeff Jackson Jeffrey Jackson Joe D. Jackson Josh Jackson Michelle Jackson Nathan Jackson Randy L. Jackson Thomas Jackson Toby Jackson David Jacobi George Jacobs Justin Jahansouz Chris James Lanie James Mark James Artemio Jameson Jr. Rance Jameson Steve Jameson II Jackie Janicek Timothy Janis Paul Jankowsky Brad Janssen David Jarrell Jr. Caleb Jarvis Robert A. Jarvis Robert B. Jarvis Catlin Jefferson Amanda Jenkins Corey Jenkins Ralph Jenkins Matt Jenlink Richard Jennen Blu Jernigan Robert Jessup Herbert Jewett Casey Jobe Bobby Johnson Chris Johnson Darryl Johnson Deanna Johnson Doug K. Johnson Jr. Eric Johnson Jared Johnson Jennifer Johnson Jimmy L. Johnson John Johnson Kelly Johnson Lauren Johnson Matthew Johnson Max Johnson Michael R. Johnson Peter Johnson Rob Johnson Tera Johnson Troy Johnson Wayne Johnson Will Johnson III Damon Johnston Greg Johnston Holly Johnston Ron Johnston Kristen Jondahl Carie Jones Casey Jones Deana Jones Eric Jones Garett Jones Jeff A. Jones Kevin Jones\n\nMarty Jones Marvin Jones Jr. Mike Jones Missy Jones Rustin Jones Stefanie Jones Tim J. Jones Wreginald Jones Chalain Jordan Jonathon Jordan Kenneth Jordan Jr. Javier Joslin Trace Joyce III Alejandro Juarez Claudio Juarez John Jukes Matt Julias Kevin Justin Shipman Kahanu Jr. Tanner Kancilia Josh Kapchinske Christopher Kapelczak Jacob Kapson Mark Karickhoff Rachel Karker Kris Karnes Shawn Karr Stan Kaszupski Kyle Kauk Nick Kauk Dustin Keefer Dustin Keel Jake Keen Klint Keevert Greg Kegin Brad Kellam Amy Kelley Keri Kelley Todd Kelley Nicholas Kellogg Adam Kelly Billy Kelly Chrissy Kelly Keith Kennedy Jr. Lonnie Kennedy David Kennelly Jr. Shelby Keown Meghan Kershner Megan Kidd Sean Kidd Matthew Kidwell Meredith Kiesel Chari Kiger Theodore Kimball Lindsay Kimber Debbie Kimbrell Danielle Kimbro Greg Kindsfather Ashley King Bill King III David King Jr. Jason King Kevin King Luke King Pamela King Lori Kinney Darrell Kinsey Scott Kinter David Kio Jeff Kirk Jennifer Kirk Tia Kishketon Austin Klavan Tommy Klein Chris Klingman Seth Knapp Sandra Knarr Wade Knickerbocker Daniel Knight Kevin Knight Nicholas Knight Virgil Knotts Jr. Megan Knowles Candace Knox Jacob Knuckols Sarah Knudson Jeremy Knutson Keri Kobs Richard Koch Seyi Kolajo\n\nChristopher Kolb Josh Koon Tom Koontz Jon Kopec William Kosik Ken Kostecky Derek Kreischer Cody Kroll Brett Kronick James Kropp Nic Kruckeberg Scott Krueger Bryan Krusemark David Kuntz Ted Kuschel Andy Kuykendall Chelsea Kyger Tony Kyle Mac Laas Frank Labor Gibran Lacey Craig Lacher Seth Lady Brian Lageman Scott Lair Stephanie Lamb Harry Lammy Wessley Lamoreaux Evan Landers Jason Landis Larry Landreth Chelsea Landrum Beau Landry Trey Landry Kathleen Lane Richard S. Lane Karl Langer Ronnie Langford Johnny Langley Darrel Lankford Randall Lantz Louis Lara Eddie Large Jr. Neil Larsen III Edwin Larson Greg Larson Kurtis Lasater Ahmed Latoni Daniel Lavigne Dennis Lawrence Josh Lawrence Randy Lawson Whitney Lawson Jacob Lawyer Vickie Laydera-Collins James Layman Dearl Laymon Corey LaCombe Chad LaCross Michelle LaFluer Doug LaHaye Jennifer Le Mary Le LaGayle Leake Arnulfo Leal Rocky Leatherwood Laura Lechtenberg Brian Lee Chris B. Lee Daniel Lee Jason Lee Kevin Lee Marcus Lee Jr. Rickey Lee Jr. Roy Lee Scott Lee Larry Legg Amanda Leigh Jason Leigh Marty Leischer Brooke Lemley Bryan Lemmerman Thomas Lemmons Nick Lemon Jake Lempges Christopher Lentz Brett Leonard Stacey Leone Charles Lewis II Dennis Lewis\n\nJustin Lewis Kasey Lewis Lawrence Lewis Jr. Micheal Lewis Paul LeBlond Joshua LeGrande Gabriel Lichtenberger Mitch Lied Kasey Lilley Chad Limberg Travis Lindenfelser Jason Lindsey Jeremy Lindsey Kyle Lindsey Mike Linse Linwood Lirette Jr. Randy Little Jacob Littlefield Melinda Littlefield Whitney Lively Thomas Lloyd John Loesel VI Shana Lofaso Sara Loftin Keenan Lohrding Wesley Long Jr. James Loomis Alex Lopez Alfredo Lopez Jr. Gerardo Lopez Josh Lopez Rudy Lopez Jr. Margaret Lorden Joshua Losinger Nicholas Lott Steven Love Melissa Loveland Clinton Lovell Lance Lovell Timothy Lovell Doc Lovett David Lowther Gerardo Lozano Andres Lucas Kyle Lucas Michael D. Lucas Michael D. Lucas Hector Lucio Varela John Ludwig Nickolas Luedecke Steve Luera Greg Lukeman Jared Luman Michael Lumley Michelle Lunceford Michael Lunde Stewart Lundquist Rockey Lynch Jacob Lynn Reggie Lyons Kha Mach Jaime Machuca Jr. Greg Mack Jessica Mack Alison Mackie Kevin MacDonald Thomas Madden Trent Magers Jon Mahan Justin Mahan Jeffery Majors Stephanie Mak Jose Maldonado Jr. Lindsay Malinoski Mark Malone Stacey Maloney David Manchas Stephen Manning Timothy Manning John Mantooth Jr. Jon Mantooth Shannon Mantooth Mary Katherine Maraschick Randolph Brett Marchbanks Aaron Marcovy Michael Marek Nicole Marion Nathan Marks Sonny Marmet", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Does the radio station 93.7 in Austin belong to Emmis Communication?", - "target_page": 7, - "target_passage": "KLBJ-FM (93.7), Album Oriented Rock", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### emmis entities\n\n#### **RADIO**\n\n**Austin** KDHT-FM (93.3), Rhythmic CHR KEYI-FM (103.5), Oldies KGSR-FM (107.1), Adult Alternative KLBJ-AM (590), News/Talk KLBJ-FM (93.7), Album Oriented Rock KROX-FM (101.5), Alternative Rock **Chicago** WKQX-FM (101.1), Alternative Rock **Indianapolis** WENS-FM (97.1), Adult Contemporary WIBC-AM (1070), News/Talk/Sports WNOU-FM (93.1), CHR WYXB-FM (105.7), Soft Adult Contemporary Network Indiana, Statewide news network **Los Angeles** KPWR-FM (105.9), Hip-Hop/R&B KZLA-FM (93.9), Country **New York** WQCD-FM (101.9), Smooth Jazz WQHT-FM (97.7), Hip-Hop WRKS-FM(98.7), Classic Soul/Today's R&B **Phoenix** KKFR-FM(92.3), Rhythmic CHR KKLT-FM (98.7), Adult Contemporary KMVP-AM (860), Sports\n\n#### **St. Louis**\n\nKFTK-FM (97.1), Talk KIHT-FM (96.3), Classic Hits KPNT-FM (105.7), Alternative Rock KSHE-FM (94.7), Album Oriented Rock WRDA-FM (104.1), New Standards **Terre Haute** WTHI-FM (99.9), Country WWVR-FM (105.5), Classic Rock\n\n#### **TELEVISION**\n\n- Albuquerque, N.M., KRQE-TV (Channel 13), CBS programming/local news Fort Myers, Fla., WFTX-TV (Channel 4), Fox programming/local news Green Bay, Wis., WLUK-TV (Channel 11), Fox programming/local news Honolulu, KHON-TV (Channel 2), Fox programming/local news Honolulu, KGMB-TV (Channel 9), CBS programming/local news Huntington/Charleston, W.Va., WSAZ-TV (Channel 3), NBC programming/local news Mobile, Ala./Pensacola, Fla., WALA-TV (Channel 10), Fox programming/local news Mobile, Ala./Pensacola, Fla., WBPG-TV (Channel 55), WB programming New Orleans, WVUE-TV (Channel 8), Fox programming/local news Omaha, Neb., KMTV-TV (Channel 3), CBS programming/local news\n#### Orlando, Fla., WKCF-TV (Channel 18), WB programming Portland, Ore., KOIN-TV (Channel 6), CBS programming/local news Terre Haute, Ind., WTHI-TV (Channel 10), CBS programming/local news Topeka, Kan., KSNT-TV (Channel 27), NBC programming/local news Tucson, Ariz., KGUN-TV (Channel 9), ABC programming/local news Wichita, Kan., KSNW-TV (Channel 3), NBC programming/local news\n\n#### **PUBLISHING**\n\n- *Atlanta Country Sampler Cincinnati Indianapolis Monthly Los Angeles Texas Monthly*\n#### **INTERNATIONAL** Hungary, Sláger Rádió, Classic Rock/local programming Belgium, nine stations serving the Flanders region\n\n**RELATED BUSINESSES** Emmis Books Emmis Interactive RDS\n\nKTAR-AM (620), News/Talk/Sports", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM domestic radio stations serving the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television stations, award-winning regional and specialty magazines, a radio network, international radio interests, and ancillary businesses in broadcast sales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio station, WENS-FM, in July 1981. As Emmis (the Hebrew word for \"truth\") acquired more radio stations across the nation, it established a reputation for sound operations and emerged as a radio industry leader and innovator. Emmis was the first broadcast company to own toprated radio stations in both L.A. and New York, and it pioneered such concepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase of *Indianapolis Monthly*, and moved into the world of international radio in 1997, when it was awarded a license to operate a national radio network in Hungary. In 1998, Emmis expanded into television by buying six television stations in markets throughout the United States. In the last six years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement and fun, the company's culture has been repeatedly lauded by both its employees and its peers. Trade publications have regularly cited the company's leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide headquarters in Indianapolis, where the company was founded.\n\n*This annual report contains certain non-GAAP measures. For a presentation of the directly comparable GAAP measure and a reconciliation of the non-GAAP measures to the GAAP measures, see the attachment to the back of our Form 10-K in this Annual Report.*", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "#### Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, 317.266.0100.\n\n#### Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes *Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n#### Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n#### Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n#### Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n#### Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n| --- | --- | --- |\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18.00 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n#### Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe Publishing Division President\n\n#### Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh Former Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger Executive Vice President, Chief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal President and Majority Owner, LMCS, LLC\n\nPeter A. Lund Media consultant and former President of CBS Inc.\n\nGreg A. Nathanson Media consultant and former President of Fox Television Stations and Emmis Television\n\nFrank V. Sica Senior Advisor Soros Fund Management LLC\n\nLawrence B. Sorrel Managing Partner and Co-CEO Tailwind Capital Partners", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## what it has always done: outperform.\n\nIn addition, we commit ourselves to creating the best content in our markets. Our magazines routinely dominate their industry awards ceremonies – last year, *Texas Monthly* won a coveted National Magazine Award, and Emmis publications claimed more than half of the awards at the City and Regional Magazine competition. Our radio stations feature some of the industry's most popular personalities – in 2003, Emmis people and stations were awarded three Marconi Radio Awards. And our television operations are regularly honored by journalism organizations for their news gathering and community service. In short, we provide our markets with reliable, high-quality content – content that helps us assemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We give our teams well-developed strategies, clearly defined brands and solid products. We build bigger, better sales forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious goals and then watch our people work harder and smarter than anyone else.\n\nWe also seize the right opportunities and make the most of them. As the cost of buying radio properties has gone through the roof, we have been careful about buying. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a tremendous heritage and a great culture, all with an opportunity for growth. And we've already built on that group's track record – since we bought them, we've reformatted one station and quickly sent it to No. 1 in the market, and we've pushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio company, become the company to emulate in TV? Because we approached TV in a way it's never been approached before. Why do we operate leading hip-hop stations in markets across the nation? Because we pioneered the concept. Why have we created a new \"Music with Class\" format in St. Louis' Red 104.1? Because we believe we see a new opportunity. We know that successful companies don't follow the pack. They lead it, and that's what we'll always do.\n\n#### **The year ahead**\n\nThat last point – innovation – is an important one, especially for the future of Emmis, because we are planning something that could change the face of American TV and once again demonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV antennas and severing broadcasters' direct link to television audiences. Since then, the cable companies—the middlemen who replaced us—have created more than $300 billion of value for themselves. However, changes in technology have given broadcasters the ability to provide the American public with the most popular TV channels, without the middlemen and at a more reasonable price.\n\nWe are developing an innovative model that will leverage that technology to get broadcast companies back into the game. I believe it has the potential to revolutionize the television industry. I also believe it will add substantial value to your investment.\n\nWe unveiled this concept at the National Association of Broadcasters meeting in April. I am proud to say that 11 other television companies joined us at that meeting to express their support for what we're calling the Broadcasters' Initiative, and more are signing on each week. Once again, Emmis has leveraged innovation to take a leading role in our industries.\n\nWe'll continue to use innovation to push us forward. Meanwhile, we'll also build and maintain the best teams, produce the best media content, outhustle and outsell our competitors, seize the best opportunities and operate this company better than any other.\n\nIn other words, you can count on Emmis to continue to do what it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\nJeffrey H. Smulyan chairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "### ®\n\nemmis communications one emmis plaza 40 monument circle indianapolis, indiana 46204", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## you can count on emmis to continue to do\n\n#### Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole – like any other CEO bragging about his company's performance – the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n#### **The best year**\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry – in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addition, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties – in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year – we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n#### **How we did it**\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best teams in our markets. We have traditionally had the top salespeople, creative and technical professionals, news staffs, managers and support staff in every city where we operate. Their peers turn to them for industry leadership, honor them with awards and copy them at every opportunity. We invest in these people, giving them industry-leading benefits packages, great opportunities and the tools they need to succeed. This has always been a hallmark of Emmis, and it won't change.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## Outperform\n\nEmmis Communications 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "# Outperform.\n\n### emmis communications 2004 abbreviated financial highlights *in thousands except where noted*\n\n| year ended Feb. 28 (29) | '00 | '01 | '02 | '03 | '04 |\n| --- | --- | --- | --- | --- | --- |\n| net revenues | 325,265 | 473,345 | 539,822 | 562,363 | 591,868 |\n| station operating income* | 125,477 | 174,213 | 185,665 | 213,112 | 220,445 |\n| station op income margin | 38.6% | 36.8% | 34.4% | 37.9% | 37.2% |\n| leverage | 2.5x | 6.8x | 9.3x | 6.5x | 6.7x |\n| | | | | | *excluding noncash compensation |\n\nradio tv publishing $600,000 $500,000 $400,000 $300,000 $200,000 $100,000 $0 00 01 02 03 04 **325,265 473,345 539,822 562,363 591,868**\n\n5 4 3 2 1 0 1% 2.7% 4.5% **INDUSTRY MARKETS EMMIS** radio division revenue growth fiscal 2004\n\nnet revenue station operating income, excluding noncash compensation\n\ntv division revenue growth calendar 2003\n\n-", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## **We must serve well to prosper – We must prosper to serve well**\n\nShenTel Service Company • Shenandoah Long Distance Company • Shenandoah Mobile Company Shenandoah Network Company • Shenandoah Telephone Company • Shenandoah Valley Leasing Company Shenandoah Cable Television Company • ShenTel Communications Company Shenandoah Personal Communications Company\n\n> PO Box 459 Edinburg, VA 22824-0459 Phone 540-984-4141 • Fax 540-984-8192 www.shentel.com", - "page_start": 59, - "page_end": 59, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "#### **Note 14. Segment Reporting**\n\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on the products and services each provides. Each segment is managed and evaluated separately because of differing technologies and marketing strategies.\n\nThe reporting segments and the nature of their activities are as follows:\n\n| Shenandoah Telecommunications Company (Holding) | Holding company, which invests in both affiliated |\n| --- | --- |\n| | and non-affiliated companies. |\n| Shenandoah Telephone Company (Telephone) | Provides both regulated and unregulated telephone |\n| | services and leases fiber optic facilities primarily |\n| | throughout the Northern Shenandoah Valley. |\n| Shenandoah Cable Television Company (CATV) | Provides cable television service in Shenandoah |\n| | County. |\n| ShenTel Service Company (ShenTel) | Provides Internet access to a multi-state region |\n| | surrounding the Northern Shenandoah Valley, hosts |\n| | Travel 511 for Virginia, and sells and services |\n| | telecommunication equipment. |\n| Shenandoah Valley Leasing Company (Leasing) | Finances purchases of telecommunications |\n| | equipment to customers of other segments. |\n| Shenandoah Mobile Company (Mobile) | Provides tower rental space in the Company's PCS |\n| | markets and paging services throughout the Northern |\n| | Shenandoah Valley. |\n| Shenandoah Long Distance Company (Long Distance) | Provides long distance services. |\n| Shenandoah Network Company (Network) | Leases interstate fiber optic facilities. |\n| ShenTel Communications Company (Shen Comm) | Provides DSL services as a CLEC operation. |\n| Shenandoah Personal Communications Company (PCS) | As a PCS Affiliate of Sprint, provides digital wireless |\n| | service to a portion of a four-state area covering the |\n| | region from Harrisburg, York and Altoona, |\n| | Pennsylvania, to Harrisonburg, Virginia. |\n\nThe accounting policies of the segments are the same as those described in the summary of significant accounting policies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties.\n\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows:\n\n| | | | | Consolidated | |\n| --- | --- | --- | --- | --- | --- |\n| Year | Holding | | Telephone | Totals | |\n| | | | (in thousands) | | |\n| 2003 | $ | (441) | $ 65 | $ | (376) |\n| 2002 | $ | (822) | $ 45 | $ | (777) |\n| 2001 | $ (1,218) | | $104 | $ (1,114) | |", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "What are the two components considered in the expected free energy?", - "target_page": 4, - "target_passage": "The former (utilitarian) objective is to realize one’s preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensa- tions (encoded as “priors over observations” in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one’s estimated state", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\n$$F[\\rho_{l},\\rho_{n}]\\ =\\ \\int\\mathrm{d}\\mathbf{r}\\Big{[}f(\\rho_{l},\\rho_{n})+\\frac{\\varepsilon_{ll}}{2}(\\nabla\\rho_{l})^{2}+\\frac{\\varepsilon_{nn}}{2}(\\nabla\\rho_{n})^{2}+\\varepsilon_{nl}(\\nabla\\rho_{n})\\cdot(\\nabla\\rho_{l})-\\mu\\rho_{l}\\Big{]},\\tag{4}$$\n\nwhere\n\n$$f(\\rho_{l},\\rho_{n})=kT[\\rho_{l}\\ln\\rho_{l}+(1-\\rho_{l})\\ln(1-\\rho_{l})]\\tag{5}$$\n \n$$+\\ kT[\\rho_{n}\\ln\\rho_{n}+(1-\\rho_{n})\\ln(1-\\rho_{n})]$$\n \n$$-\\ 2\\varepsilon_{ll}\\rho_{l}^{2}-2\\varepsilon_{nn}\\rho_{n}^{2}-4\\varepsilon_{nl}\\rho_{n}\\rho_{l}.$$\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µn = δF[ρn, ρl ]/δρn(r). In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µn = µn(r, t). We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current is j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n$$\\frac{\\partial\\rho_{n}}{\\partial t}=\\nabla\\cdot\\left[M_{n}\\rho_{n}\\nabla\\frac{\\delta F[\\rho_{n},\\rho_{l}]}{\\delta\\rho_{n}}\\right].\\tag{6}$$\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl − 0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρl is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, Vij = V (0) ij + ∆Vij , a first-order truncated expression for the free energy density of the system βfv is obtained,\n\n$$\\beta f_{v}\\lesssim\\beta f_{v}^{(0)}+\\frac{1}{2}\\beta\\sum_{i,j}\\rho_{i}\\rho_{j}\\int\\mathrm{d}\\mathbf{r}\\,g_{i j}^{(0)}(r)\\Delta V_{i j}(r)\\qquad(1)$$\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = (kBT ) −1 and ρi the concentration of species i. The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter (σi) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆Vij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g(r) = exp [gMSA(r) − 1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye H¨uckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillan-Mayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\nWe first used LPT for a two-component system (Na+ and Cl− free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2.0 mol l−1 . The minimization leads to almost constant diameters on the whole range of concentration: σ1 = 3.67 ˚A and σ2 = 4.78 ˚A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0.1 mol l−1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4.2 ˚A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.\n\nTo overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair βVeint(r) is set equal to βV eff ij (r) for distances less than 4 ˚A.\n\ntrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n$$\\widetilde{V}_{3i}^{\\rm SR}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)\\big{[}V_{1i}^{\\rm SR}+V_{2i}^{\\rm SR}\\big{]}(\\mathbf{k}),\\quad i=1,2\\tag{2a}$$\n\n$$\\widetilde{V}_{33}^{\\mathrm{SR}}(\\mathbf{k})=\\widetilde{w}(\\mathbf{k}/2)^{2}\\big[V_{11}^{\\mathrm{SR}}+V_{22}^{\\mathrm{SR}}+2V_{12}^{\\mathrm{SR}}\\big](\\mathbf{k})\\tag{2b}$$\n\nwhere we(r) is the pair probability distribution\n\n$$\\tilde{w}(\\mathbf{r})=K_{0}^{-1}e^{-\\beta\\tilde{V}_{\\rm int}(r)}\\tag{2c}$$\n\nVeint(r) is the internal part of the pair potential (see Fig. 3), and K0 is the association constant, defined as:\n\n$$K_{0}=\\int_{0}^{\\infty}\\mathrm{d}r\\,4\\pi r^{2}e^{-\\beta\\tilde{V}_{\\mathrm{int}}(r)}=0.43\\ \\mathrm{L.mol^{-1}}\\qquad(3)$$\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture βfeex v plus a correction term\n\n$$\\beta f_{v}^{\\rm ex}=\\beta\\tilde{f}_{v}^{\\rm ex}-\\tilde{\\rho}_{3}\\ln K_{0},\\tag{4}$$\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c. (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c.\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let σec be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σe3 = 4 √ 2 π σec[21].\n\nUsing these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚A for MSA3 and 3.69, 4.75 and 6.19 ˚A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l−1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:\n\n$$\\rho_{i}\\rho_{j}g_{ij}(\\mathbf{k})=\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k})\\left(1-\\delta_{ij}\\right)+\\widetilde{\\rho}_{i}\\widetilde{\\rho}_{j}\\widetilde{g}_{ij}(\\mathbf{k})$$\n \n$$+\\widetilde{\\rho}_{3}\\widetilde{w}(\\mathbf{k}/2)\\left[\\widetilde{\\rho}_{i}\\widetilde{g}_{3i}+\\widetilde{\\rho}_{j}\\widetilde{g}_{3j}\\right](\\mathbf{k})\\tag{5}$$\n \n$$+\\widetilde{\\rho}_{3}^{2}\\left[\\widetilde{w}(\\mathbf{k}/2)\\right]^{2}\\widetilde{g}_{33}(\\mathbf{k})$$", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "quantities as its target: the variational free energy (*VFE*) in the case of perception and the expected free energy (*EFE*) in the case of action. The *VFE* is the free energy associated with a given sensory observation and is resolved perceptually by updating beliefs about the environment. The *EFE* is the free energy that is expected in the future, contingent on a given policy or course of action. Choosing action policies associated with a low *EFE* lead to reducing uncertainty about the environment, as well as making preferred observations more likely.\n\n#### *2.1. POMDPs in Active Inference*\n\nIn AIF, the POMDP is one of the most common families of generative models used to make inferences about the environment. It is a Markovian discrete state-space model, where employing it means representing the environment and observations as inhabiting one among a set of possible (possibly multidimensional) states, and that the changes in these states can only depend on the system's previous state and the agent's actions. Environmental states are not directly observable, so they have to be inferred based on incoming sensory observations. In AIF for POMDPs and other generative models in general, both perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well as the learning of parameters of the generative model (see Section 2.4). Crucially, an agent's generative model does not a priori have to be isomorphic to the true environment (i.e., the data-generating process), although this will generally lead to a successful inference, and that the generative model will therefore often come to resemble the environment through learning.\n\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of parameters: **A**, **B**, **C**, **D** and **E** [1,33], see Figure 1. Together, these parametrise the agent's prior beliefs about the prior probability of different states in the environment, how states of the environment change and how they generate observations. Typically, they will be vectors, matrices or tensors; however, henceforth we denote them by their corresponding letter in bold. These make up the components needed for the agent to perform AIF.\n\n**A**, also called the *observation model*, represents the state-to-observation likelihood model. This describes how observations depend on or are generated by states of the environment. It is structured as a matrix with a column for each possible environmental state *s*, and a row for each possible observation *o*. Each column is then a categorical probability distribution over the observations that will occur given the environmental state (meaning that each column must contain non-negative values that sum to 1). If the observations are multidimensional (i.e., multiple observations are made at each time point), there is a matrix for each observation modality. If two or more states determine the observation, the likelihood model then becomes a tensor. If **A** is imprecise (i.e., the probabilities are highly entropic and evenly distributed), observations are taken to carry less information about the environment, in many cases leading to more uncertain inferences, and vice versa.\n\n**B**, also called the *transition model*, describes the state-to-state transition probabilities of environmental states *s*. **B** encodes the agent's assumptions about how the environment changes over time, depending on its actions. It has a column and a row for each environmental state *s*, where each column is a categorical probability distribution over the states the environment will take on the next time step, given the state it is currently in. If the environment is modelled as multidimensional, there will be a matrix for each environmental state factor. Additionally, there is a separate matrix for each possible action (making each factor in **B** a tensor). This means that for every factor in the model, there may be one or more actions that pick out the appropriate slice of the tensor. Action therefore allows the agent to predict that the environment (and the corresponding observations) will change differently depending on the actions that it chooses. If **B** is imprecise (i.e., highly entropic),", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina1,2,3 , ∗ Jean-Fran¸cois Dufrˆeche1,2,3 , † Mathieu\n\nSalanne1,2 , Olivier Bernard1,2 , Marie Jardat1,2 , and Pierre Turq1,2\n\n1 UPMC-Universit´e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n\nUMR 5257 CEA–CNRS–Universit´e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C`eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, H¨uckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8–11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from molecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.\n\nThe first stage consists in calculating the McMillan-Mayer effective ion-ion interaction potentials V eff ij (r), by inverting the radial distribution functions (RDF) gij (r) obtained by MD. The simulations were carried out on a box of 2000 water molecules and 48 NaCl pairs using the same interaction potentials as in reference [16]. This setup corresponds to a concentration of 0.64 mol l−1 . NPT ensemble sampling at standard pressure and temperature was enforced, with a time step of 1 fs and a pressure bath coupling constant of 1 ps. An equilibration run of 0.25 ns was followed by a production run of 0.6 ns for five different initial configurations. The averages of the resulting RDF were then used for the potential inversion via the HNC closure [15]. These effective potentials are assumed to be concentration independent and will be used for simulations at all concentrations.\n\nSubtracting the long-range Coulombic potential V LR ij (r) (which depends on the dielectric constant of the solvent) from V eff ij (r), we obtain the short-range contribution V SR ij (r) to the effective potentials. These are given in Fig. 1 (species 1 and 2 refer to Na+ and Cl− free ions, respectively). All the short-range potentials exhibit oscillations corresponding to the solvent layering between the ions, but this effect is particularly important for the cation-anion interaction: a considerable potential barrier (& 2kBT ) separates the first two attractive wells. To serve as a reference, Monte Carlo (MC) simulations were performed with these effective potentials; a comparison between MD and MC RDF is also provided in Fig. 1. The excellent agreement between both sets of RDF validates the HNC inversion procedure [17], and allows us to com-\n\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3\n\nInstitut de Chimie S´eparative de Marcoule (ICSM),\n\n∗Electronic address: john.molina@etu.upmc.fr\n\n†Electronic address: jean-francois.dufreche@upmc.fr", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than kBT . In addition, the perturbation term of the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l−1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13, 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives, edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1–66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109, 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9, 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96, 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110, 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52, 3730 (1995).\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100, 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359, 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65, 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties, vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88, 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101, 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n### A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l. The resulting three possible states of a cell are: liquid (l = 1, n = 0), nanoparticle (l = 0, n = 1), and vapour (l = 0, n = 0, i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\n$$E\\,=\\,-\\frac{\\varepsilon_{nn}}{2}\\sum_{}n_{i}n_{j}\\,-\\,\\frac{\\varepsilon_{nl}}{2}\\sum_{}n_{i}l_{j}\\,-\\,\\frac{\\varepsilon_{ll}}{2}\\sum_{}l_{i}l_{j}\\,-\\,\\mu\\sum_{i}l_{i}\\tag{3}$$\n\nwhere P denotes a sum over nearest neighbour pairs and εll, εnn and εnl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters εll, εnn, εnl and the effective chemical potential µ determines the equilibrium state of the system. We choose εll as unit of energy – i.e. we set εll = 1.\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n### B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities ρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl , ρn], and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "Figure 4.28. Contribution of Components to Lateral Stability", - "page_start": 314, - "page_end": 314, - "source_file": "00-80T-80.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2×105 measurements, taken after discarding up to 5×104 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed21, as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1×103 for the single simulation, and between 1 and 5×104 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l:\n\n$$m_{l}=\\sqrt{(m_{l}^{x})^{2}+(m_{l}^{y})^{2}}\\;\\;,\\qquad\\qquad(2)$$\n\nwhich is related to the SO(2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\n$$M=\\frac{1}{n}\\sum_{l=1}^{n}m_{l}\\,.\\eqno(3)$$\n\nTurning to the helical order, which is the relevant quantity for the Z2 × SO(2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter1,2\n\n$$\\kappa=\\frac{1}{4(n-1)L^{2}\\sin Q_{z}}\\sum_{\\langle ij\\rangle}\\left[S_{i}^{x}S_{j}^{y}-S_{i}^{y}S_{j}^{x}\\right]\\,,\\tag{4}$$\n\nwhere the sum refers to spins belonging to NN layers i and j, respectively, while Qz is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\n$$M_{H M}=\\frac{1}{K}\\int_{0}^{\\pi}d q_{z}S(\\vec{q})\\qquad\\qquad(5)$$\n\nwhere S(~q), with ~q = (0, 0, qz), is the structure factor24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Qz\n\nFIG. 2: (color online) Specific heat cv per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of cv vs. L obtained through MH technique. The continuum red line is a power law fit.\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs.14,15, where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S(~q) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\n$$c_{v}=nL^{2}\\beta^{2}\\left(\\langle e^{2}\\rangle-\\langle e\\rangle^{2}\\right)\\,,\\tag{6}$$\n\n$$\\chi_{o}=nL^{2}\\beta\\left(\\langle o^{2}\\rangle-\\langle o\\rangle^{2}\\right)\\,,\\tag{7}$$\n\n$$\\partial_{\\beta}o\\ =\\ n L^{2}\\left(\\langle o e\\rangle-\\langle o\\rangle\\langle e\\rangle\\right)\\,,\\qquad\\qquad(8)$$\n\n$$u_{4}(o)=1-\\frac{\\langle o^{4}\\rangle}{3\\langle o^{2}\\rangle^{2}}\\,,\\tag{9}$$\n\nwhere β = 1/kBT , and o is one of the relevant observables, i.e. ml , M, κ, MHM . In this paper, we shall mainly locate the critical temperature by looking at the intersection of the graphs of the Binder cumulant25, Eq. (9), as a function of T obtained at different L. For clarity reasons, we introduce also the following symbols: by TN (n) we will denote the helical/fan phase transition temperature for thickness n, TC(n) will instead indicate the ordering temperature of the sample as deduced by looking at the behaviour of the average order parameter (3), while T l C(n) will be the l-th plane transition temperature related to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "How could the heart rate be estimated by means of an active inference paradigm?", - "target_page": 6, - "target_passage": "The second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The for- mer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor- mal” heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likeli- hood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Figure 2. A simplifed example of (Bayesian) inference of one's heart rate. First panel: simulated time series of heartbeat observations. Second panel: Shannon surprise of a generative model composed of a fxed prior about heart rate (a Gaussian with a mean of 67 and a precision of 0.11) and a likelihood (a Gaussian centered on the current heart rate with an additional bias of 15 pulses, with various precisions that vary between 0.47 and 10, see the legend). Third panel: Bayesian surprise, which measures the discrepancy between posterior and prior probabilities over time. Bottom panels: the two series of panels are organized in two (left and right) columns, which show the frst fve time steps of inference for the two cases with high precision (of 10) and low precision (of 0.1) of the likelihood, respectively. See the main text for an explanation and online article for colored version of this fgure.\n\nthe current model generate signifcant surprise, and sometimes, the surprise can remain relatively high for long periods before the model adapts (or the world changes), especially with some parameterizations of the generative model. This is particularly relevant in this context since active inference agents strive to minimize their surprise (and the long-term average of surprise, entropy, which is a measure of uncertainty) by changing their model, or changing the world, or both.\n\nSecond, these examples illustrate the importance of precision control and the appropriate setting of precision parameters in guiding inference. Remarkably, the inference can be more or less accurate or fast using the same data, depending on the precision parameters. Note that in Fig. 2, we manipulated only the precision of the likelihood. However, it would also be possible to manipulate the precision of the prior, together or in alternative to the precision of the likelihood. Generally speaking, when the precision of the", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed1.pdf" - }, - { - "text": "*Article*\n\n# **Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer 1,† , Jonathan Ehrenreich Laursen 1,† , Conor Heins 2,3,* , Karl Friston 3,4 , Christoph Mathys 5 and Peter Thestrup Waade 5**\n\n- 1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; 202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n- 2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n- 3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n- 4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n- 5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); ptw@cas.au.dk (P.T.W.)\n- ***** Correspondence: cheins@ab.mpg.de\n- † These authors contributed equally to this work.\n\n**Abstract:** We introduce a new software package for the Julia programming language, the library ActiveInference.jl. To make active inference agents with Partially Observable Markov Decision Process (POMDP) generative models available to the growing research community using Julia, we re-implemented the pymdp library for Python. ActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive and behavioural modelling, as it is used in computational psychiatry, cognitive science and neuroscience. This means that POMDP active inference models can now be easily fit to empirically observed behaviour using sampling, as well as variational methods. In this article, we show how ActiveInference.jl makes building POMDP active inference models straightforward, and how it enables researchers to use them for simulation, as well as fitting them to data or performing a model comparison.\n\n**Keywords:** active inference; free energy principle; predictive processing; Markov decision process; cognitive modelling; Julia\n\n**PACS:** 87.15.Aa\n\n**MSC:** 91-08\n\n**JEL Classification:** C63\n\n## **1. Introduction**\n\nWe introduce a novel software library for Julia, ActiveInference, which lets users produce the simulated behaviour of agents and their internal belief states with active inference (AIF) models, as well as fit such models to empirically observed behaviour. AIF [1–3] is a generally applicable formal framework for understanding and simulating intelligent behaviour that is based in neurobiology and first principles from statistical physics [4–8]. AIF treats action and perception as unified under a joint imperative: to minimise the variational free energy (*VFE*), which quantifies how well the agent's internal generative model explains incoming sensory observations. It is an upper bound on the the surprise from sensory observations, making AIF formally related to prediction error\n\nAcademic Editor: Astero Provata\n\nReceived: 25 October 2024 Revised: 2 January 2025 Accepted: 7 January 2025 Published: 12 January 2025\n\n**Citation:** Nehrer, S.W.; Ehrenreich Laursen, J.; Heins, C.; Friston, K.; Mathys, C.; Thestrup Waade, P. Introducing ActiveInference.jl: A Julia Library for Simulation and Parameter Estimation with Active Inference Models. *Entropy* **2025**, *27*, 62. https://doi.org/10.3390/e27010062\n\n**Copyright:** © 2025 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https://creativecommons.org/ licenses/by/4.0/).", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "participants processed faces expressing fear (but not neutral faces or faces expressing other emotions) when their heart rate was high—hence congruent with the fearful expression (Pezzulo et al. 2018, Yu et al. 2021). The generative model shown in Fig. 1 could support this kind of inference by using interoceptive information from the heart (i.e. high heart rate) as evidence that \"there might be something fearful out there\" (Pezzulo 2013). Another more complex example regards emotional awareness and self-awareness—which signifcantly engage the brain regions involved in interoception and the representation of physiological processes (Garfnkel et al. 2013). The generative model shown in Fig. 1 might support processes of emotional awareness in a way that is neither purely bottom-up (i.e. as if interoceptive signals cause emotional awareness) nor top-down (i.e. as if emotional awareness causes interoceptive signals), but rather through a circular causality between central predictions about bodily state that engage autonomic refexes—and interoceptive streams—that update the predictions (Seth and Friston 2016). In this perspective, any representation that induces interoceptive predictions could be associated with emotional or affective content; crucially, this is also the case with some aspects of self-awareness (e.g. recognizing one's own face) that require integrating interoceptive streams with concurrent exteroceptive (e.g. visual) and proprioceptive cues. These examples illustrate that the generative model of Fig. 1 natively implements both the multisensory integration required to unite (for example) interoceptive and exteroceptive streams and the active aspects that are supposed to support emotional and self-processing—and the construction of an \"embodied self\" (i.e. the circular causality between engaging autonomic refexes and capturing the ensuing interoceptive signals).\n\nIn general, the accuracy of the inference of hidden bodily states, the \"embodied self,\" or other aspects of the model depends on the signal-to-noise ratio of the sensations and on the quality of the model. For example, it is diffcult to self-localize in a city if it is dark (low signal-to-noise ratio) or if one does not know the city well (poor model). The inference of hidden bodily and emotional states might function in an analogous manner. If the quality of the afferent interoceptive (e.g. cardiac) signals is low, or if one has a poor model of how one's body functions, then it would estimate one's bodily states such as fatigue incorrectly (which in turn would also impair its adaptive regulation of the same bodily states). Interoceptive signals could be \"too noisy\" for various reasons, which might be related to physiology, infammation, or stress. The body model can be poor in various ways, too. For example, it could poorly characterize the statistical relations between interoceptive sensations and hidden bodily states (e.g. systematically mischaracterize high heart rate as caused by hunger but not fatigue or joy).\n\nFinally, there is a third essential element that determines the accuracy of the inference: precision control. In predictive coding, the infuence of prediction errors on inference is weighted by their precision, i.e. inverse variance (pink triangles in Fig. 1). This weighting would ensure that very reliable sensations have more impact on inference than unreliable sensations. However, precision (like all other variables) needs to be estimated, but this might be incorrect. An incorrect setting of precisions has been associated with various psychopathological conditions, such as psychosis (Adams et al. 2013), eating disorders (Barca and Pezzulo 2020), panic disorders (Maisto et al. 2021), symptom perception (Pezzulo et al. 2019), depression (Barrett et al. 2016), and many others (Khalsa et al. 2018, Paulus et al. 2019). Intuitively, assigning excessively high weight to noisy sensations yields an incorrect inference that tracks the noise rather than the correct state of the estimated variable system (i.e. overftting), whereas assigning excessively low weight to sensations (or excessively high weight to prior knowledge) makes the system poorly responsive to incoming observations that might signal a change in the state of the system—and both are examples of aberrant inference (Friston et al. 2014).\n\nFigure 2 provides a formal illustration of the above by plotting some examples of Bayesian inference using generative models under various levels of precision of the model components. For simplicity, we focus on a simplifed example of inference of an interoceptive variable: one's heart rate. Heart rate is a \"hidden variable\" in Bayesian parlance since it is not directly observable but needs to be inferred through two sources of information: prior knowledge about the most likely heart rate and sensory (heartbeat) observations. The top panel of Fig. 2 shows a series of (noisy) heartbeat observations. In the beginning, they are in the normal range for an adult (time steps 1–10), then they increase signifcantly, simulating tachycardia (time steps 11–20), then they go back to the normal range (time steps 21–30), then they decrease signifcantly, simulating bradycardia (time steps 31–40), and fnally, they go back to the normal range (time steps 41–50).\n\nThe second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The former component is the prior, which encodes the person's a priori probabilistic belief (i.e. probability distribution) about her \"normal\" heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likelihood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals. The results shown in the second panel of Fig. 2 show that Shannon surprise increases dramatically during episodes of tachycardia and bradycardia, which are far from the normal range. The pattern of results is the same across all levels of likelihood precision. However, the inference with a very high precision (a precision of 10) tracks more closely the noise sensory signals and can therefore lead to more extreme results.\n\nThe third panel shows the Bayesian surprise (or the Kullback-Leibler divergence between posterior and prior probability distributions) over time. This is a measure of how much dissimilar the posterior and the prior are, and it always decreases as a result of inference, but note that it decreases much more rapidly when the precision of the likelihood is 10, which is another indication that the posterior is \"overftting,\" meaning that the inference result is excessively biased by the likelihood distribution.\n\nFinally, the two bottom series of panels are organized in two (left and right) columns, which show the frst fve time steps of inference for the two cases with high precision (of 10) and low precision (of 0.1) of the likelihood, respectively. In these plots, the prior distributions are in blue, the posterior distributions are in green, and the likelihoods are in red. It is possible to note that in the left (high precision) panels, the posterior inference closely follows the likelihood (it \"overfts\") after fve time steps and the inferred heart rate is slightly biased (i.e. it is 79). Differently, in the right (low precision) panels, the inference converges much slower to a high precision posterior, but without overftting.\n\nThese simple examples of Bayesian inference illustrate two things. First, sensory observations that are unpredictable given", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed1.pdf" - }, - { - "text": "| Core Concepts | |\n| --- | --- |\n| AIF | Active inference is a formal framework for modelling behaviour and cog |\n| | nition. Perception and action are cast as minimising free energy—the VFE |\n| | and EFE, respectively—given a generative model of the environment. |\n| VFE | The variational free energy F quantifies how well a generative model |\n| | explains incoming sensory observations. It can be rewritten as the negative |\n| | log model evidence (called surprise) upper-bounded by the divergence |\n| | from the optimal posterior p(s o). Perception as inference is accomplished |\n| | by selecting the approximate posterior q(s) with the lowest associated |\n| | VFE. |\n| | F[q(s), o] ≜ DKL[q(s)∥p(o,s)] = DKL[q(s)∥p(s o)] − ln p(o) |\n| | {z } {z } Divergence Surprise |\n| EFE | The expected free energy G quantifies the expected future free energy |\n| | under an action policy π. It consists of an information gain term and a |\n| | pragmatic value term that provide a natural balance between exploratory |\n| | and goal-seeking behaviour. Action as inference is accomplished by select |\n| | ing the action policy with the lowest associated EFE. |\n| | = − Eq(o˜,s˜ π) [ln q(s˜ o˜, π) − ln q(s˜ π)] − Eq(o˜ π) [ln p(o˜ C)] Gπ |\n| | {z } {z } Information gain Pragmatic value |\n| Generative | The generative model is an agent's formal assumptions about the structure |\n| model | and dynamics of its environment, based on which perceptual and active |\n| | inferences are carried out. Many types of generative models exist that are |\n| | suitable for different environments and tasks. |\n| POMDP | The Partially Observable Markov Decision Process is a type of flexible |\n| | generative model that is widely used in the AIF literature. In discrete time |\n| | and usually a discrete state space, this model type is parametrised to fit a |\n| | given task by a set matrices containing probability distributions. |\n\n## **2. Active Inference with POMDPs**\n\nIn this section, we briefly describe the core concepts of AIF and POMDPs. This should familiarise the reader with the vernacular used in the later sections regarding the functionalities of the package. While various extensions, such as structure learning, which enables an agent to learn the structure or shape of its environment through model comparison [44–47], or hierarchical and temporally deep POMDPs [48,49], are relevant for future work, describing these in detail is beyond the scope of this foundational paper.\n\nAt the core of AIF lies the minimisation of a variational free energy upper bound on surprise for perception, as well as action. This is motivated by the free energy principle [4–8], which states that self-organising systems can be described as minimising the variational free energy of their sensory states. The minimisation of free energy generally takes two", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## Discussion\n\nCurrent theories of predictive processing and active inference assume that, to steer adaptive perception and action, the brain forms internal generative models of the environment and of the body within it. Various studies reveal that the brain has rich models of the body; for example, it integrates somatosensory and proprioceptive information into a coherent representation of things like body size and limb position—i.e. a \"body schema.\" More recently, this model-based perspective has been extended to interoception—and the rich sensations we constantly receive from the internal body. Theories of interoceptive processing propose that the brain continuously estimates key bodily and homeostatic variables, such as thirst or fatigue levels, perhaps forming something like an \"interoceptive schema.\"\n\nA key reason for forming bodily or interoceptive models is that they permit us to exert accurate control over the variety of signals (e.g. somatosensory and interoceptive) that the body produces. Forming an accurate body schema is prominent for motor control, whereas modeling interoceptive variables (e.g. thirst) is key to keeping them under control by engaging autonomic refexes (e.g. vasodilation) and allostatic or goal-directed actions (e.g. drinking) when they have incorrect values. The generative modeling perspective can also be extended hierarchically to consider richer models of multimodal experiences and \"embodied self\" that persists in time and anchors our experiences, permitting us to select adaptive courses of action to achieve our favorite goals.\n\nWhile it seems obvious that controlling bodily variables and achieving goals are crucial for survival, this perspective poses a fundamental challenge. In control theory and active inference, \"controlling\" the body ensures that the body generates the preferred outcomes with high (hedonic or pragmatic) value, e.g. safe levels for thirst and fatigue. This idea applies naturally to many of our activities that pursue some form of biologically adaptive function or well-being, such as ensuring that we keep our bodies healthy and consume good food (Sterling and Eyer 1988, Sterling 2012). However, it fails to explain why we engage in some activities that are apparently maladaptive and contradict our primary biological imperative to ensure body health. Perhaps the most puzzling examples are pathological behaviors (e.g. non-suicidal self-harm or starvation), which are common across psychopathological conditions. In these cases, the control exerted over the body and its sensations might serve the purpose of generating outcomes with high (hedonic or pragmatic) values that nevertheless run against our homeostatic and survival imperatives (e.g. pain and excessive levels of hunger).\n\nIn this article, we started with formal accounts of brain processing based on active inference to discuss the mechanisms and functional purpose of the (apparently) maladaptive ways to \"control the body\" that arise in these and other psychopathological behaviors. We frst discussed how we build models of the world, of our bodily and interoceptive processes, of our emotions, and of the embodied self, which provides a sense of understanding of reality and affords adaptive control at many levels, from the allostatic regulation of our physiological states to the achievement of our individual and social goals. Then, we discussed under which conditions we can become highly uncertain about our current state and the future course of action. These conditions include both contextual factors (e.g. periods of noteworthy changes or stress) and factors related to the person's internal models (e.g. poor models in which precision parameters are incorrectly set). We next turned to active inference and discussed how reducing uncertainty (not just maximizing utility) is a key imperative in this framework. This implies that an active inference agent can sometimes privilege uncertainty minimization over utility maximization. In extreme conditions, such as when interoceptive uncertainty is excessive or diffcult to reduce, a person could develop maladaptive strategies to deal with it, such as acting on the body to produce interoceptive sensations of pain or starvation that reduce interoceptive uncertainty.\n\nThe centrality of physiological processes and bodily information for the sense of self has been widely discussed by interoceptive research (Seth et al. 2012, Quigley et al. 2021). Here, in continuity with previous works (Barca and Pezzulo 2020), we suggest that (i) some pathological behaviors—that \"act on the body\" in maladaptive ways—might be considered as strategies for modifying internal models and the sense of self when it is defcient, through bodily sensations and (ii) the sense of self can be defcient when bodily information is uncertain, and this can happen not only in clinical conditions but also during pivotal periods of developmental transition, e.g. in adolescence.\n\nThe theoretical perspective offered here leaves several important questions unaddressed. First, even if uncertainty reduction might be a central drive in self-injury behaviors, it is unclear what kinds of uncertainty (if any) specifcally trigger the paradoxical behaviors. It may be only the uncertainty at deep hierarchical levels (e.g. at the level of self-models) that promotes paradoxical behaviors. Alternatively, it could be possible that it is not so much the kind of uncertainty that matters but somewhat its associated distress, which in turn could be amplifed by conditions like the intolerance of uncertainty. While these and alternative hypotheses remain to be tested in future research, they might in the future lead to novel tailored interventions. Current reviews of NSSI interventions (see, e.g. Turner et al. 2014, Witt et al. 2021) outline the various treatments currently available (e.g. psychological and psychosocial interventions, pharmacological treatments, and a combination of both), but underline the need for further data on their effectiveness. The use of formal models of brain function to characterize the mechanisms of psychopathology (Friston et al. 2014, Stephan and Mathys 2014) might help conceptualize dysfunctional behaviors in operationalizable terms. In this vein, one might delineate interventions aimed at reducing the uncertainty of self-models by starting from the bodily self and the defnition of self-other boundaries (if these turn out to be the critical aspects for the patient). In this endeavor, techniques such as virtual reality and robotics might help elucidate which levels of the multisensory integration process of the bodily self might be compromised (Dieguez and Lopez 2017, Tsakiris 2017, Serino et al. 2018). Virtual reality along with role-playing sessions and the use of avatars are increasingly considered effective tools for the training of clinicians who deal with individuals engaging in NSSI (Taliaferro et al. 2023). It remains to be tested whether the use of virtual reality or similar interventions—and the defnition of contexts and tasks aimed at reducing the uncertainty of the bodily self—might also be viable for individuals engaging in NSSI.\n\nSecond, in this paper, we have mainly focused on uncertainty reduction, but as we reviewed earlier, there are other alternative (or complementary) perspectives on the genesis of NSSI that considers elements such as affective regulation. In addition to the studies discussed earlier, other insights into the pathological mechanisms that might underlie NSSI come from the analysis of clinical populations. For example, dysregulations of the", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed1.pdf" - }, - { - "text": "- 14. Schwartenbeck, P.; Friston, K. Computational Phenotyping in Psychiatry: A Worked Example. *eNeuro* **2016**, *3*, ENEURO.0049- 16.2016. [CrossRef]\n- 15. Albarracin, M.; Demekas, D.; Ramstead, M.J.D.; Heins, C. 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These various extensions could provide valuable tools for using AIF models in both theoretical and applied research.\n\n**Author Contributions:** Conceptualisation, S.W.N., J.E.L. and P.T.W.; methodology, S.W.N., J.E.L. and P.T.W.; software, S.W.N., J.E.L. and P.T.W.; formal analysis, S.W.N. and J.E.L.; writing—original draft preparation, S.W.N. and J.E.L.; writing—review and editing, C.H., K.F., C.M. and P.T.W.; visualisation, S.W.N. and J.E.L.; supervision, C.M. and P.T.W.; project administration, P.T.W. All authors read and agreed to the published version of this manuscript.\n\n**Funding:** C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFF-E-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439).\n\n**Institutional Review Board Statement:** Not applicable.\n\n**Informed Consent Statement:** Not applicable.\n\n**Data Availability Statement:** The original data presented in this study are openly available in ActiveInferenceJuliaPaper at URL: https://osf.io/j3k5q/.\n\n**Conflicts of Interest:** The authors declare no conflicts of interest. The funders had no role in the design of this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or in the decision to publish the results.\n\n## **Abbreviations**\n\nThe following abbreviations are used in this manuscript:\n\n| AIF | Active inference |\n| --- | --- |\n| FEP | Free energy principle |\n| VFE | Variational free energy |\n| EFE | Expected free energy |\n| MCMC | Markov Chain Monte Carlo |\n| POMDP | Partially Observed Markov Decision Process |\n\n## **References**\n\n- 1. 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A free energy principle for a particular physics. *arXiv* **2019**, arXiv:1906.10184. [CrossRef]\n- 8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but not too simple. *Phys. Rep.* **2023**, *1024*, 1–29. [CrossRef]\n- 9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. *Philos. Trans. R. Soc. B Biol. Sci.* **2009**, *364*, 1211–1221. [CrossRef] [PubMed]\n- 10. Karl, F. A Free Energy Principle for Biological Systems. *Entropy* **2012**, *14*, 2100–2121. [CrossRef]\n- 11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation, and the origins of cognition. *Biol. Philos.* **2020**, *35*, 32. [CrossRef]\n- 12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. *Proc. Natl. Acad. Sci. USA* **2024**, *121*, e2320239121. [CrossRef] [PubMed]\n- 13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in Personality, Development, and Mental Illness. *Personal. Neurosci.* **2018**, *1*, e18. [CrossRef] [PubMed]", - "page_start": 29, - "page_end": 29, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "ing the temporal dynamics of belief changes in experimental participants. Dynamic belief trajectories can then be related to other (for example, physiological) measures, as is usual in model-based neuroscience [65]. This method can also, in principle, be used for fitting models to other types of experimentally observable systems, like animals, organoids [66], and simulated or emergent systems [67]. The package can also be used for agent-based modelling in general, for repeating earlier analyses with sampling based model-fitting and for comparing POMDP-based AIF models directly to other types of models.\n\nSince they implement full approximate Bayesian inferences, AIF models are computationally more demanding than many approaches traditionally used in cognitive and agent-based modelling, in particular when the dimensionality of the generative model is large. This means that models with highly multidimensional or complex behaviour and large numbers of agents can be computationally infeasible to implement, especially given the additional computational demands introduced by fitting these models to empirical data. Avenues for addressing this implicit scaling problem were proposed in the context of machine learning applications [68,69], and with the use of simplifying assumptions—the use of which are ubiquitous in computational modelling—AIF has been used to model multi-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and fish school movements [12]. It remains to be explored how AIF models can be applied to highly complex natural phenomena, such as a concrete election, which underscores the need for efficient but flexible and accessible software tools in the field.\n\nThere are many ways in which ActiveInference can be improved. It would be useful to extend the set of dynamic belief states to include prediction errors since they are often used for model-based neuroscience. This would entail departing from discrete state-space (i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering or predictive coding (see below). An alternative would be to generate prediction errors from belief updating under discrete models, where prediction errors can be read as the (KL) divergence between posterior and prior beliefs (i.e., complexity or information gain). A simple interface could be added for creating custom parametrisations of the requisite parameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed to Dirichlet distributions. Parameter learning could be extended to all generative model parameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or temperature of the parameters that are learned); similarly for the precision over expected free energies *γ*. Preference priors should also be implementable for environmental states, in addition to observations, and **A** can be made action dependent.\n\nA library of pre-made canonical POMDP models could be created so that users can easily implement them directly. Alternatives to the fixed-point iteration method for updating posteriors over environmental states could be included, like the marginal message passing algorithm. There are various ways in which the package can be made more computationally efficient, and it could be compared with other software implementations. There are plenty of utility and plotting functions that could be added to the package to make it easier to use and to facilitate integration with the model-fitting packages it relies on; for example, to allow for combining the models with linear regressions to compare parameters values of different populations in a single model. More complex types of POMDP models can also be added, like hierarchical and temporally deep POMDPs. Model structure learning could be considered, where different model structures are compared and chosen between by evaluating their free energies. Sophisticated inference, where predictions are also made about changes in one's own beliefs—depending on expected action-dependent observations in the future—could also be implemented [58]. Finally, the package could be extended to other types of generative models than POMDPs, including other universal models, like generalised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "prior is very high, the posterior will closely refect the prior, rendering the inference rigid and incapable of adapting to changing environmental conditions—which might be especially problematic in periods of signifcant changes, such as adolescence or more simply when one changes city, working environment, and friends. Furthermore, as shown in Fig. 1, hierarchical predictive coding architectures have precision values associated with every hierarchical level (whereas, for simplicity, the inference shown in Fig. 2 is not hierarchical). The correct balance of precision parameters within and across layers is crucial for accurate inference, as it ensures that the correct levels of confdence are assigned to data and prior information.\n\nFinally, and importantly, aberrant precision control (as well as various combinations of other factors discussed earlier, such as noisy bodily sensations and poor bodily mode) can render inference not just incorrect but also highly ambiguous, leaving a person in a permanent condition of uncertainty about whether one is fatigued (when considering the bodily state), happy, or sad (when considering the emotional state), what kind of person one is or what are one's desires (when considering self-models), etc. Importantly, this condition of uncertainty is not limited to perceptual inference but has a cascade effect on decision-making and action selection. Indeed, an uncertain estimate of one's state automatically implies that one has low confdence in the effects of one's plans; for example, it renders more diffcult the prediction of whether a run would be too fatiguing or a party too stressful. It is exactly this kind of uncertainty (about the present and the future, the body state or the outcomes of social interactions, etc.) that active inference agents strive to avoid.\n\n#### **Avoiding excessive uncertainty in maladaptive ways**\n\nOur previous discussion clarifed that active inference agents have sophisticated (hierarchically deep, temporally extended) models of themselves that permit making inferences at multiple levels about hidden bodily states (which comprise both the classical \"body schema\" and other states that are relevant for allostasis, such as hunger, thirst, and fatigue) and other states related to the emotional and embodied self. These models are essential for ensuring effective regulation and control at multiple levels, from simple refexes to sophisticated goal-directed behaviors (Tschantz et al. 2022). However, in some cases, the aforementioned inferential process might not work properly (e.g. if the sensory channels are too noisy or are assigned excessively high or low precision). As a consequence, a person could experience an excessive or irreducible uncertainty about her bodily and emotional states or about the self, which in turn translates into a loss of confdence about which future courses of action could produce desired outcomes. Crucially, active inference agents follow the imperative to avoid such an uncertainty about the present or the future. Normally, uncertainty minimization strategies are adaptive (e.g. seeking advice if one is uncertain about the direction of the preferred restaurant). However, in some conditions, such as when a person experiences excessive and irreducible uncertainty and when the uncertainty is particularly distressing or related to fundamental life concerns, she might potentially seek \"maladaptive\" ways to reduce it—or methods that reduce uncertainty at the cost of hindering fundamental imperatives of well-being and survival (see also Linson et al. 2020).\n\nIn this perspective, apparently paradoxical actions, such as food restriction and self-injurious behaviors, might be pursued because they could contribute to reducing the (otherwise unmanageable) uncertainty about bodily and emotional states or the self. In other words, in some conditions, the self-injuring pain could be more than compensated by the information gain—and the possibility to generate precise sensations about one's bodily state. By harming the body, we turn it into a very precise source of sensations that relieves us from excessive uncertainty about the present state and the future course of action. Our (simple) example, therefore, illustrates a possible way paradoxical actions could be pursued by active inference agents who endure to minimize their uncertainty. While self-injuries and other similar behaviors are maladaptive in the sense of reducing the ftness of an organism, they can still emerge as a result of a correct inference that tries to minimize the uncertainty of one's model of the body and the self. This case could particularly ft when some of the (precision) parameters of one's model of the body and the self are not appropriately tuned (Fig. 2), producing excessive levels of uncertainty.\n\nHaving said this, the idea that NSSI behaviors could refect the imperative to minimize uncertainty is not at odds but complementary to the idea that these behaviors might also be motivated by reward achievement (remember that in active inference, both uncertainty minimization and utility maximization can be in play simultaneously). While NSSI behaviors are associated with a variety of adverse outcomes, such as negative emotions and distress (Klonsky et al. 2003), they can also have paradoxically positive effects by providing a way to relieve or distract from other sources of emotional distress and negative affect (Nock and Prinstein 2004, Chapman et al. 2006, Bresin and Gordon 2013, Selby et al. 2019). The hedonic effect of NSSI behaviors might be further magnifed by poor models of one's body and the self, as suggested by evidence that children who engage in NSSI show aberrant responsiveness to rewards (Tsypes et al. 2018). Finally, NSSI behaviors have habitual components, which might contribute to their selection, over and above consideration of utility maximization or uncertainty reduction (Magerl et al. 2012). This body of evidence suggests that if uncertainty minimization is a driver of NSSI behaviors, as suggested here, it could work in concert with other drivers (reward achievement and habit), in ways that are still poorly understood.\n\nFocusing on uncertainty minimization as a possible factor contributing to NSSI behaviors might also help understand the prevalence of NSSI during adolescence. As discussed earlier, people in adolescence experience signifcant changes at many levels from bodily states such as body size to interoceptive and hormonal processes to affective states and the self. As illustrated in Fig. 2, rapid changes (as in the cases of simulated tachycardia and bradycardia) determine high levels of surprise and uncertainty that, in some cases, remain elevated, either because some of the precision parameters that afford model updates are set incorrectly or simply because readapting internal models of the body and the self takes time. In periods of rapid changes, such as adolescence or after very surprising events, there might be a (temporary) misalignment between the predictions of the (outdated) internal model and the incoming sensations. For example, during adolescence, one might use an outdated model that predicts the usual affective states during a party and fail to contextualize novel sensations (e.g. unexpected feelings or interoceptive signals when meeting somebody), hence experiencing high levels of uncertainty. Thus, failing to reduce this uncertainty and achieve a coherent model of oneself could be particularly distressing.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "At what stage of childhood does the construction of narrative identity take place?", - "target_page": 3, - "target_passage": "Among the challenges that adolescents have to face are the structuring of a “narrative identity” or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "reciprocity with caregivers and peers. Thus, in parallel to the negotiation of identity with caregivers (through a relative detachment from them, a renegotiation of intimacy, and the questioning of their confrmatory authority), the modifcations of friendship structures—from childhood to adolescence—lay the ground for the progressive recognition of social contexts and peer relationships as the elite territories for the modulation and exploration of personal identity. The redefnition that the adolescent has to face in these territories of exploration (of the self as an individual separated from the other and of the self with the other) might pass through a phase of reduced coherence in the narration of the self and hence an increased level of uncertainty. Coherence in the self's narrative is considered a measure of well-being and has been associated with psychopathology in adulthood (Klimstra and Denissen 2017) and adolescence (Lind et al. 2020, Shiner et al. 2021). For example, narrative incoherence has been found to be associated with personality disorders in adolescents (Lind et al. 2019), where \"identity diffusion\" (e.g. feelings of emptiness and being fragmented and lack of a sense of continuity over time) might be considered an expression of high levels of uncertainty of the self.\n\nEmotion-wise, a developmental trend toward an increased specifcity of emotion-related maps of bodily sensations (Barca et al. 2023)—a proxy of interoceptive representations of emotions—has been reported from children aged 6 years to adulthood (Hietanen et al. 2016). Pubertal changes encompass dramatic bodily and neuroendocrine system changes, comprising—but not reduced to—changes in the reproductive, adrenal, and growth axes (Cameron 2004). Thus, adolescents might face at least four sources of uncertainty: (i) the uncertainty due to physiological alterations related to bodily changes and to modifcation in hormonal levels leading to sexual maturity; (ii) the uncertainty in selfidentity (i.e. the structure of self-awareness) and personal identity (i.e, the narrative diachronic self) (Drummond 2021), which might be coupled with changes in body image and the development of gender identity; (iii) the uncertainty in affect regulation, with the emergence of new forms of affectivity as feelings of love and sexual attraction toward a partner; and (iv) uncertainty in the social context, with respect to their social status and role expectations in the adult society. Such high levels of uncertainty might lead to a poorly defned sense of self, with unclear boundaries and a sense of emptiness. In this context, pain becomes a possible way to recover a bodily sense of self, and self-injurious behavior might be instantiated as an attempt to reduce the rise in the levels of uncertainty in these (and potentially other) domains, toward the transition to adulthood (see Miller et al. 2020 for a closely related approach on addiction).\n\n## Active inference, interoceptive processing, and uncertainty reduction\n\nActive inference is based on the idea that in order to engage in adaptive allostatic regulation and goal-directed behavior, living organisms continuously strive to minimize the surprise of their sensations or, more formally, an upper bound to surprise: variational free energy (Parr et al. 2022). Notably, the (expected) free energy minimization processes that drive active inference jointly consider two complementary objectives. The former (utilitarian) objective is to realize one's preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensations (encoded as \"priors over observations\" in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one's estimated state. This means that active inference agents tend to avoid ambiguous states, encompassing the avoidance of ambiguous places where self-localization is challenging, ambiguous social situations where safety is uncertain, and ambiguous bodily states, such as unsure feelings of fatigue. However, one apparent exception to this aversion to ambiguity arises when exploring novel states implies the opportunity to learn new things and enhance one's model; see Friston et al. (2017) for a discussion. Furthermore, and importantly, active inference agents will actively operate in the environment to reduce their ambiguity; for example, by actively seeking informative sensations that disambiguate in which location they are (e.g. by looking for traffc signs), whether their social context is safe or unsafe (e.g. by trying to understand other's intentions from their facial expressions and actions), or whether they are currently fatigued (e.g. by putting attention to one's heart), happy, or sad.\n\nThe last examples—disambiguating one's fatigue and emotional states—may seem strange if one assumes that we do have direct access to the body- and allostasis-related states (e.g. states of satiation, thirst, and fatigue) and to our emotions (e.g. we automatically know whether we are happy or sad). However, one assumption of active inference is that one's bodily and emotional states are not necessarily observable but, instead, \"hidden states\" that need to be inferred on the basis of sensations (especially, but not exclusively, of interoceptive sensations from the inside of the body) and of an implicit, unconscious model of how the body functions (Barrett and Simmons 2015, Pezzulo et al. 2015, Seth and Friston 2016). In other words, the same inferential process that allows active inference agents to estimate the hidden state of the external environment (e.g. the presence or absence of an object in the environment) is also used to estimate other hidden states, such as fatigue, happiness, or sadness. This implies that one can also be wrong, or be fooled, about these states; for example, we could experience the \"interoceptive illusion\" of feeling more fatigued than our physiological parameters would afford (Iodice et al. 2019).\n\nExtending this idea even further, one can assume that certain emotional states, as well as self-awareness and the (embodied) sense of self—and the feeling of continually being the same person—could be constructed similarly: it would be the result of an inferential process that integrates bodily sensations and other experiences over time (Gu et al. 2013, Seth 2013, Stephan et al. 2016, Barrett 2017). Figure 1 illustrates graphically this perspective by showing a (schematic) hierarchical generative model that links (exteroceptive, interoceptive, and proprioceptive) sensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger at intermediate layers, and, fnally, with temporally extended, integrative models of the emotional and embodied self at the higher hierarchical level. The hierarchical generative model recapitulates a simple predictive coding architecture, which includes various putative brain areas or networks (gray ovals) arranged hierarchically. In the schematic, networks for unimodal (exteroceptive, proprioceptive, and interoceptive) processing are situated at the lowest hierarchical level, multimodal networks are at an intermediate level, and networks for processing a persistent model of the self are at the highest level. Note that this simple schematic is not supposed to recapitulate brain anatomy but to illustrate the basic principles of hierarchical generative models and predictive coding; (for a discussion of the mapping between predictive coding networks and brain anatomy, see Parr et al. 2022). Each network includes cells encoding predictions (black nodes) and prediction errors (red nodes). These units", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "- Liotti G. Trauma, dissociation, and disorganized attachment: three strands of a single braid.. *Psychother Theory Res Pract* 2004;**41**:472–86.\n- Liotti G. A model of dissociation based on attachment theory and research. *J Trauma Dissocn* 2006;**7**:55–73.\n- Magerl W, Burkart D, Fernandez A, Schmidt LG, Treede R. 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Active inference and cognitiveemotional interactions in the brain. *Behav Brain Sci* 2015;**38**:e85.\n- Pezzulo G, Iodice P, Barca L *et al.* Increased heart rate after exercise facilitates the processing of fearful but not disgusted faces. *Sci Rep* 2018;**8**:398.\n- Pezzulo G, Maisto D, Barca L *et al.* Symptom perception from a predictive processing perspective. *Clin Psychol Eur* 2019;**1**:1–14.\n- Quigley KS, Kanoski S, Grill WM *et al.* Functions of interoception: from energy regulation to experience of the self. *Trends Neurosci* 2021;**44**:29–38.\n- Rao RP, Ballard DH. Predictive coding in the visual cortex: a functional interpretation of some extra-classical receptive-feld effects. *Nat Neurosci* 1999;**2**:79–87.\n- Reichl C, Kaess M. Self-harm in the context of borderline personality disorder. *Curr Opin Psychol* 2021;**37**:139–44.\n- Sagiv E, Gvion Y. 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An interoceptive predictive coding model of conscious presence. *Front Psychol* 2012;**2**:395.\n- Sforza A, Bufalari I, Haggard P *et al.* My face in yours: visuotactile facial stimulation infuences sense of identity. *Soc Neurosci* 2010;**5**:148–62.\n- Shiner RL, Klimstra TA, Denissen JJ *et al.* The development of narrative identity and the emergence of personality disorders in adolescence. *Curr Opin Psychol* 2021;**37**:49–53.\n\nSkegg K. Self-harm. *Lancet* 2005;**366**:1471–83.\n\n- Smith R, Feinstein JS, Kuplicki R *et al.* Perceptual insensitivity to the modulation of interoceptive signals in depression, anxiety, and substance use disorders. *Sci Rep* 2021;**11**:2108.\n- Smith R, Killgore WD, Lane RD. The structure of emotional experience and its relation to trait emotional awareness: A theoretical review.. *Emotion* 2018;**18**:670–92.\n- Smith R, Kuplicki R, Feinstein J *et al.* A Bayesian computational model reveals a failure to adapt interoceptive precision estimates across depression, anxiety, eating, and substance use disorders. *PLoS Comput Biol* 2020;**16**:e1008484.\n- Smith R, Lane RD. The neural basis of one's own conscious and unconscious emotional states. *Neurosci Biobehav Rev* 2015;**57**:1–29.\n- Smith R, Parr T, Friston KJ. Simulating emotions: an active inference model of emotional state inference and emotion concept learning. *Front Psychol* 2019;**10**:2844.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed1.pdf" - }, - { - "text": "and rephrased and asked follow-up questions to clarify and confirm the correct understanding of participants' answers.\n\nAs similar themes arose repeatedly and no new themes emerged in the final interviews, data saturation was achieved (23).\n\n#### 2.7 Analysis\n\nThe transcribed material was analyzed using systematic text condensation (STC) (30) and was organized utilizing NVivo (version 1.7.1). STC is a method for cross-case analysis inspired by phenomenology. It involves four-steps: (1) identification overall themes from the empirical material, (2) extraction of meaning units from the text which were then coded into groups, (3) condensation of all meaning units within the subgroups into an artificial quotation, that summarize and represents participants' voices, (4) recontextualization of the material into categories, presented as analytical texts. The process is iterative, resulting in continuous movement between the transcripts and within different steps of the analysis. An example of the STC process is illustrated in Figure 1.\n\nThe first author (SSHD) transcribed the interviews and read all material several times, while BN and ECA read most of the interviews before preliminary themes were agreed on. SSHD identified meaning units adhering to these themes and coded them into groups. Condensates of the subgroups were written by SSHD and discussed by all researchers. SSHD then recontextualized the material by forming categories described as analytical texts supplemented by quotes, a process that was discussed and revised several times by all authors. All authors contributed to writing the manuscript. Enactive theory was used to interpret the results, aiming at extracting new knowledge beyond what the informants had provided (28).\n\n## 3 Results\n\nParticipants were interviewed one-on-one by the first author (SSHD) in November and December 2021 (mean = 14 days postoutdoor group). The time and place of the interviews were agreed upon according to participants' preferences (undisturbed office (n = 14), participant's home (n = 1)). None dropped out. The interviews lasted between 40 and 70 min (mean = 54, total = 822) and were audio-recorded.\n\nThe results are presented as four categories summarized in Figure 2 and described below as analytic texts and illustrative quotes referenced with the participant ID and EDSS score.\n\nFIGURE 1\n\nExample of the analysis process (excerpts).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed13.pdf" - }, - { - "text": "the affectivity attributed to the others might also be perceived as vague and misinterpreted (e.g. \"Is he/she interested in me or not?\" \"Am I a person worthy of attention and love from others?\"). Bodily illusions, such as the \"rubber hand illusion\" (Suzuki et al. 2013, Crucianelli et al. 2018) and the \"enfacement illusion\" (Sforza et al. 2010, Tajadura-Jiménez et al. 2012), provide compelling evidence for the malleability of self-other boundaries as a function of bodily information and of interoceptive sensibility.\n\nDealing with these ambiguous situations could be particularly challenging and distressing for a person with no adaptive strategies to reduce uncertainty. Therefore, in these (admittedly extreme) conditions, even maladaptive strategies such as starvation that reduce uncertainty and render bodily and interoceptive stimuli more salient might become more appealing (see also Linson et al. 2020). In other words, while starvation would still be considered paradoxical—in the sense that it runs against the \"utilitarian\" imperative of ensuring well-being and survival—it might play a functional role for an organism that simultaneously tries to \"maximize utility and minimize uncertainty,\" as assumed by active inference.\n\nIn this article, we propose that NSSI and other kinds of paradoxical behaviors might also be conceptualized in similar ways, i.e. as other cases in which a person intentionally changes her bodily and interoceptive sensations, in order to reduce excessive bodily and interoceptive uncertainty (but also more broadly to modulate affective and physiological states that are otherwise dysregulated, e.g. to decrease the excessive intensity of bodily sensations in hyperarousal).\n\nIn the next sections, we frst discuss NSSI behaviors by focusing on the fact that they might occur in non-clinical individuals. We will highlight that this could be not only especially the case during adolescence—a period of life during which people experience various kinds of uncertainties (e.g. their bodies, the self, their social status, and interpersonal relationships), but also more speculatively during other periods of life associated with substantial changes and uncertainty, such as the perimenopause–menopause transition period in women. Then, in the subsequent section, we introduce the main tenets of active inference by focusing on its proposed mechanisms for interoceptive processing and uncertainty reduction. Finally, we discuss how the active inference framework might help conceptualize NSSI as a possible strategy to reduce uncertainty; for example, the uncertainty that some (non-clinical populations of) adolescents might strive to cope with during their transition to adulthood.\n\n### Paradoxical behaviors: the case of NSSI\n\n\"Self-injury behaviors\" is an umbrella term that includes a wide range of behaviors (and intentions), including suicide attempts, superfcial cuts, and medication withdrawals (Skegg 2005, Nock 2010). We focus on NSSI behaviors as the direct, deliberate destruction of body tissue without lethal intent (e.g. cutting oneself). A distinction is also made between NSSI performed stereotypically in the context of developmental disabilities (e.g. head banging) and major injuries often observed in psychotic disorders. The most frequent examples of NSSI include cutting the skin with a sharp object (e.g. a knife, razor blade, or needle) and skin burn, usually with a cigarette (Khanipour et al. 2016). Patients often injure themselves, in a single act, by inficting multiple injuries at the same body site, usually in areas that are easily hidden but accessible (e.g. forearms and anterior thighs). The behavior is often repeated, resulting in extensive scarring patterns. The age of onset of NSSI tends to be early adolescence, between 12 and 14 years of age, and the behavior appears to decline after young adulthood (Nock et al. 2009).\n\nThe phenomenology of NSSI is still elusive. It has been hypothesized that self-injury behaviors might be engaged to regulate emotions by avoiding or distracting from unwanted emotional experiences (e.g. shame) or negative beliefs about the self (Chapman et al. 2006). This \"affect regulation hypothesis\" is supported by the fndings that emotional dysregulation—such as reduced emotional clarity, problems in goal-directed behaviors, and impulse control—is common in non-clinical samples of adolescents who engage in NSSI. The probability of engaging in self-injuries appears to be positively associated with emotional dysregulation, particularly when individuals lack more adaptive strategies (e.g. reappraisal) to cope with their affectivity (Wolff et al. 2019). Likewise, self-injurers typically describe their behaviors as attempts to avoid negative cognitive (i.e. bad thoughts or memories) and affective (i.e. anxiety, sadness, and anger) states, whose elevated arousal is suggested to increase the likelihood of engaging in self-injuries (Nock and Mendes 2008b, Nock et al. 2009). The interplay between physiological hyperarousal, poor distress tolerance, and reduced problem-solving skills is thought to concur in self-injury behaviors (Nock and Prinstein 2004, Nock et al. 2006), with adolescents with a history of NSSI displaying greater changes in skin conductance and reduced tolerance to increasingly stressing conditions (Nock and Mendes 2008b).\n\nA factor that might contribute to the genesis of maladaptive behaviors—including NSSI—is the extent to which one is able to sustain the rise in the levels of uncertainty, which, broadly speaking, might occur in different domains of subjective experience (from bodily states to the possible outcomes of social interactions, to the self, and to one's personal identity). Every day, we face some kind of uncertainty, but the degree to which it might be distressing largely varies across individuals. High levels of intolerance of uncertainty, or the attitude to react negatively to uncertain situations and events (Ladouceur et al. 2000), are considered a transdiagnostic vulnerability factor across several clinical conditions such as anxiety, depression (McEvoy and Mahoney 2012), and eating disorders (Kesby et al. 2017). Recently, such \"fear for uncertainty\" has also been reported in neurotypical young adults and adolescents in relation to excessive worry (Laugesen et al. 2003, Thielsch et al. 2015) and anxiety (Osmanagaŏ glu et ̆ al. 2018). There is also evidence of a positive reciprocal association between intolerance of uncertainty and diffculties in emotion processing in adolescents and that both tend to decrease with the transition to adulthood (Lauriola et al. 2023). Crucially, NSSI is particularly prominent in adolescence; its rate in non-clinical samples of adolescence has increased alarmingly in this century, representing a serious ongoing societal health concern (Xiao et al. 2022).\n\n#### NSSI in adolescence\n\nAdolescence is the period of developmental transition from childhood to adulthood, which might be stretched up to the early 20s due to current sociocultural changes (e.g. delays in completing education, occupational attainment, and parenthood) (Patton et al. 2018). Among the challenges that adolescents have to face are the structuring of a \"narrative identity\" or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time (McAdams and McLean 2013, McLean and Lilgendahl 2019). 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Consolidated criteria for reporting qualitative research (COREQ): a 32-item checklist for interviews and focus groups. Int J Qual Health Care. (2007) 19(6):349–57. doi: 10.1093/intqhc/mzm042\n\n26. Arntzen EC, Braaten T, Fikke HK, Normann B. Feasibility of a new intervention addressing group-based balance and high-intensity training, physical activity, and employment in individuals with multiple sclerosis: a pilot randomized controlled trial. Front Rehabil Sci. (2024) 4:1–17. doi: 10.3389/fresc. 2023.1258737\n\n27. Paulgaard G. Feltarbeid i egen kultur: innenfra, utenfra eller begge deler? / fieldwork in their own culture: from within, outside or both? In: Fossaskåret E, Fuglestad OL, Aase TH, editors. Metodisk Feltarbeid. Produksjon og Tolkning av Kvalitative Data/ Methodical Fieldwork. Production and Interpretation of Qualitative Data. Oslo: Universitetsforlaget (1997). p. 70–93.\n\n28. Malterud K. Theory and interpretation in qualitative studies from general practice: why and how? Scand J Public Health. (2016) 44(2):120–9. doi: 10.1177/ 1403494815621181\n\n29. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded disability status scale (EDSS). Neurology. (1983) 33(11):1444–52. doi: 10.1212/wnl. 33.11.1444\n\n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis. Scand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030\n\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of people with multiple sclerosis participating in a social cognitive behavior change physical activity intervention. Physiother Theory Pract. (2022) 39(5):1–9. doi: 10. 1080/09593985.2022.2030828\n\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience of a flexible exercise participation program (FEPP) for individuals with multiple sclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10. 1002/pri1922\n\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V. Motor Control: Translating Research into Clinical Practice. 6th ed. Philadelphia: Wolters Kluwer Health (2023).\n\n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT: J Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011\n\n35. Di Paolo E, Cuffari E, Jaegher H. Linguistic Bodies: The Continuity between Life and Language. Cambridge: MIT press (2018).\n\n36. Colombetti G. The embodied and situated nature of moods. Philosophia (Ramat Gan). (2017) 45(4):1437–51. doi: 10.1007/s11406-017-9817-0\n\n37. Bandura A. Health promotion by social cognitive means. Health Educ Behav. (2004) 31(2):143–64. doi: 10.1177/1090198104263660\n\n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in people with multiple sclerosis: a systematic review and meta-analysis. Arch Phys Med Rehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013\n\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J. (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, benefits, safety, guidelines, and promotion. Int J Environ Res Public Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in fitness, mobility and cognition with exercise-training in MS. Acta Neurol Scand. (2019) 139 (2):183–91. doi: 10.1111/ane.13041\n\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n\n44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78. doi: 10.1080/09593985.2018.1493165\n\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract. (2015) 31(4):244–52. doi: 10.3109/ 09593985.2014.1002873\n\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol. (2017) 17(1):204. doi: 10.1186/s12883-017- 0981-4\n\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n\n48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches. 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "\"endogenous opioid system\"—involved in reward and the regulation of pain and affect—have been documented (Bresin and Gordon 2013), as low basal plasma levels of β-endorphins (which are peripherally released following tissue damage) in psychiatric patients (van der Venne et al. 2021, Cakin Memik et al. 2023). Lower salivary levels of β-endorphins have also been registered immediately before NSSI, compared to post-NSSI (Störkel et al. 2021). Thus, an imbalance in the opioid system might be a relevant component in NSSI, where self-injures might be acted to initiate the release of β-endorphins to restore homeostasis (Stanley et al. 2010, Bresin and Gordon 2013). Another line of research examined \"nociceptive dysregulation,\" with possible hypoalgesia (Kirtley et al. 2016), showing higher pain thresholds and lower pain intensity in adolescents with NSSI (Nock et al. 2006, 2009, van der Venne et al. 2021). Recent works failed to replicate these fndings but reported specifc alterations in descending inhibitory pain control (Leone et al. 2021, Lalouni et al. 2022). Despite some inconsistencies, this is an area that is worth further investigation. It remains to investigate to what extent the perspective on NSSI offered here could be extended to cover the aforementioned body of evidence and whether active inference could help integrate the different perspectives we have discussed.\n\nWe focused on adolescence as a potentially critical period for NSSI, given that it is associated with high levels of uncertainty about several central domains in human life. However, there are other (gender-related) developmental periods in which bodily changes might be coupled with increased levels of uncertainty (e.g. in physiology, in the sense of self, in the social role) and vulnerability. Pregnancy and transition to menopause, e.g. are periods of endocrine and hormonal upheavals that might impact a woman's affective life and well-being. These physiological changes are coupled with a fundamental developmental transition that requires a redefnition of personal identity and narrative integration (McLean and Lilgendahl 2019), with increased uncertainty of one's internal states and role in the social context. Taking into account the perimenopausal and menopausal transition, the physiological, psychological, and affective experiences associated with it are very heterogeneous. Some women might experience it as a new beginning, whereas for others, it may be more critical (Deeks 2003). In some cases, e.g. the menopause transition might perturb the continuity of one's sense of self, inducing discrepancies in internal self-coherence (e.g. the end of childbearing years, the aging process), which might increase the level of distress (Barca and De Marchis 2018).\n\nThe dramatic changes that a women's physiology undergoes during life have been suggested to concur with the atypical interoception often reported (e.g. heightened interoceptive attention but poor interoceptive accuracy), which might contribute to their greater vulnerability to mental illness (Murphy et al. 2019). Although this is still a speculative hypothesis that needs to be tested empirically, the effect of these transition periods on women's well-being is currently overlooked and deserves more attention.\n\nFinally, although we only focused on \"maladaptive\" strategies to modify the sense of self through bodily sensations, there are also \"adaptive\" strategies that use the body to improve the sense of self and feelings of well-being. Among these, e.g. is engaging in physical activities to reduce emotional distress. Performing physical activity concurs in the reduction in symptoms of depression and anxiety, acting on both psychological (e.g. diverting from unpleasant stimuli or increasing the sense of selfeffcacy) and physiological mechanisms (e.g. through the release of monoamines and endorphins), which seem to alleviate distressing emotions (see for a review Paluska and Schwenk 2000). The relationship between well-being, physical activity, and interoception is increasingly receiving attention (Wallman-Jones et al. 2021) and deserves further investigation for its potential role as a protective factor against emotional distress and the development of clinical conditions.\n\nIt is worth reminding that the theoretical proposal advanced in this study—that NSSI might emerge when some of the (precision) parameters of one's model of the body and the self are not appropriately tuned—is still speculative. However, previous studies reported the importance of aberrant precision tuning in interoceptive streams across various psychopathological conditions, such as depression, anxiety, eating, and substance use disorders (Smith et al. 2020, 2021). These studies, along with other proposals (Khalsa et al. 2018), raise the possibility that interoceptive dysfunctions and the incorrect tuning of (precision) parameters of generative models might have a pervasive effect on psychopathology. This hypothesis remains to be investigated in the case of NSSI.\n\n#### Confict of interest\n\nThe authors have no conficts of interest to declare.\n\n### Data availability\n\nNo new data were generated or analyzed in support of this research.\n\n#### References\n\n- Abraham E, Hendler T, Zagoory-Sharon O *et al.* Interoception sensitivity in the parental brain during the frst months of parenting modulates children's somatic symptoms six years later: the role of oxytocin. *Int J Psychophysiol* 2019;**136**:39–48.\n- Adams RA, Stephan KE, Brown HR *et al.* The computational anatomy of psychosis. *Front Psychiatry* 2013;**4**:1–26.\n- Arciero G, Bondolf G. *Selfhood, Identity and Personality Styles*. 1st edn Hoboken, New Jersey, United States: John Wiley & Sons Inc, 2009.\n- Barca L, Candidi M, Lancia GL *et al.* Mapping the mental space of emotional concepts through kinematic measures of decision uncertainty. *Philos Trans R Soc Lond B Biol Sci* 2023;**378**:20210367.\n- Barca L, De Marchis MD. 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Endogenous opioids and nonsuicidal selfinjury: a mechanism of affect regulation. *Neurosci Biobehav Rev* 2013;**37**:374–83.\n- Cakin Memik N, Hunc F, Kalayci S *et al.* Assessment of plasmaendogenous opioid neuropeptide levels and psychometric properties of non-suicidal self-injury in adolescents. *Arch Suicide Res* 2023;**27**:749–68.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed1.pdf" - }, - { - "text": "#### **Identify:**\n\nName or list the most important features or characteristics.\n\n#### **Illustrate:**\n\nUse a picture, diagram, chart, or concrete example to clarify a point.\n\n#### **Prove:**\n\nEstablish the truth/acuracy of something by giving factual evidence or logical reasons.\n\n#### **Interpret:**\n\nClarify or explain something in a more easily understood form, usually in a practical way.\n\n#### **Consider:**\n\nCarefully examine something and give a judgement or opinion.\n\n#### **Justify:**\n\nGive good reasons for something\n\n#### **Outline:**\n\nPresent information in a brief, clear and logical manner.\n\n#### **Summarise:**\n\nGive the main points", - "page_start": 40, - "page_end": 40, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- 33. 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Klimesch, W. *The Structure of Long-Term Memory: A Connectivity Model of Semantic Processing*; Psychology Press: London, UK, 2013.\n- 40. Collins, A.M.; Loftus, E.F. A spreading-activation theory of semantic processing. *Psychol. Rev.* **1975**, *82*, 407. [CrossRef]\n- 41. Guo, L.; Vu, H.T.; McCombs, M. An expanded perspective on agenda-setting effects: Exploring the third level of agenda setting. *Rev. De Comun.* **2012**, *11*, 51–68.\n- 42. Cheng, Y.; Chan, C.M. The third level of agenda setting in contemporary China: Tracking descriptions of moral and national education (MNE) in media coverage and people's minds. *Int. J. Commun.* **2015**, *9*, 18.\n- 43. Wettler, M.; Rapp, R. Computation of Word Associations Based on Co-occurrences of Words in Large Corpora. In Proceedings of the VLC@ACL 1993, Columbus, OH, USA, 22 June 1993.\n- 44. Collins, A.M.; Quillian, M.R. How to make a language user. In *Organization of Memory*; Academic Press: New York, NY, USA, 1972; p. 309.\n- 45. Danowski, J.A. Inferences from word networks in messages. In *The Content Analysis Reader*; SAGE: Thousand Oaks, CA, USA, 2009; pp. 421–429.\n- 46. Hamed, A.A.; Ayer, A.A.; Clark, E.M.; Irons, E.A.; Taylor, G.T.; Zia, A. Measuring climate change on Twitter using Google's algorithm: Perception and events. *Int. J. Web Inf. Syst.* **2015**, *11*, 527–544. [CrossRef]\n- 47. Haunschild, R.; Leydesdorff, L.; Bornmann, L.; Hellsten, I.; Marx, W. Does the public discuss other topics on climate change than researchers? A comparison of explorative networks based on author keywords and hashtags. *J. Inf.* **2019**, *13*, 695–707. [CrossRef]\n- 48. Veltri, G.A.; Atanasova, D. Climate change on Twitter: Content, media ecology and information sharing behaviour. *Public Underst. Sci.* **2017**, *26*, 721–737. [CrossRef]\n- 49. Abbar, S.; Zanouda, T.; Berti-Equille, L.; Borge-Holthoefer, J. Using twitter to understand public interest in climate change: The case of qatar. In Proceedings of the Tenth International AAAI Conference on Web and Social Media, Cologne, Germany, 17–20 May 2016.\n- 50. Olteanu, A.; Castillo, C.; Diakopoulos, N.; Aberer, K. Comparing events coverage in online news and social media: The case of climate change. In Proceedings of the Ninth International AAAI Conference on Web and Social Media, Oxford, UK, 26–29 May 2015.\n- 51. Hermida, A.; Fletcher, F.; Korell, D.; Logan, D. Share, like, recommend: Decoding the social media news consumer. *J. Stud.* **2012**, *13*, 815–824. [CrossRef]\n- 52. Small, T.A. What the hashtag? A content analysis of Canadian politics on Twitter. *Inf. Commun. Soc.* **2011**, *14*, 872–895. [CrossRef]\n- 53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. *J. Technol. Hum. Serv.* **2012**, *30*, 160–185. [CrossRef]\n- 54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. *Media Commun.* **2016**, *4*, 13.\n- 55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the 6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27 August 2011.\n- 56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hernández, A.; Morris, M.R. Is anyone out there?: Unpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in Computing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758.\n- 57. Tsur, O.; Rappoport, A. What's in a hashtag?: Content based prediction of the spread of ideas in microblogging communities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining, Seattle, WA, USA, 8–12 February 2012; pp. 643–652.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "In the following, we proceed to describe the generative model used by the agent, which here was identically structured to the *generative process*, the actual environmental process generating the data. In the maze task, the environmental states and concurrent observations were multidimensional, while the actions were unidimensional. Here, we refer to the different dimensions of the environment as *state factors* and the different dimensions of the observations as *observation modalities*. There were two state factors, the location of the agent and the reward condition:\n\n#### **State Factor 1 (Location):**\n\n#### 1. Centre location;\n\n- 2. Right arm;\n- 3. Left arm;\n- 4. Cue location.\n\nThe first factor described which of the four locations in the maze the agent was inhabiting—the centre, cue location, and left and right arms—and was controlled by the action. The second factor was the reward condition factor, and had two possible states: the reward location being on the right or on the left. The agent's actions directly controlled the first factor, while it had to infer the second based on the cue in order to complete the task. There were three observation modalities: one for observing the agent's own location, one for observing rewards and one for observing the cue:\n\n#### **Modality 1 (Location): Modality 2 (Reward):**\n\n- 1. Centre location;\n- 2. Right arm;\n- 3. Left arm;\n- 4. Cue location.\n\nThe first observation modality had an observation for each of the positions in the maze, and generally reflected the agent's actual position perfectly. The second modality was the agent's observation of a reward or loss, which depended on the reward condition and the position. The \"no reward\" observation was received whenever the agent was not occupying either of the arm locations, where it did not observe any reward or loss. The third modality was the observation of the cue, which depended on the reward modality so that the agent could use it to infer the correct reward condition. The action was one-dimensional with four options and was used to move between the different locations:\n\n### **Actions:**\n\n- 1. Move to centre location;\n- 2. Move to right arm;\n- 3. Move to left arm;\n- 4. Move to cue location.\n\nWe now provide an example of using the package with a T-maze environment. First, we installed and loaded the package:\n\n✞ ☎\n\n✝ ✆\n\n```\nusing Pkg\nPkg.add( ActiveInference )\nusing ActiveInference\n```\nWe first set up the environment or generative process: the T-maze. The T-maze is included as a pre-made environment in ActiveInference, so we simply loaded it. We set the reward probability for the reward condition to 95 percent:\n\n- 1. Reward condition right;\n**State Factor 2 (Reward Condition):**\n\n- 2. Reward condition left.\n- \n1. No reward; 2. Reward; 3. Loss.\n\n- 1. Cue right;\n**Modality 3 (Cue):**\n\n- 2. Cue left.\n- \n-", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "# *Special Issue: Experiencing Well-Being*\n\n# **Modeling and controlling the body in maladaptive ways: an active inference perspective on non-suicidal self-injury behaviors**\n\n#### Barca Laura *, Domenico Maisto, Giovani Pezzulo\n\nInstitute of Cognitive Sciences and Technologies, National Research Council, Via San Martino della Battaglia 44, Rome 00185, Italy *Corresponding author. Institute of Cognitive Sciences and Technologies, National Research Council, Via San Martino della Battaglia 44, Rome 00185, Italy. E-mail: laura.barca@istc.cnr.it\n\n#### Abstract\n\n**A signifcant number of persons engage in paradoxical behaviors, such as extreme food restriction (up to starvation) and non-suicidal self-injuries, especially during periods of rapid changes, such as adolescence. Here, we contextualize these and related paradoxical behavior within an active inference view of brain functions, which assumes that the brain forms predictive models of bodily variables, emotional experiences, and the embodied self and continuously strives to reduce the uncertainty of such models. We propose that not only in conditions of excessive or prolonged uncertainty, such as in clinical conditions, but also during pivotal periods of developmental transition, paradoxical behaviors might emerge as maladaptive strategies to reduce uncertainty—by \"acting on the body\"— soliciting salient perceptual and interoceptive sensations, such as pain or excessive levels of hunger. Although such strategies are maladaptive and run against our basic homeostatic imperatives, they might be functional not only to provide some short-term reward (e.g. relief from emotional distress)—as previously proposed—but also to reduce uncertainty and possibly to restore a coherent model of one's bodily experience and the self, affording greater confdence in who we are and what course of actions we should pursue.**\n\nKeywords: non-suicidal self-injuries; intolerance of uncertainty; interoception; adolescence; active inference\n\n## Introduction\n\nWhy do some persons engage in paradoxical behaviors, such as extreme food restriction (up to starvation) and non-suicidal self-injuries (NSSIs)? These and other pathological behaviors are transversal to various psychopathological conditions. Selfdestructive actions including self-harm have been associated with post-traumatic stress disorder (Moeller et al. 2001, Yehuda 2002, Weiss et al. 2015, Zelkowitz et al. 2023), eating disorders (Sagiv and Gvion 2020), and borderline personality disorder (Reichl and Kaesset, 2021). Whether paradoxical behaviors as NSSI have a common origin across such and other conditions remains to be systematically tested, which is particularly challenging as—in most cases—they can only be assessed using retrospective measures, rather than measured during their occurrence or induced experimentally. Although they are typically associated with some form of psychopathology, they are not exclusive to\n\nclinical conditions but might also be transiently acted by nonclinical individuals. For example, self-injury behaviors are not uncommon during adolescence and progressively decrease in adulthood (Laugesen et al. 2003, Nock et al. 2009, Thielsch et al. 2015, Osmanagaoglu et al. 2018). ̆ ̆\n\nScholars from a variety of disciplines have questioned why people intentionally harm themselves (either by starving or cutting), proposing various theoretical models empirically tested over time (Chapman et al. 2006, Nock and Mendes 2008a, Nock et al. 2009, Wolff et al. 2019), but we still lack a mechanistic understanding of such behaviors. Here, we propose that despite starvation and NSSI being undoubtedly distinct behaviors with different affective, cognitive, and neurobiological underpinnings, they could share a common \"rationale.\" Namely, they could be attempts to modify one's state—in a broad sense, which includes not just the bodily state but also affective, cognitive, and social experiences—by \"acting on the body.\" In other words, these behaviors can be considered\n\n© The Author(s) 2023. Published by Oxford University Press.\n\nThis is an Open Access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted reuse, distribution, and reproduction in any medium, provided the original work is properly cited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed1.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was the indicator related to increasing Nissan's research and development activities in terms of publication of scientific articles in 2004?", - "target_page": 46, - "target_passage": "And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "#### FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, SALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS FOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. THE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. AT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO REACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\n#### **Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 percent from last year. A higher volume and mix had a positive impact of ¥707.0 billion. Movements in foreign exchange rates produced a negative impact of ¥173.0 billion. Changes in the scope of consolidation, including Dongfeng Motor and Yulon Nissan Motor, raised revenues by ¥432.0 billion.\n\n#### **Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from last year to a record ¥861.2 billion. This resulted in an operating profit margin of 10.0 percent. Operating profit was affected by the following factors:\n\n- The effect of foreign exchange rates produced a ¥78 billion negative impact for the full year. The depreciation of the U.S. dollar against the yen resulted in a negative impact of ¥74 billion, with an additional ¥13 billion from other currencies. The appreciation of the euro resulted in a positive impact of ¥9 billion.\n- The change in the scope of consolidation produced a positive impact of ¥31 billion. This was primarily from the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n- The impact of the higher volume and mix contributed ¥284 billion. This was mainly driven by an increase in U.S. sales volume.\n- Selling expenses increased by ¥114 billion, also mainly due to the increase of sales in the U.S.\n- The improvement in purchasing costs amounted to ¥131 billion.\n- Product enrichment and the cost of regulations had a negative impact of ¥92 billion.\n- An additional ¥44 billion was allocated to R&D to reinforce product and technology development.\n- Cost reductions from manufacturing efficiencies were offset by costs associated with expanding the Canton plant's capacity, which resulted in a ¥15 billion increase in manufacturing and logistics expenses.\n- Warranty costs increased by ¥41 billion, partly due to greater volume.\n- General, administrative and other expenses increased by ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year. This was mainly due to unfavorable exchange rate fluctuations and an increase in R&D expenses, which reached a record level.\n\nDue to higher volumes, profitability in the U.S. and Canada increased 7.9 percent from last year and totaled ¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase of 13.8 percent compared to last year, owing to a better mix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico, operating profits came to ¥84.8 billion, an increase of 28.5 percent compared to last year. This was primarily due to the consolidation of Dongfeng Motor and Yulon Nissan Motor. Inter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **Pursuing Value Through Technological Excellence** MITSUHIKO YAMASHITA\n\nExecutive Vice President\n\n\"I have two prime objectives. The first is to realize our corporate vision, 'Enriching people's lives,' from an engineering standpoint. The second is to create a future vision for people working in R&D. Research and development is all about providing practical value to the customer via technological excellence, which in turn creates value for our shareholders. Nissan has made a major commitment to technological excellence so that we can accomplish these objectives.\n\n#### **Research and Development**\n\nTECHNOLOGY\n\nNissan's investment in R&D has been rising. In fiscal 2004 we devoted approximately ¥400 billion to it, equivalent to 4.6 percent of our turnover. We estimate that our financial commitment to R&D will continue to range between 4.5 and 5 percent. R&D investments take a lot of time to pay off, of course, so it's difficult to evaluate our evolution over the short term. Given our expanded output, however, I believe that we are headed in the right direction.\n\nFor example, the number of patents we have generated is growing quickly, exceeding 4,000 in fiscal 2003—more than twice the fiscal 1999 figure. And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. These are direct results of our commitment to research. We are also generating more new technologies related to safety and the environment, such as the Around View Monitor and the lane-keeping system.\n\nWe have succeeded in shortening our production pipeline, too, using a new vehicle development process called V3P that our engineers devised over the past three years. V3P, which stands for Value-up innovation of Product, Process, and Program, has helped us cut our development time almost in half, from 20 months to just 10.5 months. I believe this makes Nissan the world benchmark in development. That improvement is having a major effect on the flexibility and execution of R&D at Nissan, and will ultimately boost the company's profitability.\n\nThe number of new products we have brought to market over the past three years is equally significant more than thirty new vehicles. That's an impressive engineering achievement, and the reason you are seeing so many new Nissan models on the road.\n\nOur R&D infrastructure, however, is still in need of expansion. We've therefore begun building new facilities at the Nissan Technical Center, NTC, and at the Nissan Advanced Technical Center, NATC, both of which are in Japan. These additions represent a major investment, and show Nissan's dedication to maintaining and enhancing its technological skills.\n\nOur technology base is in Japan, where we have some ten thousand people involved in R&D, but we also have two major centers in North America and Europe, and smaller operations in Taiwan, China, Thailand, South Africa and Brazil. In the past, these entities were mostly standalone operations, but today there are many more joint projects\n\nRear active steering Intelligent cruise control Shock-absorbing body, to reduce pedestrian injuries", - "page_start": 45, - "page_end": 45, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Growing in Areas of Expansion**\n\nJED CONNELLY Senior Vice President Nissan North America\n\n\"We had a terrific year in North America; sales for calendar year 2004 grew by 24.7 percent, and that growth that came in a flat U.S. market. The auto industry here only rose by about 237,000 vehicles, while Nissan was up by 191,000 cars. It was a strong year with a rich mix of products. The Altima continues to be a core car\n\nfor us, and our most important car in terms of volume. We sell over 200,000 Altimas a year, at a rate of 20,000 units per month—outstanding for a car so far along in its lifecycle. The Infiniti has also been phenomenal over the past few years. The G35 sedan and coupe continue to be the icons of the brand, driving both volume and profit.\n\nOur success always comes down to the product. We had great products from top to bottom, throughout the lineup and in both divisions. We were also very intelligent, I believe, in the way we price our vehicles—very close to the transaction price, and with limited reliance on incentives. That's been our strategy for four years, and it works. Customers understand that we provide a great product at a fair price. The other key to our success has been a very consistent marketing message. The SHIFT_ campaign is consistent and has been in place for some time now, and it's starting to gain traction with the public. Consumers look at Nissan products and our dealerships and say, 'Hey, something really is going on at Nissan!'\n\nIn a year full of successes, the one thing we would like to have handled better was the Quest. We had some initial quality issues, and some trim mix issues. We've corrected these, however, and repackaged the Quest to give people their most popular options. We've also made great strides in quality and on other aspects get it right.\n\nFor fiscal 2005 we have a volume growth target of 3.3 percent, but in the first three months of this period we were actually up by 18 percent! We launched a few new products at the end of the last year, so it's probably not realistic to expect that kind of volume for the whole year, but it makes us very confident of reaching our target.\n\nWe won't have any completely new products in fiscal 2005. That means that, while we will have solid, enviable growth, it won't translate into the spectacular numbers we've had over the past four years. The Altima will continue to drive our growth—it's in its fifth year, but still a remarkable performer. We've gotten a good boost in the market from the Pathfinder, which was relaunched last fall. We also expect to make some inroads with the Frontier, which is outperforming its competitors—it's clearly the best truck in the mid-size truck segment. This is, however, a difficult segment at the moment.\n\nWe have a great opportunity to build on the strengths that we've demonstrated in North America over the past four years. We have solid growth, and we continue to establish the Nissan brand. We have new models that continue to gain strength, such as the Murano, which has done wonderful things for Nissan's image in the market. On the Infiniti side, we just launched the M45, the mid-size luxury sedan that competes with the BMW 5 series. In the first three months after its launch, the M45 is doing very well. As we continue to establish Nissan brand recognition, we also will continue to define Infiniti, because now we're strong with the M45, strong in the luxury crossover market with the FX, and with the M we have a luxury sedan that can compete with anything in its class. Infiniti is strong all across the board.\n\nNot having a new product launch in fiscal year 2005 might be seen as a risk, but the current models are strong and selling well, and we'll have a host of new models in 2006. Most of our risks in the coming year are from", - "page_start": 63, - "page_end": 63, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Volume: Nissan will achieve global sales of 4.2 million units in fiscal 2008—an increase of 812,000 units over fiscal 2004.\n\nROIC: Nissan will achieve a 20 percent or higher return on invested capital on average over the course of the plan, excluding cash on hand.\n\nTo meet this commitment, over the NISSAN Value-Up period we will launch 28 new products, including 10 models that are highly innovative in their concept and benefits.\n\nOur investment in advanced technology continues. From fiscal 2002 to 2005 we have increased spending on research and development by 50 percent. Over the next three years we will invest a further 5 percent of net sales annually, creating new and exciting technologies to benefit our customers.\n\nDuring NISSAN Value-Up we will pursue several key business opportunities:\n\n- Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and continue to establish its credibility as a Tier-1 luxury player.\n- We will develop our Light Commercial Vehicle business into a fully competitive global operation through new market and product entries.\n- We will take a more efficient global sourcing approach to maximize our opportunities and minimize our overall costs as we grow. Our engineering, production and purchasing functions will continue their acceleration towards being fully integrated global operations.\n- We will continue to invest in new and emerging markets, including China, India and Russia.\n\nNISSAN Value-Up also delivers increased value for our shareholders through a clear and well-defined dividend strategy. By the end of the plan period, we will pay an annual dividend of no less than ¥40 per share, a 66 percent increase over fiscal 2004.\n\n#### Share price performance\n\nWhat should investors expect from Nissan's share price?\n\nOver the long-term, share prices reflect fundamentals. But in the short-term share prices are driven by performance against expectations.\n\nIn Nissan's case, recent share price trends signal market expectations that greater uncertainty will result in lower growth. So our challenge is to both manage those expectations and to exceed them. This supports our belief in a high level of disclosure and transparency.\n\nOur business plans and commitments, and our ability to communicate our strategy clearly, are the most effective means to convey transparency. But we recognize that financial announcements alone are no longer sufficient communication for the markets. We need to provide more forward-looking information and to avoid surprises that create uncertainty for shareholders and investors.\n\nWe intend to serve the professional investment community better in fiscal 2005. We will also extend our welcome to individual investors—whose numbers grew by 51,323 in fiscal 2004, increasing our list to 193,000 shareholders.\n\nThat growing interest in Nissan was apparent in the turnout of more than 1,800 people at our June 21 shareholders' meeting in Yokohama. Questions from the shareholders were many and varied, but it was encouraging to hear in each one a passionate commitment to Nissan.\n\nThis year, and in the future, I hope we merit such support from all our shareholders as we create lasting value in a transparent way.\n\nCarlos Ghosn President and Chief Executive Officer", - "page_start": 4, - "page_end": 4, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "**Corporate Rating**\n\n#### **Automotive Debt:**\n\nDespite higher levels incurred for capital expenditures and R&D, cash generated from operating activities in the automotive division eliminated net automotive debt. Nissan held a ¥205.8 billion yen net cash position at the close of fiscal 2004 in this division.\n\n#### **Rating**\n\nRegarding Nissan's long-term credit rating, R&I upgraded Nissan from A- to A on May 11, 2005. S&P upgraded their rating from BBB to BBB+ on July 20, 2004, and Moody's upgraded from Baa3 to Baa1 on January 29, 2004.\n\n#### **Investment Policy**\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5 billion, representing 5.6 percent of net revenue. This increase included the Canton plant expansion. R&D expenditures increased by ¥43.8 billion to ¥398.1 billion. This increase went to fund new technologies and product development. Our R&D resources are focused on projects that add value to our customers and that will deliver an expected return, in both the short and long term.\n\n#### **Dividend**\n\nAt the annual general meeting of shareholders on June 21, 2005, the company proposed increasing its dividend to ¥24 per share in 2004, up from ¥19 in 2003. In the first year of the NISSAN Value-up dividend policy, the Company plans to increase the per-share dividend to ¥29 in 2005. By the end of NISSAN Value-up in March 2008, Nissan plans to pay an annual dividend of no less than ¥40 per share.\n\n#### **Return on Invested Capital (ROIC)**\n\nNissan's investments are made within the strict guidelines of its automotive operating ROIC. Based on these guidelines, Nissan reached 20.1 percent of ROIC on a consistent basis as of fiscal 2003.\n\n#### **Dividend Policy**\n\n(Dividend per share, in yen)", - "page_start": 15, - "page_end": 15, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### Contents\n\n| Financial Highlights | 1 |\n| --- | --- |\n| Letter from the President and CEO | 2 |\n| Letter from the COO | 4 |\n| Executives | 5 |\n| Performance | 6 |\n| Who We Are | 16 |\n| Our Way | 18 |\n| Automobiles | 22 |\n| Sales Finance | 28 |\n| Industrial Machinery | |\n| and Marine Business | 30 |\n| Renault-Nissan Alliance | 31 |\n| Our Work | 32 |\n| Planning | 34 |\n| Brand | 37 |\n| Design | 38 |\n| Marketing | 40 |\n| Communications | 43 |\n| Technology | 44 |\n| Purchasing | 48 |\n| Quality | 49 |\n| Manufacturing | 50 |\n| Control | 53 |\n| Finance | 54 |\n| Human resource | 56 |\n| Our World | 58 |\n| Japan | 60 |\n| Europe | 61 |\n| North America | 62 |\n| China | 64 |\n| General Overseas Markets | 66 |\n| Financial Section | 68 |\n| Corporate Data | 106 |\n| Subsidiaries and Affiliates | 106 |\n| Corporate Officers | 109 |\n\nThis Annual Report contains forward-looking statements on Nissan's future plans and targets, and related operating investment, product planning and production targets. Please note that there can be no assurance that these targets and plans will actually be achieved. Achieving them will depend on many factors, including not only Nissan's activities and development, but on the dynamics of the automobile industry worldwide and the global economy.\n\n## **Vision**\n\n**Nissan: Enriching people's lives**\n\n## **Mission**\n\n**Nissan provides unique and innovative automotive products and services that deliver superior measurable values to all stakeholders* in alliance with Renault.**\n\n*Our stakeholders include customers, shareholders, employees, dealers, suppliers, as well as the communities where we work and operate.\n\nThis Annual Report presents financial results for the fiscal period ending March 31, 2005. The report also provides shareholders with insight to Nissan's management team. Through one-onone interviews, various members of executive management, including Carlos Ghosn, President and Chief Executive Officer, discuss the philosophy and direction of Nissan.\n\n#### Our Websites\n\nhttp://www.nissan-global.com/EN/COMPANY/ Corporate Information\n\nIR Information\n\nhttp://www.nissan-global.com/EN/IR/ Environment, Design, Safety and Technology Information\n\nhttp://www.nissan-global.com/EN/PLAN/\n\nhttp://www.nissan-global.com/EN/GLOBAL/ Product Information (by Country)\n\nProduct Information (Japan)\n\nhttp://www.nissan.co.jp/\n\nhttp://www.nissan-global.com/EN/COMPANY/CITIZENSHIP/ Corporate Citizenship Information\n\nOUR WORK\n\nFINANCIAL SECTION\n\nCORPORATE DATA", - "page_start": 1, - "page_end": 1, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "DESPITE NISSAN'S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS NEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED AT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR UNDERSTANDING OF NISSAN'S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH VIEW OF THE COMPANY'S OPERATIONS AND PERFORMANCE INDICATORS.\n\n#### **Share Performance in Fiscal 2004**\n\nNissan's share price began at ¥1,143 at the beginning of fiscal 2004 and ended the fiscal year at ¥1,099, generating a negative return of 3.85 percent. Total shareholder return (TSR) was -1.67 percent, while the dividend yield came to 2.18 percent (¥24 per share dividend, divided by the ¥1,099 closing price). Adverse movements in foreign exchange rates and commodity price hikes adversely affected Nissan's profitability, which was reflected in the share price. In addition, specific events relating directly to the company also had a negative impact. Later in this report, corporate officers will explain what actions Nissan has undertaken to ensure better performance.\n\n#### **Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend policy, covering the period from fiscal 2005 to fiscal 2007, at the annual general meeting of shareholders on June 23, 2004. Nissan proposes a long-term dividend policy to provide more visibility and improve transparency into the ways in which Nissan rewards its shareholders. Nissan believes that a long-term dividend policy reduces uncertainty for investors who already own or are considering acquiring Nissan stock.\n\n#### **Fiscal Year 2004 Share Performance** (Index: April 1, 2004=100)\n\n80 Apr. **2004 2005** \n\n#### **IR Activities**\n\nUnder NISSAN Value-Up, the IR team's performance will be evaluated based on the price-earnings ratio (PER) and volatility relative to our major competitors. PER is used to measure how successfully the IR team manages market expectations about Nissan in order to maintain the Nissan share price close to an intrinsic value. The other measure, volatility, is used to measure the risk investors perceive when considering Nissan stock. If Nissan can successfully reduce volatility, the minimum return required by investors should decline. The IR team believes that a strengthening of disclosure activities is required to improve both measures. The team plans to disclose not only financial results but also more forward-looking information about Nissan fundamentals such as technology and product. Such forward-looking information helps investors to forecast future performance more precisely and reduces uncertainty about the future. As a consequence, Nissan will increase the number of investor conferences, events, and teleconferences during fiscal 2005.\n\n#### **Five-Year Share Performance**", - "page_start": 16, - "page_end": 16, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Looking to the New Fiscal Year**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume of 61 million units globally, Nissan's sales are forecast to come to 3,618,000 units, a 6.8 percent increase over the prior year.\n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to twenty regional product events.\n\n#### **Our sales objectives**\n\n- Japan: 933,000 units, a 10 percent increase over last year\n- U.S.: 1,047,000 units, an increase of 3.3 percent\n- Europe: 550,000 units, a 1.1 percent increase over last year\n- General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n#### **Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of uncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices, higher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The opportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign exchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n- Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n- Operating profit is expected to be ¥870 billion, up 1 percent.\n- Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n- Net income is predicted to be ¥517 billion, up 0.9 percent.\n- Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n- R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n- ROIC is expected to remain at or above 20 percent.", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### PERFORMANCE\n\n## **The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up to all the challenges. We had a record year in revenues, operating profit, net income, sales volume and production.\n\n#### **Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This record level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is 281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine all-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan's manufacturing plants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n#### **Financial performance**\n\n- Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n- Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a percentage of net revenue, our operating profit margin came to 10.0 percent.\n- Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n#### **Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot be closed completely until the end of September 2005, but we know that we have already delivered two of the plan's three critical commitments.\n\n- We committed to an 8 percent operating profit margin, and our margin has been at or above 10 percent for every year of NISSAN 180.\n- We committed to zero debt, and today we have more than ¥200 billion in net cash under the new and more demanding accounting standards.\n- Our only remaining commitment is to achieve one million additional sales. Even here we are in reasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, which is a slight advance compared to our commitment to reach 3,597,000 units by the end of September 2005.", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries *Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\n| | | | | | | Millions of U.S. dollars (Note 1) |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | Millions of yen (except per share amounts and number of employees) | | | (except per share amounts) |\n| For the years ended | 2004 | 2003 | 2002 | 2001 | 2000 | 2004 |\n| | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2002 | Mar. 31, 2001 | Mar. 31, 2005 |\n| Net sales | ¥8,576,277 | ¥7,429,219 | ¥6,828,588 | ¥6,196,241 | ¥6,089,620 | $80,152 |\n| Operating income | 861,160 | 824,855 | 737,230 | 489,215 | 290,314 | 8,048 |\n| Net income | 512,281 | 503,667 | 495,165 | 372,262 | 331,075 | 4,788 |\n| Net income per share (Note 2) | 125.16 | 122.02 | 117.75 | 92.61 | 83.53 | 1.17 |\n| Cash dividends paid (Note 3) | 94,236 | 74,594 | 50,800 | 27,841 | 0 | 881 |\n| Shareholder's equity | ¥2,465,750 | ¥2,023,994 | ¥1,808,304 | ¥1,620,822 | ¥ 957,939 | $23,044 |\n| Total assets | 9,848,523 | 7,859,856 | 7,349,183 | 7,215,005 | 6,451,243 | 92,042 |\n| Net consolidated automotive debt (Note 4) | (205,791) | 13,603 | 107,952 | 431,714 | 952,657 | (1,923) |\n| Number of employees | 183,607 | 123,748 | 127,625 | 125,099 | 133,833 | |\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year. Figures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\n4. Net consolidated automotive debt was ¥8,602 million cash positive in fiscal year 2002, ¥215,861 million cash positive in fiscal year 2003, and ¥453,470 million cash positive in fiscal year 2004, using the same accounting principles as fiscal year 2001.\n\nHIGHLIGHTS", - "page_start": 2, - "page_end": 2, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was Nissan's vehicle production in Mexico in 2003?", - "target_page": 72, - "target_passage": "308,322", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### AUTOMOBILES\n\n## **Nissan**\n\n## **Exceeding expectations —the Nissan automobile**\n\nAt the center of everything we do stands the Nissan automobile. Our vehicles are the most tangible expression of our brand and the values of our company. We make cars that both inspire passion and exceed the expectations of our customers. Through bold and thoughtful designs, innovative technologies, and a richer and more rewarding driving experience, we are defining our unique place in the auto industry.\n\nOur product development philosophy differs from that which many of our competitors follow. Rather than focus on what the competition is providing, we concentrate on what they do not. We listen to drivers to discover their unmet needs and desires, and follow the most promising threads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little point in building vehicles that please everyone but excite no one.\n\nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of its paint. We make some of the world's most advanced high-performance engines and transmissions. From our renowned VQ engine series to the latest in high technology, continuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency, and real-world environmental solutions.\n\nNissan has a long history of leadership and innovation in the automotive industry. We began our quest to create the best cars in the world in 1933, when the company was founded in Yokohama. The first Datsun passenger car rolled off the assembly line two years later. In the years since, we have fashioned a reputation for bold and innovative products. We were the first company to design, manufacture and export a small pickup truck from Japan to the United States, and to build and export a sports sedan, the Datsun 510. And we were the first to produce a true sports car that was also affordable, the Z. Today, we build equally exceptional vehicles in factories throughout the world that consistently rank in the top tier for efficiency, productivity and quality.\n\nIn the future, we will take the Nissan brand into new segments and markets. We will accelerate the pace of automotive evolution. And our products will continue to define our brand with clarity and consistency that brings lasting value to all our stakeholders.", - "page_start": 23, - "page_end": 23, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## OUR WORLD\n\nNISSAN HAS A GLOBAL PRESENCE. BORN IN JAPAN, WE ARE PERFECTLY AT HOME IN THE U.S., THE UK, SPAIN, THAILAND, CHINA, EGYPT, BRAZIL AND WELL OVER 150 OTHER NATIONS WHERE NISSAN CARS AND THEIR COMPONENT PARTS ARE PRODUCED, SOLD AND DRIVEN. WITH NISSAN, DRIVING PLEASURE IS A SENSATION THAT KNOWS NO BORDERS. THIS IS THE NISSAN SHIFT_", - "page_start": 59, - "page_end": 59, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Growing with Profit, not at Its Expense Middle East, Africa, Latin America and the Caribbean**\n\n\"Within the General Overseas Markets, or GOM, I'm responsible for Nissan business in nearly 110 countries, about 90 of which have Nissan national sales companies. It's a very diverse composition of small and large nations, and many languages and cultures. In fiscal 2004 we met all our targets for sales and\n\nSHOICHI MIYATANI Vice President\n\nprofit. Out of Nissan's total unit sales of approximately 3.4 million vehicles, for example, GOM accounted for 678,000 units. We contribute to Nissan's performance in both volume expansion and profitability. And the operating profit margin for GOM is better than the corporate average.\n\nThe strongest regions in my territory were several African nations, such as South Africa, and Latin America. Our success was due in part to general market strength, but the continuing appeal of the Nissan Pickup in South Africa and Latin America was also a key. Aside from the Middle East, where larger vehicles like the Armada are preferred, sales for the Pickup and the X-TRAIL have been consistently strong in all markets. We produce the Pickup in South Africa and currently sell over 40,000 vehicles there every year; our market share is around 9 percent. In addition to Africa, the vehicles produced here will be sold in Europe, Australia and New Zealand starting at the beginning of 2006. In 2005, in the Middle East, we are already seeing significant increases in volume due to the launch of Infiniti and the introduction of new Nissan models in the latter half of 2004.\n\nThere are several risks associated with a diverse territory like ours, including political issues, economic issues, and a range of other external factors. At Nissan, our policy is to stay flexible and adapt to the situation. For example, we had initially planned to supply Pathfinder vehicles to the Middle East from Spain. However, the rise in the euro raised costs, so we quickly shifted production to the U.S. Because our job is so diversified, we felt we needed more strategic thinking within GOM. For this reason we established the GOM Plan Department, which is a cross-functional unit comprised of various departments, such as Manufacturing, Purchasing, and Engineering. This department is responsible for functions formerly performed by Marketing and Sales.\n\nSince we did not roll out many new models in our region, we had to upgrade our network structure to increase sales. The next new core model for us is the Tiida, which enjoyed a successful launch in China. It's a critical launch for us; through 2005 and 2006 we will complete the introduction of the model in all markets. The new model introductions will give us added strength in the markets during the NISSAN Value-Up period.\n\nAnother important development this year was the start of production of the Nissan Pickup in Egypt. Many in the industry doubted we would succeed, but we achieved our targets for quality. Vehicles produced here will also be exported to other countries in the region.\n\nEurope is a tough market, as is Japan. If Nissan becomes too dependent on its major markets like North America, there is an inherent risk, and GOM helps minimize that risk. The markets we represent will contribute substantially to Nissan's total profit. Our focus now is on deepening the foundations of our business. A few years ago, for instance, we designed six activities that all the national sales companies are required to carry out. In 2005, we'll establish even more advanced activities. We constantly review their performance and, if necessary, take aggressive actions, including replacing companies whose performance is consistently unsatisfactory. That is why our activities will expand with profit, not at its expense. The General Overseas Markets are where Nissan will really be growing.\"", - "page_start": 68, - "page_end": 68, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries *Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\n| | | | | | | Millions of U.S. dollars (Note 1) |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | Millions of yen (except per share amounts and number of employees) | | | (except per share amounts) |\n| For the years ended | 2004 | 2003 | 2002 | 2001 | 2000 | 2004 |\n| | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2002 | Mar. 31, 2001 | Mar. 31, 2005 |\n| Net sales | ¥8,576,277 | ¥7,429,219 | ¥6,828,588 | ¥6,196,241 | ¥6,089,620 | $80,152 |\n| Operating income | 861,160 | 824,855 | 737,230 | 489,215 | 290,314 | 8,048 |\n| Net income | 512,281 | 503,667 | 495,165 | 372,262 | 331,075 | 4,788 |\n| Net income per share (Note 2) | 125.16 | 122.02 | 117.75 | 92.61 | 83.53 | 1.17 |\n| Cash dividends paid (Note 3) | 94,236 | 74,594 | 50,800 | 27,841 | 0 | 881 |\n| Shareholder's equity | ¥2,465,750 | ¥2,023,994 | ¥1,808,304 | ¥1,620,822 | ¥ 957,939 | $23,044 |\n| Total assets | 9,848,523 | 7,859,856 | 7,349,183 | 7,215,005 | 6,451,243 | 92,042 |\n| Net consolidated automotive debt (Note 4) | (205,791) | 13,603 | 107,952 | 431,714 | 952,657 | (1,923) |\n| Number of employees | 183,607 | 123,748 | 127,625 | 125,099 | 133,833 | |\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year. Figures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\n4. Net consolidated automotive debt was ¥8,602 million cash positive in fiscal year 2002, ¥215,861 million cash positive in fiscal year 2003, and ¥453,470 million cash positive in fiscal year 2004, using the same accounting principles as fiscal year 2001.\n\nHIGHLIGHTS", - "page_start": 2, - "page_end": 2, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, SALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS FOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. THE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. AT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO REACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\n#### **Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 percent from last year. A higher volume and mix had a positive impact of ¥707.0 billion. Movements in foreign exchange rates produced a negative impact of ¥173.0 billion. Changes in the scope of consolidation, including Dongfeng Motor and Yulon Nissan Motor, raised revenues by ¥432.0 billion.\n\n#### **Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from last year to a record ¥861.2 billion. This resulted in an operating profit margin of 10.0 percent. Operating profit was affected by the following factors:\n\n- The effect of foreign exchange rates produced a ¥78 billion negative impact for the full year. The depreciation of the U.S. dollar against the yen resulted in a negative impact of ¥74 billion, with an additional ¥13 billion from other currencies. The appreciation of the euro resulted in a positive impact of ¥9 billion.\n- The change in the scope of consolidation produced a positive impact of ¥31 billion. This was primarily from the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n- The impact of the higher volume and mix contributed ¥284 billion. This was mainly driven by an increase in U.S. sales volume.\n- Selling expenses increased by ¥114 billion, also mainly due to the increase of sales in the U.S.\n- The improvement in purchasing costs amounted to ¥131 billion.\n- Product enrichment and the cost of regulations had a negative impact of ¥92 billion.\n- An additional ¥44 billion was allocated to R&D to reinforce product and technology development.\n- Cost reductions from manufacturing efficiencies were offset by costs associated with expanding the Canton plant's capacity, which resulted in a ¥15 billion increase in manufacturing and logistics expenses.\n- Warranty costs increased by ¥41 billion, partly due to greater volume.\n- General, administrative and other expenses increased by ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year. This was mainly due to unfavorable exchange rate fluctuations and an increase in R&D expenses, which reached a record level.\n\nDue to higher volumes, profitability in the U.S. and Canada increased 7.9 percent from last year and totaled ¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase of 13.8 percent compared to last year, owing to a better mix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico, operating profits came to ¥84.8 billion, an increase of 28.5 percent compared to last year. This was primarily due to the consolidation of Dongfeng Motor and Yulon Nissan Motor. Inter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### PERFORMANCE\n\n## **The recovery story is complete**\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up to all the challenges. We had a record year in revenues, operating profit, net income, sales volume and production.\n\n#### **Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This record level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is 281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine all-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan's manufacturing plants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n#### **Financial performance**\n\n- Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n- Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a percentage of net revenue, our operating profit margin came to 10.0 percent.\n- Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n#### **Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot be closed completely until the end of September 2005, but we know that we have already delivered two of the plan's three critical commitments.\n\n- We committed to an 8 percent operating profit margin, and our margin has been at or above 10 percent for every year of NISSAN 180.\n- We committed to zero debt, and today we have more than ¥200 billion in net cash under the new and more demanding accounting standards.\n- Our only remaining commitment is to achieve one million additional sales. Even here we are in reasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, which is a slight advance compared to our commitment to reach 3,597,000 units by the end of September 2005.", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### Contents\n\n| Financial Highlights | 1 |\n| --- | --- |\n| Letter from the President and CEO | 2 |\n| Letter from the COO | 4 |\n| Executives | 5 |\n| Performance | 6 |\n| Who We Are | 16 |\n| Our Way | 18 |\n| Automobiles | 22 |\n| Sales Finance | 28 |\n| Industrial Machinery | |\n| and Marine Business | 30 |\n| Renault-Nissan Alliance | 31 |\n| Our Work | 32 |\n| Planning | 34 |\n| Brand | 37 |\n| Design | 38 |\n| Marketing | 40 |\n| Communications | 43 |\n| Technology | 44 |\n| Purchasing | 48 |\n| Quality | 49 |\n| Manufacturing | 50 |\n| Control | 53 |\n| Finance | 54 |\n| Human resource | 56 |\n| Our World | 58 |\n| Japan | 60 |\n| Europe | 61 |\n| North America | 62 |\n| China | 64 |\n| General Overseas Markets | 66 |\n| Financial Section | 68 |\n| Corporate Data | 106 |\n| Subsidiaries and Affiliates | 106 |\n| Corporate Officers | 109 |\n\nThis Annual Report contains forward-looking statements on Nissan's future plans and targets, and related operating investment, product planning and production targets. Please note that there can be no assurance that these targets and plans will actually be achieved. Achieving them will depend on many factors, including not only Nissan's activities and development, but on the dynamics of the automobile industry worldwide and the global economy.\n\n## **Vision**\n\n**Nissan: Enriching people's lives**\n\n## **Mission**\n\n**Nissan provides unique and innovative automotive products and services that deliver superior measurable values to all stakeholders* in alliance with Renault.**\n\n*Our stakeholders include customers, shareholders, employees, dealers, suppliers, as well as the communities where we work and operate.\n\nThis Annual Report presents financial results for the fiscal period ending March 31, 2005. The report also provides shareholders with insight to Nissan's management team. Through one-onone interviews, various members of executive management, including Carlos Ghosn, President and Chief Executive Officer, discuss the philosophy and direction of Nissan.\n\n#### Our Websites\n\nhttp://www.nissan-global.com/EN/COMPANY/ Corporate Information\n\nIR Information\n\nhttp://www.nissan-global.com/EN/IR/ Environment, Design, Safety and Technology Information\n\nhttp://www.nissan-global.com/EN/PLAN/\n\nhttp://www.nissan-global.com/EN/GLOBAL/ Product Information (by Country)\n\nProduct Information (Japan)\n\nhttp://www.nissan.co.jp/\n\nhttp://www.nissan-global.com/EN/COMPANY/CITIZENSHIP/ Corporate Citizenship Information\n\nOUR WORK\n\nFINANCIAL SECTION\n\nCORPORATE DATA", - "page_start": 1, - "page_end": 1, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "### OUR WORK\n\nNISSAN IS A WORLD-CLASS AUTOMOBILE MANUFACTURER. TO ENVISION, PLAN, BUILD AND DISTRIBUTE MILLIONS OF AUTOMOBILES TO THE WORLD REQUIRES A CLEAR DEFINITION OF ROLES AND PROCESSES. AT NISSAN, OUR BUSINESS DIVISIONS COMMUNICATE IDEAS ACROSS COUNTRIES, CULTURES AND FUNCTIONS TO DEVISE THE TRANSPARENT, EFFICIENT SOLUTIONS THAT CREATE SUCCESS. THIS IS THE NISSAN SHIFT_", - "page_start": 33, - "page_end": 33, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "#### NON-CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries *Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\n| | | | | | | Millions of U.S. dollars (Note 1) |\n| --- | --- | --- | --- | --- | --- | --- |\n| | | | Millions of yen (except per share amounts and number of employees) | | | (except per share amounts) |\n| | 2004 | 2003 | 2002 | 2001 | 2000 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2002 | Mar. 31, 2001 | Mar. 31, 2005 |\n| Net sales | ¥3,718,720 | ¥3,480,290 | ¥3,419,068 | ¥3,019,860 | ¥2,980,130 | $ 34,754 |\n| Operating income | 231,764 | 245,836 | 316,059 | 242,279 | 127,762 | 2,166 |\n| Net income | 102,415 | 80,713 | 72,869 | 183,449 | 187,485 | 957 |\n| Net income per share (Note 2) | 23.24 | 18.15 | 16.09 | 45.61 | 47.14 | 0.22 |\n| Cash dividends paid (Note 3-4) | 24.00 | 19.00 | 14.00 | 8.00 | 7.00 | 0.22 |\n| Shareholder's equity | ¥1,685,893 | ¥1,709,705 | ¥1,798,716 | ¥1,829,052 | ¥1,450,159 | $ 15,756 |\n| Total assets | 3,981,914 | 4,055,579 | 3,933,993 | 3,915,031 | 3,576,466 | 37,214 |\n| Long-term debt | 489,151 | 653,392 | 902,118 | 942,518 | 798,009 | 4,572 |\n| Depreciation and amortization | 102,145 | 115,180 | 56,760 | 56,265 | 49,074 | 954,626 |\n| Number of employees | 32,177 | 31,389 | 31,128 | 30,365 | 30,747 | |\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year.\n\nFigures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends paid represent the amounts proposed by the Board of Directors as applicable to the respective years, together with the interim cash dividends paid.\n\n4. Cash dividends applicable to fiscal year 2004 is ¥24.00 per share.", - "page_start": 106, - "page_end": 106, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **Growing in Areas of Expansion**\n\nJED CONNELLY Senior Vice President Nissan North America\n\n\"We had a terrific year in North America; sales for calendar year 2004 grew by 24.7 percent, and that growth that came in a flat U.S. market. The auto industry here only rose by about 237,000 vehicles, while Nissan was up by 191,000 cars. It was a strong year with a rich mix of products. The Altima continues to be a core car\n\nfor us, and our most important car in terms of volume. We sell over 200,000 Altimas a year, at a rate of 20,000 units per month—outstanding for a car so far along in its lifecycle. The Infiniti has also been phenomenal over the past few years. The G35 sedan and coupe continue to be the icons of the brand, driving both volume and profit.\n\nOur success always comes down to the product. We had great products from top to bottom, throughout the lineup and in both divisions. We were also very intelligent, I believe, in the way we price our vehicles—very close to the transaction price, and with limited reliance on incentives. That's been our strategy for four years, and it works. Customers understand that we provide a great product at a fair price. The other key to our success has been a very consistent marketing message. The SHIFT_ campaign is consistent and has been in place for some time now, and it's starting to gain traction with the public. Consumers look at Nissan products and our dealerships and say, 'Hey, something really is going on at Nissan!'\n\nIn a year full of successes, the one thing we would like to have handled better was the Quest. We had some initial quality issues, and some trim mix issues. We've corrected these, however, and repackaged the Quest to give people their most popular options. We've also made great strides in quality and on other aspects get it right.\n\nFor fiscal 2005 we have a volume growth target of 3.3 percent, but in the first three months of this period we were actually up by 18 percent! We launched a few new products at the end of the last year, so it's probably not realistic to expect that kind of volume for the whole year, but it makes us very confident of reaching our target.\n\nWe won't have any completely new products in fiscal 2005. That means that, while we will have solid, enviable growth, it won't translate into the spectacular numbers we've had over the past four years. The Altima will continue to drive our growth—it's in its fifth year, but still a remarkable performer. We've gotten a good boost in the market from the Pathfinder, which was relaunched last fall. We also expect to make some inroads with the Frontier, which is outperforming its competitors—it's clearly the best truck in the mid-size truck segment. This is, however, a difficult segment at the moment.\n\nWe have a great opportunity to build on the strengths that we've demonstrated in North America over the past four years. We have solid growth, and we continue to establish the Nissan brand. We have new models that continue to gain strength, such as the Murano, which has done wonderful things for Nissan's image in the market. On the Infiniti side, we just launched the M45, the mid-size luxury sedan that competes with the BMW 5 series. In the first three months after its launch, the M45 is doing very well. As we continue to establish Nissan brand recognition, we also will continue to define Infiniti, because now we're strong with the M45, strong in the luxury crossover market with the FX, and with the M we have a luxury sedan that can compete with anything in its class. Infiniti is strong all across the board.\n\nNot having a new product launch in fiscal year 2005 might be seen as a risk, but the current models are strong and selling well, and we'll have a host of new models in 2006. Most of our risks in the coming year are from", - "page_start": 63, - "page_end": 63, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "Why did Sundance Energy's oil sales improve in 2014?", - "target_page": 18, - "target_passage": "The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a decrease in product pricing ($15.7 million). ", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "**CHAIRMAN'S LETTER**\n\n*Despite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.*\n\n# *Dear Fellow Shareholders,*\n\n*I am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n### **The Eagle Ford – driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the basin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 which includes the acquisition of approximately 18,000 net acreage in 2014. By the end of the first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence in this prolific oil and gas region has been driving significant value for the Company and our shareholders, and continues to form our priority focus for development and acreage growth in the coming years.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford acreage where we continue to pursue operational and drilling efficiencies, opportunities to further improve well economics by improving recoveries and reducing costs. In 2014 this included a switch to pad drilling with zipper fracs and new completion techniques that have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance at 7,850 – 8,500 BOEPD, an increase from the previous year of some 13 – 17 percent, but a target that we believe is achievable while maintaining acceptable levels of liquidity given our demonstrated abilities and growing footprint in the Eagle Ford.\n\n### **Safety and Environment**\n\nSundance has a strong culture throughout the organisation of ensuring that high standards of safety are maintained and that our operations are conducted in an environmentally responsible way. During 2014 our comprehensive safety program was enhanced and further improvements will be a strong focus throughout 2015.\n\n#### **A strong financial position**\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or bolt-on acquisitions in our core Eagle Ford focus area within our current, conservative balance sheet parameters.\n\n### **Positive outlook for 2015**\n\nDespite the current oil pricing scenario, Sundance's medium-to-long term growth trajectory looks very positive.\n\nWe can demonstrate this through:\n\n- A track record of capital efficient growth\n- A track record of value creation\n- Being a low cost/high margin operator\n- Having top tier Eagle Ford assets with an extensive drilling inventory\n- Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, and with the increasing interest and support from institutional and retail investors. I believe that Sundance will deliver significant long-term value from our assets for our shareholders.\n\n#### **Thank you for your support**\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued contribution of the Board of Directors, management team and all staff and contractors of the Company in helping us achieve our strategic goals. I am confident that we have the right team and excellent assets in place to execute our clear and focused strategy that we expect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your strong support of the Company throughout the year. We are committed to delivering long-term value for our shareholders and I look forward to reporting over the rest of the coming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n**MIKE HANNELL** *Chairman*\n\n*The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.*", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**CEO'S REPORT**\n\n# *Dear Fellow Shareholders,*\n\n*2014 Review—2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| | Sundance's Performance versus the ASX 200 | | |\n| --- | --- | --- | --- |\n| | | ANNUAL PERCENTAGE CHANGE | |\n| | IN 2P PV10 | | |\n| | (NET ASSET VALUE) | IN SUNDANCE | |\n| YEAR | PER DEBT ADJUSTED SHARE | PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs and liquidity, a stark contrast from the go-go growth times which existed in the first half of the year. This shift in industry strategy has now come in line with our general business philosophy—in the resource space, low-cost, low debt businesses will survive and thrive across cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% cost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: 1) investment in a leading technical team that is encouraged to take reasonable risks to improve recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as demonstrated by our consistent track record of divesting assets that don't fit our strategic objectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and thus generates good returns, even in a low price environment. Because of these characteristics, the majority of our forward capital is expected to be invested generating strong growth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance's Mississippian/Woodford position generally requires higher prices to meet our hurdle rates. Because of the mixed Woodford results, higher overall unit costs, and depressed pricing at year end, we recognized an impairment charge of ~$60 million on these assets at year 2014. Had prices maintained their strength, we likely would have been in a position to recover our investment from these assets.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "#### **Corporate Overview and Strategy**\n\nSundance Energy Australia Limited (ASX: SEA) is an onshore oil and natural gas company focused on the exploration, development and production of large, repeatable resource plays in North America. The Company's oil and natural gas properties are located in premier U.S. oil and natural gas basins, and its current operational activities are focused in south Texas targeting the Eagle Ford formation (''Eagle Ford'') and north central Oklahoma targeting the Mississippian and Woodford formations (''Mississippian/Woodford'').\n\nThe Company utilises its U.S.-based management and technical team to appraise, develop, produce and grow its portfolio of assets. The Company's strategy focuses on generating cash flow from its existing production base, developing assets where it is the operator and has high working interests, exploring for additional resources within its existing basins and pursuing strategic merger and acquisition opportunities, which positions it to control the pace of its development and the allocation of capital resources.\n\n#### **Contents**\n\n| Performance Summary 1 |\n| --- |\n| Chairman's Letter 2 |\n| Managing Director's Letter 4 |\n| Financial Overview 6 |\n| Operations Overview 8 |\n| Eagle Ford 10 |\n| Greater Anadarko 12 |\n| Directors' Report 15 |\n| Remuneration Report 28 |\n| Auditor's Independence Declaration 45 |\n| Corporate Governance 46 |\n| Financial Information 54 |\n| Directors' Declaration 106 |\n| Auditor's Report 107 |\n| Additional Information 109 |\n| Corporate Information 111 |\n| Forward-Looking Statements 111 |\n| Competent Persons Statement 111 |\n\n#### **Abbreviations & Definitions**\n\n**1P Reserves**—proved reserves which have at least a 90% probability that the quantities actually recovered will equal or exceed the estimate\n\n**2P Reserves**—proved plus probable reserves which have at least a 50% probability that the quantities actually recovered will equal or exceed the estimate\n\n**3P Reserves**—proved plus probable plus possible reserves which have at least a 10% probability that the quantities actually recovered will equal or exceed the estimate **Enterprise Value or EV**—market capitalisation less cash\n\nplus debt **PV10**—discounted cash flows of the Company's reserves\n\nusing a 10% discount factor **Bbl**—one barrel of oil\n\n**BOE**—a barrel of oil equivalent, using the ratio of six Mcf of natural gas to one Bbl of crude oil\n\n**BOEPD**—barrels of oil equivalent per day\n\n**Constant Case**—the reserve report case using first of month average pricing for the trailing 12 months held constant throughout the life of the reserves as prescribed by the US Securities and Exchange Commission (SEC)\n\n**MBOE**—a thousand barrels of oil equivalent **MMBOE**—a million barrels of oil equivalent **MBbl**—a thousand barrels of crude oil\n\n**Mcf**—one thousand cubic feet of natural gas\n\n**MMcf**—one million cubic feet of natural gas\n\n**M**—when used with $ equals millions\n\n**Net Acres**—gross acres multiplied by the Company's working interest\n\n**Net Wells**—gross wells multiplied by the Company's working interest\n\n**PDP**—proved developed producing reserves **PUD**—proved undeveloped reserves\n\n**PV/I**—net change in the proved PV10 of the constant case reserve report divided by development capital expenditures during the period under consideration less proceeds from divestitures\n\n**ROCE**—return on capital employed defined as earnings before interest and taxes divided by assets minus current liabilities\n\n*One barrel of oil is the energy equivalent of six Mcf of natural gas.*\n\n*All oil and gas quantity and revenue amounts presented in this report are net of royalties.*\n\n*All currency amounts presented in this report are shown in US dollars except per share amounts which are presented in Australian dollars or unless otherwise noted by \"A$\", which represents Australian dollars.*", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**FINANCIAL OVERVIEW**\n\n*Through our emphasis on operating and G&A cost control initiatives, the Company's record oil and natural gas sales translated to best-in-class Adjusted EBITDAX Margin (79 percent) among peers our size and a full 10 absolute percentage points higher than the average of our entire peer group.*\n\nAs a result of its significant production increase, the Company's 2014 oil, NGL and natural gas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase compared to $85.3 million in 2013.\n\n**REVENUE** (US$000s) **AND PRODUCTION** (Boe/d)\n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 million (79 percent of revenue); a 140 percent increase compared to $52.6 million (62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth compared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth.\n\nThis Adjusted EBITDAX (generally a good proxy for our operating cash flow) increase was primarily the result of increased revenue and the following cost controlled operating expenses:\n\n• *Lease operating expenses* increased only slightly (12 percent), despite significant production increases (108 percent). As a result of several changes in its field operations and economies of scale, the Company has realized improvement in its lease operating costs per barrel.\n\n• *Production taxes* also only increased slightly (11 percent), despite significant revenue increase (87 percent). Through a series of strategic dispositions, the Company has shifted its state production mix from primarily high severance tax rate\n\njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions (states of Texas and Oklahoma).\n\n• *General and administrative expenses* remained relatively flat compared to prior year. This is primarily due to the fact that the Company began ramping up staffing in 2013 as it expected development growth in late 2013 and 2014.", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# *The Eagle Ford continues to have one of the highest internal rates of return of any of the US unconventional resource plays.*\n\nBecause of its relatively low operating costs, the Eagle Ford to remains profitable during current oil commodity pricing conditions. Sundance has quickly transformed the Eagle Ford position acquired in its merger with Texon Petroleum Ltd to its most valuable asset in its portfolio through development and growing its drilling inventory.\n\n> In 2014, the Company brought 35 gross (26.1 net) Eagle Ford wells into\n\n**EAGLE FORD**\n\n| As at and for theYear Ended 31 December 2014 |\n| --- |\n\n| Production (boe) | 1,696,549 |\n| --- | --- |\n| Production (BOEPD) | 4,648 |\n| Liquids % of sales | 91% |\n| Exit Rate (BOEPD) | 8,177 |\n| D&P Capital Invested | $ 244,134 |\n| E&E Capital Invested and Acquisitions | $ 59,903 |\n| Gross producing wells | 77 |\n| Net Producing wells | 53.8 |\n| Gross Wells in Progress | 19 |\n| Net Wells in Progress | 10.6 |\n| Net Acres | 26,160 |\n\nproduction by D&P investments of $244 million. Through $26 million of direct mineral leases and $36 million of acquisitions in 2014, the Company increased its Eagle Ford acreage position to 20,742 net acres, which represents 153.7 net undrilled 3P Reserves locations.\n\nSince its entrance into the Eagle Ford in March 2013, the Company has:\n\n• increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 percent CAGR);\n\n• increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million (an 18x increase));\n\n• increased its acreage to approximately 33,000 net acres, primarily in the volatile oil and condensate window of the Eagle Ford (includes 14,180 net acres acquired in January 2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring Maverick County);\n\n• increased its producing well count to 77 gross (53.8 net), with an additional 19 gross (10.6 net) wells in progress at year-end;\n\n• increased its undrilled 3P Reserves drilling locations to 153.7 net; which represents a 4.3 year drilling inventory (assuming two rig program drilling 36 net wells per year and 40-80 acre spacing)\n\n#### **EAGLE FORD CONSTANT CASE RESERVES** *As at and for theYear Ended 31 December 2014*\n\n| 1P Reserves (mboe) | 18,131.9 |\n| --- | --- |\n| 3P Reserves (mboe) | 100,404.1 |\n| 1P Reserves (PV10 ($000s)) | $ 449,287.5 |\n| 3P Reserves (PV10 ($000s)) | $ 1,202,313.1 |\n| Net 1P Reserves Drilling Locations | 42.6 |\n| Net 3P Reserves Drilling Locations | 153.7 |\n\n**EAGLE FORD**\n\n■ PROBABLE AND POSSIBLE\n\n**—** DRILLING INVENTORY (YEARS)", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "In addition to the significantly improved operating profitability, the Company exited two non-core basins which resulted in a gain on sales of non-current assets of $50.3 million. The DJ and Bakken dispositions that occurred in 2014 are further proving the Company's track-record of large opportunistic dispositions that result in a high internal rate of return; allowing the Company to reinvest proceeds in basins with higher risk-adjusted\n\nreturns. Since 2007, the Company disposed of six prospects or basins with an aggregate transaction value of nearly $400 million. These dispositions had a transaction value weighted return of 83 percent. The 2014 DJ disposition (transaction value of $113 million) yielded the Company's highest internal rate of return to date of 104 percent.\n\nAs a result of the increased revenue, cost controlled operating and G&A expenses and gain on sales, offset by the Company's non-cash impairment of $71.2 million (due to the depressed oil commodity pricing at year-end), the Company reported profits before income tax for the year of $14.5 million.\n\n**INTERNAL RATE OF RETURN AND TRANSACTION VALUES** *(in millions)*\n\nAs mentioned above, the Company's Adjusted EBITDAX for the period ($126.4 million) approximates its operating cash flow of $128.1 million. This operating cash flow, along with i) net proceeds from the disposition of the DJ and Bakken basins ($118.8 million), ii) net proceeds from issuance of equity ($68.7 million) and iii) net debt draws ($100.0 million) were the Company's primary sources of cash (collectively $415.6 million), funding $437.2 million of cash uses including, i) development expenditures ($362.0 million), ii) exploration expenditures ($39.6 million) and iii) an acquisition of primarily undeveloped acreage in the Eagle Ford ($35.6 million).\n\nDespite the Company's robust 2014 drilling and completion program, it continued to preserve liquidity with $69.2 million of cash and equivalents and $15.0 million of undrawn borrowing capacity at year-end. The Company also maintains a low-leverage model with outstanding principal of $130.0 million at year-end, which represents 1.0x the Company's 2014 Adjusted EBITDAX. The Company ranks among the lowest of its peers in this leverage metric, a full 272 absolute basis points below the mean of its peers (3.8x).", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**Natural gas liquids sales (NGL)**. NGL sales increased by $5.4 million (169.5%) to $8.6 million for the year ended 31 December 2014 from $3.2 million for the same period in prior year. The increase in NGL revenues was primarily the result of increased production volumes in the Eagle Ford and Anardarko Basins. NGL production volumes increased 172,131 Bbls (179.6%) to 267,952 Bbls for the year ended 31 December 2014 compared to 95,821 Bbls for the prior year. The average price we realised on the sale of our natural gas liquids decreased by 3.6% to $32.24 per Bbl for the year ended 31 December 2014 from $33.45 per Bbl for the prior year.\n\n| | Year ended 31 December | | | |\n| --- | --- | --- | --- | --- |\n| | | | Change in | Change as |\n| Selected per Boe metrics (US$) | 2014 | 2013 | $ | % |\n| Total oil, natural gas and NGL revenue | 71.22 | 79.10 | (7.88) | (10.0) |\n| Lease operating expense | (6.03) | (11.23) | (5.21) | (46.4) |\n| Production tax expense | (3.10) | (5.80) | (2.70) | (46.5) |\n| Depreciation and amortisation expense | (38.15) | (33.57) | 4.58 | 13.6 |\n| General and administrative expense | (6.92) | (14.18) | (7.26) | (51.2) |\n| Total Profit Margin | 17.02 | 14.32 | 2.70 | 18.9 |\n\n**Lease operating expenses.** Our lease operating expenses (LOE) increased by $1.4 million (11.6%) to $13.5 million for the year ended 31 December 2014 from $12.1 million for the same period in prior year but decreased $5.21 per Boe to $6.03 per Boe from $11.23 per Boe. The decrease in LOE per Boe is primarily due to the implementation of several cost saving initiatives in our field operations such as replacing contract lease operators with Company employees and reducing total field head count per well.\n\n**Production taxes.** Our production taxes increased by $0.7 million (11.2%) to $7.0 million for the year ended 31 December 2014 from $6.3 million for the prior year but as a percent of revenue decreased 290 basis points to 4.4% from 7.3%. The decrease in production taxes as a percent of revenue is the result of exiting North Dakota and Colorado, both higher production tax rate jurisdictions, and increasing our investment in Texas and Oklahoma, which are lower production tax rate jurisdictions, as well as an adjustment for lower than anticipated ad valorem taxes.\n\n**Depreciation and amortisation expense, including depletion.** Our depreciation and amortisation expense increased by $49.4 million (136.3%) to $85.6 million for the year ended 31 December 2014 from $36.2 million for the prior year and increased $4.58 per Boe to $38.15 per Boe from $33.57 per Boe. The increase reflects our increase in production (107.9%), an increase in our asset base subject to amortisation as a result of our acquisition and development activity, and increased completion costs caused by high-demand for completion services and a shortage of trucks able to transport frac sand and resultant higher trucking rates.\n\n**General and administrative expenses.** General and administrative expenses per Boe decreased by 51.2% to $6.92 for the year ended 31 December 2014 as compared to $14.18 per Boe for the prior year. The decrease in general and administrative expenses per Boe is driven by increased production levels diluting fixed general and administrative costs.\n\n**Impairment expense.** The Company recorded impairment expense of $71.2 million for the year ended 31 December 2014 on the Company's development and production assetsthat are located in Greater Anadarko and the Eagle Ford as the recoverable amount was less than the carrying value primarily as a result of lower commodity pricing. No impairment was necessary on the Company's exploration and evaluation assets. See Note 17 of the Notes to the Consolidated Financial Statements for further discussion.\n\n**Exploration expense.** The Company incurred exploration expense of $10.9 million for the year ended 31 December 2014 on three unsuccessful exploratory wells in the Anadarko Basin. The Company did not drill any unsuccessful exploratory wells in the prior year.", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "■ PROVED\n\n■ PROBABLE AND POSSIBLE **—** DRILLING INVENTORY (YEARS)\n\n# *The Company and offset operators continue to have success in the Greater Anadarko Basin.*\n\nDuring 2014, the Company increased its production to 1,460 BOEPD; a 957 BOEPD (190 percent) increase compared to 503 BOEPD of production in 2013.\n\nIn 2014, the Company brought 40 gross (16.6 net) Greater Anadarko wells into production by D&P investments of $79.9 million. The Company maintained a strong acreage position of 40,937 net acres, with 259.3 net 3P Reserves drilling locations (over six years of drilling inventory assuming a two-rig program drilling 18 wells/year). **GREATER ANADARKO GREATER ANADARKO**\n\n> 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0\n\nAs at 31 December 2014, the Company's Greater Anadarko 1P\n\n*As at and for theYear Ended 31 December 2014*\n\n| Production (boe) | 532,916 |\n| --- | --- |\n| Production (BOEPD) | 1,460 |\n| Liquids % of sales | 78% |\n| Exit Rate (BOEPD) | 1,257 |\n| D&P Capital Invested | $ 79,851 |\n| E&E Capital Invested | $ 12,561 |\n| Gross producing wells | 65 |\n| Net Producing wells | 27.5 |\n| Gross Wells in Progress | 5 |\n| Net Wells in Progress | 3.1 |\n| Net Acres | 40,937 |\n\nReserves increased to 7,849 MBOE (PV10 of $82.4 million); a 3,445 MBOE (78 percent) increase compared to 4,404 MBOE (PV10 of $66.7 million) at 31 December 2013.\n\n#### **GREATER ANADARKO CONSTANT CARE RESERVES**\n\n*As at and for theYear Ended 31 December 2014*\n\n| 1P Reserves (mboe) | 7,849.4 |\n| --- | --- |\n| 3P Reserves (mboe) | 47,318.7 |\n| 1P Reserves (PV10 ($000s)) | $ 82,447.5 |\n| 3P Reserves (PV10 ($000s)) | $ 282,913.8 |\n| Net 1P Reserves Drilling Locations | 41.8 |\n| Net 3P Reserves Drilling Locations | 259.3 |\n\n#### **NET GREATER ANADARKO DRILLING LOCATIONS** *(excluding contingent resources)*\n\n**JAN-13 JAN-14 JAN-15**", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "| | Year ended 31 December | |\n| --- | --- | --- |\n| (In US$'000s) | 2014 | 2013 |\n| IFRS Profit Loss Reconciliation to Adjusted EBITDAX: | | |\n| Profit attributable to owners of Sundance | 15,321 | 15,942 |\n| Income tax (benefit)/expense | (841) | 5,567 |\n| Finance costs, net of amounts capitalised and interest received | 494 | (232) |\n| (Gain) Loss on derivative financial instruments | (10,792) | 554 |\n| Settlement of derivative financial instruments | 1,150 | 282 |\n| Depreciation and amortisation expense | 85,584 | 36,225 |\n| Impairment of non-current assets | 71,212 | - |\n| Exploration expense | 10,934 | - |\n| Stock compensation, value of services | 1,915 | 1,590 |\n| Gain on sale of non-current assets | (48,604) | (7,335) |\n| Adjusted EBITDAX | 126,373 | 52,594 |\n| EBITDAX Margin | 79% | 62% |\n\nThe following table presents a reconciliation of the profit (loss) attributable to owners of Sundance to Adjusted EBITDAX:\n\n#### *Exploration and Development*\n\nFor the month of December 2014, the Company achieved record production of 9,434 Boe/d, which included 869 Boe/d of flared gas from wells waiting to hook-up to pipelines. The December 2014 exit rate increased 88% over prior year's exit rate of 5,028 Boe/d. During the year ended 31 December 2014, the Company produced 2.4 MMBoe, which included 0.2 MMBoe of flared gas. This result was more than double the production in prior year, primarily as a result of increased drilling activity and production in the Eagle Ford Basin.\n\nThe Company's exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford Formations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford Formations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and development expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and development expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into production, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were drilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared to the beginning of the year.\n\n#### *Acquisitions*\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of approximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks of acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage ($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This acquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its sole discretion, to acquire the Seller's remaining working interest for an additional $45 million for the earlier of one year from closing the acquisition or six months from first production of hydrocarbons.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I heard that Sundance Energy has acquired land in South Texas in July 2014, where is it?", - "target_page": 21, - "target_passage": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "#### **Corporate Overview and Strategy**\n\nSundance Energy Australia Limited (ASX: SEA) is an onshore oil and natural gas company focused on the exploration, development and production of large, repeatable resource plays in North America. The Company's oil and natural gas properties are located in premier U.S. oil and natural gas basins, and its current operational activities are focused in south Texas targeting the Eagle Ford formation (''Eagle Ford'') and north central Oklahoma targeting the Mississippian and Woodford formations (''Mississippian/Woodford'').\n\nThe Company utilises its U.S.-based management and technical team to appraise, develop, produce and grow its portfolio of assets. The Company's strategy focuses on generating cash flow from its existing production base, developing assets where it is the operator and has high working interests, exploring for additional resources within its existing basins and pursuing strategic merger and acquisition opportunities, which positions it to control the pace of its development and the allocation of capital resources.\n\n#### **Contents**\n\n| Performance Summary 1 |\n| --- |\n| Chairman's Letter 2 |\n| Managing Director's Letter 4 |\n| Financial Overview 6 |\n| Operations Overview 8 |\n| Eagle Ford 10 |\n| Greater Anadarko 12 |\n| Directors' Report 15 |\n| Remuneration Report 28 |\n| Auditor's Independence Declaration 45 |\n| Corporate Governance 46 |\n| Financial Information 54 |\n| Directors' Declaration 106 |\n| Auditor's Report 107 |\n| Additional Information 109 |\n| Corporate Information 111 |\n| Forward-Looking Statements 111 |\n| Competent Persons Statement 111 |\n\n#### **Abbreviations & Definitions**\n\n**1P Reserves**—proved reserves which have at least a 90% probability that the quantities actually recovered will equal or exceed the estimate\n\n**2P Reserves**—proved plus probable reserves which have at least a 50% probability that the quantities actually recovered will equal or exceed the estimate\n\n**3P Reserves**—proved plus probable plus possible reserves which have at least a 10% probability that the quantities actually recovered will equal or exceed the estimate **Enterprise Value or EV**—market capitalisation less cash\n\nplus debt **PV10**—discounted cash flows of the Company's reserves\n\nusing a 10% discount factor **Bbl**—one barrel of oil\n\n**BOE**—a barrel of oil equivalent, using the ratio of six Mcf of natural gas to one Bbl of crude oil\n\n**BOEPD**—barrels of oil equivalent per day\n\n**Constant Case**—the reserve report case using first of month average pricing for the trailing 12 months held constant throughout the life of the reserves as prescribed by the US Securities and Exchange Commission (SEC)\n\n**MBOE**—a thousand barrels of oil equivalent **MMBOE**—a million barrels of oil equivalent **MBbl**—a thousand barrels of crude oil\n\n**Mcf**—one thousand cubic feet of natural gas\n\n**MMcf**—one million cubic feet of natural gas\n\n**M**—when used with $ equals millions\n\n**Net Acres**—gross acres multiplied by the Company's working interest\n\n**Net Wells**—gross wells multiplied by the Company's working interest\n\n**PDP**—proved developed producing reserves **PUD**—proved undeveloped reserves\n\n**PV/I**—net change in the proved PV10 of the constant case reserve report divided by development capital expenditures during the period under consideration less proceeds from divestitures\n\n**ROCE**—return on capital employed defined as earnings before interest and taxes divided by assets minus current liabilities\n\n*One barrel of oil is the energy equivalent of six Mcf of natural gas.*\n\n*All oil and gas quantity and revenue amounts presented in this report are net of royalties.*\n\n*All currency amounts presented in this report are shown in US dollars except per share amounts which are presented in Australian dollars or unless otherwise noted by \"A$\", which represents Australian dollars.*", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# **Sundance Energy Australia Limited**\n\nABN 76 112 202 883\n\n### **Directors**\n\nMichael D. Hannell –*Chairman* Eric McCrady – *Managing Director and CEO* Damien A. Hannes – *Non-Executive Director* Neville W. Martin – *Non-Executive Director* Weldon Holcombe – *Non-Executive Director*\n\n### **Company Secretary**\n\nDamien Connor\n\n# **Registered Office**\n\n32 Beulah Road Norwood SA 5067 Phone: (61 8) 8363 0388 Fax: (61 8) 8132 0766 Website: www.sundanceenergy.com.au\n\n# **Corporate Headquarters Sundance Energy, Inc.**\n\n633 17th Street, Suite 1950 Denver, CO 80202 USA Phone: (303) 543-5700 Fax: (303) 543-5701 Website: www.sundanceenergy.net\n\n### **Auditors**\n\nErnst & Young Ernst & Young Centre 680 George Street Sydney NSW 2000\n\n# **Australian Legal Advisors**\n\nBaker & McKenzie Level 27, AMP Centre 50 Bridge Street Sydney, NSW 2000 Australia\n\n### **Bankers**\n\nNational Australia Bank Limited –Australia Wells Fargo – United States\n\n# **Share Registry**\n\nComputershare Investor Services Pty Ltd Level 5, 115 Grenfell Street Adelaide SA 5000\n\n# **Securities Exchange Listing**\n\nAustralian Securities Exchange (ASX) ASX Code: SEA\n\n### **Forward-Looking Statements**\n\nThis Annual Report includes forward-looking statements. These statements relate to Sundance's expectations, beliefs, intentions or strategies regarding the future. These statements can be identified by the use of words like \"anticipate\", \"believe\", \"intend\", \"estimate\", \"expect\", \"may\", \"plan\", \"project\", \"will\", \"should\", \"seek\" and similar words or expressions containing same. The forward-looking statements reflect the Company's views and assumptions with respect to future events as of the date of this presentation and are subject to a variety of unpredictable risks, uncertainties, and other unknowns. Actual and future results and trends could differ materially from those set forth in such statements due to various factors, many of which are beyond our ability to control or predict. Given these uncertainties, no one should place undue reliance on any forward-looking statements attributable to Sundance, or any of its affiliates or persons acting on its behalf. Although every effort has been made to ensure this report sets forth a fair and accurate view, we do not undertake any obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.\n\n### **Competent Persons Statement**\n\nThis report contains information on Sundance Energy's reserves and resources which has been reviewed by David Ramsden-Wood, Professional Engineer, who is licensed in Alberta, Canada and is qualified in accordance with ASX Listing Rule 5.11 and has consented to the inclusion of this information in the form and context in which it appears.\n\nDESIGN BY: Mark Mulvany Graphic Design *(Denver, CO)*", - "page_start": 112, - "page_end": 112, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**CHAIRMAN'S LETTER**\n\n*Despite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.*\n\n# *Dear Fellow Shareholders,*\n\n*I am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n### **The Eagle Ford – driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the basin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 which includes the acquisition of approximately 18,000 net acreage in 2014. By the end of the first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence in this prolific oil and gas region has been driving significant value for the Company and our shareholders, and continues to form our priority focus for development and acreage growth in the coming years.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## **ACQUIRING NEW ACREAGE**\n\nFuture exploration success depends on quality exploration acreage. Santos acquired five exploration blocks in three hydrocarbon provinces during 2004. The most significant of these were in Egypt and Indonesia.\n\nSAN165 WWW Text 30/3/05 12:07 PM Page 16\n\nEgypt and surrounding countries are a focus area for Santos. The Company has farmed in to three exploration blocks in Egypt with US petroleum group, Devon Energy, committing approximately $70 million to an eight-well exploration joint venture over the next three years in the Gulf of Suez. This is Santos' first move into the North Africa–Middle East region, which is considered the world's premier hydrocarbon province.\n\nSantos continues to seek other exploration opportunities in this area, concentrating on the Gulf of Suez and the onshore Desert Basins.\n\nSantos has acquired six exploration permits in Indonesia over the past three years, including an interest in the Donggala PSC in the Kutei Basin during late 2004. This block lies between Santos' other Kutei acreage: the Papalang and Popodi PSCs.\n\nThe addition of the Donggala PSC gives Santos a particularly strong presence in the Kutei Basin and covers a highly prospective trend, while adding to the Company's growing Indonesian operations.\n\nOther exploration acreage portfolio management and activities during 2004 included:\n\n- the award of exploration permit T/36P in the Sorell Basin, offshore Tasmania\n- the addition of three new venture areas in the shallow waters of the Gulf of Mexico and onshore Montana and Texas, which significantly expands and diversifies the US exploration acreage and prospect inventory\n- the farm-out of a 16.67% interest in the WA-264-P permit offshore Western Australia to Beach Petroleum\n- the farm-out of a 60% interest and operatorship of the NT/P61 permit in the Bonaparte Basin, offshore northern Australia to ConocoPhillips\n- the farm-out of a 70% interest in the deep water exploration block, Nth Bali 1 PSC, offshore East Java Basin to Total and Mitsui\n- the farm-out of a 25% interest in the VIC P/51 block containing the Callister prospect to Mitsui & Co subsidiary Mitwell Energy Resources.\n\nThese farm-outs continued the trend of risk-sharing with quality partners.\n\n#### **ADDING MATERIAL PROSPECTS**\n\nSantos is now in a position that exploration success in 2004 and good acreage management has created future options that will ultimately translate into greater value for the business in 2005 and beyond.\n\nThis has been achieved by focusing on 'basin excellence'. This means becoming a technical leader in basins, within our focus areas, entering early where possible to keep entry costs down, balancing the commercial and the technical risks and selecting the right co-venturers.\n\n# **2004 EXPLORATION EXPENDITURE BY CATEGORY**\n\n- Geoscience and other $37.5 million\n- Seismic $17.2 million\n- New ventures $7.3 million\n\nAn example of this is the strong position Santos has created in the Kutei Basin, with interests in three neighbouring production sharing contracts: Popodi, Donggala and Papalang.\n\n## **2004 EXPLORATION EXPENDITURE BY REGION**\n\n- United States $28.2 million\n2004 also marked the year that Santos drilled its first operated deep water wells – a significant achievement for a company that had its beginnings in a desert environment.", - "page_start": 17, - "page_end": 17, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "#### **Information on Directors**\n\n#### **Michael Damer Hannell**\n\n*Chairman, BSc Eng (Hons), FIEAust*\n\n#### *Experience*\n\nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008. Mr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in the upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations, exploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom, continental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently finished his term as the chairman of Rees Operations Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian automotive components and transportation container manufacturer and supplier. He has also held a number of other board appointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry. Mr. Hannell has also served on a number of not-for-profit boards, with appointments as president of the Adelaide-based Chamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry), chairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a member of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in Engineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia.\n\n*Interest in Shares*: 1,059,000 ordinary shares in Sundance Energy Australia Limited\n\n*Special Responsibilities*: -Chairman of the Board of Directors -Chairman of the Remuneration and Nominations Committee -Member of the Audit and Risk Management Committee -Member of the Reserves Committee\n\n*Other Directorships*: Nil\n\n#### **Eric P. McCrady**\n\n*Director, BS in Business* Administration\n\n#### *Experience*\n\nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November 2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady has served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was employed by The Broe Group, a private investment firm, in various financial and executive management positions across a variety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady was employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business Administration from the University of Colorado, Boulder.\n\n*Interest in Shares, Restricted Share Units and Options:* 1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units\n\n*Special Responsibilities*: Managing Director and Chief Executive Officer of the Company\n\n*Other Directorships*: Nil", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# *The Eagle Ford continues to have one of the highest internal rates of return of any of the US unconventional resource plays.*\n\nBecause of its relatively low operating costs, the Eagle Ford to remains profitable during current oil commodity pricing conditions. Sundance has quickly transformed the Eagle Ford position acquired in its merger with Texon Petroleum Ltd to its most valuable asset in its portfolio through development and growing its drilling inventory.\n\n> In 2014, the Company brought 35 gross (26.1 net) Eagle Ford wells into\n\n**EAGLE FORD**\n\n| As at and for theYear Ended 31 December 2014 |\n| --- |\n\n| Production (boe) | 1,696,549 |\n| --- | --- |\n| Production (BOEPD) | 4,648 |\n| Liquids % of sales | 91% |\n| Exit Rate (BOEPD) | 8,177 |\n| D&P Capital Invested | $ 244,134 |\n| E&E Capital Invested and Acquisitions | $ 59,903 |\n| Gross producing wells | 77 |\n| Net Producing wells | 53.8 |\n| Gross Wells in Progress | 19 |\n| Net Wells in Progress | 10.6 |\n| Net Acres | 26,160 |\n\nproduction by D&P investments of $244 million. Through $26 million of direct mineral leases and $36 million of acquisitions in 2014, the Company increased its Eagle Ford acreage position to 20,742 net acres, which represents 153.7 net undrilled 3P Reserves locations.\n\nSince its entrance into the Eagle Ford in March 2013, the Company has:\n\n• increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 percent CAGR);\n\n• increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million (an 18x increase));\n\n• increased its acreage to approximately 33,000 net acres, primarily in the volatile oil and condensate window of the Eagle Ford (includes 14,180 net acres acquired in January 2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring Maverick County);\n\n• increased its producing well count to 77 gross (53.8 net), with an additional 19 gross (10.6 net) wells in progress at year-end;\n\n• increased its undrilled 3P Reserves drilling locations to 153.7 net; which represents a 4.3 year drilling inventory (assuming two rig program drilling 36 net wells per year and 40-80 acre spacing)\n\n#### **EAGLE FORD CONSTANT CASE RESERVES** *As at and for theYear Ended 31 December 2014*\n\n| 1P Reserves (mboe) | 18,131.9 |\n| --- | --- |\n| 3P Reserves (mboe) | 100,404.1 |\n| 1P Reserves (PV10 ($000s)) | $ 449,287.5 |\n| 3P Reserves (PV10 ($000s)) | $ 1,202,313.1 |\n| Net 1P Reserves Drilling Locations | 42.6 |\n| Net 3P Reserves Drilling Locations | 153.7 |\n\n**EAGLE FORD**\n\n■ PROBABLE AND POSSIBLE\n\n**—** DRILLING INVENTORY (YEARS)", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**CEO'S REPORT**\n\n# *Dear Fellow Shareholders,*\n\n*2014 Review—2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| | Sundance's Performance versus the ASX 200 | | |\n| --- | --- | --- | --- |\n| | | ANNUAL PERCENTAGE CHANGE | |\n| | IN 2P PV10 | | |\n| | (NET ASSET VALUE) | IN SUNDANCE | |\n| YEAR | PER DEBT ADJUSTED SHARE | PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs and liquidity, a stark contrast from the go-go growth times which existed in the first half of the year. This shift in industry strategy has now come in line with our general business philosophy—in the resource space, low-cost, low debt businesses will survive and thrive across cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% cost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: 1) investment in a leading technical team that is encouraged to take reasonable risks to improve recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as demonstrated by our consistent track record of divesting assets that don't fit our strategic objectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and thus generates good returns, even in a low price environment. Because of these characteristics, the majority of our forward capital is expected to be invested generating strong growth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance's Mississippian/Woodford position generally requires higher prices to meet our hurdle rates. Because of the mixed Woodford results, higher overall unit costs, and depressed pricing at year end, we recognized an impairment charge of ~$60 million on these assets at year 2014. Had prices maintained their strength, we likely would have been in a position to recover our investment from these assets.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "| Houston, Texas | 93,000 | Owned | |\n| --- | --- | --- | --- |\n| Knoxville, Iowa | 130,000 | Owned | |\n| Osceola, Iowa | 334,000 | Owned | |\n| Quakertown, Pennsylvania | 13,000 | Owned | |\n| Rochelle, Illinois | 440,000 | Owned | |\n| Sparta, Wisconsin | 185,000 | Owned | |\n| Stockton, California | 139,000 | Owned | |\n| Tucker, Georgia | 259,000 | Owned | |\n| Wichita, Kansas | 80,000 | Owned | |\n| Warehouse/Distribution Centers | | | |\n| Austin, Minnesota—Annex | 83,000 | Owned | |\n| Dayton, Ohio | 140,000 | Owned | |\n| Eldridge, Iowa | 280,000 | Leased | October, 2005 |\n| Osceola, Iowa | 233,000 | Owned | |\n| Stockton, California | 232,000 | Leased | July, 2004 |\n| Tucker, Georgia | 96,000 | Leased | October, 2004 |\n| Research and Development Center | | | |\n| Austin, Minnesota | 59,000 | Owned | |\n| Corporate Offices | | | |\n| Austin, Minnesota | 203,000 | Owned | |\n| Dan's Prize, Inc. | | | |\n| Browerville, Minnesota—Plant | 52,000 | Owned | |\n| Long Prairie, Minnesota—Plant | 80,000 | Owned | |\n| Jennie-O Turkey Store, Inc. | | | |\n| Plants | | | |\n| Barron, Wisconsin | 372,000 | Owned | |\n| Faribault, Minnesota | 169,000 | Owned | |\n| Marshall, Minnesota | 142,000 | Owned | |\n| Melrose, Minnesota | 124,000 | Owned | |\n| Montevideo, Minnesota | 85,000 | Owned | |\n| Pelican Rapids, Minnesota | 242,000 | Owned | |\n| Willmar, Minnesota | 419,000 | Owned | |\n\n* Acres\n\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the Company. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los Animas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production volumes and all volumes anticipated in the foreseeable future.\n\n## **Item 3.** *LEGAL PROCEEDINGS*\n\nThe Company knows of no pending material legal proceedings.\n\n#### **Item 4.** *SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS*\n\nNo matters were submitted to shareholders during the fourth quarter of the 2003 fiscal year.\n\n#### **PART II**\n\n#### **Item 5.** *MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS*\n\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002, respectively, are shown below:", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "# **NOTE 18 – EXPLORATION AND EVALUATION EXPENDITURE**\n\n| | 2014 | 2013 |\n| --- | --- | --- |\n| Year ended 31 December | US$'000 | US$'000 |\n| Costs carried forward in respect of areas of interest in: | | |\n| Exploration and evaluation phase, at cost | 156,680 | 167,694 |\n| Provision for impairment | (1,550) | (1,550) |\n| Total Exploration and Evaluation Expenditure | 155,130 | 166,144 |\n| a) Movements in carrying amounts: | | |\n| Exploration and evaluation | | |\n| Balance at the beginning of the period | 166,144 | 33,439 |\n| Amounts capitalised during the period | 39,670 | 14,770 |\n| Fair value of assets acquired | - | 151,115 |\n| Allocation of working interest assets acquired | 34,184 | - |\n| Exploration costs expensed (1) | (10,934) | - |\n| Reclassifications to assets held for sale | - | (1,104) |\n| Amounts transferred to development phase | (59,209) | (31,999) |\n| Exploration tenements sold during the period | (14,725) | (77) |\n| Balance at end of period | 155,130 | 166,144 |\n\n- (1) The Company drilled three exploratory wells in the Anadarko Basin that did not have economically recoverable reserves (i.e. dry wells) and as such, all associated costs were written off.\nIn July 2014, the Company acquired the working interest in approximately 9,200 gross (5,700 net) in Dimmit County, Texas. The purchase price included an initial cash payment of $35.5 million and a commitment to drill four Eagle Ford wells. The purchase price was allocated between exploration and evaluation and development and production assets based on discounted cash flows of developed producing wells.\n\nThe ultimate recoupment of costs carried forward for exploration phase is dependent on the successful development and commercial exploitation or sale of respective areas.\n\n### **NOTE 19 – PROPERTY AND EQUIPMENT**\n\n| | 2014 | 2013 |\n| --- | --- | --- |\n| Year ended 31 December | US$'000 | US$'000 |\n| Property and equipment, at cost | 2,570 | 1,603 |\n| Accumulated depreciation | (1,016) | (556) |\n| Total Property and Equipment | 1,554 | 1,047 |\n| a) Movements in carrying amounts: | | |\n| Balance at the beginning of the period | 1,047 | 423 |\n| Amounts capitalised during the period | 967 | 886 |\n| Depreciation expense | (460) | (262) |\n| Balance at end of period | 1,554 | 1,047 |", - "page_start": 86, - "page_end": 86, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "*Developing America's fuel in the backyard of America's team: a Chesapeake rig drills deep in the Barnett Shale near Cowboys Stadium in Arlington, Texas.*", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I am the CFO of Sundance Energy, will my base increase in 2015 as it did in 2014?", - "target_page": 31, - "target_passage": "No increases to Managing Director’s or KMP’s base salary", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "**CHAIRMAN'S LETTER**\n\n*Despite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.*\n\n# *Dear Fellow Shareholders,*\n\n*I am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n### **The Eagle Ford – driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the basin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 which includes the acquisition of approximately 18,000 net acreage in 2014. By the end of the first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence in this prolific oil and gas region has been driving significant value for the Company and our shareholders, and continues to form our priority focus for development and acreage growth in the coming years.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "| | Year ended 31 December | |\n| --- | --- | --- |\n| (In US$'000s) | 2014 | 2013 |\n| IFRS Profit Loss Reconciliation to Adjusted EBITDAX: | | |\n| Profit attributable to owners of Sundance | 15,321 | 15,942 |\n| Income tax (benefit)/expense | (841) | 5,567 |\n| Finance costs, net of amounts capitalised and interest received | 494 | (232) |\n| (Gain) Loss on derivative financial instruments | (10,792) | 554 |\n| Settlement of derivative financial instruments | 1,150 | 282 |\n| Depreciation and amortisation expense | 85,584 | 36,225 |\n| Impairment of non-current assets | 71,212 | - |\n| Exploration expense | 10,934 | - |\n| Stock compensation, value of services | 1,915 | 1,590 |\n| Gain on sale of non-current assets | (48,604) | (7,335) |\n| Adjusted EBITDAX | 126,373 | 52,594 |\n| EBITDAX Margin | 79% | 62% |\n\nThe following table presents a reconciliation of the profit (loss) attributable to owners of Sundance to Adjusted EBITDAX:\n\n#### *Exploration and Development*\n\nFor the month of December 2014, the Company achieved record production of 9,434 Boe/d, which included 869 Boe/d of flared gas from wells waiting to hook-up to pipelines. The December 2014 exit rate increased 88% over prior year's exit rate of 5,028 Boe/d. During the year ended 31 December 2014, the Company produced 2.4 MMBoe, which included 0.2 MMBoe of flared gas. This result was more than double the production in prior year, primarily as a result of increased drilling activity and production in the Eagle Ford Basin.\n\nThe Company's exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford Formations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford Formations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and development expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and development expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into production, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were drilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared to the beginning of the year.\n\n#### *Acquisitions*\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of approximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks of acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage ($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This acquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its sole discretion, to acquire the Seller's remaining working interest for an additional $45 million for the earlier of one year from closing the acquisition or six months from first production of hydrocarbons.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "For the year ended 31 December 2014 (to be paid in 2015), the following metrics were adopted as targets:\n\n| | Performance | Target |\n| --- | --- | --- |\n| Financial Performance Metric | Target | Weight |\n| Production of oil and natural gas per 1,000 debt adjusted share | 4.06 Boe | 17.5% |\n| Cash margin | 72.6% | 17.5% |\n| Net asset value per debt-adjusted share | 1.02 | 17.5% |\n| PV/I (1) | 1.25 | 17.5% |\n| Health, safety and environmental | Qualitative | 10.0% |\n| Assessment of the performance of senior executives and managers | Qualitative | 20.0% |\n\n(1) Increase in PV10 of proved reserves divided by the capital spent to generate that growth during the period excluding acquisitions and dispositions\n\nThe amount of any STI and LTI bonuses relative to the year ended 31 December 2014 will be determined subsequent to the filing of this report and included in reported remuneration in next year's Directors' Report.\n\n#### *Long-Term Incentives*\n\nWe have two active equity incentive plans under the LTI component of the incentive remuneration program. These are the Sundance Employee Option Plan (\"ESOP\") and the Sundance Energy Australia Limited Restricted Share Units available only to our U.S. employees under the Incentive Remuneration Plan (the \"RSU Plan\"). Any grants made to employees that also serve as a director are subject to shareholder approval prior to issuance.\n\n### *ESOP Plan*\n\nThe ESOP provides for the issuance of stock options at an exercise price determined at the time of the issue by a committee designated by the board (the \"Plan Committee\"). Options under the ESOP may be granted to eligible employees, as determined by the Plan Committee, and typically include our executive officers, directors and key employees.\n\nHistorically, the Plan Committee has granted options in connection with attracting new employees, which grant is made once employment has commenced. It is within the discretion of the Plan Committee, however, to authorize additional option grants during the tenure of employment. Generally, an option vests 20 percent on the 90th day following the grant date, with an additional 20 percent vesting on the first, second, third and fourth anniversaries thereof. Options are valued using the Black-Scholes methodology and recognized as remuneration in accordance with their vesting conditions. In the event of a voluntary winding up of the Company, unvested stock options vest immediately. We may amend the ESOP or any portion thereof, or waive or modify the application of the ESOP rules in relation to a participant, at any time. Certain amendments to the ESOP may require the approval of the option holders.\n\nNo stock options were granted to any officers or directors during fiscal years 2013 or 2014.\n\n#### *RSU Plan*\n\nThe RSU Plan provides for the issuance of restricted share units (\"RSUs\") to our U.S. employees. The purpose of issuing RSUs is to reward senior executives and employees for achievement of financial and operational performance targets established by our board. The RSU Plan is administered by our board. RSUs may be granted to eligible employees from a bonus pool established at the sole discretion of our board. The bonus pool is subject to board and management review of performance metrics with respect to both our and the individual employee's performance over a measured period determined by the Remuneration and Nominations Committee and the board. The RSUs may be settled in cash or shares at the discretion of our board.\n\nUnder the RSU Plan, which applies to 2014 payments earned in 2013, 25% of the RSUs vest upon satisfaction of the performance criteria and share award determination, and 25% vest on each of next three anniversaries. The RSUs are based on performance targets established and approved by our board. The number of RSUs awarded is calculated by dividing the value of the LTI award by the closing price of the Company's shares at the end of the fiscal year for which the award is granted.", - "page_start": 37, - "page_end": 37, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford acreage where we continue to pursue operational and drilling efficiencies, opportunities to further improve well economics by improving recoveries and reducing costs. In 2014 this included a switch to pad drilling with zipper fracs and new completion techniques that have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance at 7,850 – 8,500 BOEPD, an increase from the previous year of some 13 – 17 percent, but a target that we believe is achievable while maintaining acceptable levels of liquidity given our demonstrated abilities and growing footprint in the Eagle Ford.\n\n### **Safety and Environment**\n\nSundance has a strong culture throughout the organisation of ensuring that high standards of safety are maintained and that our operations are conducted in an environmentally responsible way. During 2014 our comprehensive safety program was enhanced and further improvements will be a strong focus throughout 2015.\n\n#### **A strong financial position**\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or bolt-on acquisitions in our core Eagle Ford focus area within our current, conservative balance sheet parameters.\n\n### **Positive outlook for 2015**\n\nDespite the current oil pricing scenario, Sundance's medium-to-long term growth trajectory looks very positive.\n\nWe can demonstrate this through:\n\n- A track record of capital efficient growth\n- A track record of value creation\n- Being a low cost/high margin operator\n- Having top tier Eagle Ford assets with an extensive drilling inventory\n- Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, and with the increasing interest and support from institutional and retail investors. I believe that Sundance will deliver significant long-term value from our assets for our shareholders.\n\n#### **Thank you for your support**\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued contribution of the Board of Directors, management team and all staff and contractors of the Company in helping us achieve our strategic goals. I am confident that we have the right team and excellent assets in place to execute our clear and focused strategy that we expect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your strong support of the Company throughout the year. We are committed to delivering long-term value for our shareholders and I look forward to reporting over the rest of the coming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n**MIKE HANNELL** *Chairman*\n\n*The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.*", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# Opinion\n\nIn our opinion:\n\n- a. the financial report of Sundance Energy Australia is in accordance with the *Corporations Act 2001*, including:\n\t- i giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n\t- ii complying with Australian Accounting Standards and the *Corporations Regulations 2001*; and\n- b. the financial report also complies with *International Financial Reporting Standards* issued by the IASB as disclosed in Note 1.\n\n# *Report on the remuneration report*\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 December 2014. The directors of the company are responsible for the preparation and presentation of the Remuneration Report in accordance with section 300A of the *Corporations Act 2001*. Our responsibility is to express an opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing Standards.\n\n# Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December 2014, complies with section 300A of the *Corporations Act 2001*.\n\nErnst & Young\n\nMichael Elliott Partner Sydney 31 March 2015\n\nA member firm of Ernst & Young Global Limited Liability limited by a scheme approved under Professional Standards Legislation", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**FINANCIAL OVERVIEW**\n\n*Through our emphasis on operating and G&A cost control initiatives, the Company's record oil and natural gas sales translated to best-in-class Adjusted EBITDAX Margin (79 percent) among peers our size and a full 10 absolute percentage points higher than the average of our entire peer group.*\n\nAs a result of its significant production increase, the Company's 2014 oil, NGL and natural gas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase compared to $85.3 million in 2013.\n\n**REVENUE** (US$000s) **AND PRODUCTION** (Boe/d)\n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 million (79 percent of revenue); a 140 percent increase compared to $52.6 million (62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth compared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth.\n\nThis Adjusted EBITDAX (generally a good proxy for our operating cash flow) increase was primarily the result of increased revenue and the following cost controlled operating expenses:\n\n• *Lease operating expenses* increased only slightly (12 percent), despite significant production increases (108 percent). As a result of several changes in its field operations and economies of scale, the Company has realized improvement in its lease operating costs per barrel.\n\n• *Production taxes* also only increased slightly (11 percent), despite significant revenue increase (87 percent). Through a series of strategic dispositions, the Company has shifted its state production mix from primarily high severance tax rate\n\njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions (states of Texas and Oklahoma).\n\n• *General and administrative expenses* remained relatively flat compared to prior year. This is primarily due to the fact that the Company began ramping up staffing in 2013 as it expected development growth in late 2013 and 2014.", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "**CEO'S REPORT**\n\n# *Dear Fellow Shareholders,*\n\n*2014 Review—2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| | Sundance's Performance versus the ASX 200 | | |\n| --- | --- | --- | --- |\n| | | ANNUAL PERCENTAGE CHANGE | |\n| | IN 2P PV10 | | |\n| | (NET ASSET VALUE) | IN SUNDANCE | |\n| YEAR | PER DEBT ADJUSTED SHARE | PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs and liquidity, a stark contrast from the go-go growth times which existed in the first half of the year. This shift in industry strategy has now come in line with our general business philosophy—in the resource space, low-cost, low debt businesses will survive and thrive across cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% cost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: 1) investment in a leading technical team that is encouraged to take reasonable risks to improve recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as demonstrated by our consistent track record of divesting assets that don't fit our strategic objectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and thus generates good returns, even in a low price environment. Because of these characteristics, the majority of our forward capital is expected to be invested generating strong growth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance's Mississippian/Woodford position generally requires higher prices to meet our hurdle rates. Because of the mixed Woodford results, higher overall unit costs, and depressed pricing at year end, we recognized an impairment charge of ~$60 million on these assets at year 2014. Had prices maintained their strength, we likely would have been in a position to recover our investment from these assets.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# **Sundance Energy Australia Limited**\n\nABN 76 112 202 883\n\n### **Directors**\n\nMichael D. Hannell –*Chairman* Eric McCrady – *Managing Director and CEO* Damien A. Hannes – *Non-Executive Director* Neville W. Martin – *Non-Executive Director* Weldon Holcombe – *Non-Executive Director*\n\n### **Company Secretary**\n\nDamien Connor\n\n# **Registered Office**\n\n32 Beulah Road Norwood SA 5067 Phone: (61 8) 8363 0388 Fax: (61 8) 8132 0766 Website: www.sundanceenergy.com.au\n\n# **Corporate Headquarters Sundance Energy, Inc.**\n\n633 17th Street, Suite 1950 Denver, CO 80202 USA Phone: (303) 543-5700 Fax: (303) 543-5701 Website: www.sundanceenergy.net\n\n### **Auditors**\n\nErnst & Young Ernst & Young Centre 680 George Street Sydney NSW 2000\n\n# **Australian Legal Advisors**\n\nBaker & McKenzie Level 27, AMP Centre 50 Bridge Street Sydney, NSW 2000 Australia\n\n### **Bankers**\n\nNational Australia Bank Limited –Australia Wells Fargo – United States\n\n# **Share Registry**\n\nComputershare Investor Services Pty Ltd Level 5, 115 Grenfell Street Adelaide SA 5000\n\n# **Securities Exchange Listing**\n\nAustralian Securities Exchange (ASX) ASX Code: SEA\n\n### **Forward-Looking Statements**\n\nThis Annual Report includes forward-looking statements. These statements relate to Sundance's expectations, beliefs, intentions or strategies regarding the future. These statements can be identified by the use of words like \"anticipate\", \"believe\", \"intend\", \"estimate\", \"expect\", \"may\", \"plan\", \"project\", \"will\", \"should\", \"seek\" and similar words or expressions containing same. The forward-looking statements reflect the Company's views and assumptions with respect to future events as of the date of this presentation and are subject to a variety of unpredictable risks, uncertainties, and other unknowns. Actual and future results and trends could differ materially from those set forth in such statements due to various factors, many of which are beyond our ability to control or predict. Given these uncertainties, no one should place undue reliance on any forward-looking statements attributable to Sundance, or any of its affiliates or persons acting on its behalf. Although every effort has been made to ensure this report sets forth a fair and accurate view, we do not undertake any obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.\n\n### **Competent Persons Statement**\n\nThis report contains information on Sundance Energy's reserves and resources which has been reviewed by David Ramsden-Wood, Professional Engineer, who is licensed in Alberta, Canada and is qualified in accordance with ASX Listing Rule 5.11 and has consented to the inclusion of this information in the form and context in which it appears.\n\nDESIGN BY: Mark Mulvany Graphic Design *(Denver, CO)*", - "page_start": 112, - "page_end": 112, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "| 2014 Remuneration | Action | Rationale |\n| --- | --- | --- |\n| Non-executive Director | Increased total director base | Based on market review of director |\n| Compensation | compensation during 2014 by | compensation at peer group |\n| | approximately A$65,000 per | companies and to reflect the |\n| | Director. | increasing complexity of the |\n| | | Company's operations and therefore |\n| | | the related time commitment and |\n| | | performance expectations of the |\n| | | directors. |\n\n| AMED E Key Changes for 2015 | Action |\n| --- | --- |\n| Fixed Remuneration | No increases to Managing Director's |\n| | or KMP's base salary. |\n| Cash Short-Term Incentive | Short-Term Incentive payments |\n| | earned for 2014 will be paid out in |\n| | Restricted Stock Units during 2015 |\n| | instead of cash to reflect the current |\n| | low commodity price environment |\n| | and preserve liquidity. |\n| Equity Long-Term Incentive | Long-Term Incentive RSUs to KMPs |\n| | earned for 2014 will be paid out in |\n| | 2015 with 50% time based vesting |\n| | and 50% vesting tied to Total |\n| | Shareholder Return compared to the |\n| | peer group over a three year period. |\n| Non-executive Director | No increases to NED fees |\n| Compensation | |\n\n### **B. Executive Summary**\n\n**COMPENSATION (cont'd)**\n\n| What We Do: | What We Don't Do: |\n| --- | --- |\n| • Pay for Performance – STI and LTI awarded is based on | • Enter into Egregious Employment Contracts – The |\n| historical Company performance. | Company does not enter into contracts containing multi |\n| | year guarantees for salary increases, non-performance |\n| | based bonuses or equity compensation. |\n| • Utilize a Quantitative Process for Performance Cash | • Provide Excessive Severance and/or Change in Control |\n| Bonuses – The Remuneration and Nominations | Provisions – Provisions do not require cash payments |\n| Committee establishes Company performance measures | exceeding three times base salary plus target/average/last |\n| and goals at the beginning of the performance year that | paid bonus; No liberal change in control definition in |\n| are assigned individual weightings. In considering bonus | individual contracts or equity plans that could result in |\n| awards for the year, the Committee scores the Company's | payments to executives without an actual change in |\n| performance on each measure in arriving at an overall | control or job loss occurring. |\n| weighted score that determines the amount of any | |\n| bonuses. | |\n| • Require Stock Ownership by Executive Officers – | • Provide Tax Gross-Ups – The Company does not include |\n| Board-adopted guidelines establish robust minimum stock | tax gross-up payments for any STI or LTI Plans. |\n| ownership levels for our executive officers to ensure | |\n| appropriate alignment with shareholders. | |", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "### *Financial Position*\n\nIn May 2014, the borrowing capacity under our credit facilities increased from an aggregate of $63 million to $135 million. The increase in the borrowing capacity was driven by the significant uplift of the Company's proved oil and gas reserves as at 31 December 2013. In conjunction with the increase in the Company's borrowing capacity, the Company expanded the syndicate of banks under the Senior Credit Facility. Bank of America Merrill Lynch and the Bank of Nova Scotia have now joined the bank group which is led by Wells Fargo.\n\nIn July 2014, the borrowing capacity increased an additional net $10 million, to $145 million, after taking into consideration the removal of proved oil and gas reserves associated with the DJ and Williston Basin dispositions and the development of proved oil and gas reserves in the Eagle Ford Formation.\n\nAt 31 December 2014, the Company had $130 million outstanding under our credit facilities and $15 million available under our borrowing capacity. Ending cash at 31 December 2014 was $69.2 million.\n\n### *Cashflow*\n\nCash provided by operating activities for the year ended 31 December 2014 increased 104.5% to $128.1 million compared to the prior year. This increase was primarily due to receipts from sales increasing $85.7 million, or 101.2%, to $170.4 million, while keeping payments to suppliers and employees relatively stable with an increase of $8.2 million, or 37.7%, to $30.0 million. See Review of Operations for more information.\n\nCash used in investing activities for the year ended 31 December 2014 increased $158.9 million, or 96.7%, to $323.2 million. This increase is due to successful implementation of the Company's strategy to develop and grow the reserves from our high working interest, repeatable resource plays, primarily in the Eagle Ford. Due to funding available to the Company through asset sales, capital raises and credit facilities, the Company was able to accelerate its 2015 drilling program into 2014. However, due to the reduction in crude oil prices in the fourth quarter of 2014 and continuing into early 2015, the Company will scale back its drilling program to concentrate on limited drilling obligations to hold Eagle Ford acreage during the 2015 year.\n\nCash provided by financing activities for the year ended 31 December 2014 increased $123.1 million, or 277.0%, to $167.6 million. This increase is a result of the increased availability and draws under the Company's credit facilities and proceeds received in a private placement of shares. In February 2014, the Company completed a private placement in which we sold 84.2 million ordinary shares at A$0.95 per share, resulting in net proceeds of approximately $68.4 million. The first tranche of 63.7 million shares was issued in March 2014 and the second tranche of 20.5 million shares was issued in April 2014.\n\n#### **Matters Subsequent to the End of the Financial Year**\n\nSubsequent to 31 December 2014, an additional $13.9 million was drawn-down the credit facilities, bringing total outstanding debt to $143.9 million, with undrawn funds of $1.1 million.\n\nIn January 2015, the company acquired three leases totalling approximately 14,180 net acres in the Eagle Ford for approximately $13.4 million.\n\n### **Future Developments, Prospects and Business Strategies**\n\nThe Group's business strategies and prospects for growth in future financial years are presently concentrated on growing the value of the Group's current resource plays through direct leasing from mineral owners, small acquisitions of producing properties, drilling inventory within the Group's current balance sheet capabilities, and development of the Group's current acreage. Further information on likely development in the operations of the Group and expected results of operations has not been included because the Directors believe it would result in unreasonable prejudice to the Group.", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "What are the physical requirements for installing the Storwize V7000?", - "target_page": 70, - "target_passage": "You must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics: \u0002 Meets power, cooling, and location requirements of the Storwize V7000 nodes. \u0002 Has two separate power sources. \u0002 Sufficient rack space exists for the installation of controller and disk expansion enclosures. \u0002 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "# **4.1 Prerequisites**\n\nBefore initializing and setting up the Storwize V7000, ensure that the following prerequisites are met:\n\n- - The installation of physical components is planned to fulfill all requirements and correctly executed, including:\n\t- Control enclosures are physically installed with the correct cabling.\n\t- The Ethernet and Fibre Channel connectivity are correctly configured.\n\t- Expansion enclosures, if available, are physically installed and attached to the Storwize V7000 nodes in the I/O group that is meant to use them.\n\t- The Storwize V7000 control enclosures and optional expansion enclosures are powered on.\n- - Your web browser is supported and has the appropriate settings enabled. For more information about supported browsers and settings, see IBM Knowledge Center.\n- - You have the required information available, including:\n\t- For IPv4 addressing (if used):\n\t\t- Cluster IPv4 address, which is the address that is used for the management of the system.\n\t\t- Service IPv4 addresses, which are used to access node service interfaces. You need one address for each node.\n\t\t- IPv4 subnet mask for each subnet used.\n\t\t- IPv4 gateway for each subnet used.\n\t- For IPv6 addressing (if used):\n\t\t- Cluster IPv6 address, which is used for the management of the system.\n\t\t- Service IPv6 addresses, which are used to access node service interfaces. You need one address for each node.\n\t\t- IPv6 prefix for each subnet used.\n\t\t- IPv6 gateway. for each subnet used.\n\t- The licenses that enable you to use licensed functions, which include the licenses that indicate your entitlement to use licensed functions:\n\t\t- Remote Copy\n\t\t- External Virtualization\n\t\t- Real-time Compression\n\t\t- Transparent Cloud Tiering\n\t- Physical location of the system.\n\t- The name, email address, and phone number of the storage administrator who IBM can contact if necessary.\n\t- The Network Time Protocol (NTP) server IP address (optional, but recommended), which is necessary only if you want to use an NTP service instead of manually entering date and time.\n\t- The Simple Mail Transfer Protocol (SMTP) email server IP address (optional), which is necessary only if you want to enable *call home*.\n\t- The IP addresses for Remote Support Proxy Servers (optional), which are necessary only if you want to enable Support Assistance.", - "page_start": 109, - "page_end": 109, - "source_file": "sg247938.pdf" - }, - { - "text": "# **2.8 Useful IBM Storwize V7000 websites**\n\nSee the following IBM Storwize V7000 web pages for more information:\n\n- - IBM Support page: https://www.ibm.com/support/home/product/5402112/IBM_Storwize_V7000_(2076)\n- - IBM Storwize V7000 Unified and IBM Storwize V7000 Systems: https://www.ibm.com/support/home/product/5421300/IBM_Storwize_V7000_Unified\n- - IBM Storwize V7000 page support http://www-01.ibm.com/support/docview.wss?uid=ssg1S1003741\n- - Direct attachment of IBM Storwize V7000 https://www-01.ibm.com/support/docview.wss?uid=ssg1S1005776\n- -IBM Knowledge Center:\n\nhttps://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7 000.821.doc/v7000_ichome.html", - "page_start": 63, - "page_end": 63, - "source_file": "sg247938.pdf" - }, - { - "text": "When you plan deployment of Storwize V7000, identify networking technologies that you will use.\n\n**Note:** With Spectrum Virtualize V8.1.1.1 and later, RDMA (iSER) is supported by 25 Gb Ethernet iSCSI adapter cards with V7000 Gen2+ only. For more information, see 3.7.4, \"iSCSI Extensions for RDMA (iSER)\" on page 62.\n\n# **3.4 Physical planning**\n\nYou must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics:\n\n- -Meets power, cooling, and location requirements of the Storwize V7000 nodes.\n- -Has two separate power sources.\n- -Sufficient rack space exists for the installation of controller and disk expansion enclosures.\n- - Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website.\n\nYour Storwize V7000 2076-524 and Storwize V7000 2076-624 order includes a printed copy of the IBM Storwize V7000 Gen2 and Gen2+ Quick Installation Guide, which also provides information about environmental and power requirements.\n\n# **3.4.1 Cabling**\n\nCreate a cable connection table that follows your environment's documentation procedure to track all of the following connections that are required for the setup:\n\n- -Power\n- -Ethernet\n- -SAS\n- iSCSI or Fibre Channel over Ethernet (FCoE) connections\n- -Switch ports (FC, Ethernet, and FCoE)\n\nDistribute your disk expansion enclosures evenly between control enclosures, nodes within control enclosures, and SAS channels within nodes. For more information, search for \"SAS cabling guidelines\" at this IBM Knowledge Center page.\n\nWhen planning SAN cabling make sure that your physical topology allows you to observe zoning rules and recommendations.\n\nIf the data center provides more than one power source, make sure that you use that capacity when planning power cabling for your system.\n\n# **3.5 Planning IP connectivity**\n\nSystem management is performed through an embedded graphical user interface (GUI) that is running on the nodes. To access the management GUI, direct a web browser to the system management IP address.", - "page_start": 69, - "page_end": 69, - "source_file": "sg247938.pdf" - }, - { - "text": "# **13.4.4 Updating IBM Storwize V7000 drive code**\n\nAfter completing the Storwize V7000 software update as described in 13.4, \"Software update\" on page 687, the firmware of the Storwize V7000 drives also must be updated. The upgrade test utility identified that downlevel drives are in the system, as shown in Figure 13-25. However, this fact does not stop the system software from being performed.\n\n| × Update Test Utility Results | |\n| --- | --- |\n| **************** Warning found * | |\n| This tool has found the internal disks of this system are | |\n| not running the recommended firmware versions. | |\n| Details follow: | |\n| +- | |\n| Model Latest FW Current FW Drive Info | |\n| +- | |\n| HUC156030CSS20 J2GF J2G5 Drive 0 in slot 5 in enclosure 1 | |\n| - Drive 1 in slot 3 in enclosure 1 | |\n| Drive 2 in slot 4 in enclosure 1 | |\n| B56U B56K Drive 21 in slot 12 in enclosure 1 ST600MM0006 | |\n| ST600MM0006 B56U B56S Drive 3 in slot 7 in enclosure 1 | |\n| . Drive 6 in slot 8 in enclosure 1 | |\n| Drive 7 in slot 17 in enclosure 1 | |\n| Drive 8 in slot 13 in enclosure 1 | |\n| Drive 9 in slot 6 in enclosure 1 | |\n| Drive 10 in slot 22 in enclosure 1 | |\n| HI œ | ◀ |\n| Download Results Close | Need Help |\n\n*Figure 13-25 Upgrade test utility drive firmware warning*\n\nTo update the IBM Storwize V7000 drive code, complete the following steps:\n\n- 1. Download the latest Drive firmware package for IBM Storwize V7000 from Fix Central.\n- 2. On the Storwize V7000 GUI, navigate to **Pools** → **Internal Storage** and select **All Internal.**", - "page_start": 717, - "page_end": 717, - "source_file": "sg247938.pdf" - }, - { - "text": "# **3.1 General planning rules**\n\n**Important:** At the time of this writing, the statements that are provided in this book are accurate but can change. Always verify any statements that are made in this book with the IBM Storwize V7000 supported hardware list, device driver, firmware, and recommended software levels information that are available at the following websites:\n\n- -Support Information for Storwize V7000\n- -IBM System Storage Interoperation Center (SSIC)\n\nTo maximize the benefit that is realized from the Storwize V7000, pre-installation planning must include several important steps. These steps ensure that the Storwize V7000 provides the best possible performance, reliability, and ease of management for your application needs. The correct configuration also helps minimize downtime by avoiding changes to the Storwize V7000 and the storage area network (SAN) environment to meet future growth needs.\n\nThis book is *not* intended to provide in-depth information about the described topics. For an enhanced analysis of advanced topics, see *IBM System Storage SAN Volume Controller and Storwize V7000 Best Practices and Performance Guidelines*, SG24-7521.\n\n# **3.1.1 Basic planning flow**\n\nThe general rule of planning is to define your goals, and then, plan a solution that can be shown to meet these goals. Always remember to verify that each element of your configuration is supported.\n\nConsider the following points when planning for the Storwize V7000:\n\n- - Collect and document the number of hosts (application servers) to attach to the Storwize V7000. Identify the traffic profile activity (read or write, sequential, or random), and the performance requirements (bandwidth and input/output [I/O] operations per second [IOPS]) for each host.\n- - Decide whether you are going to use Storwize V7000 to virtualize external storage. If you do, collect and document the following items:\n\t- Information on the back-end storage that exists in the environment and is intended to be virtualized by the Storwize V7000.\n\t- Whether you must configure image mode volumes. If you want to use image mode volumes, decide whether and how you plan to migrate them into managed mode volumes.\n\t- Information about the planned new back-end storage to be virtualized by the Storwize V7000.\n\t- The required virtual storage capacity for fully provisioned and space-efficient (SE) volumes.\n\t- The required storage capacity for:\n\t\t- Local mirror copy (volume mirroring)\n\t\t- Point-in-time copy (IBM FlashCopy)\n\t\t- Remote copy (Metro Mirror and Global Mirror)\n\t\t- Compressed volumes\n\t\t- Encrypted volumes", - "page_start": 65, - "page_end": 65, - "source_file": "sg247938.pdf" - }, - { - "text": "| IBM Storwize V7000 | ITSO-V7k Support |\n| --- | --- |\n| Dashboard | Call Home |\n| Monitoring | Support Assistance |\n| Pools | Support Package |\n| Volumes | |\n| Hosts | |\n| Copy Services | |\n| | Notifications |\n| Access | Network |\n| Settings | Security |\n| | System |\n| | Support |\n| | GUI Preferences |\n\n*Figure 13-44 Support menu*", - "page_start": 732, - "page_end": 732, - "source_file": "sg247938.pdf" - }, - { - "text": "International Technical Support Organization\n\n# **Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1**\n\nJune 2019", - "page_start": 2, - "page_end": 2, - "source_file": "sg247938.pdf" - }, - { - "text": "# **IBM Spectrum Virtualize V8.2.1 Implementing the IBM Storwize V7000 with**\n\nSG24-7938-07\n\nISBN 0738457779\n\n(1.5\" spine) 1.5\"<-> 1.998\" 789 <->1051 pages", - "page_start": 822, - "page_end": 822, - "source_file": "sg247938.pdf" - }, - { - "text": "- 5. Select all of the files to include in the compressed file; then, click **Download**. Depending on your browser preferences, you might be prompted where to save the file or it downloads to your defined download directory.\n# **13.4 Software update**\n\nThis section describes the operations to update your Storwize V7000 software to V8.1.\n\nThe format for the software update package name ends in four positive integers that are separated by dots. For example, a software update package might have the following name: IBM_2145_INSTALL_8.2.1.0\n\n# **13.4.1 Precautions before the update**\n\nThis section describes the precautions that you should take before you attempt an update.\n\n**Important:** Before you attempt any IBM Storwize V7000 code update, read and understand the Storwize V7000 concurrent compatibility and code cross-reference matrix. For more information, see this website and click **Latest Storwize V7000 code**.\n\nDuring the update, each node in your Storwize V7000 clustered system is automatically shut down and restarted by the update process. Because each node in an I/O Group provides an alternative path to volumes, use the Subsystem Device Driver (SDD) to make sure that all I/O paths between all hosts and storage area networks (SANs) work.\n\nIf you do not perform this check, certain hosts might lose connectivity to their volumes and experience I/O errors when the Storwize V7000 node that provides that access is shut down during the update process. You can check the I/O paths by using **datapath query** SDD commands.\n\n# **13.4.2 IBM Storwize V7000 update test utility**\n\nThe software update test utility is a Storwize V7000 software utility that checks for known issues that can cause problems during a Storwize V7000 software update. For more information about the utility, see this website.\n\nDownload the software update utility from this page where you can also download the firmware. This procedure ensures that you receive the current version of this utility. You can use the **svcupgradetest** utility to check for known issues that might cause problems during a software update.\n\nThe software update test utility can be downloaded in advance of the update process. Alternately, it can be downloaded and run directly during the software update, as guided by the update wizard.\n\nYou can run the utility multiple times on the same IBM Storwize V7000 system to perform a readiness check-in preparation for a software update. Run this utility for a final time immediately before you apply the software update to ensure that there were no new releases of the utility since it was originally downloaded.", - "page_start": 708, - "page_end": 708, - "source_file": "sg247938.pdf" - }, - { - "text": "- 2. Log in by using the superuser credentials. The IBM Storwize V7000 management home window opens. Move the cursor over **Settings** and click **System** (see Figure 13-12).\n\n| IBM Storwize V7000 | ITSO-V7k Dashboard | |\n| --- | --- | --- |\n| Dashboard | Latency | read |\n| | 0 ms | 0 ms |\n| | Bandwidth | read |\n| Monitoring | 0 MBps IOPS | O MBps |\n| | | read |\n| | O IOPS | O IOPS |\n| Pools | CPU Utilization 2% | standard |\n| | | 2 % |\n| Volumes | | |\n| | Capacity | |\n| Hosts | | Physical Capacity ? |\n| | 1% | |\n| Copy Services | 36 CiD | |\n| | Notifications | |\n| Access | Network | |\n| Settings | Security | |\n| | System | |\n| | Support | |\n| | GUI Preferences | |\n\n*Figure 13-12 Settings menu*", - "page_start": 710, - "page_end": 710, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "Is '1oijizer--10108453535318919918883384---jhjjzhiuhzrh--14584joiz///KK ' valid for a pool?", - "target_page": 218, - "target_passage": "Naming rules: When you choose a name for a pool, the following rules apply: \u0002 Names must begin with a letter. \u0002 The first character cannot be numeric. \u0002 The name can be a maximum of 63 characters. \u0002 Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space. \u0002 Names must not begin or end with a space. \u0002 Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC. \u0002 The default object name is valid (object prefix with an integer). \u0002 Objects can be renamed to their current names", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "| 52 500507680C120009 500507680C000009 2 | 2 | 2 | 010400 no | no | scsi |\n| --- | --- | --- | --- | --- | --- |\n| 53 500507680C160009 500507680C000009 2 | 2 | 2 | 010401 yes | yes | scsi |\n| 54 500507680C1A0009 500507680C000009 2 | 2 | 2 | 010402 yes | yes | nvme |\n| 55 500507680C130009 500507680C000009 3 | 2 | 2 | 010900 no | no | scsi |\n| 56 500507680C170009 500507680C000009 3 | 2 | 2 | 010902 yes | yes | scsi |\n| 57 500507680C1B0009 500507680C000009 3 | 2 | 2 | 010901 yes | yes | nvme |\n| 58 500507680C140009 500507680C000009 4 | 2 | 2 | 010900 no | no | scsi |\n| 59 500507680C180009 500507680C000009 4 | 2 | 2 | 010901 yes | yes | scsi |\n| 60 500507680C1C0009 500507680C000009 4 | 2 | 2 | 010902 yes | yes | nvme |\n| IBM_Storwize:ITSO-V7000:superuser> | | | | | |\n\n- 4. NPIV enablement can be verified by checking the fctargetportmode field, as shown in Example 8-4.\n*Example 8-4 NPIV enablement verification*\n\nIBM_Storwize:ITSO-V7000:superuser>lsiogrp 0 id 0 name io_grp0 node_count 2 vdisk_count 2 host_count 2 flash_copy_total_memory 20.0MB flash_copy_free_memory 20.0MB remote_copy_total_memory 20.0MB remote_copy_free_memory 20.0MB mirroring_total_memory 20.0MB mirroring_free_memory 20.0MB raid_total_memory 40.0MB raid_free_memory 38.8MB maintenance no compression_active yes accessible_vdisk_count 2 compression_supported yes max_enclosures 10 encryption_supported no flash_copy_maximum_memory 552.0MB site_id site_name **fctargetportmode enabled** compression_total_memory 2047.9MB\n\nYou can now configure your zones for hosts by using the primary host attach ports (virtual WWPNs) of the Storwize V7000 ports, as shown in **bold** in the output of Example 8-3 on page 322.\n\n# **8.3.3 Enabling NPIV on an existing system**\n\nWhen IBM Spectrum Virtualize systems that are running code earlier than V7.7.1 are upgraded to V7.7.1 or later, the NPIV feature is not turned on by default because it might require changes to host-side zoning.\n\nEnabling NPIV on a system requires that you complete the following steps after you meet the prerequisites:\n\n- 1. Audit your SAN fabric layout and zoning rules because NPIV has stricter requirements. Ensure that equivalent ports are on the same fabric and in the same zone.", - "page_start": 344, - "page_end": 344, - "source_file": "sg247938.pdf" - }, - { - "text": "| la | | r15,1(,r15) | bump address | 00830005 |\n| --- | --- | --- | --- | --- |\n| j | | nulloop | And try next | 00840005 |\n| nomore | ds | 0h | | 00850005 |\n| lr | | r3,r1 | Save length of message | 00860005 |\n| mvc | | msgtxt+2(3),=c'XXX' Set the prefix | | 00870007 |\n| la | | r14,msgtxt+5 | Start to place number | 00880005 |\n| l | | r15,msgnum | Get start of message number | 00890005 |\n| numloop ds | | 0h | | 00900005 |\n| cli | | 0(r15),x'00' | Null? | 00910005 |\n| je | | nomove | | 00920005 |\n| mvc | | 0(0,r14),0(15) | move it | 00930005 |\n| la | | r14,1(,r14) | next destination | 00940005 |\n| la | | r15,1(,r15) | next source | 00950005 |\n| j | | numloop | go do next | 00960005 |\n| nomove | ds | 0h | | 00970005 |\n| l | | r15,sev | Get severity | 00980005 |\n| cli | | 0(r15),c'1' | Is it Alert | 00990005 |\n| jne | | tryerror | No skip | 01000005 |\n| mvi | | 0(r14),c'E' | Set error severity | 01010006 |\n| j | | donesev | | 01020005 |\n| tryerror ds | | 0h | | 01030005 |\n| cli | | 0(r15),c'2' | \"Error\" severity? | 01040005 |\n| jne | | trywarn | No - skip | 01050005 |\n| mvi | | 0(r14),c'E' | Set error | 01060005 |\n| j | | donesev | | 01070006 |\n| trywarn ds | | 0h | | 01080005 |\n| cli | | 0(r15),c'3' | Is it Warning | 01090006 |\n| jne | | setinfo | | 01100005 |\n| mvi | | 0(r14),C'W' | Set Warning | 01110005 |\n| j | | donesev | | 01120005 |\n| setinfo ds | | 0h | | 01130005 |\n| mvi | | 0(r14),c'I' | Indicate info | 01140005 |\n| donesev ds | | 0h | | 01150005 |\n| mvi | | 1(r14),c' ' | Put in blank | 01160005 |\n| la | | r14,2(,r14) | Skip | 01170005 |\n| | | | | 01180005 |\n| c | | r3,=f'60' | More than 60 chars | 01190005 |\n| jnh | | singlwto | No - issue it | 01200005 |\n| lhi | | r3,60 | Only first 60 chars | 01210005 |\n| | | | | 01220005 |\n| * We only need to issue a single WTO | | | | 01230005 |\n| | | | | 01240005 |\n| singlwto ds | | 0h | | 01250005 |\n| la | | r4,msgtxt+2 | Get start of text | 01260005 |\n| lr | | r15,r14 | Get where we stopped | 01270005 |\n| sr | | r15,r4 | Get how much we've done | 01280005 |\n| ar | | r15,r3 | add length of text | 01290005 |\n| bctr r3,0 | | stcm r15,b'0011',msgtxt Set the length | subtract 1 | 01300005 01310005 |\n| l | | r15,msgtxta | Get source address | 01320005 |\n| ex | | r3,mvcins | Move it | 01330005 |\n| | | | | 01340000 |\n| mvc | | wtoe,wto1 | init the execute form | 01350007 |\n| la | | r3,msgtxt | | 01360005 |\n| slr | | r0,r0 | | 01370000 |\n| wto | | text=(r3),mf=(E,wtoe) | | 01380005 |\n| j | | exit | exit | 01390000 |\n| | | | | 01400000 |\n| | | | | 02250000 |\n| exit | ds | 0h | | 02260000 |", - "page_start": 279, - "page_end": 279, - "source_file": "sg246915.pdf" - }, - { - "text": "```\n3,THIN_PROVISION_VOL_1,0,io_grp0,online,0,Pool0,100.00GB,striped,,,,,6005076400F58004980000\n0000000005,0,1,empty,1,no,0,0,Pool0,no,yes,3,THIN_PROVISION_VOL_1,\n6,MIRRORED_SYNC_RATE_16,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000\n0000000008,0,1,empty,0,no,0,0,Pool0,no,yes,6,MIRRORED_SYNC_RATE_16,\n7,THIN_PROVISION_MIRRORED_VOL,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004\n9800000000000009,0,1,empty,1,no,0,0,Pool0,no,yes,7,THIN_PROVISION_MIRRORED_VOL,\n8,Tiger,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F580049800000000000010,0,1,e\nmpty,0,no,0,0,Pool0,no,yes,8,Tiger,\n9,UNCOMPRESSED_VOL,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000\n00011,0,1,empty,0,no,1,0,Pool0,no,yes,9,UNCOMPRESSED_VOL,\n12,vdisk0_restore,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000000000\n000E,0,1,empty,0,no,0,0,Pool0,no,yes,12,vdisk0_restore,\n13,vdisk0_restore1,0,io_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000\n0000F,0,1,empty,0,no,0,0,Pool0,no,yes,13,vdisk0_restore1,\n```\n# **7.8.22 Listing storage pools in which a volume has its extents**\n\nUse the **lsvdisk** command to show to which storage pool a specific volume belongs, as shown in Example 7-36.\n\n*Example 7-36 The lsvdisk command: Storage pool ID and name*\n\nIBM_Storwize:ITSO:superuser>lsvdisk 0 id 0 name A_MIRRORED_VOL_1 IO_group_id 0 IO_group_name io_grp0 status online **mdisk_grp_id 0 mdisk_grp_name Pool0** capacity 10.00GB type striped formatted yes formatting no mdisk_id mdisk_name FC_id FC_name RC_id RC_name vdisk_UID 6005076400F580049800000000000002 preferred_node_id 2 fast_write_state empty cache readwrite udid 4660 fc_map_count 0 sync_rate 50 copy_count 1 se_copy_count 0 File system mirror_write_priority latency RC_change no compressed_copy_count 0 access_IO_group_count 1 last_access_time parent_mdisk_grp_id 0 parent_mdisk_grp_name Pool0 owner_type none owner_id", - "page_start": 333, - "page_end": 333, - "source_file": "sg247938.pdf" - }, - { - "text": "```\naddress=/apps.bs.ibm.com/192.168.11.223\n###----------------------------ocp-aio-----------------------------------###\n###----------------------------ocp-7nodes--------------------------------###\n# Deployment Node\naddress=/dplnode01.domain.example.com/192.168.11.220\nptr-record=220.97.108.9.in-addr.arpa,dplnode01.domain.example.com\n# Master-Infra Nodes\naddress=/mstnode01.domain.example.com/192.168.11.202\nptr-record=202.98.108.9.in-addr.arpa,mstnode01.domain.example.com\naddress=/mstnode02.domain.example.com/192.168.11.203\nptr-record=203.98.108.9.in-addr.arpa,mstnode02.domain.example.com\naddress=/mstnode03.domain.example.com/192.168.11.204\nptr-record=204.98.108.9.in-addr.arpa,mstnode03.domain.example.com\n# Worker Nodes\naddress=/wrknode01.domain.example.com/192.168.11.208\nptr-record=208.98.108.9.in-addr.arpa,wrknode01.domain.example.com\naddress=/wrknode02.domain.example.com/192.168.11.209\nptr-record=209.98.108.9.in-addr.arpa,wrknode02.domain.example.com\naddress=/wrknode03.domain.example.com/192.168.11.210\nptr-record=210.98.108.9.in-addr.arpa,wrknode03.domain.example.com\n# Load Balancer Node\naddress=/lbsnode01.domain.example.com/192.168.11.212\nptr-record=212.98.108.9.in-addr.arpa,lbsnode01.domain.example.com\n# Cluster and wildcard DNS\naddress=/ocp.domain.example.com/192.168.11.212\naddress=/apps.domain.example.com/192.168.11.212\n###----------------------------ocp-7nodes--------------------------------### \nEOF_/etc/dnsmasq.conf\n###Configure firewallD to allow DNS####\n# firewall-cmd --permanent --add-service=rmc\n# firewall-cmd --reload\n###Restart DNS Masqurade service ###### \n# systemctl restart dnsmasq\n```\n#### **6.2.2 PowerVC configuration**\n\nThe next steps show how to configure a new user and a project (tenant) in PowerVC to separate OpenShift resources for other resources. This is a logical isolation, and is not required for installation; therefore, you can use any user or project. For the configuration, you can use any PowerVC interface, although this scenario uses only the CLI interface.\n\nComplete the following steps:\n\n- 1. Set the access variables:\n\n```\nsource /opt/ibm/powervc/powervcrc\nexport OS_USERNAME=root\nexport OS_PASSWORD=\nexport OS_PROJECT_NAME= #Default is ibm-default\n```\n- 2. Create a project:\n\n```\nopenstack project create --description \"OpenShift Container Platform\" ocp-project\nopenstack project create --description \"OpenShift Container Platform\" ocp-project\n+-------------+----------------------------------+\n| Field | Value |\n+-------------+----------------------------------+\n| description | OpenShift Container Platform |\n| domain_id | default |\n```", - "page_start": 118, - "page_end": 118, - "source_file": "sg248459.pdf" - }, - { - "text": "| | lr | r1,r13 | 02270000 |\n| --- | --- | --- | --- |\n| | l | r2,4(r13) | 02280002 |\n| | | storage RELEASE,length=workl,addr=(r1) | 02290003 |\n| | lr | r13,r2 | 02300002 |\n| | drop r13 | | 02310000 |\n| | | | 02320000 |\n| bagit | ds | 0h | 02330000 |\n| | lm | 14,12,12(r13) | 02340001 |\n| | br | r14 | 02350000 |\n| psize | equ | ((*-ARSLOG+99)/100)*5 | 02360000 |\n| | dc | C'PATCH AREA - ARSLOG &sysdate' | 02370000 |\n| pspace | dc | 25s(*) | 02380000 |\n| | org | pspace | 02390000 |\n| | dc | ((psize+1)/2)s(*) | 02400000 |\n| | | | 02410000 |\n| | | | 02420000 |\n| mvcins | mvc | 0(0,r14),0(r15) | 02430000 |\n| | | | 02450000 |\n| wto1 | wto | text=, | +02460000 |\n| | | desc=(6), | +02470000 |\n| | | mcsflag=(BUSYEXIT), | +02480000 |\n| | | routcde=(11), | +02490000 |\n| | | mf=L | 02500000 |\n| wto1l | equ | *-wto1 | 02510000 |\n| | ltorg | | 02520005 |\n| | | | 02530005 |\n| workarea dsect | | | 02870000 |\n| rsa | ds | 18f | 02880000 |\n| wtoe | ds | cl(wto1l) | 02890006 |\n| msgtxt | ds | cl(72) | 02900005 |\n| workl | equ | *-workarea | 02910000 |\n| | | | 02920000 |\n| plist | dsect | | 02930000 |\n| instance ds | | a | 02940005 |\n| tstamp | ds | a | 02950005 |\n| logrec | ds | a | 02960005 |\n| userid | ds | a | 02970005 |\n| acct | ds | a | 02980005 |\n| sev | ds | a | 02990005 |\n| msgnum | ds | a | 03000005 |\n| msgtxta ds | | a | 03010005 |\n| | | | 03020005 |\n| | yregs , | | 03030007 |\n| | iezwpl | | 03040005 |\n| | end | , | 03050005 |\n\nWhen the exit routine is assembled and link-edited to a library, it must be associated with the exit in one of two ways:\n\n- - Use the exit statement in the PROGXX parmlib member. For more information about the PROGXX parmlib member, see z/OS MVS Initialization and Tuning Reference, SA22-7592.\n- - Use the **SETPROG EXIT** operator command. For more information about the **SETPROG EXIT** command, see z/OS MVS System Commands, SA22-7627.\n\nTo activate the exit routine, run the following command:\n\nSETPROG EXIT,ADD,EXITNAME=ARSLOG,MODENAME=ARSLOG, DSN=TEAM5.LOADLIB\n\nThe exit was link-edited to a normal library that is not AFP-authorized.", - "page_start": 280, - "page_end": 280, - "source_file": "sg246915.pdf" - }, - { - "text": "user_public_key = \"ssh-rsa AAAAB3NzaC1yc2EAAAABIwAAAQEA09+YMqJ8VHX3HC7qy6HSxs3JjTGKbEgK+CExpf811uxsq+uJYbfXEKH19/NCf/U vpkozJBDDXDIxJ4uqOEBWDG4mUuu5U9a4lXgb6qaPYyXwVTygL/IcB0poSGEQQaJzhB05g71uZrya++sG1xHUjSQAQz hDuKrs4Bc3gcN4184UR+BX1pVgCls3NRn9hLrfLWS37M/kn+b/n6VMYYVpHsZ2XVydAn2nwuzktaEuWYaY/1cNd4xuu yVu08GQOon6t5KQ1EZBheADdSsyamulLqW9z4j6Y1wwDe4GPDc5zIW++ASDAZB0eEfbKGDLVdpFsI5YV8nLV1r/T0Y/ FiFZqQ== Bogdan Savu;IBMROO45771;IBMROZZ014E826;J;\" dns1 = \"192.168.11.210\" # DNS server 1 dns_domain = \"domain.example.com\" # DNS Domain Name #Network configuration #-------------------------------- net1_name = \"net_ocp_cluster1\" # Network Name net1_vlan_id = \"1\" # VLAN ID net1_subnet = \"192.168.11.0/21\" # Network/Mask net1_gateway = \"192.168.11.1\" # Gateway net1_start = \"192.168.11.223\" # First IP from Pool net1_end = \"192.168.11.223\" # Last IP from Pool #VM1 configuration (OCP - Master Nodes) #-------------------------------- vm1_number = \"1\" # Number of VMs vm1_memory = \"32\" # Memory GB vm1_cpu = \"8\" # Virtual CPU vm1_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) vm1_name = \"bsocp\" # Hostname prefix vm1_first_ip = \"192.168.11.223\" # Fist IP from a consecutive pool of IPs vm1_image_name = \"xiv_p9_image_rhel76\" # The image name vm1_remote_restart = \"true\" # Enable Auto Remote Restart vm1_storage_name = \"xiv_StoragePool\" # Storage Template vm1_dockerdisk1 = \"0\" # Docker disk size in GB for ephemeral storage #VM2 configuration (OCP - Infra Nodes) #-------------------------------- vm2_number = \"0\" # Number of VMs vm2_memory = \"16\" # Memory GB vm2_cpu = \"4\" # Virtual CPU vm2_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) vm2_name = \"infnode\" # Hostname prefix vm2_first_ip = \"192.168.11.205\" # Fist IP from a consecutive pool of IPs vm2_image_name = \"xiv_p9_image_rhel76\" # The image name vm2_remote_restart = \"true\" # Enable Auto Remote Restart vm2_storage_name = \"xiv_StoragePool\" # Storage Template vm2_dockerdisk1 = \"68\" # Docker disk size in GB for ephemeral storage #VM3 configuration (OCP - Workers(App) Nodes) #-------------------------------- vm3_number = \"0\" # Number of VMs vm3_memory = \"32\" # Memory GB vm3_cpu = \"4\" # Virtual CPU vm3_vcpu_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores) vm3_name = \"appnode\" # Hostname prefix vm3_first_ip = \"192.168.11.208\" # Fist IP from a consecutive pool of IPs vm3_image_name = \"xiv_p9_image_rhel76\" # The image name vm3_remote_restart = \"false\" # Disable Auto Remote Restart vm3_storage_name = \"xiv_StoragePool\" # Storage Template vm3_dockerdisk1 = \"34\" # Docker disk size in GB for ephemeral storage #VM4 configuration (OCP - Load Balancer Node) #-------------------------------- vm4_number = \"0\" # Number of VMs", - "page_start": 130, - "page_end": 130, - "source_file": "sg248459.pdf" - }, - { - "text": "**Naming rules:** When you choose a name for a pool, the following rules apply:\n\n- -Names must begin with a letter.\n- -The first character cannot be numeric.\n- -The name can be a maximum of 63 characters.\n- - Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space.\n- -Names must not begin or end with a space.\n- - Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC.\n- -The default object name is valid (object prefix with an integer).\n- -Objects can be renamed to their current names.\n\nThe new pool is created and is included in the list of storage pools with zero bytes, as shown in Figure 6-8.\n\n| Dashboard | Create | 三 Actions ▼ | | | Default | 1 Contains V | Filter | R |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| Monitoring | Name | | State | Capacity | | | | Ili |\n| Pools | Pool0 | | ✓ Online | | | 50.00 GiB / 821.00 GiB (6%) | | No |\n| | Pool1 | | ✓ Online | | | 1.07 TiB / 7.21 TiB (15%) | | Yes |\n| | Pool2 | | ✓ Online | | | 0 bytes | | Yes |\n\n*Figure 6-8 Newly created empty pool*\n\nTo perform this task with the CLI, the **mkmdiskgrp** command is used. The only required parameter is extent size. It is specified with the **-ext** parameter, which must have one of the following values: 16, 32, 64, 128, 256, 512, 1024, 2048, 4096, or 8192 (MB). To create Data Reduction Pool, specify **-datareduction yes**. In Example 6-2, the command creates DRP named \"Pool2\" with no MDisks in it.\n\n*Example 6-2 mkmdiskgrp command*\n\nIBM_Storwize:ITSOV7K:superuser>mkmdiskgrp -name Pool2 -datareduction yes -ext 8192 MDisk Group, id [2], successfully created\n\n# **6.1.2 Managed disks in a storage pool**\n\nA storage pool is created as an empty container, with no storage assigned to it. Storage is then added in the form of **MDisks**. An MDisk can be either an array from internal storage (as an array of drives) or an LU from an external storage system. The same storage pool can include both internal and external MDisks.\n\nArrays are assigned to storage pools at creation time. You cannot have an array that does not belong to any storage pool. They cannot be moved between storage pools. It is only possible to destroy an array by removing it from a pool and to re-create it with a new pool.\n\nExternal MDisks can exist outside the pool. You can assign them to storage pools and remove them from storage pools. The MDisk object remains on a system, but its state (mode of operations) might change.", - "page_start": 217, - "page_end": 217, - "source_file": "sg247938.pdf" - }, - { - "text": "```\nHEAPCHK=(OFF,1,0,0,0), +\nHEAPPOOLS=(OFF,8,10,32,10,128,10,156,10,1024,10,2048, +\n10,0,10,0,10,0,10,0,10,0,10,0,10), +\nINFOMSGFILTER=(OFF,,,,), +\nINQPCOPN=(ON), +\nINTERRUPT=(OFF), +\nLIBSTACK=(4K,4K,FREE), +\nMSGFILE=(SYSOUT,FBA,121,0,NOENQ), +\nMSGQ=(15), +\nNATLANG=(ENU), +\nNOAUTOTASK=, +\nNOTEST=(ALL,*,PROMPT,INSPPREF), +\nNOUSRHDLR=(''), +\nOCSTATUS=(ON), +\nPC=(OFF), +\nPLITASKCOUNT=(20), +\nPOSIX=(OFF), +\nPROFILE=(OFF,''), +\nPRTUNIT=(6), +\nPUNUNIT=(7), +\nRDRUNIT=(5), +\nRECPAD=(OFF), +\nRPTOPTS=(OFF), +\nRPTSTG=(OFF), +\nRTEREUS=(ON), + <====ATTENTION\nSIMVRD=(OFF), +\nSTACK=(128K,128K,ANYWHERE,KEEP,512K,128K), +\nSTORAGE=(NONE,NONE,NONE,OK), +\nTERMTHDACT=(TRACE,,96), +\nTHREADHEAP=(4K,4K,ANYWHERE,KEEP), +\nTHREADSTACK=(OFF,4K,4K,ANYWHERE,KEEP,128K,128K), +\nTRACE=(OFF,4KDUMP,LE=0), +\nTRAP=(ON,SPIE), +\nUPSI=(00000000), +\nVCTRSAVE=(OFF), +\nXPLINK=(OFF), +\nXUFLOW=(AUTO) +\nEND,\n```\n# **Activating the exit**\n\nTo activate the exit, you must add the executable file to a loadlib in the Steplib (**ARSLOAD**) procedure. You must also supply the ACIF control statement INPEXIT = ARSSPVIN to the indexing parameters. You can perform this task when you add an application in the Indexer Information window.", - "page_start": 300, - "page_end": 300, - "source_file": "sg246915.pdf" - }, - { - "text": "```\n* Register * 00230000\n* Convention: R1 points to the Parameter list * 00240000\n* R12 base register 00250000\n* * 00260000\n* Patch Label: PSPACE * 00270000\n* * 00280000\n* Input: Parameter list pointed to by Register 1 * 00290000\n* Parameter list contains addresses of: * 00300000\n* - message length * 00310000\n* - message text * 00320000\n* * 00330000\n* Output: None * 00340000\n* * 00350000\n* Return codes: * 00360000\n* * 00370000\n* NORMAL: R15 = return code from WTO * 00380000\n* * 00390000\n* Exits: Return to caller via BR 14 * 00400000\n* * 00410000\n* External References: * 00420000\n* * 00430000\n* Change Activity: See below * 00440000\n* * 00450000\n* Ver Rel Mod Date Description of Change * 00460000\n* ___________ ________ _______________________________________ * 00470000\n* 0? 0? 00 04/05/00 Release ?.? * 00480000\n* * 00490000\n******************** END OF MODULE SPECIFICATIONS ******************* 00500000\nARSLOG csect 00510000\nARSLOG rmode any 00520000\nARSLOG amode 31 00530000\n using *,r15 00540000\n b pastcopy 00550000\n dc C'ARSLOG &sysdate' 00560000\n dc C'5622-662 (C) COPYRIGHT IBM CORP. 2013' 00570000\n dc C'ALL RIGHTS RESERVED' 00580000\n dc C'LICENSED MATERIALS-PROPERTY OF IBM' 00590000\npastcopy ds 0h 00600000\n stm 14,12,12(r13) 00610001\n lr r12,r15 00620000\n lr r2,r1 00630000\n using plist,r2 00640000\n drop r15 00650000\n using ARSLOG,r12 00660000\n storage OBTAIN,length=workl,loc=ANY,cond=YES 00670000\n ltr r15,r15 00680000\n jnz bagit 00690000\n st r13,4(,r1) 00700000\n st r1,8(,r13) 00710000\n lr r13,r1 00720000\n using workarea,r13 00730000\n* 00740000\n* Determine the message length 00750005\n* 00760000\n slr r1,r1 Number of bytes 00770005\n l r15,msgtxta get starting address 00780005\nnulloop ds 0h 00790006\n cli 0(r15),x'00' Is it zero? 00800005\n je nomore Yes - quit 00810005\n la r1,1(,r1) Bump count 00820005\n```", - "page_start": 278, - "page_end": 278, - "source_file": "sg246915.pdf" - }, - { - "text": "25358_AIT_Report_WT.indd 1 8/23/12 8:32 AM", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_AIT_2012.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to start a company that automates kitchen tasks, does that sound like a good idea for 2025?", - "target_page": 1, - "target_passage": "Smart home automation Smart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### ISSUE\n\nDecember 2024\n\n#### CATEGORIES\n\nTechnology & Cybersecurity Editor's Picks Finance - Personal Home - Interior\n\n# **The top AI-powered tech trends in 2025**\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n### AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors – also known as the brain of the computer – which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n### Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n# Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n# Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com Word Count: 346\n\n#### M ed i a A tt a ch m e n ts −\n\n#### View", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "Have your say! Complete our\n\n2025 Media Survey\n\nRetrain your way to a new job The top AI-powered tech trends in 2025\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "# A N A N T I D O T E T O T H E O R D I N A R Y\n\nFunctional and timeless yet durable to the core. Problem-solver who values long-lasting and well-designed solutions seeks modern professional with a passion for helping people be both productive and inspired. Great customer relationships and confident, forwardthinking approach a must.\n\n## A L L S T E E L", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "outside the company: the U.S. economy, interest rates, oil prices and competitive actions. Incentives and aggressive discounting are both disturbing the marketplace. We've reached a level where this is actually confusing customers about the amount of discount that is available in the market. These are all things that we can't directly control.\n\nLooking longer term over the period of NISSAN Value-Up, I think it's fair to say that we will return to double-digit growth, because we're going to have some terrific new products that will allow us to enter new segments. The product will drive growth, but it would be a mistake to discount the increasing strength of brand recognition. We've spent roughly a billion dollars in upgrading Nissan dealer facilities up to 2004. This will continue to some degree in 2005 and 2006, while we've begun the same process for Infiniti. People see exciting change happening at Nissan and Infiniti.\n\nOver the long term, one minor risk for us is that we can no longer catch people by surprise. That was exciting, but that period is gone, which represents a challenge for us. As we come off a year with more than 20 percent growth, the media often ask me why we're not going to be in double digits again this year, as if that were the normal thing for us. The more successful you get, the harder it is to deliver\n\nsome of the eye-popping numbers that we have in the past. The reality is, of course, that we're even stronger, but we must keep up the momentum.\n\nThe U.S. market will continue to be strong, but the competition will be even tougher. There may be some separation between those companies that approach the market the right way, and those that are struggling to find their place. I consider Nissan very definitely one of the former. We have a direction and a strategy, and we have confidence that we can successfully implement the strategy. If we stay focused, we will succeed.\n\nIt's important that we do. The North American market, and the U.S. in particular, is generally a large contributor to any foreign manufacturer's operations. It's a big and very dynamic market, and that spells good news for Nissan. Our growth, and our strength, is in the very areas where the U.S. market is growing. We're higher than average in the Sunbelt states, whose growth in the coming years will simply magnify ours. We score very well among young people, a group that is becoming increasingly important. We also rate highly among the rapidly growing Hispanic population and the African-American population. Everything is lining up for us—Nissan has the opportunity to pull away from other players.\"\n\nALTIMA QUEST INFINITI M45", - "page_start": 64, - "page_end": 64, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## **References**\n\n- 1. Russell & Norvig (2021), pp. 1–4.\n- 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n- 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". *Business Horizons*. **62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n- 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n- 5. Russell & Norvig (2021, §1.2).\n- 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC (1999, pp. 200–201) The proposal: McCarthy et al. (1955)\n- 7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– 107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n- 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n- 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell & Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, pp. 189–201)\n- 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier (1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n- 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n- 12. Toews (2023).\n- 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7–12)\n- 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel (1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n- 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n- 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n- 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319– 345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n- 18. Smoliar & Zhang (1994).\n- 19. Neumann & Möller (2008).\n- 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "on the Company's ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y i n t roduced to the market. The Company's re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e marketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total f i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company's accounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. Technological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and testing activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , and technical perf o rmance re q u i rements.\n\n**Operating Loss** The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 million for the year ended December 31, 1999 as a result of the factors discussed above\n\n#### Corporate Services Segment\n\n**Operating Expenses** Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 f rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | | Years ending December 31, | | |\n| --- | --- | --- | --- | --- |\n| | 2 0 0 0 | | 1 9 9 9 | |\n| Salaries and benefits | $ | 3 , 8 1 3 | $ | 3 , 3 3 5 |\n| Selling, general and administrative | | 3 , 8 4 1 | | 3 , 2 7 0 |\n| D e p reciation and amort i z a t i o n | | 2 0 8 | | 1 4 5 |\n| Total direct operating expenses | $ | 7 , 8 6 2 | $ | 6 , 7 5 0 |\n\nThe Company's expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these i n c reased expenditures.\n\n#### **Non-Operating Results for the Years Ended December 31, 2000 and 1999**\n\n**Interest Income** I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December 31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash as a result of negative cash flow from operations and capital expenditure s .\n\n**Interest Expense** I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended December 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange rate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the C o m p a n y 's Notes Payable for a full year in 1999 in comparison to 6 months' accretion in 1998.\n\n**Foreign Exchange Gain/Loss** The Company had a net foreign exchange loss of $3.2 million for the year ended December 31, 2000, as c o m p a red to $2.1 million for the year ended December 31, 1999, and $1.9 million for the year ended December 31, 1998. Exchange gains and losses that result from re - m e a s u rement of certain Company assets and liabilities are re c o rded in determining net loss. A portion of the assets and liabilities of the Company are denominated in Euros, including capital lease obligations, notes payable (including the Notes issued in the C o m p a n y 's public bond offering), cash and cash equivalents, investments, and forw a rd foreign exchange contracts. It is the Company's policy to attempt to match local currency receivables and payables. The foreign currency denominated assets and liabilities give rise to foreign exchange gains and losses as a result of U.S. dollar to local currency exchange movements.\n\n**Extraordinary Gain** In 1999 the Company re c o rded an extraord i n a ry gain of $2.8 million (net of income taxes of $0) following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $8.1 million less the consideration paid of $5.0 million, offset by the write-off of allocated unamortized deferred financing costs of $300,000. The Company has not re t i red the bonds re p u rchased.\n\nIn addition, the Company re p u rchased 97,023 warrants that were attached to the notes payable. Accord i n g l y, approximately $176,000 was allocated to the carrying value of the warrants which reduced additional paid-in capital.\n\nIn 1998 the Company re c o rded an extraord i n a ry gain of $2.9 million (net of income taxes of $1.5 million), following its re p u rchase of a portion of its Senior Discount Notes. The gain re p resents the diff e rence between the allocated carrying value of the face value of the debt re p u rchased of $10.2 million less the consideration paid of $5.5 million, offset by the write-off of allocated unamortized deferred financing costs of $400,000. The Company has not re t i red the bonds re p u rchased.\n\n**Net Loss** The Company's net loss increased to $49.6 million for the year ended December 31, 2000, as compared to $30.9 million for the year ended December 31, 1999 and $28.4 million for the year ended December 31, 1998, as a result of the factors discussed above.\n\n#### LI Q U I D I T Y A N D CA P I TA L RE S O U R C E S\n\nSince its inception, the Company has sustained negative cash flows from operations and has financed its operations and capital expenditure s primarily through the proceeds from the 1998 issue of Deutsche Mark denominated notes payable, the Company's 1997 public equity off e r i n g , equipment lease financing and private placements of equity securities. The net proceeds of such transactions, together with revenues fro m operations and interest income have been used to fund aggregate net losses of approximately $123.8 million, investments in pro p e rt y, plant and equipment of approximately $52.8 million and acquisitions of $24.6 million.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "processesing business. And, I get excited about the opportunity to expand our transaction base with our mobile banking, bill payment and mobile operator solutions.\n\nThe real value of our company is in our transaction processing. Because of the low incremental cost of connecting to a new customer, anytime we sign a new contract most of the incremental revenue will now be flowing to our bottom line. The infrastructure is in place to leverage additional growth and bring us closer to being EBITDA and cash flow positive in the near term.\n\n## **What role will strategic alliances play in extending your reach into new markets?**\n\nAlliances are an important part of our strategic direction. Recently, we announced several partnerships that help us expand sales channels and distribution of our products and services. Our partners were looking for wireless transaction solutions to complement their own offerings, and they selected Euronet's products, proving that our solutions are rock solid.\n\nGemplus, the world's number one provider of smart card-based solutions, chose us as their global partner to provide electronic recharge solutions to mobile operators. We also have agreements with Sila Communications to help us market our suite of mobile banking solutions throughout Europe, the Middle East and Asia Pacific and with Aether Systems which is offering our mobile banking solutions in the United States.\n\n## **Why did you change your corporate name to Euronet Worldwide last year?**\n\nWe became Euronet Worldwide to more accurately reflect the company's growing presence in the global marketplace. We are no longer focused solely on Europe, and today, deliver comprehensive solutions to more than 200 customers in over 60 countries.\n\n## **What was your biggest challenge in 2000?**\n\nI think it was restructuring our software business late in the year. When Euronet purchased Arkansas Systems, Inc. over two years ago, the division was expected to\n\nachieve high growth. As banks began moving to outsourcing rather than purchasing software to manage their transactions, we realized that this high growth would not materialize. We've basically downsized to reduce expenses to better correspond to revenue expectations, so we\n\nexpect this division to be an EBITDA contributor from this point forward. The trend towards outsourcing negatively impacted our software business, but positively benefits our network services division.\n\nIt's important to point out that our software is an asset to our business of\n\nselling transactions. For example, our software sales doubled in the Asia Pacific region over 1999. Relationships with large financial institutions like Westpac Banking Corporation have cemented our position in Asia Pacific as a leading supplier of transaction processing solutions.\n\n#### **Why is ATM outsourcing important?**\n\nIncreasingly, financial institutions are choosing to outsource their ATM operations to free up resources\n\n> and concentrate on their core banking business. Some analysts predict that outsourcing by the European banking and finance sector will total $91 billion by 2003. We are expanding our outsourcing business with wireless and Internet banking services.\n\nOur outsourcing business is thriving. Currently we provide ATM outsourcing for some of the biggest banks in the world – banks like Citibank, ABN AMRO, Deutsche Bank, Millennium\n\nand Raiffeisenbank – as they expand into emerging markets. We have contracts with Citibank in five countries, most recently in Greece and the Czech Republic.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "workers and those with care duties at home. Digitalisation also offers opportunities for more effective OSH training, advanced workplace risk assessment, communication and OSH inspections.\n\n**Digital technologies can worsen the OSH situation at workplaces.** Depending on how technologies are designed and implemented, on the organisational context and on the employment status, digitalisation may result in workers being more exposed to OSH risks such as ergonomic and psychosocial risks, with an increase in work-related stress, increasing performance pressure and work complexity, facilitating irregular working hours, reducing social interaction and support at work, blurred boundaries between work and private life, and new forms of dislocated work with unclear employment status. Technical concerns relate to aspects like safe interaction of workers with robots and semiautonomous machines and vehicles. The extensive use of data has the potential to harm privacy interests. **Digitalisation can create abrupt (disruptive) and emerging changes at workplaces** and with that very different challenges for OSH.275 Eurofound summarised the opportunities and risks of **ICTbased mobile work** in a table format.276\n\n| Opportunities | Risks |\n| --- | --- |\n| Potential transformation of work organisation | |\n| Contribution to inclusive labour markets | Potential exclusion of certain groups from the labour market |\n| Addressing (regional) labour shortages | (for example, low-skilled workers, older people, place-bound |\n| Job creation and retention | occupations) |\n| Flexibility and autonomy | Advanced monitoring and control |\n| Increased work intensity and stress | |\n| Improved work-life balance | 'Limitless work' |\n| Potential expected 24/7 availability | |\n| Long working hours, limited rest time | |\n| Blurring spheres of work and private life | |\n| Productivity, costs, results-based remuneration | |\n| Improved communication and collaboration | Information overload |\n| Conflicts due to a lack of coordination | |\n| Skills development (technical applications) | Social and professional isolation |\n| High demands for self-management and self-organisation | |\n| Outsourcing of employer responsibilities (equipment, health | |\n| and safety data protection) | |\n\n#### **Table 27: Opportunities and risks of ICT-based mobile work – Eurofound**\n\nEU-OSHA observes particular risks for safety and health in:277\n\n- low standards of OSH (particularly ergonomic) in mobile and home-based work,\n- safety of robots, cobots and autonomous vehicles,\n- platform work with low OSH standards,\n- enhanced and detailed surveillance,\n- permanent availability, and\n- physical inactivity, permanent sitting and focusing on digital equipment.\n\nEU-OSHA included in its ESENER 2019 survey several questions regarding **digitalisation and OSH** in enterprises. There is a great diversity when it comes to the types of digital technologies reported by the establishments. PCs at fixed workplaces (86% of surveyed establishments in the EU27) and laptops, tablets, smartphones or other mobile devices (77%) are frequently reported across all activity sectors and business size classes. Only 6% of surveyed establishments in the EU27 reported using none of the digital technologies.278", - "page_start": 104, - "page_end": 104, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "During 2001, we also implemented a customer relationship management system. This system improves the productivity of our sales force by helping to establish marketing priorities and track sales leads. It also tracks renewal periods for potential commercial, industrial and franchise contracts. During 2005, we will continue to ensure our sales force is properly trained on this system and is using it as intended.\n\n- ' *Improve the productivity of our operations.* We use a grid productivity program that enables us to benchmark the performance of our drivers. In addition, in our larger markets, we use a route optimization program to minimize drive times and improve operational density. During 2005, we will continue to update our disposal optimization metrics. These metrics identify which local disposal option maximizes our return on invested capital and cash Öow.\n- ' *Improve Öeet management and procurement.* In February 2002, we selected Dossier as our Öeet management and parts procurement system. During 2003, we implemented Dossier at all of our signiÑcant hauling and landÑll operations. Among other features, this system tracks parts inventories, generates automatic quantity order points and logs all maintenance work. It allows us to capture and review information to ensure our preventive maintenance programs comply with manufacturers' warranties and governmental regulations. In addition, the purchase order module within this system allows us to cross-reference purchasing information with our inventory. During 2005, we intend to further utilize this purchase order module to take advantage of volume discounts.\n- ' *Enhance operational and Ñnancial reporting systems.* We have several initiatives aimed at improving our operational and Ñnancial reporting systems. The overall goal of these initiatives is to provide us with detailed information, prepared in a consistent manner, that will allow us to quickly analyze and act upon trends in our business.\n\nOne of our most signiÑcant systems is our enterprise-wide general ledger package. We successfully converted all of our locations to Lawson general ledger software in 2002 and in 2003 successfully converted all of our locations to Lawson Ñxed asset software.\n\nAll of the system initiatives mentioned above will provide us with more consistent and detailed information, thus allowing us to make quicker and more informed business decisions. In addition, during 2001, all of our signiÑcant software applications were standardized and centralized at our data center in Fort Lauderdale, Florida. This standardization and centralization provides us with consolidated information concerning our operations across a variety of operational and Ñnancial disciplines. It also signiÑcantly enhances our ability to execute our disaster recovery plan, if necessary.\n\n- ' *Expand our safety training programs.* As part of our ongoing emphasis on safe work practices and in light of increasing insurance costs, we expanded our safety training programs in 2002. During 2004, we distributed to all of our locations a comprehensive training and safety manual. Safety will continue to be a key area of focus during 2005.\n- ' *Develop and implement performance strategies.* Develop and implement strategies to improve the performance of locations and lines of business that are performing below the company's average.", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "#### INDUSTRIAL MACHINERY AND MARINE BUSINESS\n\nTOSHIO AOKI Vice President\n\nWHO WE ARE\n\n## **Building on the Core**\n\n\"We are the only forklift manufacturer directly owned by an automotive company, and that has created a number of synergies for our division. There's a natural link with the core business, for instance, given the powertrain of a forklift. However, we also benefit from other assets within Nissan, such as brand, quality, cost management, and marketing activities.\n\nThe bottom line is that we contribute to the Company's total profitability. We had our highest sales and profit in fiscal 2004. We now lead the industry in profitability, in fact, which I believe reflects the market's awareness of our superior quality. In this business, quality is everything, because our customers are investing in tools for their business. As we upgrade our customer service, I think we will be in a position to become the market leader.\n\nProducing forklifts is the heart of our business, although we also build marine products, mostly fiberglass boats and outboard motors. During the year a major issue for our forklift division was the rising price of steel, which seriously affects forklift production. We increased our selling price in response, as did the rest of the industry. Fortunately, we met or surpassed our targets in Japan and in Europe, where we have a plant in Spain. We were slightly below our target for the U.S., however, the result of a slight delay in the start of production on a new model, which reduced volume for the year. We have since recovered our strength in that market, which we see as key to our continued growth.\n\nA major contributor to our expansion was the release of a new forklift in Japan two years ago. At the time we had not released a new model in over seven years. Over the coming years we plan to introduce a new battery-powered model in major markets and enhance our service network. Since forklifts are production equipment, their sales are highly influenced by business cycles. To help maintain our profitability, we need to ramp up our parts and service businesses, which can be a significant source of income.\n\nWe have made a tough commitment for the NISSAN Value-Up period, and that is to increase our profitability until it is in line with Nissan's other operations. This will require some bold steps, but doing so will make us the industry leader. We are currently expanding into producing other material handling and warehousing equipment. We also see opportunities for quality forklifts in China, despite the competitive market there. Used forklifts can also be a profitable business as well, and we are looking to increase our involvement in that area.\n\nOur marine-related business has been profitable since 2000, when we restructured the business by expanding the marine product line-up and strengthening marina operations. Now we are focusing on larger boats and investigating the possibility of manufacturing in China. We are also researching the recycling of plastic and fiberglass boats, which is a major environmental concern.\"", - "page_start": 31, - "page_end": 31, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to help my parents who are in residential care, are there any trendy AI-related devices I could help them with? ", - "target_page": 1, - "target_passage": "Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### ISSUE\n\nDecember 2024\n\n#### CATEGORIES\n\nTechnology & Cybersecurity Editor's Picks Finance - Personal Home - Interior\n\n# **The top AI-powered tech trends in 2025**\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n### AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors – also known as the brain of the computer – which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n### Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n# Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n# Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com Word Count: 346\n\n#### M ed i a A tt a ch m e n ts −\n\n#### View", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "## **References**\n\n- 1. Russell & Norvig (2021), pp. 1–4.\n- 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n- 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". *Business Horizons*. **62**: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n- 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n- 5. Russell & Norvig (2021, §1.2).\n- 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC (1999, pp. 200–201) The proposal: McCarthy et al. (1955)\n- 7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52– 107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n- 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n- 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell & Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994, pp. 189–201)\n- 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier (1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n- 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n- 12. Toews (2023).\n- 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7–12)\n- 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel (1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n- 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n- 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n- 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319– 345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n- 18. Smoliar & Zhang (1994).\n- 19. Neumann & Möller (2008).\n- 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task in simple text.[122][123]\n\nCurrent models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and LLaMA. [124] Multimodal GPT models can process different types of data (modalities) such as images, videos, sound, and text.[125]\n\n### **Hardware and software**\n\nIn the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific enhancements and used with specialized TensorFlow software had replaced previously used central processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine learning models' training.[126] Specialized programming languages such as Prolog were used in early AI research,[127] but general-purpose programming languages like Python have become predominant.[128]\n\nThe transistor density in integrated circuits has been observed to roughly double every 18 months—a trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it. Improvements in GPUs have been even faster. [129]\n\n## **Applications**\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including: search engines (such as Google Search), targeting online advertisements, recommendation systems (offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense, Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation officer (CAO).\n\n### **Health and medicine**\n\nThe application of AI in medicine and medical research has the potential to increase patient care and quality of life.[130] Through the lens of the Hippocratic Oath, medical professionals are ethically compelled to use AI, if applications can more accurately diagnose and treat patients.[131][132]\n\nFor medical research, AI is an important tool for processing and integrating big data. This is particularly important for organoid and tissue engineering development which use microscopy imaging as a key technique in fabrication.[133] It has been suggested that AI can overcome discrepancies in funding allocated to different fields of research.[133] New AI tools can deepen the understanding of biomedically relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours rather than months, the 3D structure of a protein. [134] In 2023, it was reported that AI-guided drug discovery helped find a class of antibiotics capable of killing two different types of drug-resistant bacteria.[135] In 2024, researchers used machine learning to accelerate the search for Parkinson's disease", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Simon, H. A. (1965), *The Shape of Automation for Men and Management*, New York: Harper & Row\n- Simonite, Tom (31 March 2016). \"How Google Plans to Solve Artificial Intelligence\" (https://www. technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligence). *MIT Technology Review*. Archived (https://web.archive.org/web/20240916003430/https://ww w.technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligenc e/) from the original on 16 September 2024. Retrieved 5 October 2024.\n- Smith, Craig S. (15 March 2023). \"ChatGPT-4 Creator Ilya Sutskever on AI Hallucinations and AI Democracy\" (https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sutsk ever-on-ai-hallucinations-and-ai-democracy). *Forbes*. Archived (https://web.archive.org/web/ 20240918141325/https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sut skever-on-ai-hallucinations-and-ai-democracy/) from the original on 18 September 2024. Retrieved 25 December 2023.\n- Smoliar, Stephen W.; Zhang, HongJiang (1994). \"Content based video indexing and retrieval\". *IEEE MultiMedia*. **1** (2): 62–72. doi:10.1109/93.311653 (https://doi.org/10.1109%2F93.3116 53). S2CID 32710913 (https://api.semanticscholar.org/CorpusID:32710913).\n- Solomonoff, Ray (1956). *An Inductive Inference Machine* (http://world.std.com/~rjs/indinf56.pdf) (PDF). Dartmouth Summer Research Conference on Artificial Intelligence. 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The techniques used to acquire this data have raised concerns about privacy, surveillance and copyright.\n\nAI-powered devices and services, such as virtual assistants and IoT products, continuously collect personal information, raising concerns about intrusive data gathering and unauthorized access by third parties. The loss of privacy is further exacerbated by AI's ability to process and combine vast amounts of data, potentially leading to a surveillance society where individual activities are constantly monitored and analyzed without adequate safeguards or transparency.\n\nSensitive user data collected may include online activity records, geolocation data, video or audio.[187] For example, in order to build speech recognition algorithms, Amazon has recorded millions of private conversations and allowed temporary workers to listen to and transcribe some of them.[188] Opinions about this widespread surveillance range from those who see it as a necessary evil to those for whom it is clearly unethical and a violation of the right to privacy. [189]\n\nAI developers argue that this is the only way to deliver valuable applications. and have developed several techniques that attempt to preserve privacy while still obtaining the data, such as data aggregation, deidentification and differential privacy. [190] Since 2016, some privacy experts, such as Cynthia Dwork, have begun to view privacy in terms of fairness. Brian Christian wrote that experts have pivoted \"from the question of 'what they know' to the question of 'what they're doing with it'.\"[191]\n\nGenerative AI is often trained on unlicensed copyrighted works, including in domains such as images or computer code; the output is then used under the rationale of \"fair use\". Experts disagree about how well and under what circumstances this rationale will hold up in courts of law; relevant factors may include \"the purpose and character of the use of the copyrighted work\" and \"the effect upon the potential market for the copyrighted work\".[192][193] Website owners who do not wish to have their content scraped can indicate it in a \"robots.txt\" file.[194] In 2023, leading authors (including John Grisham and Jonathan", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia3.pdf" - }, - { - "text": "show that even a computer capable of perfectly simulating human behavior would not have a mind.[387]\n\n#### **AI welfare and rights**\n\nIt is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel), and if so, to what degree.[388] But if there is a significant chance that a given machine can feel and suffer, then it may be entitled to certain rights or welfare protection measures, similarly to animals.[389][390] Sapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may provide another moral basis for AI rights.[389] Robot rights are also sometimes proposed as a practical way to integrate autonomous agents into society. [391]\n\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI systems. Similarly to the legal status of companies, it would have conferred rights but also responsibilities.[392] Critics argued in 2018 that granting rights to AI systems would downplay the importance of human rights, and that legislation should focus on user needs rather than speculative futuristic scenarios. They also noted that robots lacked the autonomy to take part to society on their own.[393][394]\n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI sentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot analogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created and carelessly exploited.[390][389]\n\n## **Future**\n\n### **Superintelligence and the singularity**\n\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the brightest and most gifted human mind.[379] If research into artificial general intelligence produced sufficiently intelligent software, it might be able to reprogram and improve itself. The improved software would be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and Vernor Vinge called a \"singularity\".[395]\n\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped curve, slowing when they reach the physical limits of what the technology can do.[396]\n\n### **Transhumanism**\n\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted that humans and machines may merge in the future into cyborgs that are more capable and powerful than either. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert Ettinger. [397]", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 181. 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S2CID 10767011 (https://api.semanticscholar.org/Co rpusID:10767011).\n\nNilsson, Nils (1995), \"Eyes on the Prize\", *AI Magazine*, vol. 16, pp. 9–17", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "Is the topic of finance trending among AI topics for 2015 in Canada?", - "target_page": 1, - "target_passage": "Financial services", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "#### ISSUE\n\nDecember 2024\n\n#### CATEGORIES\n\nTechnology & Cybersecurity Editor's Picks Finance - Personal Home - Interior\n\n# **The top AI-powered tech trends in 2025**\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n### AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors – also known as the brain of the computer – which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n### Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n# Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n# Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com Word Count: 346\n\n#### M ed i a A tt a ch m e n ts −\n\n#### View", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "Have your say! Complete our\n\n2025 Media Survey\n\nRetrain your way to a new job The top AI-powered tech trends in 2025\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "#### INDUSTRY TRENDS\n\n#### The telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\n\n#### CHANGING TECHNOLOGIES AND CONSUMER DEMANDS\n\nConsumer demand for mobile devices, digital media and on-demand content across platforms is pushing providers to build networks that can provide more data faster, cheaper and more easily. Increased adoption of smartphones and double digit growth in our data revenue continued this year, reflecting expanded use of applications, mobile video, messaging and other wireless data.\n\n#### COMPETITION\n\nCompetition in wireless from national and regional operators as well as smaller new entrants changes how we compete for wireless services. This puts downward pressure on pricing affecting profit margins and impacts customer churn.\n\nTraditional wireline telephone and television services are now offered over the Internet, opening the door to more non-traditional competitors, and changing how traditional providers compete. This is changing the mix of packages and pricing that service providers offer, affecting profit margins and customer churn.\n\n#### **WIRELESS TRENDS**\n\nMore sophisticated wireless networks, devices and applications are making it easier and faster to receive data, driving growth in wireless data services.\n\nWireless providers are investing in the next generation of broadband wireless data networks, such as LTE, to support the growing data demand.\n\nWireless market penetration in Canada is approximately 80% of the population, and is expected to grow at an estimated 2% annually.\n\nThe new CRTC code of conduct has limited wireless term contracts to two years from three years. Although the code of conduct has only been in place for a month, we believe this is currently reducing churn and slowing growth in the wireless marketplace.\n\n#### **CABLE TRENDS**\n\nYounger generations are increasingly using the Internet and social media as a substitute for traditional wireline telephone services, and televised content is increasingly available online, both on wireline and on wireless devices.\n\nWe face new competition from companies like Skype and Vonage, who market Voice over Internet Protocol (VoIP) telephony services, and Netflix and Apple TV, who provide televised content over the Internet.\n\nNorth American cable companies are improving their cable networks and expanding their service offerings to include Internet, digital cable and VoIP telephony services, while competition from telco IPTV deployments and non-facilities based service providers continues to cause pricing pressures which negatively impacts revenue growth.\n\nIn the media industry, there continues to be a shift towards on-line media consumption by consumers which in turn drives advertisers to spend more on-line versus traditional media. In addition, there are more media competitors as additional on-line media companies enter the market, including large global companies.\n\n#### REGULATION\n\nMost areas of our business are highly regulated, which affects who we compete with, the programming we can offer, where and how we use our networks, how we build our businesses and the spectrum we purchase. The telecommunications industry is being affected by more regulation and more reviews of the current regulations.\n\n#### ECONOMIC CONDITIONS\n\nOur businesses are affected by general economic conditions and consumer confidence and spending, especially in our Media segment, where advertising revenue is directly affected by the economy.\n\n#### **BUSINESS SOLUTIONS TRENDS**\n\nCompanies are using fibre-based access and cloud computing to capture and share information in more volume and detail. This, combined with the rise of multimedia and Internet-based applications, is driving exponential growth in data demand.\n\nLarge enterprises and all levels of government are dramatically transforming data centre infrastructure and moving toward virtual data storage and hosting. This is driving demand for more advanced network functionality, robust, scalable services and supportive dynamic network infrastructure.\n\nIn response, carriers are dismantling legacy networks and investing in next generation platforms that converge voice, data and video solutions onto a single distribution and access platform.\n\n#### **MEDIA TRENDS**\n\nConsumer demand for digital media, mobile devices and ondemand content is pushing advertisers to shift some of their spending to digital platforms.\n\nTraditional media assets in Canada have become increasingly controlled by a small number of competitors with significant scale and financial resources, while technology has allowed new entrants and even individuals to become media players in their own right. Across both traditional and emerging platforms, many players have become more vertically integrated, as both providers and purchasers of content.\n\nAccess to premium content has become even more important for acquiring audiences that attract advertisers and subscribers. Ownership of content or longterm agreements with content owners, have also become increasingly important to Media companies.", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- 160. Alex McFarland: *7 Best AI for Math Tools.* (https://www.unite.ai/best-ai-for-math-tools/) Archived (https://web.archive.org/web/20240911125615/https://www.unite.ai/best-ai-for-mat h-tools/) 11 September 2024 at the Wayback Machine unite.ai. Retrieved 2024-08-07\n- 161. Matthew Finio & Amanda Downie: IBM Think 2024 Primer, \"What is Artificial Intelligence (AI) in Finance?\" 8 Dec. 2023\n- 162. M. Nicolas, J. Firzli: Pensions Age/European Pensions magazine, \"Artificial Intelligence: Ask the Industry\" May June 2024 https://videovoice.org/ai-in-finance-innovationentrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence-act-wont-work-asintended/ Archived (https://web.archive.org/web/20240911125502/https://videovoice.org/ai-i n-finance-innovation-entrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligenceact-wont-work-as-intended/) 11 September 2024 at the Wayback Machine.\n- 163. Congressional Research Service (2019). *Artificial Intelligence and National Security* (https://f as.org/sgp/crs/natsec/R45178.pdf) (PDF). Washington, DC: Congressional Research Service.PD-notice\n- 164. Slyusar, Vadym (2019). Artificial intelligence as the basis of future control networks (Preprint). doi:10.13140/RG.2.2.30247.50087 (https://doi.org/10.13140%2FRG.2.2.30247.5 0087).\n- 165. 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Colton, Emma (7 May 2023). \" 'Father of AI' says tech fears misplaced: 'You cannot stop it' \" (https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-can not-stop). *Fox News*. Archived (https://web.archive.org/web/20230526162642/https://www.fo xnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop) from the original on 26 May 2023. Retrieved 26 May 2023.\n- 279. Jones, Hessie (23 May 2023). \"Juergen Schmidhuber, Renowned 'Father Of Modern AI,' Says His Life's Work Won't Lead To Dystopia\" (https://www.forbes.com/sites/hessiejones/20 23/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-leadto-dystopia). *Forbes*. Archived (https://web.archive.org/web/20230526163102/https://www.fo rbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai -says-his-lifes-work-wont-lead-to-dystopia/) from the original on 26 May 2023. Retrieved 26 May 2023.\n- 280. McMorrow, Ryan (19 December 2023). \"Andrew Ng: 'Do we think the world is better off with more or less intelligence?' \" (https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f93 52be3). *Financial Times*. Archived (https://web.archive.org/web/20240125014121/https://ww w.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3) from the original on 25 January 2024. Retrieved 30 December 2023.\n- 281. Levy, Steven (22 December 2023). \"How Not to Be Stupid About AI, With Yann LeCun\" (http s://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview). *Wired*. Archived (h ttps://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligenc e-meta-yann-lecun-interview/) from the original on 28 December 2023. Retrieved 30 December 2023.", - "page_start": 44, - "page_end": 44, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt that this approach would be able to imitate all the processes of human cognition, especially perception, robotics, learning and pattern recognition, [335] and began to look into \"sub-symbolic\" approaches.[336] Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that move and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete and uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most important development was the revival of \"connectionism\", including neural network research, by Geoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural networks can recognize handwritten digits, the first of many successful applications of neural networks.[343]\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, economics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely used, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as the AI effect).[345] However, several academic researchers became concerned that AI was no longer pursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded institutions by the 2010s.[4]\n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11] For many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both hardware improvements (faster computers, [347] graphics processing units, cloud computing[348] ) and access to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's success led to an enormous increase in interest and funding in AI.[z] The amount of machine learning research (measured by total publications) increased by 50% in the years 2015–2019.[306]\n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine learning conferences, publications vastly increased, funding became available, and many researchers refocussed their careers on these issues. The alignment problem became a serious field of academic study. [283]\n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was released in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT, launched on November 30, 2022, became the fastest-growing consumer software application in history, gaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout year, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI boom, where large companies began investing billions of dollars in AI research. According to AI Impacts, about $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 6/big-tech-and-the-pursuit-of-ai-dominance). *The Economist*. 26 March 2023. Archived (http s://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/ big-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n- 201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww w.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). *CNN Business*. Archived (https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloudcompetition-and-ai/index.html) from the original on 13 January 2024.\n- 202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w ww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). *The New York Times*. Archived (https://web.archive.org/web/20240708214644/https://www.nytim es.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original on 8 July 2024. Retrieved 5 October 2024.\n- 203. \"Electricity 2024 Analysis\" (https://www.iea.org/reports/electricity-2024). *IEA*. 24 January 2024. Retrieved 13 July 2024.\n- 204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's only the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener gy-experts-expect-it-to-double-in-just-a-few-years). *Vox*. New York, New York. Archived (http s://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172 1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original on 3 July 2024. Retrieved 5 October 2024.\n- 205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech firms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2 1/artificial-intelligence-nuclear-fusion-climate/?utm_campaign=wp_post_most&utm_medium =email&utm_source=newsletter&wpisrc=nl_most&carta-url=https%3A%2F%2Fs2.washingto npost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f 20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). *Washington Post*.\n- 206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web. archive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res earch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf) (PDF). *Goldman Sachs*. Archived from the original (https://www.goldmansachs.com/intellige nce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg e/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n- 207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http s://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). *Wall Street Journal*. Dow Jones.\n- 208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https:// www.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7 5316?mod=djem10point). *Wall Street Journal*. Dow Jones. Archived (https://web.archive.or g/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc k-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October 2024. Retrieved 5 October 2024.\n- 209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to Feed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s ays-nuclear-power-an-option-to-feed-data-centers). *Bloomberg*.\n- 210. Halper, Evan (20 September 2024). \"Microsoft deal would reopen Three Mile Island nuclear plant to power AI\" (https://www.washingtonpost.com/business/2024/09/20/microsoft-three-mi le-island-nuclear-constellation). *Washington Post*.", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The two most widely used textbooks in 2023 (see the Open Syllabus (https://explorer.opensyllabus.org/re sult/field?id=Computer+Science)):\n\n- Russell, Stuart J.; Norvig, Peter (2021). *Artificial Intelligence: A Modern Approach* (4th ed.). Hoboken: Pearson. ISBN 978-0-1346-1099-3. LCCN 20190474 (https://lccn.loc.gov/201904 74).\n- Rich, Elaine; Knight, Kevin; Nair, Shivashankar B (2010). *Artificial Intelligence* (3rd ed.). New Delhi: Tata McGraw Hill India. ISBN 978-0-0700-8770-5.\n\nThe four most widely used AI textbooks in 2008:\n\n- Luger, George; Stubblefield, William (2004). *Artificial Intelligence: Structures and Strategies for Complex Problem Solving* (https://archive.org/details/artificialintell0000luge) (5th ed.). Benjamin/Cummings. ISBN 978-0-8053-4780-7. Archived (https://web.archive.org/web/2020 0726220613/https://archive.org/details/artificialintell0000luge) from the original on 26 July 2020. Retrieved 17 December 2019.\n- Nilsson, Nils (1998). *Artificial Intelligence: A New Synthesis* (https://archive.org/details/artificialin tell0000nils). Morgan Kaufmann. ISBN 978-1-5586-0467-4. Archived (https://web.archive.or g/web/20200726131654/https://archive.org/details/artificialintell0000nils) from the original on 26 July 2020. Retrieved 18 November 2019.\n- Russell, Stuart J.; Norvig, Peter (2003), *Artificial Intelligence: A Modern Approach* (http://aima.c s.berkeley.edu/) (2nd ed.), Upper Saddle River, New Jersey: Prentice Hall, ISBN 0-13- 790395-2.\n- Poole, David; Mackworth, Alan; Goebel, Randy (1998). *Computational Intelligence: A Logical Approach* (https://archive.org/details/computationalint00pool). New York: Oxford University Press. ISBN 978-0-1951-0270-3. Archived (https://web.archive.org/web/20200726131436/ht tps://archive.org/details/computationalint00pool) from the original on 26 July 2020. Retrieved 22 August 2020. Later edition: Poole, David; Mackworth, Alan (2017). *Artificial Intelligence: Foundations of Computational Agents* (http://artint.info/index.html) (2nd ed.). Cambridge University Press. ISBN 978-1-1071-9539-4. Archived (https://web.archive.org/web/2017120 7013855/http://artint.info/index.html) from the original on 7 December 2017. Retrieved 6 December 2017.\n\nOther textbooks:\n\n- Ertel, Wolfgang (2017). *Introduction to Artificial Intelligence* (2nd ed.). Springer. ISBN 978-3- 3195-8486-7.\n- Ciaramella, Alberto; Ciaramella, Marco (2024). *Introduction to Artificial Intelligence: from data analysis to generative AI* (1st ed.). Intellisemantic Editions. ISBN 978-8-8947-8760-3.\n\n## **History of AI**\n\nCrevier, Daniel (1993). *AI: The Tumultuous Search for Artificial Intelligence*. New York, NY: BasicBooks. ISBN 0-465-02997-3.\n\n- McCorduck, Pamela (2004), *Machines Who Think* (2nd ed.), Natick, Massachusetts: A. K. Peters, ISBN 1-5688-1205-1\n- Newquist, H. P. (1994). *The Brain Makers: Genius, Ego, And Greed In The Quest For Machines That Think*. New York: Macmillan/SAMS. ISBN 978-0-6723-0412-5.\n\nHarmon, Paul; Sawyer, Brian (1990). *Creating Expert Systems for Business and Industry*. New York: John Wiley & Sons. ISBN 0471614963.\n\n#### **Other sources**", - "page_start": 51, - "page_end": 51, - "source_file": "wikipedia3.pdf" - }, - { - "text": "# **Item 7A. Quantitative and Qualitative Disclosures About Market Risk.**\n\nDollars in millions\n\n#### **INTEREST RATE RISK**\n\nWe are exposed to interest rate risk primarily from changes in short-term interest rates. As of January 31, 2015, we had cash and cash equivalents of $827, which generate interest income at variable rates, and gross credit card receivables of $2,284, which generate finance charge income at a combination of fixed and variable rates. Interest rate fluctuations can affect our interest income, credit card revenues and interest expense. See Note 3: Accounts Receivable in Item 8: Financial Statements and Supplementary Data for additional information.\n\nWe use sensitivity analyses to measure and assess our interest rate risk exposure. For purposes of presenting the potential earnings effect of a reasonably possible hypothetical change in interest rates from our reporting date, we utilized two sensitivity scenarios: (i) linear growth of approximately 225 basis points over the year and (ii) linear decline of approximately 15 basis points over the year, due to the fact that current interest rates are near historically low levels. Other key parameters and assumptions in our sensitivity analyses include the average cash and cash equivalents balance, average credit card receivables balance and no new floating rate debt. The first hypothetical scenario would result in an approximate $15 increase in future earnings, while the second hypothetical scenario would not have a material effect on future earnings.\n\nFor our long-term fixed-rate debt of $3,131, our exposure to interest rate risk is limited to changes in the fair value of our debt. As our debt is primarily fixed-rate, changes in interest rates do not impact our cash flows. However, changes in interest rates increase or decrease the fair value of our debt, depending on whether market rates are lower or higher than our fixed-rates. As of January 31, 2015, the fair value of our fixed-rate debt was $3,693. See Note 8: Debt and Credit Facilities and Note 9: Fair Value Measurements in Item 8: Financial Statements and Supplementary Data for additional information.\n\n#### **FOREIGN CURRENCY EXCHANGE RISK**\n\nThe majority of our revenues, expenses and capital expenditures are transacted in U.S. Dollars. Our U.S. operation periodically enters into merchandise purchase orders denominated in British Pounds or Euros. From time to time, we may use forward contracts to hedge against fluctuations in foreign currency prices. As of January 31, 2015, our outstanding forward contracts did not have a material impact on our consolidated financial statements.\n\nAs of January 31, 2015, we have opened one full-line store in Canada and have announced plans to open five additional full-line stores in Canada over the next few years. The functional currency of our Canadian operations is the Canadian Dollar. We translate assets and liabilities into U.S. Dollars using the exchange rate in effect at the balance sheet date, while we translate revenues and expenses using a weighted-average exchange rate for the period. We record these translation adjustments as a component of accumulated other comprehensive loss on the Consolidated Balance Sheets in Item 8: Financial Statements and Supplementary Data. Our Canadian operations enter into merchandise purchase orders denominated in U.S. Dollars for approximately half of its inventory. As sales in Canada are denominated in the Canadian Dollar, gross profit for our Canadian operations can be impacted by foreign currency fluctuations.\n\nIn addition, our U.S. operations incurred certain expenditures denominated in Canadian Dollars and our Canadian operations incurred certain expenditures denominated in U.S. Dollars. This activity results in transaction gains and losses that arise from exchange rate fluctuations and are recorded as gains or losses in the Consolidated Statements of Earnings in Item 8: Financial Statements and Supplementary Data. As of January 31, 2015, activities associated with foreign currency exchange risk have not had a material impact on our consolidated financial statements.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "**Finance costs.** Finance costs, net of amounts capitalised to exploration and development, increased by $0.9 million to $0.7 million for the year ended 31 December 2014 as compared to net interest income of $0.2 million in the prior year. The increase primarily relates to an increase in amortisation of deferred financing fees and additional interest incurred on undrawn funds.\n\n**Gain (loss) on derivative financial instruments**. The net gain (loss) on derivative financial instruments changed by $11.6 million to an $11.0 million gain for the year ended 31 December 2014 as compared to the prior year. The gain on commodity hedging consisted of $9.7 million of unrealised gains on commodity derivative contracts and $1.3 of realised gains on commodity derivative contracts.\n\n| Contract Type | Counterparty | Basis | Quantity/mo | Strike Price | Term |\n| --- | --- | --- | --- | --- | --- |\n| Collar | Wells Fargo | WTI | 2,000 BBL | $75.00/$98.65 | 1 Jan 15 – 31 Dec 15 |\n| Collar | Shell Trading US | LLS | 3,000 BBL | $85.00/$101.05 | 1 Jan 15 – 31 Dec 15 |\n| Collar | Wells Fargo | WTI | 2,000 BBL | $80.00/$97.00 | 1 Jan 15 – 31 Dec 15 |\n| Collar | Wells Fargo | WTI | 1,000 BBL | $80.00/$94.94 | 1 Jan 15 – 31 Dec 15 |\n| Swap | Wells Fargo | LLS | 2,000 BBL | $91.65 | 1 Jan 15 – 31 Dec 15 |\n| Swap | Shell Trading US | LLS | 5,000 BBL | $98.05 | 1 Jan 15 – 30 Jun 15 |\n| Swap | Shell Trading US | LLS | 3,000 BBL | $94.10 | 1 Jul 15 – 31 Dec 15 |\n| Swap | Wells Fargo | WTI | 2,000 BBL | $95.08 | 1 Jan 15 – 31 Dec 15 |\n| Swap | Wells Fargo | LLS | 2,000 BBL | $97.74 | 1 Jan 15 – 31 Dec 15 |\n| Swap | Shell Trading US | LLS | 5,000 BBL | $100.70 | 1 Jan 15 – 30 Jun 15 |\n| Swap | Shell Trading US | LLS | 5,000 BBL | $94.10 | 1 Jan 16 – 31 Dec 16 |\n| Swap | Shell Trading US | HH | 20,000 MCF | $4.14 | 1 Jan 15 – 31 Dec 15 |\n\nThe Company had the following open contracts at 31 December 2014:\n\n**Income taxes.** The components of our provision for income taxes are as follows:\n\n| | Year ended 31 December | |\n| --- | --- | --- |\n| (In US$'000s) | 2014 | 2013 |\n| Current tax (expense)/benefit | (17) | 21,398 |\n| Deferred tax benefit/(expense) | 858 | (26,965) |\n| Total income tax benefit/(expense) | 841 | (5,567) |\n| Combined Federal and state effective tax rate | (5.8)% | 25.9% |\n\nOur combined Federal and state effective tax rates differ from the Group's statutory tax rate of 30% primarily due to US federal and state tax rates, non-deductible expenses and the recognition of previously unrecognised tax losses. See Note 7 in the Notes to the Consolidated Financial Statements of this report for further information regarding our income taxes.\n\n**Adjusted EBITDAX**. Adjusted EBITDAX is defined as earnings before interest expense, income taxes, depreciation, depletion and amortisation, property impairments, gain/(loss) on sale of non-current assets, exploration expense, share-based compensation and gains and losses on commodity hedging, net of settlements of commodity hedging.\n\nFor the year ended 31 December 2014, adjusted EBITDAX was $126.4 million, or 79% of revenue, compared to $52.6 million, or 62% of revenue, from the prior year.", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Is there any chance that my cousin has been granted financial aid from Chesapeak Energy? He's studying at a college in Oklahoma.", - "target_page": 26, - "target_passage": "hat’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "*Rig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.*\n\nI am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable. There appears to be growing recognition that it is spectacularly dangerous for America to continue importing 9 million barrels of oil per day and exporting more than $1 billion per day in national wealth to oil exporting countries.\n\nAmerica's undiminished appetite for foreign oil has created the largest wealth transfer in the history of the world. The political leadership in Washington, D.C., has not seemed overly concerned about this issue until recently. However, after President Obama's recent speech calling\n\n(1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling and net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to\n\ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. (2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated in accordance with generally accepted accounting principles.\n\n• Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that management believes affect the comparability of operating results.\n\n• Operating cash flow is cash provided by operating activities before changes in assets and liabilities.\n\n• Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management\n\nbelieves affect the comparability of operating results. (3) FORTUNE 100 Best Companies to Work For® listed in the magazine's February 7, 2011 issue.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "### **CORPORATE INFORMATION**\n\n# **Corporate Headquarters**\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n# **Internet Address**\n\nCompany financial information, public disclosures and other information are available through Chesapeake's website at www.chk.com.\n\n# **Common Stock**\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n# **Common Stock Dividends**\n\nDuring 2010 the company declared a cash dividend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n# **Independent Public Accountants**\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n# **Stock Transfer Agent and Registrar**\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent: Computershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225 www.computershare.com\n\n# **Trustee for the Company's Senior Notes**\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286 www.bnymellon.com\n\n# **Forward-looking Statements**\n\nThis report includes \"forward-looking statements\" that give our current expectations or forecasts of future events. They include estimates of natural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be affected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under \"Risk Factors\" in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on forward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclosures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our \"total resource base.\" This term includes our estimated proved reserves as well as \"risked and unrisked unproved resources,\" which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.\n\n| 2011 | High | Low | Last |\n| --- | --- | --- | --- |\n| First Quarter | $ 35.95 | $ 25.93 | $ 33.52 |\n| 2010 | High | Low | Last |\n| Fourth Quarter | $ 26.43 | $ 20.97 | $ 25.91 |\n| Third Quarter | 23.00 | 19.68 | 22.65 |\n| Second Quarter | 25.55 | 19.62 | 20.95 |\n| First Quarter | 29.22 | 22.10 | 23.64 |\n| 2009 | High | Low | Last |\n| Fourth Quarter | $ 30.00 | $ 22.06 | $ 25.88 |\n| Third Quarter | 29.49 | 16.92 | 28.40 |\n| Second Quarter | 24.66 | 16.43 | 19.83 |\n| First Quarter | 20.13 | 13.27 | 17.06 |\n| 2008 | High | Low | Last |\n| Fourth Quarter | $ 35.46 | $ 9.84 | $ 16.17 |\n| Third Quarter | 74.00 | 31.15 | 35.86 |\n| Second Quarter | 68.10 | 45.25 | 65.96 |\n| First Quarter | 49.87 | 34.42 | 46.15 |\n\n### WWW.CHK.COM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "#### **H. Weldon Holcombe**\n\n*Director, BS in Civil Engineering*\n\n### *Experience*\n\nWeldon has been a Director since December 2012. Mr. Holcombe has over 30 years of onshore and offshore U.S. oil and gas industry experience, including technology, reservoir engineering, drilling and completions, production operations, construction, field development and optimization, Health, Safety and Environmental (\"HSE\"), and management of office, field and contract personnel. Most recently, Mr. Holcombe served as the Executive Vice President, Mid Continental Region, for Petrohawk Energy Corporation from 2006 until its acquisition by BHP Billiton in 2011, after which Mr. Holcombe served as Vice President of New Technology Development for BHP Billiton. In his capacity as Executive Vice President for Petrohawk Energy Corporation, Mr. Holcombe managed development of leading unconventional resource plays, including the Haynesville, Fayetteville and Permian areas. In addition, Mr. Holcombe served as President of Big Hawk LLC, a subsidiary of Petrohawk Energy Corporation, a provider of basic oil and gas construction, logistics and rental services. Mr. Holcombe also served as corporate HSE officer for Petrohawk and joint chairperson of the steering committee that managed construction and operation of a gathering system in Petrohawk's Haynesville field with one billion cubic feet of natural gas of production per day. Prior to Petrohawk, Mr. Holcombe served in a variety of senior level management, operations and engineering roles for KCS Energy and Exxon. Mr. Holcombe holds a Bachelor of Science degree in civil engineering from the University of Auburn.\n\n*Interest in Shares*:\n\n596,700 Ordinary Shares in Sundance Energy Australia Limited\n\n*Special Responsibilities:* -Chairman of the Reserves Committee -Member of the Remuneration and Nominations Committee\n\n*Other Directorships*: Nil\n\n### **Meetings of Directors**\n\nThe table below shows the number of meetings held during each Director's tenure and the attendance by each Director and respective members of the Committees. In addition to the formal meetings held and noted below, a number of informal meetings were also held.\n\n| | Board of Directors | | Audit and Risk | | Remuneration and | | | |\n| --- | --- | --- | --- | --- | --- | --- | --- | --- |\n| | | | Management | | Nominations | | Reserves | |\n| | Meetings | | Committee | | Committee | | Committee | |\n| | Held Attended | | Held Attended | | Held Attended | | Held Attended | |\n| M Hannell | 9 | 9 | 4 | 4 | 7 | 7 | 4 | 4 |\n| E McCrady | 9 | 9 | - | - | - | - | - | - |\n| D Hannes | 9 | 9 | 4 | 4 | 7 | 7 | - | - |\n| N Martin | 9 | 9 | 4 | 3 | - | - | 4 | 4 |\n| | 9 | 9 | - | - | 7 | 7 | 4 | 4 |\n| W Holcombe | | | | | | | | |\n\nThe Audit and Risk Management, the Remuneration and Nominations, and the Reserves Committees both have charters approved by the Committees and, subsequently, the Board, which sets out the Committees' objectives, composition, meeting frequency, access, duties and responsibilities. Minutes are kept of all meetings and are tabled for adoption at the following Committee meetings. These minutes are subsequently provided to the Board for information and any discussion that may be necessary. The Audit and Risk Management Committee meets with the external auditor at least twice a year.", - "page_start": 26, - "page_end": 26, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, marketing, business administration, computer science and information technology. In addition, scholars will take part in a Chesapeake Presidential Leadership Course facilitated by faculty members in coordination with designated Chesapeake leadership coaches, including a Chesapeake senior vice president and OCU alumni.\n\nIn 2007 Chesapeake launched a scholarship program in Texas with an initial $1.25 million contribution, challenging the cities of Fort Worth and Dallas to match its gift within a year. The cities responded and matched the gift, so Chesapeake in 2008 added another $1.25 million to the fund, bringing the total to $3.75 million. The Chesapeake Scholarship Fund currently funds the cost of higher education for 48 minority students. The fund provides each student $20,000 a year for up to four years at the school of their choice. To date more than $1.0 million has been distributed to deserving local students.\n\nTo help ensure the training of qualified geologists, engineers, landmen and energy lawyers in the next generation, we award scholarships to students pursuing energy-related degrees. We also help mentor them through Chesapeake's Peak Program. Junior- and senior-level scholarship recipients are paired with Chesapeake employee mentors who help develop students' knowledge and provide career advice. There are currently 25 mentors and 40 scholarship recipients participating in the Peak Program.\n\nOur recruiting team also initiated a strategic military recruitment effort during the past two years to hire former military personnel to work in a variety of leadership and crew positions. This effort earned Chesapeake an honor from G.I. JOBS magazine when we were named a 2011 Top 100 Military-Friendly Employer. Chesapeake currently employs 37 men and women who formerly served as junior military officers and more than 100 former servicemen and servicewomen who joined the company through a program called Troops 2 Roughnecks.\n\nIn addition to our specific scholarship programs, one-time educational donations and recruitment efforts, in 2010 we gave more than $1.8 million to fund higher education for nearly 400 other students in 12 states through our Chesapeake Scholars program. Chesapeake's scholarships help recruit the best and brightest students and provide educational opportunities in communities where we operate. In Oklahoma City, more than 400 employees volunteer for up to an hour a week on company time at four local public schools. Chesapeake's program has grown to become the largest corporate mentoring program in Oklahoma.\n\n# **Community Impact**\n\nChesapeake employees have been enriching their hometowns as volunteers for many years. We formalized those efforts in 2009 by establishing an official employee volunteer program, the H.E.L.P. (Helping Energize Local Progress) Initiative, wherein employees are invited to volunteer each month for a variety of organizations from food pantries to animal shelters. Through that program, employees donated more than 26,000 hours to their communities in 2009.\n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a higher level through the launch of Operation Blue. From Memorial Day through Labor Day, each employee was given four hours of company time to complete the volunteer project of their choice. Our employees eagerly accepted the challenge, and in three months more than 4,900 employees donated 30,900 hours of service to 519 organizations in more than 96 communities across the country. Operation Blue is now an annual volunteer program in which employees roll up their sleeves in the communities they call home.\n\nChesapeake's contributions take many forms: financial and equipment donations, volunteerism and scholarships. Last year, we made numerous in-kind donations of laptops, reconditioned Chesapeake fleet vehicles and subsidized office space. These contributions provide essential operating tools as nonprofit organizations across the nation attempt to serve more people — often with lower budgets — in tough economic times.\n\nFor example, in Louisiana we donated 12 vehicles in 2010, including one to the Panola College Oil and Natural Gas Technology Program, which teaches students about the natural gas industry and provides them with hands-on technical training. Across many of the company's operating areas, we've donated computers to deserving students, schools and organizations through Chesapeake's Discovering Tomorrow's Leaders program. In 2010 the company equipped 14 students with laptops and donated 70 computers to schools or supporting nonprofit organizations.\n\nChesapeake partners with other companies and organizations to meet basic, practical needs in hundreds of communities. An example is our\n\n*Putting food on the table — Employees volunteer at the Regional Food Bank of Oklahoma as part of Operation Blue.*\n\nsponsorship of the annual Day of Caring at the Ganus Center of Harding University in White County, Arkansas. During the event, approximately 1,200 uninsured or underinsured residents received a day of free medical, dental and eye screenings.\n\nTo help cultivate an appreciation for the great outdoors, in 2010 Chesapeake provided $25,000 to REAL School Gardens, a Fort Worthbased organization that establishes gardens at approximately 70 lower income elementary schools in North Texas. At I.M. Terrell Elementary School, students, parents, teachers and volunteers from Chesapeake and other groups worked together to prepare vegetable gardens and flower beds. In addition to teamwork skills and gardening, students learned about nutrition and took home food from the garden's bounty.\n\nWe supported servicemen and servicewomen by partnering with the Shreveport Chapter of Operation Support Our Troops, Inc. Our contribution helped offset the postage to send more than 100 care packages to troops overseas. The shipment was the largest in the organization's history and included Christmas cards, games and nonperishable food items.\n\nBy investing in the communities where we operate and the people whose lives we touch, we ensure a stronger today and a more hopeful tomorrow.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "**Trust is important to Maggy Morford.**\n\nKnown all over Abilene for her devotion to good causes, Morford is one of the community's most benevolent trustees – a generous contributor of money, time and hard work. Her style of leadership is to be active, get things done and set a positive example for the city she loves.\n\nMorford does business with First National Bank of Abilene, in part because she appreciates the example they set, too. \"My husband was in the cattle business. He depended upon loans from First National,\" says Morford. \"After he died, I knew that I did not want to stay in the cattle business, so I sold it. That gave me money to invest.\"\n\nMorford chose to work with First National Bank of Abilene's Trust Department. \"I created a family limited partnership. During a time when there was a lot of hysteria in the markets, they were conservative. They kept an even keel and have done well despite the difficult market.\n\n\"They are a good bunch of folks, and they make it a point to serve the community by joining boards and lending a hand where help is needed. They are very careful in the people they hire. They nurture them and bring them along, and they don't hesitate to recruit from other areas when necessary. They keep the interests of the shareholders and customers close to heart.\n\n\"With First Financial Bankshares, you know the people that you work with, and they are friends. People that you trust.\"\n\nMaggy Morford Civic Leader Investor Abilene, Texas\n\n# \"You know the people you work with, and they are friends. People that you trust.\"", - "page_start": 12, - "page_end": 12, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "# **NOTE 20 – OTHER NON-CURRENT ASSETS**\n\n| | 2014 | 2013 |\n| --- | --- | --- |\n| Year ended 31 December | US$'000 | US$'000 |\n| Escrow accounts | 998 | 2,000 |\n| Other | - | 19 |\n| Total other non-current assets | 998 | 2,019 |\n\n### **NOTE 21 – TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES**\n\n| | 2014 | 2013 |\n| --- | --- | --- |\n| Year ended 31 December | US$'000 | US$'000 |\n| Oil and natural gas property and operating related | 117,117 | 123,938 |\n| Administrative expenses, including salaries and wages | 2,077 | 5,146 |\n| Total trade, other payables and accrued expenses | 119,194 | 129,084 |\n\nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms, offset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional information). The Company's remaining Bakken assets were sold to this company in July 2014, for approximately $14.0 million, including the settlement of the net liability.\n\n## **NOTE 22 – CREDIT FACILITIES**\n\n| | 2014 | 2013 |\n| --- | --- | --- |\n| Year ended 31 December | US$000 | US$000 |\n| Senior Credit Facility | 95,000 | 15,000 |\n| Junior Credit Facility | 35,000 | 15,000 |\n| Total credit facilities | 130,000 | 30,000 |\n| Deferred financing fees | (1,195) | (859) |\n| Total credit facilities, net of deferred financing fees | 128,805 | 29,141 |\n\n### **Junior Credit Facility**\n\nIn August 2013, Sundance Energy, Inc. (\"Sundance Energy\"), a wholly owned subsidiary of the Company, entered into a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the \"Junior Credit Facility\"), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit Facility matures in June 2018 and is secured by a second priority lien on substantially all of the Company's assets. Upon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms of the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the Company's borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the Junior Credit Facility remains at $35 million.", - "page_start": 87, - "page_end": 87, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "# DEVOTION TO SERVICE Giving back to the\n\n**or us, it is a measure of responsible corporate citizenship. The MGM MIRAGE Corporate Charitable Giving Program is the principal source of financial donations to community and social initiatives. Funded by a percentage of the company's net profits, the Corporate Charitable Giving Program supports various community efforts impacting four critical areas:** F\n\n> **CHILDHOOD DEVELOPMENT Community-based programs that focus on the overall development and well-being of children.**\n\n> **COMMUNITY DEVELOPMENT Programs that focus on low-income or socio-economically disadvantaged communities.**\n\n> **DIVERSITY Programs which are inclusive receive priority in funding. This includes efforts that encourage economic development and enhance individual and community resources.**\n\n> **EDUCATION Programs and efforts to strengthen public education from kindergarten through higher education.**\n\n**Through various education partnerships with institutions such as the University of Nevada, we award scholarships to help students achieve their educational goals and to encourage their interest in our business. Additionally, scholarship programs assist the children of our employees with their higher education aspirations**\n\n**MGM MIRAGE** supports a variety of programs to further educational aspirations of both students and employees, including tuition reimbursement for employees, scholarships for children of employees, and on-site GED, naturalization and English-asa-second-language (ESL) classes.\n\ncommunities in which MGM MIRAGE operates its businesses and where our employees live, work, and care for their families is a serious and dedicated commitment.\n\n**MGM GRAND DETROIT** President George Boyer epitomizes the company's commitment to corporate social responsibility. Boyer reads to a child at the Northwest Community Center in Detroit during an after-school mentoring program funded by the Voice Foundation.\n\n**MGM MIRAGE** employee Christina Fuentes embraces a child during an event to benefit the Variety Day Home's Emergency Childcare Assistance Program in Las Vegas, one of the many programs supported by MGM MIRAGE to support the well-being of children. The program helps underwrite childcare assistance for low-income working parents.\n\n**In 2004, MGM MIRAGE** employees raised nearly $3 million for the Voice Foundation. Companywide, Aid for AIDS of Nevada (AFAN) was among one of the leading nonprofit agencies to receive the most funding support from the Voice Foundation.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "### *Financial Position*\n\nIn May 2014, the borrowing capacity under our credit facilities increased from an aggregate of $63 million to $135 million. The increase in the borrowing capacity was driven by the significant uplift of the Company's proved oil and gas reserves as at 31 December 2013. In conjunction with the increase in the Company's borrowing capacity, the Company expanded the syndicate of banks under the Senior Credit Facility. Bank of America Merrill Lynch and the Bank of Nova Scotia have now joined the bank group which is led by Wells Fargo.\n\nIn July 2014, the borrowing capacity increased an additional net $10 million, to $145 million, after taking into consideration the removal of proved oil and gas reserves associated with the DJ and Williston Basin dispositions and the development of proved oil and gas reserves in the Eagle Ford Formation.\n\nAt 31 December 2014, the Company had $130 million outstanding under our credit facilities and $15 million available under our borrowing capacity. Ending cash at 31 December 2014 was $69.2 million.\n\n### *Cashflow*\n\nCash provided by operating activities for the year ended 31 December 2014 increased 104.5% to $128.1 million compared to the prior year. This increase was primarily due to receipts from sales increasing $85.7 million, or 101.2%, to $170.4 million, while keeping payments to suppliers and employees relatively stable with an increase of $8.2 million, or 37.7%, to $30.0 million. See Review of Operations for more information.\n\nCash used in investing activities for the year ended 31 December 2014 increased $158.9 million, or 96.7%, to $323.2 million. This increase is due to successful implementation of the Company's strategy to develop and grow the reserves from our high working interest, repeatable resource plays, primarily in the Eagle Ford. Due to funding available to the Company through asset sales, capital raises and credit facilities, the Company was able to accelerate its 2015 drilling program into 2014. However, due to the reduction in crude oil prices in the fourth quarter of 2014 and continuing into early 2015, the Company will scale back its drilling program to concentrate on limited drilling obligations to hold Eagle Ford acreage during the 2015 year.\n\nCash provided by financing activities for the year ended 31 December 2014 increased $123.1 million, or 277.0%, to $167.6 million. This increase is a result of the increased availability and draws under the Company's credit facilities and proceeds received in a private placement of shares. In February 2014, the Company completed a private placement in which we sold 84.2 million ordinary shares at A$0.95 per share, resulting in net proceeds of approximately $68.4 million. The first tranche of 63.7 million shares was issued in March 2014 and the second tranche of 20.5 million shares was issued in April 2014.\n\n#### **Matters Subsequent to the End of the Financial Year**\n\nSubsequent to 31 December 2014, an additional $13.9 million was drawn-down the credit facilities, bringing total outstanding debt to $143.9 million, with undrawn funds of $1.1 million.\n\nIn January 2015, the company acquired three leases totalling approximately 14,180 net acres in the Eagle Ford for approximately $13.4 million.\n\n### **Future Developments, Prospects and Business Strategies**\n\nThe Group's business strategies and prospects for growth in future financial years are presently concentrated on growing the value of the Group's current resource plays through direct leasing from mineral owners, small acquisitions of producing properties, drilling inventory within the Group's current balance sheet capabilities, and development of the Group's current acreage. Further information on likely development in the operations of the Group and expected results of operations has not been included because the Directors believe it would result in unreasonable prejudice to the Group.", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "### **First Financial Bankshares customers and shareholders also know a thing or two about Value and Values – and we learn from them every day. We're proud to share in their success. Here are just a few of their stories.**\n\n**George Marti believes in doing things. Good things.** \n\nBorn to humble roots on his parents' farm in 1920, Marti has accomplished much, including founding three radio stations (and investing in 10 more) and developing a remote pickup device that became standard equipment in 80 percent of all radio stations worldwide. He still has part ownership of KCLE in Cleburne, Texas (the town where he was once mayor for 12 years).\n\nMarti's dedication to his hometown is part of the reason why he bought Cleburne State Bank in 1992. His business skills (and success in the broadcasting industry) gave him the resources to turn the bank into yet another winning venture. Five years later, he sold it to First Financial, which merged it with their existing First Financial Bank, Cleburne.\n\nThe proceeds from the sale helped Marti complete the funding for his proudest achievement: the Marti Foundation, which he created in the 1970s to help send students from Johnson County to college. \"We help over 100 students a year … most are the first from their family ever to attend college,\" says Marti. \"I know what education did for me, so it's a great thing to help these young people.\" Marti says that when he dies, the Foundation will live on, $20 million strong.\n\nMarti still serves on the board of First Financial Bank, Cleburne. \"First Financial's merger of the banks was positive for the community. They have a good customer base. They are friendly, helpful and creative. They are growing, and the branches in Alvarado and Burleson are both doing well. Those are all good things.\"\n\n\"They are friendly, helpful and creative. Those are all good things.\"\n\nGeorge Marti Founder Marti Enterprises Cleburne, Texas 6", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "# Doing the Right Thing\n\nAt Killam we are investing in our communities, as well as our real estate. We believe that giving back to the community is an important part of being a responsible corporate citizen.\n\n## **Supporting Killam Families with Scholarship Program**\n\nKillam's Scholarship Program awards three $3,000 scholarships to children or grandchildren of Killam employees on an annual basis. After a competitive application process in 2013, Bradley Price, Hayley Gillis and Georgia Telman were selected for demonstrating an outstanding combination of academic excellence and community involvement.\n\n## **Home Away from Home**\n\nOn an annual basis, Killam donates six fully furnished apartments to hospitals in Halifax, Saint John, Moncton, Fredericton and Charlottetown. These units are used by families of patients who need to travel away from home for health care.\n\n## **Red Cross**\n\nKillam has partnered with the Red Cross in many of its core markets. The Red Cross is on hand to help when emergencies and disasters impact communities. Over the last six years, Killam has provided the Red Cross with financial assistance to fund their operations. In return, the Red Cross has provided emergency training to Killam staff, helping us react effectively to emergencies when required.\n\n## **Supporting Higher Education in Atlantic Canada**\n\nOn an annual basis, Killam's board of directors join together to support a common charity or organization. During 2013 the board members together donated $100,000 to establish an endowment at Mount Allison University in Sackville, New Brunswick, providing an annual entrance scholarship to the university. Previous $100,000 board donations supported the Boys and Girls Clubs of Prince Edward Island, the YMCA of Greater Halifax/Dartmouth and Saint Mary's University in Halifax.\n\n## **Caring for Kids**\n\nDuring 2013 Killam organized the Caring for Kids Lottery, a fundraiser in support of the IWK Health Centre in Halifax. The IWK Health Centre provides quality medical care to women, children, youth and families in the Maritime provinces. Killam tenants supported the cause through the purchase of lottery tickets for the chance to win free rent for a year. All funds raised went directly to the IWK Foundation.", - "page_start": 19, - "page_end": 19, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Has the Sumitomo Mitsui Financial Group offered help to the elderly?", - "target_page": 6, - "target_passage": "Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycleframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a soundplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "# Today, Tomorrow and Beyond\n\n**President Sumitomo Mitsui Financial Group, Inc.**\n\n**Koichi Miyata**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them. Through our basic policy of becoming \"a globally competitive Through our basic policy of becoming \"a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders\" with the highest trust of our clients, society and other stakeholders\" by maximizing our core strengths of by maximizing our core strengths of \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we \"Spirit of Innovation,\" \"Speed\" and \"Solution & Execution,\" we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## **INDEX**\n\n| Foreword | 1 |\n| --- | --- |\n| Commitment from the Top A Conversation with Tadao Ando, | 3 |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the reconstruction and revitalization of Japan, | |\n| and help resolve global issues? | |\n| Measures to Support Reconstruction | |\n| after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Priority Issues for Us | 9 |\n| Our Mission and CSR at SMFG | 11 |\n| 〈Specific Examples of CSR Activities〉 | |\n| Together with Our Customers | 13 |\n| Together with Our Shareholders | |\n| and Markets | 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |\n| Corporate Outline/Editorial Policy | 29 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## **Corporate Outline (as of September 30, 2011)**\n\n| Company Name | : | Sumitomo Mitsui Financial Group, Inc. |\n| --- | --- | --- |\n| Business Description | : | Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of |\n| | | non-bank subsidiaries, as well as the performance of ancillary functions |\n| Established | : | December 2, 2002 |\n| Head Office | : | 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan |\n| Chairman of the Board | : | Masayuki Oku |\n| President | : | Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) |\n| Capital | : | ¥2,337.8 billion |\n| Stock Exchange Listings | : | Tokyo Stock Exchange (First Section) |\n| | | Osaka Securities Exchange (First Section) |\n| | | Nagoya Stock Exchange (First Section) |\n| | | Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange. |\n\n## **Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\n# **Our CSR reporting**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n| CSR report 2011 (digest version) | CSR disclosure through |\n| --- | --- |\n| Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, | specific examples |\n| centered on specific examples centered on specific examples | |\n| CSR report 2011 | Comprehensive |\n| (digest version with examples of activities and | |\n| statistical performance, online PDF file) | disclosure of |\n| Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed | CSR activities |\n| information on CSR activities information on CSR activities | |\n| CSR report (online version, Japanese only) | Enriched |\n| www.smfg.co.jp/responsibility | CSR disclosure |\n| This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of | |\n| CSR activities at SMFG CSR activities at SMFG | |\n\n# **Editorial Policy**\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society. We have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is the essence of business itself, and our initiatives act upon this. Our CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group's CSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report 2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR activities and statistical data omitted in the CSR Report 2011 (digest version). We disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in Japanese only). It is recommended that you read it in combination with the above two digest versions in order to understand our CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n# **Scope of this Report**\n\n- Sumitomo Mitsui Financial Group, Inc.\n- Sumitomo Mitsui Banking Corporation\n- SMFG Card & Credit, Inc.\n- Sumitomo Mitsui Card Company, Limited\n- Cedyna Financial Corporation\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n- The Japan Research Institute, Limited\n- SMBC Friend Securities Co., Ltd.\n- SMBC Nikko Securities Inc.\n- THE MINATO BANK, LTD.\n- Kansai Urban Banking Corporation\n- Other Group companies\n\nThroughout this report, **\"Sumitomo Mitsui Financial Group\"** or **\"SMFG\"** refers to the holding company alone. **\"The SMFG Group\"** refers to the holding company and its primary domestic and international subsidiaries and affiliates. Company name abbreviations and other special terminology\n\n## **Reference guidelines**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3) * Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international organization (GRI) in 1997 to encourage its adoption worldwide.\n\n# **About this Report**\n\n- Period Covered : April 1, 2010 to March 31, 2011 ( \"Fiscal 2010\" ) Note: Certain items in this report refer to activities taking place after April 2011.\nPublication Date of Japanese Document : December 2011\n\n- Contact :\n\t- 1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 TEL: +81-3-3282-8111\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# Commitment from the Top\n\n**A Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata** \n\n# **What can we do now to spur the reconstruction and revitalization of Japan, and help resolve global issues?**\n\n#### *Uplifting the nation's spirits Uplifting the nation's spirits*\n\nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region o Japan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) Japan) after the March 11 earthquake and tsunami (\"the Great East Japan Earthquake\") to a shrinking and aging population, with falling after the March 11 earthquake and tsunami (\"the Great East Japan Earthquake\") to a shrinking and aging population, with falling birth rates birth rates and increasing numbers of the aged. and increasing numbers of the aged.\n\nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. We must now find ways for people to coexist in harmony with nature, based on a global perspective.\n\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues fa Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society ing society and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group. and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\n# Tadao Ando\n\nArchitect. Professor Emeritus at the University of Tokyo, Representative and Vice-chairman of the Great East Japan Earthquake Reconstruction Design Council. Awarded the Order of Cultural Merit in 2010.\n\n**Our measures to support reconstruction after the disastrous earthquake and tsunami Uplifting the nation's spirits**\n\n̶ SMFG has the following priorities in its SMFG has the following priorities in its corporate social responsibility program: corporate social responsibility program: Reconstruction after the earthquake Reconstruction after the earthquake and tsunami, environmental measures, and tsunami, environmental measures, addressing the shrinking and aging addressing the shrink ing a nd aging population, and global challenges. — population, and global challenges. —\n\n**Kunibe**: Japan is facing a difficult period Japan is facing a difficult period with limited prospects for economic growth with limited prospects for economic growth due to a shrinking, aging population and due to a shrinking, aging population and a mature economy. Against this backdrop, a mature economy. Against this backdrop, the country was hit by the unprecedented the country was hit by the unprecedented catastrophe of the Great East Japan catastrophe of the Great East Japa n Earthquake. We must face up to the new Earthquake. We must face up to the new challenges arising from this disaster. challenges arising from this disaster.\n\nI believe the time has come for us to I believe the time has come for us to reconsider what we can do in our capacity reconsider what we can do in our capacity as a financial institution to address a variety as a financial institution to address a variety of issues, including the four priorities. of issues, including the four priorities. Today I hope we can discuss not only the road Today I hope we can discuss not only the road to reconstruction after the disaster, but also to reconstruction after the disaster, but also ways to uplift the nation's spirits. ways to uplift the nation's spirits.\n\n**Ando**: Japan has achieved two miracles - the : Japan has achieved two miracles - the Meiji Restoration of 1868, and the economic Meiji Restoration of 1868, and the economic recovery following the end of World War II in recovery following the end of World War II in 1945. Both events are also regarded globally 1945. Both events are also regarded globally as being miraculous. as being miraculous.\n\nIn 1945, foreign diplomats and businessmen In 1945, foreign diplomats and businessmen visiting Japan were fully confident that the visiting Japan were fully confident that the country would recover as they surveyed the country would recover as they surveyed the ruins and the scorched earth around them, ruins and the scorched earth around them, because, in the words of one of them, \"People because, in the words of one of them, \"People really work hard and help each other, and really work hard and help each other, and children take heed of what their parents say children take heed of what their parents say and study hard. And because there is a and study hard. And because there is a sparkle in their eyes.\" sparkle in their eyes.\"\n\nThereafter, the Japanese worked furiously Thereafter, the Japanese worked furiously\n\nuntil the country became an economic until the country became an economic juggernaut. However, in the early 1970s, juggernaut. However, in the early 1970s, people became complacent about their people became complacent about their affluence, and stopped working hard and affluence, and stopped working hard and making efforts. Children assumed that if they making efforts. Children assumed that if they went to a top-class university they would walk went to a top-class university they would walk into a top-class company and have nothing to into a top-class company and have nothing to worry about thereafter. So they started going worry about thereafter. So they started going to cram schools even before kindergarten. to cram schools even before kindergarten. I give lectures on the theme \"students born in I give lectures on the theme \"students born in and after 1980 are hopeless cases\" (laughs). and after 1980 are hopeless cases\" (laughs). That was because of the prevailing attitude at That was because of the prevailing attitude at the time that Japan the time that Japan's national development s national development would go on for ever and the economy would would go on for ever and the economy would remain stable. As a result, parents spoilt their remain stable. As a result, parents spoilt their children, and we saw more children who children, and we saw more children who could not do anything. Many such children could not do anything. Many such children are in their 30s now. are in their 30s now.\n\nAnd in this situation, the asset bubble burst And in this situation, the asset bubble burst [in the early 1990s], and the collapse of [in the early 1990s], and the collapse of Lehman [hit world markets] in 2008, and Lehman [hit world markets] in 2008, and now we have the earthquake and tsunami now we have the earthquake and tsunami disaster. It seems that everything that disaster. It seems that everything that happens these days merely makes us more happens these days merely makes us more anxious. I think everyone needs to hit the anxious. I think everyone needs to hit the 'reset' button in some sense. If we don 'reset' button in some sense. If we don't, more difficulties lie ahead. more difficulties lie ahead.\n\n**Miyata**: Indeed, prior to 1970, living : Indeed, prior to 1970, living standards or wage levels were very low, standards or wage levels were very low, but I think it was a very happy time. People but I think it was a very happy time. People believed that if they really worked hard, believed that if they really worked hard, their daily lives would improve and their their daily lives would improve and their\n\n# Takeshi Kunibe\n\nPresident and CEO Sumitomo Mitsui Banking Corporation\n\ncompanies would do better and companies would do better and the whole country would benefit. the whole country would benefit. Returning to Mr. Ando Returning to Mr. Ando's words, s words, and his comments about a nd h is c omme n ts a b ou t clinging to the status quo, more clinging to the status quo, more people now think, \"Oh, well, my people now think, \"Oh, well, my life is fairly comfortable and life is fairly comfortable and that's enough for me.\" This sense that's enough for me.\" This sense of stagnation, or resignation, of stagnation, or resignation,\n\nthat people feel in their lives has spread that people feel in their lives has spread throughout Japan. But when the disaster throughout Japan. But when the disaster struck, people again came together and struck, people again came together and worked together in the recovery effort. I worked together in the recovery effort. I thought, \"Not everything that happened has thought, \"Not everything that happened has been bad.\" But I fear the consequences if we been bad.\" But I fear the consequences if we don't galvanize, coordinate and maximize t galvanize, coordinate and maximize efforts more effectively. efforts more effectively.\n\n**Kunibe**: As for SMBC, I wondered if : As for SMBC, I wondered if employees at all the branches and other employees at all the branches and other offices in the affected areas would be able to offices in the affected areas would be able to get to work and carry out their duties at such get to work and carry out their duties at such a difficult time for their own families; or if a difficult time for their own families; or if they would be able to open their offices for they would be able to open their offices for business on weekends and other holidays. business on weekends and other holidays. Despite the lack of water and gas, they really Despite the lack of water and gas, they really gave their all to provide banking services. gave their all to provide banking services. It was really uplifting to see such dedication It was really uplifting to see such dedication and sense of responsibility as an employee of and sense of responsibility as an employee of a financial institution entrusted with essential a financial institution entrusted with essential social infrastructure. I talk about \"the strength social infrastructure. I talk about \"the strength of our front-line staff,\" but I was able to fully of our front-line staff,\" but I was able to fully appreciate just how extraordinarily strong appreciate just how extraordinarily strong SMFG and SMBC are thanks to SMFG and SMBC are thanks to this display display of front-line commitment. of front-line commitment.\n\nMoving forward on the reconstruction of Moving forward on the reconstruction of the Tohoku region, I believe we can also the Tohoku region, I believe we can also contribute to the rebuilding of infrastructure contribute to the rebuilding of infrastructure through project finance and other t h roug h project f i n a nce a nd ot her fundamental businesses of financial f undamental businesses of financial institutions in which we excel. institutions in which we excel. We are now actively engaged in promoting We are now actively engaged in promoting business in the Tohoku region, including business in the Tohoku region, including business matching with parties outside business matching with parties outside the region. In addition, we have a range of the region. In addition, we have a range of support activities in partnership with the Miyagi support activities in partnership with the Miyagi prefectural government and The 77 Bank, prefectural government and The 77 Bank, Ltd., which is based in Miyagi. Ltd., which is based in Miyagi.\n\n**Miyata**: In the same way, other SMFG In the same way, other SMFG Group companies have been sending out Group companies have been sending out volunteers, and providing donations not only volunteers, and providing donations not only as a company, but also through individual as a company, but also through individual employees. SMBC was at the heart of all these employees. SMBC was at the heart of all these activities, and this was a good opportunity activities, and this was a good opportunity for us to appreciate anew how our business for us to appreciate anew how our business contributes to the public good. contributes to the public good.\n\n# Koichi Miyata\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\nThe SMFG Group has 62,000 employees, The SMFG Group has 62,000 employees, \"stepping up to the plate and working hard \"stepping up to the plate and working hard to give something back to society.\" I think it to give something back to society.\" I think it is important to develop ways of making this is important to develop ways of making this a shared aspiration of all the employees of a shared aspiration of all the employees of the Group. the Group.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Commitment from the Top**\n\n**A Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata** \n\n**Miyata**: When I think about what the When I think about what the SMFG Group can do, through its core SMFG Group can do, through its core financial operations, to help a society that financial operations, to help a society that is living longer with a falling birthrate, is living longer with a falling birthrate, I think we can help people plan for the I think we can help people plan for the future, help them put a certain amount future, help them put a certain amount aside for later. If this kind of service works aside for later. If this kind of service works well in Japan, I think we might be able to well in Japan, I think we might be able to help China and Thailand too, where the help China and Thailand too, where the same problem — a shrinking, aging same problem — a shrink ing, aging population — is population — is brewing. brewing.\n\n### **Financial services:**\n\n- **A strong helping hand for environmental businesses leads to sustainable development based on Japanese technologies**\n### — What are the key issues with regard to — What are the key issues with regard to environment protection, and living in environment protection, and living in harmony with nature? — harmony with nature? —\n\n**Ando**: Environmental issues are also : Environmental issues are also important. This is a global issue. People important. This is a global issue. People living around the world should link hands living around the world should link hands and find new ways of safeguarding the and find new ways of safeguarding the environment. We need to secure stable environment. We need to secure stable supplies of energy while protecting the supplies of energy while protecting the environment. With resources, energy and environment. With resources, energy and food supplies dwindling around the world, food supplies dwindling around the world, Japan could fill quite a lot of the gaps Japan could fill quite a lot of the gaps through its world-class energy-saving through its world-class energy-saving technologies, from air-conditioning to technologies, from air-conditioning to refrigeration. I think people are going to refrigeration. I think people are going to be looking to Japan for such technologies. be looking to Japan for such technologies. **Kunibe**: I believe that energy is the most : I believe that energy is the most important thing governing a country important thing governing a country's competitiveness and industrial strength. competitiveness and industrial strength. Certainly, the tim Certainly, the timeframe is an issue. We frame is an issue. We must not engage in short-termism, nor be must not engage in short-termism, nor be self-serving, but should devise energy self-serving, but should devise energy strategies for the future needs of society strategies for the future needs of society as a whole. as a whole.\n\n**Ando** : I agree. We need industry, : I agree. We n ee d i n d u stry, government and academia to really talk government and academia to really talk to each other and take this seriously. If to each other and take this seriously. If they just butt heads, that won just butt heads, that won't get us t get us anywhere. anywhere.\n\n**Kunibe**: I see the environmental business : I see the environmental business as a linchpin of our CSR program, which we as a linchpin of our CSR program, which we can promote through our core businesses. can promote through our core businesses. For example, SMBC has created a Fo r examp le, SMB C h as create d a \"Growing Industrial Cluster Project \"Growing Industrial Cluster Project Team\" to organize projects in the fields Team\" to organize projects in the fields of water, resources, the environment and of water, resources, the environment and new energy sources, involving entities new energy sources, involving entities from different fields, not just working from different fields, not just working within one particular sector. We regard within one particular sector. We regard this process of engagement as forming a this process of engagement as forming a single undertaking and act accordingly. single undertaking and act accordingly. We believe this initiative can contribute We believe this initiative can contribute to the sustainable development of Asia to the sustainable development of Asia and the rest of the world. and the rest of the world.\n\n**Miyata** : SMFG unit Japan Research : SMFG u n it Japa n Research Institute serves as an adviser to the Institute serves as a n adviser to the Tianjin Eco-City project in China, and Tianjin Eco-City project in China, and SMBC and our securities units can SMBC a nd ou r sec u rit ies u n its ca n provide funding when needed. Through provide funding when needed. Through such organic assistance, we provide such organic assistance, we provide support through our core operations as support through our core operations as a comprehensive financial services group. a comprehensive financial services group. **Kunibe** : Mr. Ando pointed out that : Mr. A ndo poi nted out t hat Japanese companies hold a lot of good Japanese companies hold a lot of good technology. I think that technology. I think that's true. With the s true. With the above-mentioned \"Growing Industrial above-mentioned \"Growing Industrial Cluster Project Team,\" for example, if Cluster Project Team,\" for example, if technologies are being exported to Asia technologies are being exported to Asia for an infrastructure project, bank for a n i n frastr uct ure project, ba nk employees will be involved from the employees wil l be involved from the project planning stage. I think this is one project planning stage. I think this is one of the roles of a financial institution. of the roles of a financial institution. **Ando**: I think that the role of financial I think that the role of financial institutions is significant. They do indeed institutions is significant. They do indeed have the power to get things moving, and have the power to get things moving, and\n\nit is a very great power. it is a very great power.\n\nWe need somebody to instill in the people We need somebody to instill in the people the idea that as long as they have hope, the idea that as long as they have hope, they can go forward; and to lead them. they can go forward; and to lead them. I believe individuals must realize that if I believe individuals must realize that if they have hope in their hearts, they will they have hope in their hearts, they will see that progress is possible. We must see that progress is possible. We must ensure that students are educated with a ensure that students are educated with a global perspective and a sense of hope global perspective and a sense of hope as well. as well.\n\nThere is trust in the strength of Japanese There is trust in the strength of Japanese technology and the humanity of the tech nology a nd the huma n ity of the Japanese people. The question is who will Japanese people. The question is who will take the leading role in harnessing these take the leading role in harnessing these assets, in all their aspects? assets, in all their aspects?\n\n**Miyata** : The group has been : T h e g r o u p h a s b e e n implementing systems such as allowing implementing systems such as allowing employees to take time off for volunteer employees to take time off for volunteer activities, or take care of a family member activities, or take care of a family member while working. while working.\n\nOne more thing, how can you contribute One more thing, how can you contribute by bringing together the power of a by bri ngi ng together the power of a comprehensive financial services group comprehensive financial services group and making it work on behalf of the and mak ing it work on behal f of the community? How do you harness that community? How do you harness that power? In that regard, I would like our power? In that regard, I would like our group to be one in which employees group to be one in which employees believe that they have their own distinct believe that they have their own distinct role in such endeavors and through that role in such endeavors and through that find their work rewarding. find their work rewarding.\n\n**Kunibe**: I wish the same for SMBC. I want : I wish the same for SMBC. I want our bank to be a vibrant place where our bank to be a vibrant place where employees work with a light in their eyes. employees work with a light in their eyes. I would be grateful for any guidance in I would be grateful for any guidance in this respect from Mr. Ando and experts this respect from Mr. Ando and experts from other fields. from other fields.\n\nPresiding over the discussion was Presiding over the discussion was Mr. Eiichiro Adachi, Research Chief, Mr. Eiichiro Adachi, Research Chief, The Japan Research Institute, Limited The Japan Research Institute, Limited\n\n# **Measures to Support Reconstruction after the March 11 Earthquake and Tsunami**\n\nEmployee proposal: \"Save Power & the Nation\"\n\n## **Combining the proposals of every employee**\n\nThe Great East Japan Earthquake of March The Great East Japan Earthquake of March 2011 not only devastated the directly hit 2011 not only devastated the directly hit areas of northeastern Japan at the epicenter, areas of northeastern Japan at the epicenter, but also had severe consequences for the but also had severe consequences for the entire Japanese economy, due to loss of entire Japanese economy, due to loss of power generation capacity, disruption of power generation capacity, disruption of manufacturing supply chains and damage to manufacturing supply chains and damage to agriculture and fisheries. The earthquake and agriculture and fisheries. The earthquake and tsunami raised a wide range of issues. tsunami raised a wide range of issues. Under the Save Power & the Nation Under the Save Power & the Nation (\"SPN\")\n\nbanner, all employees and executives of the banner, all employees and executives of the bank urged each other to rack their brains to bank urged each other to rack their brains to come up with ways of saving energy, a press come up with ways of saving energy, a pressing issue, and of supporting reconstruction ing issue, and of supporting reconstruction in the disaster-affected areas. Ideas were the disaster-affected areas. Ideas were solicited in the following categories. solicited in the following categories.\n\n#### 【Categories Categories】\n\n- ・Saving energy in-house and in public Saving energy in-house and in public spaces\n- ・Offering products and services, and Offering products and services, and supporting reconstruction in the supporting reconstruction in the disaster-hit areas and other contribu disaster-hit areas and other contributions to the community. tions to the community.\n\nThree weeks after the start of the campaign, Three weeks after the start of the campaign, over 3,000 ideas and suggestions had been over 3,000 ideas and suggestions had been\n\n# **Save Power & the Nation**\n\nthe \"SPN\" campaign with regard to supporting the \"SPN\" campaign with regard to supporting reconstruction in the disaster-hit areas, some reconstruction in the disaster-hit areas, some employees said they wanted to go to the employees said they wanted to go to the Tohoku region to work as volunteers. To Tohoku region to work as volunteers. To support those wishing to do \"what can be support those wishing to do \"what can be done now\" as a first step, SMBC set up a done now\" as a first step, SMBC set up a framework to enable employees to take framework to enable employees to take special leave for volunteer activities in the special leave for volunteer activities in the earthquake and tsunami area. This system earthquake and tsunami area. This system became operational in May 2011. became operational in May 2011. To date, volunteers have been recruited not To date, volunteers have been recruited not only from the bank but also from other SMFG only from the bank but also from other SMFG Group companies. Based on needs identified Group companies. Based on needs identified by local government and volunteer centers by local government and volunteer centers in the areas concerned, SMFG staff have in the areas concerned, SMFG staff have been involved in voluntary activities such been involved in voluntary activities such as clearing mud from residential areas and as clearing mud from residential areas and concrete water runoff troughs alongside concrete water runoff troughs alongside roads, clearing up debris, and cleaning and roads, clearing up debris, and cleaning and restoring photographs and other personal restoring photographs and other personal items with memorabilia value. items with memorabilia value. In July 2011, over 400 employees of SMBC In July 2011, over 400 employees of SMBC Nikko Securities — mainly 350 new hires — Nikko Securities — mainly 350 new hires were divided into three teams, each of which were divided into three teams, each of which spent one to three weeks on volunteer spent one to three weeks on volunteer\n\nsubmitted by employees submitted by employees from a wide range of depart from a wide range of departments and job grades. Steps ments and job grades. Steps were taken to put into prac were taken to put into practice energy-saving measures tice energy-saving measures that were judged to be that were judged to be potentially effective. tially effective.\n\n# **(\"SPN\"): Practical Measures**\n\nIn addition to the many ideas sent in under In addition to the many ideas sent in under\n\n#### activities in the disaster zone. activities in the disaster zone.\n\nMany respondents in the \"SPN\" campaign Many respondents in the \"SPN\" campaign suggested that there should be more oppor suggested that there should be more opportunities to make donations directly and tunities to make donations directly and continuously to the affected areas. Just after continuously to the affected areas. Just after the earthquake, many employees at all grades the earthquake, many employees at all grades made donations. To support longer-term made donations. To support longer-term initiatives by local government and support initiatives by local government and support activity groups in the disaster-hit areas, SMBC activity groups in the disaster-hit areas, SMBC established the \"Great East Japan Earthquake established the \"Great East Japan Earthquake support fund\" for all employees. In October support fund\" for all employees. In October 2011, the bank made donations through the 2011, the bank made donations through the support fund to help the four worst-affected support fund to help the four worst-affected prefectures (Iwate, Miyagi, Fukushima and prefectures (Iwate, Miyagi, Fukushima and Ibaraki). These supplemented donations Ibaraki). These supplemented donations made by SMBC and SMBC Nikko Securities made by SMBC and SMBC Nikko Securities from fees on investment trust business. from fees on investment trust business.\n\nTo promote reconstruction following the To promote reconstruction following the disaster, the SMFG Group has ongoing disaster, the SMFG Group has ongoing support support programs run through both its core programs run through both its core operations and its community contribution operations and its community contribution program. Measures are designed to reflect program. Measures are designed to reflect changing needs in the affected areas. changing needs in the affected areas.\n\n### **Comments by employee volunteers in the disaster-hit areas**\n\n- ・I was not really able to appreciate the I was not really able to appreciate the situation in the Tohoku region until I situation in the Tohoku region until I actually went there myself. I want to talk actually went there myself. I want to talk about what I experienced there, because about what I experienced there, because public concern about the aftermath of public concern about the aftermath of the tsunami is now fading. the tsunami is now fading.\n- ・It was really good to hear local people It was really good to hear local people thanking us directly for our participation, thanking us directly for our participation, I think. Although I had a little muscle pain I think. Although I had a little muscle pain from what I was doing, I was moved by from what I was doing, I was moved by these expressions of gratitude. I could these expressions of gratitude. I could not do much to help, but I was keenly not do much to help, but I was keenly aware of the importance of everybody aware of the importance of everybody contributing a little for the greater good. contributing a little for the greater good.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Priority Issues for Us** As one of Japa As one of Japan's leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues we have identified as significantly impacting the nation. we have identified as significantly impacting the nation.\n\n**Measures for Japan's regeneration**\n\n# **Reconstruction after the earthquake and tsunami**\n\nMitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\nThe March 11 earthquake and tsunami (The Gr The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power eat East Japan Earthquake) undermined power generation capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition to the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as a leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the enormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders including enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\n#### **Further measures needed**\n\n- Wide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n- Ongoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n- Comprehensive support for industrial recovery Comprehensive support for industrial recovery in partnership with local governments and in partnership with local governments and financial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\n**Environmental measures Creating systems for sustainability Global challenges**\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively leverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future. Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to contribute to sustainable development by supporting contribute to sustainable development by supporting the worldwide adoption of Japan's much-admired the worldwide adoption of Japan's much-admired technological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\n#### **Further measures needed**\n\n- Give further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas reduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n- Do more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a financial institution financial institution\n- Share our information assets and know-how globally in the Share our information assets and know-how globally in the environmental business environmental business\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper mine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this corporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business philosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 years of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving problems facing the international problems facing the international community through our financial community through our financial service service operations. operations.\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\n# **Shrinking and aging population Ensuring peace of mind for the future**\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifest frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle yle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to crea planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound te systems and a corporate culture that foster a sound balance between work and care needs, given that many gr balance between work and care needs, given that many group employees will later need to nurse ailing relatives. oup employees will later need to nurse ailing relatives. *Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n#### **Further measures needed**\n\n- nursing care nursing care\n- elderly (planning for asset management for old age) elderly (planning for asset management for old age)\n- Foster a better work-life balance Foster a better work-life balance\n\n# **Symbiosis and diversity**\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its operations both in Japan and overseas. Initiative operations both in Japan and overseas. Initiatives include aggressive development of advisory include aggressive development of advisory services for infrastructure upgrades in emergi services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, g economies, a cross-departmental endeavor, as well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly through branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international community so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n#### **Further measures needed**\n\n- Share expertise in corporate social responsibility Share expertise in corporate social responsibility with the international community with the international community\n- Improve financial services in preparation for the Improve financial services in preparation for the globalization of operations in Japan (multilingual globalization of operations in Japan (multilingual support) support)\n- Promote diversity Promote diversity", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Sumitomo Mitsui Financial Group CSR Report **Digest version**", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "#### 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (\"WPFP\"), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | | | Thousands of |\n| --- | --- | --- | --- |\n| | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2004 |\n| As of | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2005 |\n| Retirement benefit obligation ¥(1,217,260) | | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost | 445 | 652 | 4,159 |\n| Accrued retirement benefits ¥ | (508,203) ¥ | (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (\"MHLW\") in the year ended March 31, 2003 with respect to its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP. Certain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with the transitional provision stipulated in \"Practical Guidelines for Accounting for Retirement Benefits,\" the Company and the domestic consolidated subsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation under their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional portion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a loss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669 million and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at ¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n| | | | | Thousands of |\n| --- | --- | --- | --- | --- |\n| | | Millions of yen | | U.S. dollars |\n| 2004 | | 2003 | 2002 | 2004 |\n| For the years ended | Mar. 31, 2005 | Mar. 31, 2004 | Mar. 31, 2003 | Mar. 31, 2005 |\n| Service cost ¥47,802 | | ¥48,418 | ¥ 51,543 | $446,748 |\n| Interest cost | 33,288 | 33,012 | 45,269 | 311,103 |\n| Expected return on plan assets | (17,999) | (15,523) | (26,708) | (168,215) |\n| Amortization of net retirement benefit obligation at transition | 12,009 | 14,169 | 24,280 | 112,234 |\n| Amortization of actuarial gain or loss | 12,298 | 18,689 | 11,464 | 114,934 |\n| Amortization of prior service cost | (5,431) | (7,049) | (7,762) | (50,757) |\n| Other | 179 | 57 | 5 | 1,673 |\n| Retirement benefit expenses | 82,146 | 91,773 | 98,091 | 767,720 |\n| (Gain) loss on return of the substitutional portion of | | | | |\n| welfare pension fund plans | (1,107) | (5,594) | 30,945 | (10,346) |\n| Total ¥81,039 | | ¥86,179 | ¥129,036 | $757,374 |", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "# **Social Contribution Activities**\n\n# **Helping build prosperity in Asia and the world**\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities that contribute to development at both the regional that contribute to development at both the regional and international level. In addition to overseas units' and international level. In addition to overseas units' independent initiatives, which are geared to host independent initiatives, which are geared to host country issues and characteristics, the Group supports country issues and characteristics, the Group supports projects that have contributed to achievement of the projects that have contributed to achievement of the United Nations' global Millennium Development Goals, United Nations' global Millennium Development Goals, such as poverty eradication, health improvement and such as poverty eradication, health improvement and status improvement for education and women in status improvement for education and women in developing countries. Our support takes the form of developing countries. Our support takes the form of donations to non-profit and non-governmental donations to non-profit and non-governmental organizations, through the employee volunteer fund. organizations, through the employee volunteer fund. (The map shows areas where fund money is used, (The map shows areas where fund money is used, marked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for more details. more details.\n\n### **International cooperation begins at home**\n\n#### **Employees put school meals on the table through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing have a program that provides donations to the non have a program that provides donations to the nonprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing countries, for every low-calorie countries, for every low-calorie meal ordered for lunch. SMBC meal ordered for lunch. SMBC Friend Securities has also F riend S e curitie s ha s a l s o installed vending machines ins talled vending machines selling healthy drinks, donating selling healthy drinks, donating part of their sales to TABLE FOR part of their sales to TABLE FOR TWO International. TWO International.\n\n#### **Donation boxes for foreign currency coins**\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency coins at the entrances of all manned branches and coins at the entrances of all manned branches and offices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by currency for delivery to UNICEF. currency for delivery to UNICEF.\n\n#### **The SMBC Foundation for International Cooperation**\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation strives to assist in developing the human resources strives to assist in developing the human resources necessary to achieve sustainable growth in develop necessary to achieve sustainable growth in developing economies as well as to promote international ing economies as well as to promote international exchange activities. The foundation has provided exchange activities. The foundation has provided financial support for students from Asian countries financial support for students from Asian countries each year, enabling them to attend universities in each year, enabling them to attend universities in Japan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to research institutes and researchers undertaking research institutes and researchers undertaking projects related to developing countries. projects related to developing countries.\n\n#### **1 South Korea**\n\n**Support for a South Korean students' Japanese-language theater competition**\n\nAs a way of increasing understanding of Japanese culture, As a way of increasing understanding of Japanese culture, SMBC's Seoul Branch donates funds to make possible the s Seoul Branch donates funds to make possible the holding of a competition holding of a competition\n\ninvolving theatrical perfor involving theatrical performances in the Japanese mances in the Japanese language by South Korean language by South Korean students of Japanese. students of Japanese.\n\nPerforming a Japanese-language drama\n\n### **Scholarships at major universities**\n\nSumitomo Mitsui Banking Corporation (China) Limited Sumitomo Mitsui Banking Corporation (China) Limited established a scholarship program for students of Zhejiang established a scholarship program for students of Zhejiang\n\nUniversity, Shanghai Inter University, Shanghai International Studies University, national Studies University, Sun Yat-sen University, Sun Yat-sen University, and other universities. and other universities.\n\n#### Scholarship students at Sun Yat-sen University\n\n# **3 Hong Kong**\n\n**2**\n\n**China**\n\n#### **Supporting performances by young Asian musicians**\n\nSMBC Hong Kong Branch makes donations to the Asian SMBC Hong Kong Branch makes donations to the Asian\n\nYouth Orchestra (AYO), Youth Orchestra (AYO), comprising young Asian comprising young Asian musicians selected mu s i c i a n s s e l e c t e d through auditioning who through auditioning who perform all over Asia. perform all over Asia.\n\nPhotographs supplied by AYO\n\n#### **Providing work 4 Vietnam**\n\n**experience to students** SMBC's Hanoi Branch provided s Hanoi Branch provided international school students international school students with vocational experiences. with vocational experiences.\n\n#### **5 Thailand**\n\n#### **Supporting farming villages in the northeast**\n\nSMBC's Bangkok Branch assisted s Bangkok Branch assisted farmers by donating underground farmers by donating underground water storage tanks and assisting water storage tanks and assisting with vegetable planting and with vegetable planting and harvesting. harvesting.\n\nBank employees helped plant\n\n# vegetables as volunteers\n\n### **Donating furniture to welfare facilities 6 Malaysia**\n\nSMBC' s Labuan Branch in s L abuan Br anch in Malaysia, following its relocation, Malaysia, following its relocation, donated desks, chairs and donated desks , chair s and cabinets to occupational training cabinets to occupational training centers for the disabled. centers for the disabled.\n\n# **Europe**\n\n**7**\n\n#### **Donations to charity groups**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe (SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off. SMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an in-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a certain amount for certain amount for every donation made every donation made by its employees. by its employees.\n\nEmployee volunteers who participated in landscape improvement projects\n\n## **8 Europe**\n\n### **Donation for a Japanese-language speech contest**\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI) made a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech contest. contest.\n\n## **UNICEF support initiatives**\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank has supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting children and improving children and improving\n\nfor further details (in Japanese): www.smbc.co.jp/ccs/\n\n#### **SMBC GLOBAL FOUNDATION 10 The United States**\n\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has provided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students in Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the United States, it supports educational trips to Japan United States, it supports educational trips to Japan organized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City, and volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in school beautification programs. The foundation also provides school beautification programs. The foundation also provides matching gifts for SMBC employees. matching gifts for SMBC employees.\n\nHigh school students from New York who visited Japan on a study trip\n\nScholarship award ceremony for university students in Vietnam", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "# **Social Contribution Activities**\n\n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\n# **SMFG and its Group companies participate in neighborhood cleanup programs**\n\nIn fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the SMFG Group participated in beach cleanup SMFG Group participated in beach cleanup activities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures on \"SMFG Clean-up Day.\" This initiative is on \"SMFG Clean-up Day.\" This initiative is not simply a matter of picking up garbage. It not simply a matter of picking up garbage. It also involves inspections and analysis of also involves inspections and analysis of garbage to identify pointers for providing garbage to identify pointers for providing solutions for environmental issues in the solutions for environmental issues in the future. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in Chiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC Friend Securities, Group companies of Friend Securities, Group companies of Cedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing, the Japan Research Institute and SMBC the Japan Research Institute and SMBC Nikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup and other activities in the areas around their and other activities in the areas around their offices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking Corporation also engage in cleanup activities Corporation also engage in cleanup activities around Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to protect the regional environment. protect the regional environment.\n\n# **Supporting education in developing countries, together with our customers and employees**\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo Mitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution initiative by participating in the Books To initiative by participating in the Books To The People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF CORP. This project aims to provide CORP. This project aims to provide environ environments in which children can read books in ments in which children can read books in purpose-built facilities, through donations to purpose-built facilities, through donations to Room to Read, a non-governmental organi Room to Read, a non-governmental organization that supports education in developing zation that supports education in developing countries. These NGO donations are pegged countries. These NGO donations are pegged to total numbers of used books and other to total numbers of used books and other items purchased by cardholders. Through items purchased by cardholders. Through the Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online shopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders are encouraged to buy used books through are encouraged to buy used books through BOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate used books from their homes and companies. used books from their homes and companies.\n\nCollection box for used books and other items\n\nBuilding libraries in developing countries through the NGO Room to Read\n\ninstalled in an employee canteen Supporting education in developing countries\n\n# **Donations through \"The World Bank Green Fund\"**\n\nSMBC and SMBC Nikko Securities donate a SMBC and SMBC Nikko Securities donate a portion of the profits from marketing of the portion of the profits from marketing of the SMBC Nikko World Bank Bond Fund SMBC Nikko World Bank Bond Fund ( \"The World Bank Green Fund World Bank Green Fund\" ) to the Japanese ) to the Japanese Red Cross Society and the Japan Committee Red Cross Society and the Japan Committee for UNICEF. for UNICEF.\n\nThis investment trust is the world This investment trust is the world's first s first fund developed in cooperation with the fund developed in cooperation with the World Bank that invests in World Bank green World Bank that invests in World Bank green bonds, according to research by Nikko bonds, according to research by Nikko Asset Management Co., Ltd. Funds from Asset Management Co., Ltd. Funds from the World Bank green bonds support only the World Bank green bonds support only World Bank-funded projects in developing World Bank-funded projects in developing countries to mitigate global warming. countries to mitigate global warming.\n\n*Research by Nikko Asset Management Co., Ltd.\n\nDonating to the Japanese Red Cross\n\n# **SMBC Nikko Securities' \"Green Week\"**\n\nIn the fall of 2010, SMBC Nikko Securities In the fall of 2010, SMBC Nikko Securities established its \"Green Week\" for strength established its \"Green Week\" for strengthening environmental protection and social ening environmental protection and social contribution activities, with the aim of contribution activities, with the aim of promoting communication within regional promoting communication within regional society and among participating employees society and among participating employees and their families, while deepening under and their families, while deepening understanding of environmental protection through standing of environmental protection through participation in social contribution activities. participation in social contribution activities. Between November 13 and December 5, Between November 13 and December 5, 2010, environmental protection programs 2010, environmental protection programs were rolled out by cross-organizational were rolled out by cross-organizational \"Green Committees\" in four locations in \"Green Committees\" in four locations in Japan, with the participation of 280 employ Japan, with the participation of 280 employees and their families. In addition, regional ees and their families. In addition, regional contribution activities were carried out by contribution activities were carried out by\n\nRegional contribution activities at the branch level\n\nCollection of PET bottle caps Donating to Japan Committee for UNICEF for international contribution purposes\n\nbranches at their own initiative. A wide variety branches at their own initiative. A wide variety of social contribution activities, such as the of social contribution activities, such as the collection of used stamps and PET bottle collection of used stamps and PET bottle caps, were carried out for global causes. caps, were carried out for global causes. SMBC Nikko Securities will continue activi SMBC Nikko Securities will continue activities that contribute to society and prioritize ties that contribute to society and prioritize communication between employees. communication between employees.\n\nEmployees and their families pitch in to clean up the bed of the Ara River in Tokyo\n\n| Environmental protection activities |\n| --- |\n| Forestry management volunteering experience in Osaka |\n| (Izumi no Mori) |\n| 117 participants |\n| Volunteers at the Shonan Erosion Control Forest project |\n| 62 participants |\n| Helping clean up Senju Shinbashi bridge that spans Ara River |\n| 64 participants |\n| Helping clean up Nishi Araibashi bridge that spans Ara River |\n| 37 participants |\n| Social contribution collection activities |\n| Support for overseas causes through used-stamp collection |\n| 11.4 kg of stamps were collected |\n| Presentation of stationery to children in developing countries |\n| 788 ballpoint pens and pencils |\n| Vaccine donation from the collection of PET bottle caps |\n| 168.9 kg (enough to vaccinate 84.45 people against polio) |\n| Activities organized by branches |\n| Sendai Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Matsudo Branch |\n| Accepting middle school students |\n| for workplace experience programs |\n| Shizuoka Branch |\n\nAbekawa River driftwood-clearing festival", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "#### 22. SUBSEQUENT EVENTS\n\na) In accordance with Articles 280-20 and 280-21 of the Commercial Code of Japan and a resolution approved at the annual general meeting of the shareholders held on June 23, 2004, the Board of Directors of the Company resolved on April 15, 2005 to grant stock subscription rights free of charge to certain employees of the Company and certain directors and employees of the Company's subsidiaries effective April 25, 2005. The holders of these rights are entitled to subscribe for shares of common stock of the Company at a fixed price of ¥1,119 per share. The maximum aggregate number of units and shares granted for subscription are 133,950 units and 13,395,000 shares, respectively.\n\nb) The following appropriations of retained earnings of the Company were approved at a shareholders' meeting held on June 21, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Year-end cash dividends | | |\n| (¥12.00 = U.S.$0.112 per share) | ¥52,553 | $491,150 |\n| Bonuses to directors | 390 | 3,645 |\n\nc) The Company issued the following bonds in yen without collateral to fund the unfunded retirement benefit obligation on June 2, 2005 and June 15, 2005:\n\n| | | Thousands of |\n| --- | --- | --- |\n| | Millions of yen | U.S. dollars |\n| Bonds in yen due 2008 at 0.4% | ¥50,000 | $467,290 |\n| Bonds in yen due 2010 at 0.71% | 128,000 | 1,196,262 |\n| Bonds in yen due 2009 at 0.62% | 50,000 | 467,290 |", - "page_start": 104, - "page_end": 104, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Does Chesapeake Energy have a project to reduce excessive water use?", - "target_page": 28, - "target_passage": "Created to meet the challenge of reducing our water usage, Chesapeake’s Aqua Renew® program uses state-of-the-art technology to recycle pro- duced water.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "# INVESTING IN OUR WORLD AND OUR PEOPLE »\n\nAs we explore for and produce clean, affordable, abundant, American natural gas, we provide an important solution to our nation's energy challenges and its quest for energy independence. With at least a 200 year supply of natural gas located right here in the U.S., this versatile fuel can be used to not only heat homes, create electricity and meet America's transportation needs, but also to fuel the country's future by creating jobs and stimulating local and national economies through investment and taxes.\n\n# **Environmentally Friendly Operations**\n\nAt Chesapeake, we realize that the way a great product is produced is as important as the product itself. For example, we have helped pioneer the use of multiwell padsites to drill up to 16 wells from a single location, greatly reducing our land and road use and overall environmental footprint. We use the latest horizontal and directional drilling technology to place wells at a safe distance from homes, schools and businesses. In addition, we build and maintain access roads and work to eliminate soil erosion near our sites, as well as restore local vegetation.\n\nWe implement advanced, modern protective measures known as Best Management Practices (BMPs) to help ensure energy development is conducted in an environmentally responsible manner. Procedures are implemented throughout our operations to protect freshwater aquifers and reduce environmental impacts. BMPs protect wildlife, air quality, water and landscapes as we work to develop vitally needed domestic energy sources.\n\nImplemented throughout the entire life cycle of a well, BMPs can be as simple as strategically placing a berm, or land barrier, on locations to control surface water runoff. Others involve cutting-edge operational technologies such as utilizing the most advanced techniques offered in drilling fluids, well casing and cement design. Regardless of complexity, all BMPs are based on the idea that the environmental footprint of energy development should be as small and temporary as possible. These practices are continually evolving and further improving as Chesapeake and the industry develop new innovative techniques and approaches to business.\n\nIn addition to our BMPs, Chesapeake has also initiated several innovative internal programs focused on water recycling and greener hydraulic fracturing processes.\n\n# *Aqua Renew***®**\n\nCreated to meet the challenge of reducing our water usage, Chesapeake's *Aqua Renew*® program uses state-of-the-art technology to recycle pro-\n\nduced water. Since the company's preliminary reclamation project in\n\n2006, our focus on water reuse and conservation has become a companywide endeavor, stretching from the Barnett Shale of North Texas to the Marcellus Shale of northern Pennsylvania.\n\nThe *Aqua Renew* program has yet to find a limit to how much recycled water could be used without compromising well production. In fact, our Marcellus Shale operations are treating and recycling virtually 100% of produced water (more than 10 million gallons per month) for reuse in our hydraulic fracturing operations. Properly conducted modern fracking is a highly engineered, controlled, sophisticated and safe procedure.\n\nWith such large volumes of recycled water, the company is seeing more than just environmental advantages. We estimate that this\n\n*Green operations — Chesapeake's Best Management Practices ensure our operations are as environmentally friendly as possible, while protecting our employees, neighbors and the areas where we operate.*", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Chesapeake Energy Corporation is the second-largest producer of natural gas, a Top 15 producer of oil and natural gas liquids and the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company's operations are focused on discovering and developing unconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\nNiobrara and Utica unconventional liquids-rich plays. The company has also vertically integrated its operations and owns substantial midstream, compression, drilling and oilfield service assets. Chesapeake's stock is listed on the New York Stock Exchange under the symbol CHK. Further information is available at **www.chk.com** where Chesapeake routinely posts announcements, updates, events, investor information, presentations and press releases.\n\n# **CONTENTS**\n\n- 1 Financial Review\n- 4 Letter to Shareholders\n- 16 Operating Areas\n- 20 Investor Q&A\n- 22 Social Responsibility\n\t- 24 Community Relations\n\t- 26 Environmental, Health & Safety\n- 28 Board of Directors\n- 28 Governance\n- 29 Officers\n- 30 Employees\n- 45 Form 10-K\n- Inside Back Cover\n\t- Corporate Information\n\n### **ON THE COVER**\n\n*Moving west, a Chesapeake rig drills toward the Niobrara Shale in the Powder River Basin of southeastern Wyoming, one of several new liquids-rich plays that are enabling the company to increase its profitability and return on capital.*", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Fisher Senior Vice President – Production\n\n# **What advantages does CHK's unique vertical integration strategy provide?**\n\nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop aggressively over the next two decades. As a result, we know that our company will consistently utilize a tremendous (and growing) amount of oilfield services for this resource development. This high level of planned drilling activity will create value for the provider of oilfield services, and Chesapeake's strategy is to capture a portion of this value for our shareholders rather than transfer it to third-party vendors whose interests and investments are not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water management equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and fracture stimulation equipment. Chesapeake's activities require a high level of planning and project coordination that is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach creates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, increased safety and better coordinated logistics. In addition, Chesapeake's control of a large portion of the oilfield service equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply put, faster development of resources maximizes the present value of leasehold. This has been a key advantage for\n\nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures.\n\n# **Will U.S. natural gas prices reconnect with world natural gas prices?**\n\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, diesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. market relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This surplus has been principally caused by high levels of drilling activity as producers focused on holding by production (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented U.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will largely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to reconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices.\n\nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied natural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital and ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are working to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to premium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be aided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the\n\nJeff Mobley Senior Vice President – Investor Relations and Research\n\ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it be compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) natural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural gas is clean, affordable, abundant and American. Why *shouldn't* it trade at a BTU premium in the years ahead?\n\nNick Dell'Osso Executive Vice President and Chief Financial Officer\n\n# **Why is an investment grade rating on its debt securities important to CHK?**\n\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt securities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company's borrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. Higher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in order to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts to sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance Chesapeake's ability to further attract world-class energy companies to participate in our joint venture projects, which profitably monetize a portion of our leasehold investments and also accelerate the development of our resource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an investment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# AMERICA'S PREMIER ENERGY RESOURCE BASE »\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has built a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica unconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise gained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of natural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of divestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion cubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end 2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the U.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling opportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake's ownership position in our key operating areas.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# CHESAPEAKE MANAGEMENT PERSPECTIVES »\n\nSteve Dixon Executive Vice President – Operations and Geosciences and Chief Operating Officer\n\n# **What innovations and advancements have led to CHK's ability to produce liquids from shales and other tight reservoirs?**\n\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed expertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of horizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that were previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight reservoirs has come from the company's ability to extend the technological advances gained in the development of tight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich play discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have benefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well as an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to better identify formations most likely to generate liquids-rich production, including more than a dozen new plays for the company. We have subsequently improved the success of our liquids-rich plays through the use of optimal wellbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized fracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume in low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have\n\nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry's most advanced shale core laboratory.\n\n# **It is often said that the energy industry has an aging work force that is fast approaching retirement age. How is Chesapeake addressing this?**\n\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry downturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong competition from other industries lured away many of the best and brightest science and technology graduates, and today many experienced professionals who stayed in the industry through the downturn are approaching retirement age. As a result, one of our industry's greatest challenges over the past 10 years has been to develop a new generation of natural gas and oil professionals who have the knowledge and experience required to meet the nation's growing energy needs.\n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting and training a new generation of energy professionals would impact the company's future success and its ability to compete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs and decided to create a world-class college recruiting and intern program to recruit the most promising industry talent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go on to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive\n\nMartha Burger Senior Vice President – Human and Corporate Resources\n\nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads and career counselors at the more than 31 universities where we actively recruit.\n\nAs a result of these efforts, young professionals in a wide range of disciplines, from scientists and engineers to land management and legal specialists, are being groomed to take over the reins as they learn the business through mentoring, extensive training, development opportunities and challenging work assignments. They are generously rewarded with excellent compensation and benefits, as well as an industry-leading working environment that encourages camaraderie and teamwork. The success of Chesapeake's strategy is apparent: the average age of the company's geoscience, land and engineering departments has dropped from 49 in 2000 to 36 today. In addition, the average age of the company's 4,000 Oklahoma City headquarters employees is 33. Even as some of Chesapeake's employees retire, the company is well equipped with a seasoned work force that is prepared to support and lead the way in Chesapeake's continued growth.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "wet natural gas and dry natural gas), similar to the components of the Eagle Ford Shale. We have made a large commitment to this play and have acquired approximately 1.2 million net leasehold acres and expect to increase this total to as much as 1.5 million net leasehold acres in the coming months. We are currently using three rigs to evaluate the play and believe our leasehold could support the drilling of up to 12,000 net wells. This is an area where we anticipate bringing in a joint venture partner late in 2011 or early in 2012.\n\n# **Our People**\n\nGreat assets cannot exist without great people, so we take great pride in hiring, training, motivating, rewarding and retaining what we regard\n\nas the best employees in the industry. From our beginning 22 years ago with 10 employees in Oklahoma City to employing more than 10,000 people across 15 states today, Chesapeake has always focused on building first-class human resources within a distinctive corporate culture. Talk to Chesapeake employees and you will note genuine pride and great enthusiasm about the company and the critical role that we play in delivering increasing quantities of clean and affordable American natural gas and valuable and reliable liquids to energy consumers across the country.\n\nChesapeake employees are distinctive in other ways as well. They are much younger than the industry average, with half of our almost 4,000 Oklahoma City-based headquarters employees 33 years old or younger. Their enthusiasm and willingness to learn create an atmosphere of vitality and energy at Chesapeake, important ingredients of our distinctive culture. These attributes, along with a vibrant and attractive corporate headquarters campus, low levels of bureaucracy, great assets and a well-executed corporate strategy combine to create our culture of success and innovation.\n\nThis has generated extremely positive external feedback as Chesapeake was recently recognized for the fourth consecutive year as one of the FORTUNE 100 Best Companies to Work For®(3) in the U.S. In fact, we moved up to #32 overall and #1 in our industry — we are very proud of having created and sustained what is now considered the best place to work in all of the U.S. energy production industry.\n\nIn addition, we were honored in December 2010 at the 12th Annual Platts Global Energy Awards as finalists for CEO of the Year, Community\n\nFrom our beginning 22 years ago with 10 employees in Oklahoma City to employing more than 10,000 people across 15 states today, Chesapeake has always focused on building first-class human resources within a distinctive corporate culture.\n\n*<< A Chesapeake rig drills in the Marcellus Shale, where the company is the leading leasehold owner, largest producer and most active driller.*\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer of the Year and the Industry Leadership Award. Chesapeake was one of only two companies selected as a finalist in five or more categories. The company was also honored in 2010 with a Certificate of Recognition for our military reserve recruiting efforts, named a 2010 Best Diversity Company by Engineering & Information Technology Magazine and recognized for Best Investor Relations in Energy Sector and Best Investor Relations Website at the 2010 IR Magazine U.S. Awards.\n\n# **Recent Events and a Better Way Forward**\n\nYou may be aware that I have been outspoken in attempting to persuade our country's political leadership to recognize that the discovery of vast resources of unconventional natural gas and oil in the U.S. is a complete game changer for our country from an economic, national security and environmental perspective. After two years of my best efforts and the efforts of many others in the industry, most notably T. Boone Pickens,", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# **Strong Partners**\n\nOver the past few years, in addition to gathering the industry's best assets, Chesapeake has also built the industry's finest collection of global energy partners and energy stock investors. We have now entered into transactions with PXP, BP, Statoil, Total, CNOOC and BHP Billiton. Collectively, we have sold these companies certain assets for total consideration of $20.5 billion in the form of cash and drilling and completion carries for which our net cost was only $6.1 billion resulting in overall value creation of $14.4 billion. While these transactions have been very\n\nrewarding to our buyers, they have been truly outstanding for Chesapeake, providing us an attractive source of capital, a reduction of risk, a quick recovery of our leasehold investment in new plays and a much greater ability to capture a large resource base with decades of highly profitable drilling opportunities.\n\nIn addition, we are the only U.S. E&P company that has attracted to its stock ownership roster some of the world's leading governmentsponsored investors: Temasek Holdings (Singapore), China Investment Corporation, Korea Investment Corporation and Abu Dhabi Investment Authority. Along with our largest shareholder, Memphis, Tennesseebased Southeastern Asset Management (12%), these shareholders are some of the world's largest and most astute investors, and who also happen to manage some of the world's largest pools of capital and have a very long-term investment horizon. Their support is an important validation of our strategy.\n\n# **Short-Term Pain for Long-Term Gain**\n\nDespite this all-star lineup of global partners and investors, some other investors have not yet fully recognized the benefits of our industry leadership in acquiring unconventional natural gas and liquids assets. Whether it was our leveraged balance sheet during recent tough recessionary times, our heavy focus on natural gas during a time of persistent market pessimism about natural gas prices or our large capital investments in undeveloped liquids-rich leasehold undertaken to enable Chesapeake to remain an industry leader in the years ahead, it is clear\n\nThrough a wide variety of transactions, including several led by Chesapeake, the global energy industry made it clear that the assets owned by Chesapeake and some of its peers are the most attractive in the world.\n\n### *<< Aubrey K. McClendon, Co-Founder, Chairman and Chief Executive Officer*\n\nthat we were less popular in the stock market in 2010 than we were in 2009, when our stock price increased by 60%.\n\nWe anticipated that some market unpopularity in 2010 would likely be the price we would pay as we positioned Chesapeake to be the leader not only in unconventional U.S. natural gas, but also in unconventional U.S. liquids. However, now that we have largely completed the investments needed to accomplish this transition to a portfolio balanced with liquids, the rebound in our stock price could be sharp as investors begin to focus more clearly on Chesapeake's three-way transition from an asset gatherer to an asset harvester, from less natural gas exposure to more liquids exposure and from a leveraged balance sheet to one worthy of an investment grade rating.\n\nAccordingly, in early January 2011, we announced our \"25/25 Plan,\" a two-year plan designed to reduce our long-term debt by 25% while still growing the company's production by 25%. We designed this plan to articulate very clearly the benefits of becoming an asset harvester", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "### **CORPORATE INFORMATION**\n\n# **Corporate Headquarters**\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n# **Internet Address**\n\nCompany financial information, public disclosures and other information are available through Chesapeake's website at www.chk.com.\n\n# **Common Stock**\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n# **Common Stock Dividends**\n\nDuring 2010 the company declared a cash dividend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n# **Independent Public Accountants**\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n# **Stock Transfer Agent and Registrar**\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent: Computershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225 www.computershare.com\n\n# **Trustee for the Company's Senior Notes**\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286 www.bnymellon.com\n\n# **Forward-looking Statements**\n\nThis report includes \"forward-looking statements\" that give our current expectations or forecasts of future events. They include estimates of natural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be affected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under \"Risk Factors\" in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on forward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclosures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our \"total resource base.\" This term includes our estimated proved reserves as well as \"risked and unrisked unproved resources,\" which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.\n\n| 2011 | High | Low | Last |\n| --- | --- | --- | --- |\n| First Quarter | $ 35.95 | $ 25.93 | $ 33.52 |\n| 2010 | High | Low | Last |\n| Fourth Quarter | $ 26.43 | $ 20.97 | $ 25.91 |\n| Third Quarter | 23.00 | 19.68 | 22.65 |\n| Second Quarter | 25.55 | 19.62 | 20.95 |\n| First Quarter | 29.22 | 22.10 | 23.64 |\n| 2009 | High | Low | Last |\n| Fourth Quarter | $ 30.00 | $ 22.06 | $ 25.88 |\n| Third Quarter | 29.49 | 16.92 | 28.40 |\n| Second Quarter | 24.66 | 16.43 | 19.83 |\n| First Quarter | 20.13 | 13.27 | 17.06 |\n| 2008 | High | Low | Last |\n| Fourth Quarter | $ 35.46 | $ 9.84 | $ 16.17 |\n| Third Quarter | 74.00 | 31.15 | 35.86 |\n| Second Quarter | 68.10 | 45.25 | 65.96 |\n| First Quarter | 49.87 | 34.42 | 46.15 |\n\n### WWW.CHK.COM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# DEAR FELLOW SHAREHOLDERS »\n\n2010 was a very important year of transition and achievement for Chesapeake, a year in which we initiated three very important strategic shifts: from asset gathering to asset harvesting, from focusing exclusively on natural gas to a balanced focus on natural gas and liquids and from having a leveraged balance sheet to one worthy of an investment grade rating.\n\n*Home to three distinct forms of hydrocarbons: dry natural gas, natural gas liquids and oil, the Eagle Ford Shale in South Texas epitomizes Chesapeake's shift to a balanced focus on natural gas and liquids.*\n\n2010 also marked a truly transformative year for our industry. We and a handful of our peers enhanced our capabilities to find and produce significant new resources of oil and natural gas liquids (collectively, \"liquids\") in unconventional formations. Chesapeake and these other companies combined creativity, innovation and technology to reinvent the way that our industry explores for and produces natural gas and liquids.\n\nFurthermore, 2010 was the year when global energy companies more fully recognized the importance of these developments and the tremendous opportunities that have emerged in the U.S. Through a wide variety of transactions, including several led by Chesapeake, the global energy industry made it clear that the assets owned by Chesapeake and some of its peers are the most attractive in the world. This realization has already increased the value of highquality unconventional assets in the U.S. and, in time, should lead to higher\n\nstock prices for the leading U.S. onshore E&P companies, especially Chesapeake. Simply put, the global energy industry is beating a path to our door, and we are welcoming it with open arms.\n\nBefore we move ahead, I want to emphasize that even though 2010 was a year of transition and achievement, our stock price was essentially unchanged. Nevertheless, it was still a very strong year for the company operationally and financially. Here are the year's highlights for your review:\n\n- >> Average daily natural gas and oil production increased 14% from 2.5 billion cubic feet of natural gas equivalent (bcfe) in 2009 to 2.8 bcfe in 2010;\n- >> Proved natural gas and oil reserves increased 20% in 2010, from 14.3 trillion cubic feet of natural gas equivalent (tcfe) to 17.1 tcfe;\n- >> Reserve replacement for 2010 reached 375% at a drilling, completion and net acquisition cost of only $0.76 per thousand cubic feet of natural gas equivalent (mcfe)(1);\n- >> Realized hedging gains were $2.1 billion;\n- >> Revenues increased 22% to $9.4 billion;\n- >> Adjusted ebitda(2) increased 15% to $5.1 billion;\n- >> Operating cash flow(2) increased 5% to $4.5 billion; and\n- >> Adjusted earnings per fully diluted share(2) increased 16% to $2.95.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "in cash and drilling carries. This was CNOOC's second investment with Chesapeake and its second investment in the U.S. onshore E&P industry. We are currently drilling with five rigs in this play and expect to accelerate our drilling to 15 rigs by year-end 2013. We believe our leasehold position could support the drilling of up to 7,600 additional net wells.\n\nCleveland, Tonkawa and Mississippian Plays — These three liquids-rich plays of the Anadarko Basin should become significant contributors to our growth in the years ahead. The Cleveland and Tonkawa plays are tight sandstones located in western Oklahoma and the eastern Texas Panhandle, and they provide returns that are some of the very best in\n\n# **Fracking Operations Transparency**\n\nNatural gas and oil operations continue to grow and expand across the country as vast new resources are unlocked through the process of hydraulic fracturing, or \"fracking,\" a proven technology that has been used safely and successfully in the completion of more than 1 million U.S. wells since 1949.\n\nDuring the fracking process, a mixture of approximately 99% water and sand, combined with a small amount of chemical additives, is pumped at high pressure into a targeted formation to create small fissures or fractures in the surrounding rock or shale. These fractures are kept propped open by the sand to allow the natural gas or oil to freely flow into a wellbore.\n\nIn our continuing efforts to educate the public and alleviate common misconceptions about hydraulic fracturing, Chesapeake became one of the first energy companies to disclose the additives used in the process. We are actively participating in a national, publicly accessible web-based registry developed by the Ground Water Protection Council and the Interstate Oil and Gas Compact Commission, with support of the U.S. Department of Energy. The registry allows for fracking additives to be reported on a well-by-well basis and offers public access to that material on its website. Chesapeake began loading well completion data onto the registry on February 15, 2011, for wells where completion reports have been filed with the appropriate state agencies.\n\nTo view the listings and learn more about the fracking process, the additives used and measures taken to protect fresh ground water aquifers, visit www.fracfocus.org.\n\nthe company. We have acquired approximately 600,000 net leasehold acres prospective for these plays and have drilled 75 net wells to date. We are currently using eight rigs and believe our leasehold could support the drilling of up to an additional 3,700 net wells.\n\nThe Mississippian fractured carbonate is primarily an oil play and is located on the Anadarko Basin shelf of northern Oklahoma and southern Kansas. We have acquired approximately 900,000 net leasehold acres prospective for this play and have drilled 40 net wells to date. We are currently using four rigs and believe our leasehold could support the drilling of up to an additional 6,000 net wells. This is an area where we anticipate bringing in a joint venture partner later in 2011 or in early 2012.\n\nBone Spring, Avalon, Wolfcamp and Wolfberry Plays — These four liquids-rich plays of the Permian Basin should also become significant contributors to our growth in the years ahead. To date, we have acquired approximately 560,000 net leasehold acres that we believe are prospective for these plays and have drilled 155 net wells. We are currently using eight rigs and believe our leasehold could support the drilling of up to an additional 4,400 net wells.\n\nUtica Shale — Chesapeake has high hopes for this emerging shale play in eastern Ohio, especially because it would become the fourth large unconventional play (along with the Haynesville and Bossier shales and the Mississippian carbonate) that Chesapeake has discovered. In addition, we believe the play will have three distinct components (oil,\n\n*A prime example of Best Management Practices for fracture stimulation, this well in Bradford County, Pennsylvania, is now producing natural gas from the Marcellus Shale. A closely regulated completion technique, fracking is necessary to allow natural gas or oil to freely flow into the wellbore.*", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Has the CEO of Chesapeake Energy met with the US President about America's energy production?", - "target_page": 16, - "target_passage": "I am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "# INVESTING IN OUR WORLD AND OUR PEOPLE »\n\nAs we explore for and produce clean, affordable, abundant, American natural gas, we provide an important solution to our nation's energy challenges and its quest for energy independence. With at least a 200 year supply of natural gas located right here in the U.S., this versatile fuel can be used to not only heat homes, create electricity and meet America's transportation needs, but also to fuel the country's future by creating jobs and stimulating local and national economies through investment and taxes.\n\n# **Environmentally Friendly Operations**\n\nAt Chesapeake, we realize that the way a great product is produced is as important as the product itself. For example, we have helped pioneer the use of multiwell padsites to drill up to 16 wells from a single location, greatly reducing our land and road use and overall environmental footprint. We use the latest horizontal and directional drilling technology to place wells at a safe distance from homes, schools and businesses. In addition, we build and maintain access roads and work to eliminate soil erosion near our sites, as well as restore local vegetation.\n\nWe implement advanced, modern protective measures known as Best Management Practices (BMPs) to help ensure energy development is conducted in an environmentally responsible manner. Procedures are implemented throughout our operations to protect freshwater aquifers and reduce environmental impacts. BMPs protect wildlife, air quality, water and landscapes as we work to develop vitally needed domestic energy sources.\n\nImplemented throughout the entire life cycle of a well, BMPs can be as simple as strategically placing a berm, or land barrier, on locations to control surface water runoff. Others involve cutting-edge operational technologies such as utilizing the most advanced techniques offered in drilling fluids, well casing and cement design. Regardless of complexity, all BMPs are based on the idea that the environmental footprint of energy development should be as small and temporary as possible. These practices are continually evolving and further improving as Chesapeake and the industry develop new innovative techniques and approaches to business.\n\nIn addition to our BMPs, Chesapeake has also initiated several innovative internal programs focused on water recycling and greener hydraulic fracturing processes.\n\n# *Aqua Renew***®**\n\nCreated to meet the challenge of reducing our water usage, Chesapeake's *Aqua Renew*® program uses state-of-the-art technology to recycle pro-\n\nduced water. Since the company's preliminary reclamation project in\n\n2006, our focus on water reuse and conservation has become a companywide endeavor, stretching from the Barnett Shale of North Texas to the Marcellus Shale of northern Pennsylvania.\n\nThe *Aqua Renew* program has yet to find a limit to how much recycled water could be used without compromising well production. In fact, our Marcellus Shale operations are treating and recycling virtually 100% of produced water (more than 10 million gallons per month) for reuse in our hydraulic fracturing operations. Properly conducted modern fracking is a highly engineered, controlled, sophisticated and safe procedure.\n\nWith such large volumes of recycled water, the company is seeing more than just environmental advantages. We estimate that this\n\n*Green operations — Chesapeake's Best Management Practices ensure our operations are as environmentally friendly as possible, while protecting our employees, neighbors and the areas where we operate.*", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Chesapeake Energy Corporation is the second-largest producer of natural gas, a Top 15 producer of oil and natural gas liquids and the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company's operations are focused on discovering and developing unconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\nNiobrara and Utica unconventional liquids-rich plays. The company has also vertically integrated its operations and owns substantial midstream, compression, drilling and oilfield service assets. Chesapeake's stock is listed on the New York Stock Exchange under the symbol CHK. Further information is available at **www.chk.com** where Chesapeake routinely posts announcements, updates, events, investor information, presentations and press releases.\n\n# **CONTENTS**\n\n- 1 Financial Review\n- 4 Letter to Shareholders\n- 16 Operating Areas\n- 20 Investor Q&A\n- 22 Social Responsibility\n\t- 24 Community Relations\n\t- 26 Environmental, Health & Safety\n- 28 Board of Directors\n- 28 Governance\n- 29 Officers\n- 30 Employees\n- 45 Form 10-K\n- Inside Back Cover\n\t- Corporate Information\n\n### **ON THE COVER**\n\n*Moving west, a Chesapeake rig drills toward the Niobrara Shale in the Powder River Basin of southeastern Wyoming, one of several new liquids-rich plays that are enabling the company to increase its profitability and return on capital.*", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "for a new energy future with greater natural gas usage and increased domestic oil production as two of its primary attributes, it is encouraging to see our political leadership finally grasp that natural gas stands alone as the only affordable, scalable and immediately available alternative to foreign oil and that U.S. oil production can be increased significantly in the years ahead.\n\nThe events of the past few months have unmistakably driven home the fact that it is insanity to rely on the Middle East to provide our economy's lifeline of oil. This should be especially obvious when one realizes that during the next 10 years, America will likely export at least another $4 trillion in national wealth to oil exporters around the world. Clearly, our country must demand from its leaders a new and more sustainable energy future.\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security. I remain fully confident that the marketplace understands this and that over time the U.S. will more fully embrace and utilize clean, affordable, abundant American natural gas and increased domestic oil production as the best alternatives to burning environmentally challenged coal and expensive and dangerous foreign oil.\n\nThere is now a clear road ahead toward a more sustainable, affordable, dynamic and independent future if America embraces the remarkable gift of energy abundance that Chesapeake has helped discover in the U.S. You have my commitment, and the commitment of more than\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security.\n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power telemetry systems that provide pumpers with real-time information on oil and water tank levels to alarm them when levels near capacity, preventing tank spills.*\n\n> The good news, however, is that America can now secure a new energy future thanks to Chesapeake and a handful of other leading U.S. E&P companies that have reinvented the process of finding natural gas and oil during the past five years. In doing so, we have discovered twice the resources of natural gas in the U.S. that Saudi Arabia possesses in oil. Furthermore, these same few companies that led the unconventional natural gas revolution have in just the past two years also reinvented the way in which we can find large new oil resources onshore in the U.S. In fact, I believe the U.S. can possibly increase its production of oil from the current 5.8 million barrels per day by 30–50% during the next 5–10 years, thereby potentially reaching the President's 2025 goal of reducing foreign oil imports by 33%, 5–10 years earlier than hoped.\n\n10,000 other Chesapeake employees, that every day we are working hard to create shareholder value and a better future for our communities, our states and our country through the continued discovery and development of unconventional natural gas and liquids.\n\nBest regards,\n\nAubrey K. McClendon Chairman and Chief Executive Officer April 15, 2011", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "*Rig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.*\n\nI am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable. There appears to be growing recognition that it is spectacularly dangerous for America to continue importing 9 million barrels of oil per day and exporting more than $1 billion per day in national wealth to oil exporting countries.\n\nAmerica's undiminished appetite for foreign oil has created the largest wealth transfer in the history of the world. The political leadership in Washington, D.C., has not seemed overly concerned about this issue until recently. However, after President Obama's recent speech calling\n\n(1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling and net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to\n\ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. (2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated in accordance with generally accepted accounting principles.\n\n• Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that management believes affect the comparability of operating results.\n\n• Operating cash flow is cash provided by operating activities before changes in assets and liabilities.\n\n• Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management\n\nbelieves affect the comparability of operating results. (3) FORTUNE 100 Best Companies to Work For® listed in the magazine's February 7, 2011 issue.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# CHESAPEAKE MANAGEMENT PERSPECTIVES »\n\nSteve Dixon Executive Vice President – Operations and Geosciences and Chief Operating Officer\n\n# **What innovations and advancements have led to CHK's ability to produce liquids from shales and other tight reservoirs?**\n\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed expertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of horizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that were previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight reservoirs has come from the company's ability to extend the technological advances gained in the development of tight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich play discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have benefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well as an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to better identify formations most likely to generate liquids-rich production, including more than a dozen new plays for the company. We have subsequently improved the success of our liquids-rich plays through the use of optimal wellbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized fracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume in low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have\n\nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry's most advanced shale core laboratory.\n\n# **It is often said that the energy industry has an aging work force that is fast approaching retirement age. How is Chesapeake addressing this?**\n\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry downturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong competition from other industries lured away many of the best and brightest science and technology graduates, and today many experienced professionals who stayed in the industry through the downturn are approaching retirement age. As a result, one of our industry's greatest challenges over the past 10 years has been to develop a new generation of natural gas and oil professionals who have the knowledge and experience required to meet the nation's growing energy needs.\n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting and training a new generation of energy professionals would impact the company's future success and its ability to compete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs and decided to create a world-class college recruiting and intern program to recruit the most promising industry talent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go on to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive\n\nMartha Burger Senior Vice President – Human and Corporate Resources\n\nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads and career counselors at the more than 31 universities where we actively recruit.\n\nAs a result of these efforts, young professionals in a wide range of disciplines, from scientists and engineers to land management and legal specialists, are being groomed to take over the reins as they learn the business through mentoring, extensive training, development opportunities and challenging work assignments. They are generously rewarded with excellent compensation and benefits, as well as an industry-leading working environment that encourages camaraderie and teamwork. The success of Chesapeake's strategy is apparent: the average age of the company's geoscience, land and engineering departments has dropped from 49 in 2000 to 36 today. In addition, the average age of the company's 4,000 Oklahoma City headquarters employees is 33. Even as some of Chesapeake's employees retire, the company is well equipped with a seasoned work force that is prepared to support and lead the way in Chesapeake's continued growth.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Fisher Senior Vice President – Production\n\n# **What advantages does CHK's unique vertical integration strategy provide?**\n\nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop aggressively over the next two decades. As a result, we know that our company will consistently utilize a tremendous (and growing) amount of oilfield services for this resource development. This high level of planned drilling activity will create value for the provider of oilfield services, and Chesapeake's strategy is to capture a portion of this value for our shareholders rather than transfer it to third-party vendors whose interests and investments are not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water management equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and fracture stimulation equipment. Chesapeake's activities require a high level of planning and project coordination that is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach creates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, increased safety and better coordinated logistics. In addition, Chesapeake's control of a large portion of the oilfield service equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply put, faster development of resources maximizes the present value of leasehold. This has been a key advantage for\n\nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures.\n\n# **Will U.S. natural gas prices reconnect with world natural gas prices?**\n\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, diesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. market relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This surplus has been principally caused by high levels of drilling activity as producers focused on holding by production (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented U.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will largely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to reconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices.\n\nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied natural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital and ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are working to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to premium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be aided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the\n\nJeff Mobley Senior Vice President – Investor Relations and Research\n\ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it be compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) natural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural gas is clean, affordable, abundant and American. Why *shouldn't* it trade at a BTU premium in the years ahead?\n\nNick Dell'Osso Executive Vice President and Chief Financial Officer\n\n# **Why is an investment grade rating on its debt securities important to CHK?**\n\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt securities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company's borrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. Higher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in order to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts to sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance Chesapeake's ability to further attract world-class energy companies to participate in our joint venture projects, which profitably monetize a portion of our leasehold investments and also accelerate the development of our resource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an investment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "### **CORPORATE INFORMATION**\n\n# **Corporate Headquarters**\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n# **Internet Address**\n\nCompany financial information, public disclosures and other information are available through Chesapeake's website at www.chk.com.\n\n# **Common Stock**\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n# **Common Stock Dividends**\n\nDuring 2010 the company declared a cash dividend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n# **Independent Public Accountants**\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n# **Stock Transfer Agent and Registrar**\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent: Computershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225 www.computershare.com\n\n# **Trustee for the Company's Senior Notes**\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286 www.bnymellon.com\n\n# **Forward-looking Statements**\n\nThis report includes \"forward-looking statements\" that give our current expectations or forecasts of future events. They include estimates of natural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be affected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under \"Risk Factors\" in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on forward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclosures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our \"total resource base.\" This term includes our estimated proved reserves as well as \"risked and unrisked unproved resources,\" which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.\n\n| 2011 | High | Low | Last |\n| --- | --- | --- | --- |\n| First Quarter | $ 35.95 | $ 25.93 | $ 33.52 |\n| 2010 | High | Low | Last |\n| Fourth Quarter | $ 26.43 | $ 20.97 | $ 25.91 |\n| Third Quarter | 23.00 | 19.68 | 22.65 |\n| Second Quarter | 25.55 | 19.62 | 20.95 |\n| First Quarter | 29.22 | 22.10 | 23.64 |\n| 2009 | High | Low | Last |\n| Fourth Quarter | $ 30.00 | $ 22.06 | $ 25.88 |\n| Third Quarter | 29.49 | 16.92 | 28.40 |\n| Second Quarter | 24.66 | 16.43 | 19.83 |\n| First Quarter | 20.13 | 13.27 | 17.06 |\n| 2008 | High | Low | Last |\n| Fourth Quarter | $ 35.46 | $ 9.84 | $ 16.17 |\n| Third Quarter | 74.00 | 31.15 | 35.86 |\n| Second Quarter | 68.10 | 45.25 | 65.96 |\n| First Quarter | 49.87 | 34.42 | 46.15 |\n\n### WWW.CHK.COM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# FROM PENNSYLVANIA TO NEW MEXICO, WE THANK EVERY MEMBER OF TEAM CHESAPEAKE »\n\nWe would like to thank each of Chesapeake's 10,021 employees who brought a unique combination of experience, talent and positive attitude to the company in 2010. Last year the company was honored for the fourth consecutive year with inclusion in the FORTUNE 100 Best Companies to Work For® list at #32, the highest-ranking company in the energy production industry.\n\n### **1989 (3)**\n\nKinney Louthan Aubrey McClendon Patsy Watters\n\n### **1990 (3)** Kevin Decker\n\nDavid Higgins Cindi Williams\n\n### **1991 (4)** Steve Dixon\n\nMarilyn Pollard Patti Schlegel Julie Washam\n\n### **1992 (2)** Tom Price\n\nMelanie Weaver\n\n### **1993 (5)**\n\nRalph Ball David Desalvo Mike Johnson Randy Pierce Dave Wittman\n\n### **1994 (16)**\n\nBarbara Bale Martha Burger Michael Coles Traci Cook Ron Goff Greg Knight Dan LeDonne Rich McClanahan Steve W. Miller Tommy Morphew Pat Pope Danny Rutledge Stephanie Shedden Ronnie Ward Shelly White Gerald Zgabay\n\n### **1995 (26)**\n\nRichey Albright Paula Asher Eric Ashmore Randy Borlaug Shelli Butler Melissa Chambers Dale Cook Ted Davis Mandy Duane Steve Gaskins Jennifer Grigsby Gayle Harris Henry Hood Lorrie Jacobs Barry Langham Cindy LeBlanc Leland Murray Fred Portillo\n\nJohn Qualls Pat Rolla Hank Scheel Charles W. Scholz Stan Stinnett Brenda Stremble Greg Weinschenk Brian Winter\n\n#### **1996 (29)** Heather Anderson\n\nTim Denny\n\nLaurie Eck Jan Fair\n\nJim Gomez\n\nJamie Carter Jasen Davis George Denny Gary Dunlap Barbara Frailey Linda Gardner Charlene Glover Randy Goben Melissa Gruenewald Doug W. Johnson Jim Johnson Taylor Kemp Mike Lebsack Steve Lepretre Larry Lunardi John Marks Sandi Michalicka Liz Muskrat Angela Ports Tommy Putz Bryan Sagebiel Kurt Schrantz Phyllis Trammell Allan Waldroup\n\n### **1997 (32)**\n\nLinda Allen Karla Allford Sara Caldwell Steve Cody Kristine Conway Randy Cornelsen Michelle Cullen Bruce Dixon Greg Drwenski Mark B. Evans Joy Franklin Rob Gilkes Shane Hamilton Michael Horn Eric Hughes David B. Jones Mike Ludlow Sarah Lumen Lauren Matlock Sam McCaskill Bob Neely Bob Pope Erick Porter\n\nBill Snyder George Soto Dan Sparks Linda Steen Becky Thomas Jennifer Van Meir Rusty Walker Lynn Whipple Mandy Whipple\n\nJolene Schur Carolyn Simmons April Smith Wilma Smith Frank Unsicker Ivajean Wallace Craig White Dori Williams Curtis Williford **1998 (62)** Stephen Adams Crae Barr Francy Beesley Joel Bennett Leonard Berry Jr. Susan Bradford Mark Brown Randy Brown Lori Budde Terry Caldwell Bob Campbell Ted Campbell Sherri Childers Tana Clark Jennifer Copeland David Craycraft Iris Drake Mac Drake Gary Egger Steve Emick Dan Estes Dennis Frick Stacy Gilbert Jim Gowens Kelsey Hammit Tresa Hammond Jeff L. Harris Debbie Hulett Julie Ingram Tammy Kelln Rose Kim Steve King Mike Lancaster Chris H. Lee Carrie Lewis-Crawford Craig Madsen John Marshall Kim Massey Allen May Dennis McGee Allen A. Miller Bill Miller Carey Milligan David Mobley Wesley Myers Bud Neff Jr. Kathy Nowlin Don Pannell Michael Park Mandy Pena Matt Rockers Kelly Ruminer Greg Small\n\n### **1999 (22)**\n\nJonathan Ball Mel Barker Sue Black Dory Douglas Mark Edge Jenny Ferguson Jeanie Fuller Susan Green Yamei Hou Doug Jacobson Jim Kelley Lynn Looper Dea Mengers Michael Miller Tammy Nguyen LaCosta Rawls Larry Shipley Michelle Smith Connie Turner Courtney Tyson Tonya Vallerand Tobin Yocham\n\n### **2000 (41)**\n\nJohnnie Bartlett Doug Bellis Jan Benton Bobby Bolton Jeff Brooks Becky Cassel Rachel Clapp Debbie Curtis Jennifer Dees Tammy Fields Robin Gonzalez Annie Hamilton Twila Hines Eric Hoffman Ronnie Howell Jim Kuhlman Don Lee Debbie Lloyd Jay May Jr. Andrea McCall Cindy McClintock Collin McElrath Courtney Moad Georgia Moller Chantelle Porter Edward Puffinbarger Mike Sawatzky Cindy Schwieger\n\nBrent Scruggs Vance Shires Stuart Skelton David W. Smith Catherine Stairs Jerry Townley Nick Wavers Brenda Wheeler Bob Whitman David Whitten Brent Williams\n\n### Bob Woodside **2001 (98)**\n\nJerry Aebi Karen Albornoz Cranford Jeremy Allison Terry Ashton Betsy Ball Gloria Bates Michelle Bender Bruce Boeckman Boyce Boelen Sharon Bradford Von Brinkley Deanne Brooks Marty Byrd Carlos Caraveo Biff Carter John Carter Keith Case Marika Chambers Kristi Clemmens John Cook\n\nKajsa Greenhoward\n\nDaniel Koehn Kennetta Lee Jeff Lenocker Julia Lillard Travis Long Rita Marple Jim McHenry Debbie McKee Don Messerly J. C. Morris Melinda Neher Lee Nelson\n\nDawn Wilson\n\n### **2002 (132)**\n\nPaula Abla Brian Babb Bob Baker Dennis Bass Randy Bergen\n\nDarwin Lindenmuth Paige Whitehead Connie Williams Freda Williams Brandon Winsett Marvin Winter Jr. Larry Woodruff Amanda Young Leonard Blackwill\n\nNicole Adams Jenny Adkins Roger Aldrich Jimmy Alexander Charlie Bagley Lynard Barrera Cindy Barrios Shane Barron James Beavers\n\nRicky Laster Casidy Lee Ken Leedy Stephen Lobaugh Billy Long\n\nPaul Bowyer Troy Bradford Robert Bradley Don Bredy Jim Brock Cindy Brown Kathy Brown Lynn Broyles Jason Budde Greg Burchett Aaron Bush Ernest Byrd Chris Carter Paul Childers Jackie Cooper Jr. Lori Crabtree Cary Crusinbery Jr. James Davis Trent Delano Cheryl Delzer Cathy DeGiusti Larry Dill Sherry Dixon Eldon Eagan Eric S. Edwards Michael Falen Mark Falk Shawn Fields Tom Flesher Viel Flores Justin Foust Adam Gaskill Tamara Gathers Fred Gipson Lisa Glover Cornelio Gomez David Gouker Steve Hall Melvin Harper John Henry John Hornsby John Hurst Todd Ice Bud Jackson Jay Jarvis Danny Jech Jim Jinkins Gary D. Johnson William D. Johnson Chris Jones Joe Jones Mike Kee Dax Kimble Nancy Knox Greg Kochenower Jeremie Koehn Spencer Land Steve Larman\n\nAndrew McCalmont Mitch McNeill Richard Mieser Steve Mills Sidney Mitchell Claudia Molina de Wolford Nathan Morrison Todd Murphy Cindy Murray Jeff Newby Rick Nunley John Ortiz David Parker Robert Pennel Ryan Phillips Sharon Pool Bob Portman Eric Powell Mike L. Reddick Ronald Reidle Martin Robertson II A.D. Robison Randy Rodrigue Vern Roe Jr. Danny Schmidt Kary Schneberger Stacy Settles Dewayne Shaw Michael Sherwood Will Shisler Greg Skiles Chad Smith Robin Smith Maria Strain Josh Swift Chris Townsend Michelle Townsend Ryan Turner Rodney Vaeth Fred Vasquez Ruben Vega Jr. Al Warner James Warner Michael Weese Hazel Welch Leslie Wertz Eddie Whitehead John Wilken Gary Willeford Mark Willson Jerry Wilson Robert A. Wilson Roy Wilson **2003 (211)**\n\nShawn Marsh\n\n# Ronald Aaron\n\nPat Abla Corky Baker Staci Barentine-Bogle Charlie Bateman Mike Bechtel John Biggs Tammi Bradford\n\nShellie Ashworth Pollard\n\nTim Cook Juanita Cooper Jim Corsoro Leigh Ann Crain Brian Cunningham Garry Curry Shawn Downey Jeff Eager Richard Easterly Tommy Edler Amanda Elam Brian Exline Alex Gallardo Jr. Matt Gambill Roy Gentry Suzie Goolsby Randy Grayson Rick Green Jackie Gross Johnny Harris Jeremiah Jackson Krista Jacobson Justin Johnson Keith Johnson Rob Jones\n\n> John Kapchinske Ginni Kennedy Edward Killen Julie Knox\n\nKevin Newberry Tim Newville Deborah O'Neal Ricky Petty Dianne Pickard Catherine Ratliff Lynn Regouby Gina Romano John Romine Larry Ross Mike Rossiter Larry Settle Dee Smith Jr. Patrick Smith Chris Sorrells Dennis Splan Jason Stamper Cindy Stevens Bill Stillwell Gary Stoner Howard Stout Tim N. Taylor Jason Thaxton Alvin Thomas Rudy Thomas Robbie Thrash Larry Watters", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# AMERICA'S PREMIER ENERGY RESOURCE BASE »\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has built a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica unconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise gained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of natural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of divestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion cubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end 2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the U.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling opportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake's ownership position in our key operating areas.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "# DEAR FELLOW SHAREHOLDERS »\n\n2010 was a very important year of transition and achievement for Chesapeake, a year in which we initiated three very important strategic shifts: from asset gathering to asset harvesting, from focusing exclusively on natural gas to a balanced focus on natural gas and liquids and from having a leveraged balance sheet to one worthy of an investment grade rating.\n\n*Home to three distinct forms of hydrocarbons: dry natural gas, natural gas liquids and oil, the Eagle Ford Shale in South Texas epitomizes Chesapeake's shift to a balanced focus on natural gas and liquids.*\n\n2010 also marked a truly transformative year for our industry. We and a handful of our peers enhanced our capabilities to find and produce significant new resources of oil and natural gas liquids (collectively, \"liquids\") in unconventional formations. Chesapeake and these other companies combined creativity, innovation and technology to reinvent the way that our industry explores for and produces natural gas and liquids.\n\nFurthermore, 2010 was the year when global energy companies more fully recognized the importance of these developments and the tremendous opportunities that have emerged in the U.S. Through a wide variety of transactions, including several led by Chesapeake, the global energy industry made it clear that the assets owned by Chesapeake and some of its peers are the most attractive in the world. This realization has already increased the value of highquality unconventional assets in the U.S. and, in time, should lead to higher\n\nstock prices for the leading U.S. onshore E&P companies, especially Chesapeake. Simply put, the global energy industry is beating a path to our door, and we are welcoming it with open arms.\n\nBefore we move ahead, I want to emphasize that even though 2010 was a year of transition and achievement, our stock price was essentially unchanged. Nevertheless, it was still a very strong year for the company operationally and financially. Here are the year's highlights for your review:\n\n- >> Average daily natural gas and oil production increased 14% from 2.5 billion cubic feet of natural gas equivalent (bcfe) in 2009 to 2.8 bcfe in 2010;\n- >> Proved natural gas and oil reserves increased 20% in 2010, from 14.3 trillion cubic feet of natural gas equivalent (tcfe) to 17.1 tcfe;\n- >> Reserve replacement for 2010 reached 375% at a drilling, completion and net acquisition cost of only $0.76 per thousand cubic feet of natural gas equivalent (mcfe)(1);\n- >> Realized hedging gains were $2.1 billion;\n- >> Revenues increased 22% to $9.4 billion;\n- >> Adjusted ebitda(2) increased 15% to $5.1 billion;\n- >> Operating cash flow(2) increased 5% to $4.5 billion; and\n- >> Adjusted earnings per fully diluted share(2) increased 16% to $2.95.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - } - ] -] \ No newline at end of file